[Federal Register Volume 59, Number 83 (Monday, May 2, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-9930]
[[Page Unknown]]
[Federal Register: May 2, 1994]
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Administration for Children and Families
[Program Announcement No. 93554.942]
Availability of FY 1994 Funds and Request for Applications;
Emergency Child Abuse and Neglect Prevention Services Program
AGENCY: Administration on Children, Youth and Families (ACYF),
Administration for Children and Families (ACF), Department of Health
and Human Services (DHHS).
ACTION: Notice of fiscal year (FY) 1994 financial assistance and
request for applications for service demonstration projects under
Section 107A of the Child Abuse Prevention and Treatment Act.
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SUMMARY: The National Center on Child Abuse and Neglect (NCCAN) in the
Administration on Children, Youth and Families announces the
availability of funds to conduct service demonstration projects to
prevent the abuse or neglect of children whose parents or caretakers
are substance abusers by providng family support and preservation
services, and for interdisciplinary training programs for professionals
who serve that population.
In 1991, 94 projects were funded to provide comprehensive,
interdisciplinary, coordinated services, training and public education
to address the needs of these children and their families, under Sec.
107A. [42 U.S.C. 5106a-1] of the Child Abuse Prevention and Treatment
Act. Fiscal year 1994 funds are available to further develop program
efforts in comprehensive, interdisciplinary, coordinated services and/
or training. These projects will serve as pilot service demonstrations
for such children and their families, as States develop family
preservation and support services under the recently enacted Family
Preservation and Support Program. Applications must be developed
collaboratively with the state agency responsible for the state
planning and implementation of Family Preservation and Support Services
(Title IV-B of the Social Security Act, Subpart 2), in order to assure
linkages now and in the future to family support and family
preservation State planning and service development.
Programs will be funded in two priority areas: 1. Community-based
service demonstration projects which provide family preservation and
support services to families in which children are at risk of child
abuse and neglect due to parental or caretaker substance abuse.
2. State, multi-state or regional interdisciplinary training
programs which address the coexisting problems of substance abuse and
child abuse and neglect for current practitioners and administrators
from disciplines or agencies serving abused and neglected children and
their families, or those at risk of abuse and neglect.
DATES: The closing date for submission of applications is July 18,
1994.
ADDRESSES: Applications may be mailed to the Department of Health and
Human Services, Administration for Children and Families, Division of
Discretionary Grants, 370 L'Enfant Promenade SW., 6th Floor OFM/DDG,
Washington, DC, 20447, Attention: Maiso Bryant.
Hand delivered applications are accepted during the normal working
hours of 8 a.m. to 4:30 p.m., Monday through Friday, on or prior to the
established closing date at: Administration for Children and Families,
Division of Discretionary Grants, 6th Floor OFM/DDG, 901 D Street SW.,
Washington DC 20447, Attention: Maiso Bryant.
FOR FURTHER INFORMATION CONTACT: Janice P. Shafer (202) 205-8306.
Eligibility: Eligible entities that may apply are:
(a) State and local agencies that are responsible for administering
child abuse or related intervention services; and
(b) Community and mental health agencies and nonprofit youth-
serving organizations with experience in providing child abuse
prevention services.
In cases where applications have been reviewed and evaluated and
are determined to be qualitatively of equal strength, priority
consideration will be given to those entities funded in 1991 under
Program Announcement No. 93554.911, published in the Federal Register,
July 11, 1991, (56 FR 31782), entitled Emergency Child Abuse and
Neglect Prevention Services Program: Availability of Funds and Request
for Applications; Notice.
SUPPLEMENTARY INFORMATION: This announcement consists of three parts.
Part I provides background information on the National Center on Child
Abuse and Neglect (NCCAN) and the statutory authority for this program.
Part II states the problem and describes the priorities under which
NCCAN is soliciting applications for fiscal year (FY) 1994 funding of
Emergency Child Abuse Prevention Services projects. Part III provides
general information and requirements for preparing and submitting
applications along with the criteria for the review and evaluation of
applications.
All forms and instructions necessary to submit an application are
published as part of this announcement following Part III.
I. Agency and Statutory Background
In 1974, the Child Abuse Prevention and Treatment Act (the Act)
established the National Center on Child Abuse and Neglect (NCCAN) in
the Department of Health and Human Services (DHHS). NCCAN is located
organizationally within the Administration on Children, Youth and
Families, Administration for Children and Families.
NCCAN conducts activities designed to assist and enhance national,
State and community efforts to prevent, identify and treat child abuse
and neglect. These activities include: Conducting research and
demonstrations; supporting service improvement projects; gathering,
analyzing and disseminating information through a national
clearinghouse; providing grants to eligible States for strengthening
and improving child protective services programs; and coordinating
Federal activities related to child abuse and neglect through an Inter-
Agency Task Force on Child Abuse and Neglect composed of Federal
agencies.
In 1989, the Act was amended by the addition of Section 107A as
part of the Drug-Free Schools and Communities Act amendments (Pub. L.
101-226), 42 U.S.C. 5106a-1. Congress authorized funding for the
Emergency Services Program under these amendments, and in FY 1991,
ninety-four projects were funded to provide and improve the delivery of
services to children who are victims of or at risk of child abuse and
whose parents or caretakers are substance abusers. Projects funded
under this program were required to be comprehensive, coordinated with
other public and/or private community service providers, and multi-
disciplinary in nature. They were funded in four priority areas: (1)
Development of emergency service delivery models to provide crisis
intervention for children and adolescents in substance abusing families
who have been reported to protective service agencies; (2) Development
of public education and information models to address the issue of
substance abuse and its correlation with the maltreatment of children
and youth; (3) Improvement of services and removal of barriers to
treatment for substance abusing parents, families and adolescents; and
(4) Development or expansion of short-term interdisciplinary training
models on the inter-relationships of substance abuse and child abuse,
for current child protection/child welfare and substance abuse
prevention and treatment practitioners. These projects provided a broad
range of creative, coordinated services including, but not limited to,
respite care, reunification or permanency planning for children removed
by protective services, prevention services to children at risk of
removal to foster care, home visitation services, parent support
groups, activities to strengthen the parent-child relationship,
information and referral to related community support services,
parenting education, and case management. In many cases, structural and
policy changes were made within and among agencies to improve the
delivery of services to families. The array of services developed by
these programs are consistent with those defined as family support and
family preservation services. A list and description of projects funded
under the original Emergency Services Program solicitation is available
from the Clearinghouse on Child Abuse and Neglect Information ((800)
FYI-3366) by requesting the document Emergency Child Abuse and Neglect
Prevention Services Program (Revised April 1993).
In FY 1993, ACYF was given the responsibility for implementation of
a new child welfare program. A new Subpart 2 was added to title IV-B of
the Social Security Act by the Omnibus Budget Reconciliation Act of
1993 (August 1993). Entitled ``Family Preservation and Family Support
Services'', this initiative provides capped entitlement funding to
State child welfare agencies ``for the purpose of encouraging and
enabling each State to develop and establish, or expand, and to operate
a program of family preservation services and community-based family
support services.'' ``Family support services'' are described as
community-based preventive activities designed to alleviate stress and
promote parental competencies and behaviors that will increase the
ability of families to successfully nurture their children; enable
families to use other resources and opportunities available in the
community; and create supportive networks to enhance child-rearing
abilities of parents and help compensate for the increased social
isolation and vulnerability of families. Examples of such services
include respite care; early developmental screening of children;
mentoring, tutoring, and health education for youth; and a range of
center-based and home visiting activities. ``Family preservation
services'' typically are services designed to help families alleviate
crises that might lead to out of home placement of children; maintain
the safety of children in their own homes; support families preparing
to reunify or adopt; and assist families in obtaining services and
other supports necessary to address their multiple needs in a
culturally sensitive manner. Examples of such activities are intensive
pre-placement preventive services to assist biological, foster,
adoptive or extended families; respite care for parents and other
caregivers (including foster parents); services to improve parenting
skills and support child development; follow-up services to support
adopting and reunifying families; services for youth and families at
risk or in crisis; and intervention and advocacy services for victims
of domestic violence. Both family support and family preservation
services are further described in the Program Instruction for
Implementation of New Legislation: Family Preservation and Support
Services, Title IV-B, Subpart 2, (Appendix 1), and Section 431 of the
statute.
This new program offers States an extraordinary opportunity to
assess and make changes in State and local service delivery in child
welfare for the purpose of improving the well-being of vulnerable
children and their families, especially those experiencing or at risk
of abuse and neglect. States are encouraged to use the family support
and family preservation initiative as a catalyst to assess and redesign
categorical, fragmented service delivery systems toward establishing a
continuum of coordinated and integrated, culturally relevant, family-
focused services for children and families. The new program will afford
States the opportunity to offer a continuum of services, depending on a
family's needs, and also will provide linkages to necessary ancillary
services such as transportation, housing, employment, and health. It is
strongly expected that States will take advantage of this opportunity
to move the child welfare service system toward a more coordinated,
flexible structure built on and linked to existing community services
and supports. Funds are also available for a small number of Indian
Tribes which qualify for funding under this legislation and submit
similar plans.
One critical requirement of the legislation is a strategic planning
process that includes a wide array of State, local, and community
agencies and institutions, parents, consumers, and other interested
individuals whose collective work feeds into joint State-Federal
planning activities. Ideally, the planning process will offer an
opportunity for multiple State, local and community agencies and
organizations and Federal agencies, as well as individuals, including
parents, to become partners on behalf of children.
Consultation and outreach are recommended to include the active
involvement of major actors across the entire spectrum of the service
delivery system for children and their families. The purposes of this
coordination and consultation include the development of new and more
effective service approaches for children and families, the assessment
of family and community needs, the identification of service overlaps
and gaps, the identification of available resources (expertise, money,
facilities, staff) that might help to meet needs, and the
simplification of administrative and case management procedures across
programs.
ACYF is actively collaborating with other Federal programs both
within and outside the Department to obtain current information on new
programs and explore ways to consolidate and maximize resources to
promote the development of comprehensive, coordinated State child
welfare systems. As part of this effort, the FY 1994 Emergency Child
Abuse Prevention Services Program is designed to accomplish two goals:
(1) To build upon the knowledge and experience gained from the
initial round of funding under the Emergency Services Program, and
(2) To integrate this foundation of knowledge and experience
into the broader service delivery effort being undertaken by the
States and Tribes as they plan for and implement the new Family
Preservation and Family Support Services Program.
Such integration is appropriate for several reasons. When substance
abuse exists in a family, it has such a significant effect on all other
aspects of family functioning that it must be addressed in the child
welfare service plan in order for the plan to succeed. The projects
funded initially by the Emergency Services Program were designed with a
multi-disciplinary, coordinated, comprehensive focus, using a family
centered approach. The clients served by these projects are frequently
on caseloads for child welfare and related services, and offer profound
challenges to those service systems. These projects have identified and
are developing strategies to deal with the policy, practice, and
funding barriers to delivering effective services to children and
families affected by substance abuse. The service models that have
emerged from these projects embrace family support and family
preservation principles, and the strategies developed through these
models have broader implications for State service efforts.
II. Fiscal Year 1994 Priorities for Emergency Child Abuse Prevention
Service Projects
This part describes the two priority areas for funding under the
Emergency Child Abuse and Neglect Prevention Services Program. It
contains all the information needed in order to successfully apply for
funding. Failure to comply with the eligibility criteria and the
deadline for submittal of applications will result in an application
being screened out and not considered for funding. Experience has shown
that an application which is directly responsive to the requirements
and evaluation criteria of a specific priority area is likely to score
higher than one which is broad and general in concept.
A. Available Funds
Approximately $15,000,000 is available for grants in FY 1994.
B. Administrative Regulations
For State and local governments, including Federally recognized
Indian tribes, 45 CFR part 92 and selected parts of 45 CFR part 74 are
applicable. For all other applicants, 45 CFR part 74 is applicable.
C. Statement of Problem
According to the 1992 National Child Abuse and Neglect Data System
(NCANDS) report, nearly one million children reported to child
protective services systems were substantiated/indicated as abused or
neglected in one year. This represents two children every minute
nationally. In these troubled families, substance abuse is increasingly
recognized as a contributing factor among a complex constellation of
family problems.
Recent studies indicate a very strong association between substance
abuse and child maltreatment. Richard Famularo, et al., reviewed 190
randomly selected records from the caseload of a large juvenile court,
cases in which the State took legal custody of the children following a
finding of significant child maltreatment, based on a clear and
convincing standard of evidence. Sixty-seven percent of these cases
involved parents who would be classified, based on the study
definition, as substance abusers. The study revealed specific
associations between alcohol and cocaine abuse and physical and sexual
maltreatment. In another study (Famularo, Kinsherff, and Fenton, 1992),
an association was found between the type of substance abused and the
type of child maltreatment. Overall, alcohol abuse was found to be
associated with physical abuse and cocaine with sexual abuse. Although
the sample size for this study was small and involved only cases in
which children had been removed from the home, it suggests the need for
service providers to be aware of the type of substances being abused,
the effects of those substances, and the importance of developing
collaborative efforts to meet varying needs. Flanzer and Sturkie (1987)
conducted a study with similar implications. In examining the
correlation between alcohol abuse by parents and maltreatment of
teenagers, they found alcohol abuse by the fathers to be correlated
with physical abuse and neglect of the children. In contrast, alcohol
abuse by the mothers was found to be correlated with emotional abuse
and neglect. Other studies and surveys throughout the nation have
produced similar links between substance abuse and widespread neglect
as well as physical and sexual abuse of children. The House
Appropriations Committee indicated that it is especially interested in
children/youth who are the subjects of serious neglect by crack
cocaine-abusing parents and who are not ordinarily the immediate
concern of overburdened service agencies. The fact that the legislation
recognizes the emergency implications inherent in drug/substance abuse
situations provides States the opportunity to improve service programs.
The profound effects of substance abuse on the child welfare system
are also documented. Not only are the effects significant, but they
have compounded existing systemic problems, such as personnel shortages
and limited availability of foster homes, contributing to a child
welfare system which has become burdened beyond its capacity. These
effects have intensified existing difficulties in the broader community
service system, which create barriers to meeting the needs of families
effectively. Our increased awareness and knowledge of the serious
effects of parental and caretaker substance abuse on children and youth
exists in an environment frequently characterized by a lack of
appropriate services, service options and isolation of child welfare
from other community services.
In 1993, the Child Welfare League of America (CWLA) published the
results of a ten state survey of child protection agencies. In over
half of these states, more than 50% of the children served were
affected by problems associated with substance abuse in the home.
Percentages were even higher in voluntary child welfare agencies,
probably because of greater efforts to routinely screen for substance
abuse problems. Staff within the child welfare system have indicated
that problems directly attributable to substance abuse by the adult
parent and caretaker population have increased over the last five
years.
The public child welfare system frequently fails to identify the
problem of substance abuse, let alone incorporate substance abuse
treatment into a larger service plan or coordinate ancillary services
that might mitigate the effects of parental substance abuse on the
children. Only 41.7% of those surveyed by the CWLA reported that they
routinely screen for alcohol and other drug problems. There are not
enough trained personnel in the child welfare system to deal with the
problem, nor are there sufficient resources to address the situation
effectively on a local level. Less than half of all full-time direct
service practitioners surveyed by CWLA received formal training in
substance abuse.
Practitioners in all fields who provide services to abused and
neglected children and their families can become isolated from the work
of professionals in other disciplines, perpetuating the fragmentation
of service delivery. In a 1990 study, Thompson concluded that
individual child welfare workers tended to focus interventions on what
they know best and ignore broader family considerations. Another
example of professional isolation is offered by a 1992 study (Pelham
and DeJong) which surveyed directors of graduate medical education
programs in Obstetrics/Gynecology and Pediatrics. A key finding was
that one-third of the respondents were unaware of their State's child
abuse laws with respect to requirements for reporting the effects of
prenatal cocaine abuse. Further, of those that indicated awareness of
their State's requirements, over 50% had incorrect information about
these requirements. These studies support the need for education and
training programs for professionals which address the relationship
between substance abuse and child maltreatment. They also suggest the
need for greater collaboration among service professionals in order to
improve services to shared clients.
Problems related to substance abuse both lengthen and complicate
the investigative process of child protective services agencies. The
CWLA study reported that problems related to substance abuse are
increasingly a factor in the initial investigative process, in reports
of physical abuse and neglect, in reports of child sexual abuse, in the
filing of dependency petitions, and in reports of abandoned infants.
The problems experienced by the child welfare system become
powerfully magnified when viewed from the vantage point of the
individuals and families the system was designed to serve. For example,
younger children are more at risk of death or severe injury from child
abuse and neglect, and they, therefore, have more often been the focus
of child protective services. Because of this, older children and
adolescents often fail to receive services. Left with no protection and
few options, many adolescents see running away as their only choice. In
a compilation of interviews with 31,000 runaway and homeless youth who
received services in youth crisis shelters across the country in 1990,
it was learned that alcohol or other substance abuse by parents or
caretakers was a precipitating or contributing factor in about 40% of
the cases (Annual Report to Congress on the Runaway and Homeless Youth
Program, Fiscal Year 1990).
Families facing problems with substance abuse often find it
difficult to pursue assistance and treatment before some precipitating
crisis causes them to become a statistic of the child welfare system.
Many drug and alcohol treatment programs are designed to address the
problems of adult male substance abusers, and lack either the capacity
or an appropriate family orientation to serve a population of parents,
children, and adolescents. The illegal nature of many substances,
causing fear of apprehension by law enforcement agencies, and the
potential loss of children and other consequences, frequently prevent
affected families from seeking services.
Over the past several years, State and local governments,
foundations, national organizations, and non-profit agencies have begun
to develop and implement family support and family preservation
programs and experiment with changing the way child welfare services
are organized and delivered in coordination with other agencies and
resources. While many of the efforts underway have begun to address
much needed systems change, the special needs of children from
substance abusing families require very close attention. Hence there is
a need and opportunity to build on existing efforts to serve this
population as Family Support and Family Preservation Services are
developed.
The implementation of the new Family Preservation and Support
Services initiative represents a significant commitment on the part of
the Federal Government to a family centered services approach in
funding, philosophy, and policy. It is strongly expected to serve as a
catalyst for States to create a child welfare system that is more
flexible, coordinated, linked with existing community supports and
services, and able to serve children and families in a more holistic
and effective way. The Emergency Services Program provides the
opportunity to collaborate in this effort by reaching out to a
population that is critically challenging the child welfare system:
unserved children and adolescents who are at risk of or suffering abuse
and neglect as a result of living with substance abusing parents or
other care providers, and children and families known to the child
protective services system. It also offers the opportunity to influence
State, Tribal and national policy as strategies and models are
developed which effectively meet the complex needs of this population.
Therefore, it is a priority of the FY 1994 Emergency Services Program
to form partnerships with the agencies implementing Family Preservation
and Support Services at the State and local levels.
D. Related Efforts
Because of the necessity to avoid duplicating services and costs,
the importance of coordination, and the interest of ACYF in actively
collaborating on FY 1994 discretionary grant announcements, all
applicants are required to demonstrate their awareness of other related
projects at the State and local level by discussing how they will
establish joint planning processes and provide direct collaboration for
service delivery. The Department is currently sponsoring a large number
of research and demonstration projects on the effects of substance
abuse on parents and children, and on family centered service models,
including family preservation and support programs. The following are
examples of such programs:
1. The Public Health Service's Substance Abuse and Mental Health
Services Administration (SAMHSA), Center for Mental Health Services
(CMHS):
The CMHS Child and Adolescent Service System Program
(CASSP)
Center for Substance Abuse Prevention (CSAP) Demonstration
Grants for High-Risk Populations:
Model Projects for Pregnant and Postpartum Women and Their
Infants
Demonstration Grants for Youth in High-Risk Environments
Center for Substance Abuse Treatment (CSAT):
Residential Treatment Centers for Women with Dependent
Children
Community Partnership Demonstration Grants
2. Other PHS Programs:
Perinatal prevention of substance abuse through the
Maternal and Child Health Block Grants
3. Department of Housing and Urban Development:
Family Unification Demonstration Program;
4. Departments of Housing and Urban Development, Agriculture, and
Health and Human Services:
Empowerment Zones and Enterprise Communities (Target
Cities) Grant Program
5. Administration on Children, Youth and Families (ACYF):
Family and Youth Services Bureau (FYSB):
Family Resource Programs
Drug Abuse Prevention Programs for Runaway and Homeless
Youth
Youth Gang Drug Prevention Programs
Children's Bureau (CB):
Respite Care and Crisis Nurseries
Abandoned Infants
Head Start Bureau (HS):
Family Service Centers
Further information on these programs and listings of grants
awarded are available from the clearinghouses listed in Appendix 2 of
this announcement. This appendix provides information on The
Clearinghouse Consortium on Child Abuse and Neglect, which is comprised
of seventeen Federal information clearinghouses and resource centers
that address child maltreatment issues from differing disciplines and
perspectives. The Consortium was established by the U.S. Interagency
Task Force on Child Abuse and Neglect to encourage cooperation and
information sharing among Consortium members and to support
professionals and private citizens seeking information on all aspects
of child maltreatment.
E. Priority Areas
1. Community-Based Service Demonstration Projects Which Provide Family
Preservation and Support Services to Families in Which Children and
Youth Are At Risk of Child Abuse and Neglect Due to Parental or
Caretaker Substance Abuse
Purpose: The purpose of this priority area is to provide family
preservation and support services to a specific target population:
abused or neglected children and youth or those at risk of abuse or
neglect due to parental or caretaker substance abuse. Further, these
service demonstrations will be developed in collaboration with the
State or Tribal agency responsible for the State or Tribal planning and
implementation of Family Preservation and Support Services so that they
may serve as pilot demonstrations that may be incorporated into the
broader service delivery system.
Such service demonstrations should build upon those innovative,
comprehensive, interdisciplinary service models developed under the
original Emergency Services Program solicitation in 1991. Those
programs emphasized two service priorities: Innovative, crisis
intervention and treatment services, and coordinated ancillary
services. Both of these strategies should be incorporated into the FY
94 applications. The original programs provided or coordinated an array
of services targeted to children, youth, and families, which alleviated
crisis situations created by parental substance abuse and child abuse,
and provided outreach to those at risk. These service programs also
sought to improve and expand the delivery of services to prevent
maltreatment and diminish the effects of abuse and neglect of children
by substance abusing caretakers. Emphasis was placed on outreach and
coordination of ancillary service strategies to facilitate the
treatment of substance abusers in households with children and youth.
Ancillary services, such as respite care, transportation, child care,
parenting education, and job counseling, frequently make the difference
in whether or not a substance abusing caregiver is able to take
advantage of available treatment.
Emphasis was also placed on meeting the unique needs of adolescents
who are frequently not a priority for child protective services. These
young people nonetheless suffer the effects of living in an environment
with a substance abusing parent or caretaker. They may have experienced
violence and disruption themselves or may have had to assume a parental
role in the family. A recent report from the National Governors
Association entitled Kids and Violence indicates that child abuse and
out of home placement are risk factors for violent behavior in children
and adolescents, and that comprehensive interventions must begin early.
The programs were designed to provide ongoing neighborhood-based,
barrier-free and ``user-friendly'' services, to support positive family
functioning, and recovery from substance abuse when necessary. They
were intended to connect families with a supportive service network
instead of engaging them in the usual child protective service and
court action process.
Since the epidemic of substance abuse in families has presented the
child welfare system with extraordinarily intense and complex
challenges, it is imperative that planning for this priority area
include State, Tribal, and local child welfare and social services
agencies who all have a role to play in meeting the multiple needs of
children and their families. It is important that entities applying for
funds under this announcement realize the importance of coordination
with youth service organizations, mental health agencies, family
services agencies, public health agencies, public educational
institutions, maternal and child health providers, and community-based
organizations that serve substance abusing parents (including pregnant
and post-partum females and their infants.)
The range of services provided under this priority area should
include a continuum of innovative, coordinated, interdisciplinary
services which respond to substance abuse-related child abuse and
neglect. The scope of services should include prevention, intervention,
and treatment, tailored to family needs. The services should promote
the development of a comprehensive, coordinated continuum of family
support and family preservation services which meet the needs of
children whose parents or caretakers are experiencing substance abuse
problems. The services may include coordination with the agency
providing permanency planning and the provision of ancillary services
to enhance permanency planning in cases in which one or more children
are already in foster care and other children may be at risk of
placement. Emphasis should be placed on building on the strengths of
existing systems to deliver an array of services which are more
responsive to the needs of the target population. Mechanisms to
directly serve the affected child/youth population on an emergency
basis must be developed. Applications must emphasize programs that are
structured to provide or be linked with other agencies to provide the
full range of coordinated, comprehensive, multi- disciplinary services
required. Such services might include assessment; direct and ancillary
services such as child care, transportation, and respite care; and
plans for the provision of effective follow-up services. Applicants
must also indicate how they plan to overcome current obstacles such as
waiting lists and multiple referrals for services. Children who are
identified as in need of emergency services should be able to receive
necessary care/treatment immediately. Also see the section of this
announcement entitled Agency and Statutory Background for a further
description of family support and family preservation services.
Minimum Requirements for Program Design: In order to successfully
compete under this priority area, the application should be responsive
to the requirements of this part and Section 107A(c) of the Act. (See
section III C. 1 of this announcement):
Provide for coordination with and involvement of the State
agency (or Tribal agency) responsible for the State planning and
implementation of the Family Preservation and Support Program (Title
IV-B of the Social Security Act, Subpart 2) with a description of how
this demonstration relates to the planning process and/or the
development of a statewide continuum of coordinated services. It is the
intent of these demonstrations to pilot innovative service models which
will inform State and/or Tribal policy in the provision of services to
families in which substance abuse places children at risk.
Documentation of this agency's participation must be provided in the
form of an interagency agreement or letter of commitment documenting
the joint effort to be undertaken, and how the Emergency Services
project will be incorporated into the state's broader service delivery
strategy. The addresses and telephone numbers of the State contacts for
the Family Support and Family Preservation Services Program may be
obtained from the Federal Regional Offices listed in Appendix 3.
Describe the services that are currently available in the
community to serve children, adolescents and their substance abusing
families; explain how those services are currently coordinated; and
demonstrate how the proposed project would augment and enhance current
services in creating a continuum of family support and family
preservation services and activities. If the application builds on a
program currently funded under the Emergency Services program, describe
the impact of the current project on the service delivery system and
how the proposed project will serve as a catalyst in further improving
the child welfare system in its family support and family preservation
programs. Projects funded under the FY 1991 announcement should
demonstrate how their third party evaluation was used to devise the
service delivery model proposed. Overall, the emphasis should be on the
comprehensive, coordinated and multi-disciplinary nature of the
services to be provided. That is, describe primary services now
available, such as intervention, outreach, drug counseling, housing
assistance, job counseling, legal assistance, medical care, and follow-
up, as well as ancillary services, such as child care and
transportation, and how they would be coordinated with other expanded
or new services.
Indicate how client outreach would be provided, the range
of prevention, intervention, and treatment that would be available for
various situations, and how the particular approach advocated by this
proposal is innovative relative to other approaches.
Provide for an active advisory committee which includes,
at a minimum, a child protective services agency, a mental health
services agency or an agency with a focus on alcohol and drug
treatment, a youth serving agency, a public health services agency, a
child advocacy group, public education, and parental or client
representation. Documentation of interagency participation must be
provided in the form of letters of commitment from represented agencies
or constituencies. An existing group may serve as the advisory
committee provided that it meets the purpose and requirements for
representation.
Clear statements of the project goals, the anticipated end
results, and how outcomes would be measured are required of all
applications. Applicants who are currently conducting service programs
under the Emergency Services Program and already collecting this data
are required to submit a plan for collecting and analyzing follow-up
data on their current participants during the 17 month period. These
costs are to be included in the project budget. It is suggested that
10% of the grant award be designated for evaluation and data collection
purposes. Any proposal with less than 10% budgeted for evaluation must
provide a special justification. Additionally, applicants should assure
participation in any national evaluation that ACYF may conduct.
Provide for an evaluation of the implementation,
effectiveness, and impact of the project, or individual service
components on the children and families served. Each applicant is
required to obtain an independent third party evaluation of the
project, and to submit with the application an evaluation plan that
clearly addresses the following areas and questions:
1. The project's successes and problems in implementing the service
delivery effort.
--Was the service program successfully implemented?
--Was the project, or components of the project, successful in
recruiting and maintaining targeted participants?
--What were the problems/obstacles in implementing program services?
This should include a discussion of start-up activities, staff
recruitment and qualifications, service design and approach, service
implementation, criteria for success and methods to measure each,
participant recruitment and characteristics, and feedback sources and
revisions. A description of problems encountered and procedures for
resolving problems relevant to each aspect of the project effort should
be included.
2. The effectiveness of the service effort.
--Did the service program bring about documented changes in the
knowledge, attitudes, and/or behavior of the participants with respect
to the service objectives?
3. The impact of the service effort.
--Did the service program result in a change in the policies or service
delivery systems of the agencies involved?
--Did the service demonstration have an impact on the agency,
organization, State, or Tribal planning and/or implementation of family
support and family preservation services in the community?
--Did the service demonstration integrate service delivery in the
community?
Document and describe how the project anticipates becoming
an ongoing part of the agency, organization, Tribe, or State's program
of family support and family preservation following the termination of
Federal funding and the steps the applicant would take to accomplish
this. Among these steps should be the program's representation and
expected impact on the planning process for family support and family
preservation services. Describe how this expected impact will promote
the development of a continuum of family support and family
preservation services which address substance abuse and child abuse and
neglect service needs, improve services to children and families, and
reduce duplication of effort.
Provide assurances that at least one key person from the
project would attend an annual three day grantees' meeting in
Washington, DC.
Project Duration: The length of the project must not exceed 17
months.
Federal Share of Project Costs: The maximum Federal share is
$500,000 for a 17 month budget period.
Matching Requirements: The minimum non-Federal matching requirement
is 20 percent of the total cost of the project. The total approved cost
of the project is the sum of the Federal share and non-Federal share.
Therefore, a project requesting $500,000 in Federal funds, must include
a match of at least $125,000 for a total project cost of $625,000 per
17 month budget period. This match constitutes 20 percent of the total
project cost (Federal + non-Federal share). The non-Federal matching
requirement may be met by cash or in-kind contributions, although
applicants are encouraged to meet their match requirements through cash
contributions.
Successful applicants who exceed the minimum non-Federal match in
their proposed budget will be required to provide the match amount
proposed.
Anticipated Number of Projects to be Funded: It is anticipated that
26 projects will be funded.
2. Coordinated Interdisciplinary Training Models on the Coexisting
Problems of Substance Abuse and Child Abuse and Their Impacts on and
Relationships to Family Support and Family Preservation Efforts
Purpose: The purpose of this priority area is to provide for the
development or expansion of interdisciplinary training models specific
to the co-existing problems of substance abuse and child abuse and
neglect, and to collaborate on the implementation of this training with
the State or Tribal child welfare agency which is responsible for
Family Preservation and Support Services. The training should target
current professionals and practitioners in disciplines serving abused
or neglected children. This priority area is intended to build upon the
knowledge and experience of those innovative, comprehensive,
interdisciplinary training models developed under the 1991
solicitation, by implementing training strategies that are statewide,
multi-state, or regional in nature and address the impact and
relationship of these problems to family support and family
preservation services.
At the time of the FY 91 announcement, it was recognized that when
children who have been severely neglected or abused as a result of
parental substance abuse come to the attention of child welfare
agencies, a number of pivotal decisions must be made. These decisions
range from delivery of specific services to out-of-home placement. From
the point of the initial report, the process entails assorted
disciplines (legal, social, health, mental health) and multiple service
providers. Effective communication among them is essential to provide
comprehensive care and to avoid fragmented or duplicate services. It
was also recognized that because of the urgency of the need for
personnel, many child welfare agencies and mental health/substance
abuse treatment facilities may hire staff with little or no training
specific to either child abuse and neglect and/or the relationship
between parental substance abuse and child abuse and neglect. In
addition, there is a need for qualified professionals from other
fields, such as law and psychology, who serve children and families to
become knowledgeable about issues related to substance abuse and child
abuse and neglect.
These conditions create two distinct but complementary training
needs: (a) Interdisciplinary, specialized training on substance abuse
and child abuse available to persons from a variety of fields working
with children; and (b) interdisciplinary in-service training which
provides specialized, immediately available information to child
welfare practitioners, particularly those providing services to
children of substance abusers or substance abusing parents who have or
who are at risk of abusing their children.
The training programs funded under the 1991 announcement have had a
far-reaching effect upon the professionals they trained. Among the
effects emerging is the development of interdisciplinary understanding
among professionals who previously did not understand one another's
roles or terminology. Other gains were increased knowledge of the
recovery process and the specific effects of certain drugs which can
affect a family child welfare treatment plan.
Many interdisciplinary training and education models already exist,
including the ones utilized by the FY 1991 grantees, that can be
adapted to provide the desired information about substance abuse as it
relates to child abuse and neglect, and about family support and family
preservation service models and concepts. It is suggested that
applicants, to the extent possible, incorporate currently available
resources to minimize the time and resources expended on curriculum
development and to maximize the number of professionals and para-
professionals who will benefit from the training effort during the
project period. Information regarding existing interdisciplinary
training programs can be obtained from the Clearinghouse on Child Abuse
and Neglect Information, P.O. Box 1182, Washington, DC 20013, (800)
394-3366; the National Resource Center for Family Support Programs, 200
Michigan Avenue, suite 1520, Chicago, Illinois 60604, (800) 341-9361;
and the National Resource Center on Family Based Services, room 112,
North Hall, University of Iowa, Iowa City, Iowa 52242, (319) 335-2200.
Existing curricula specific to child abuse and neglect could be
adapted to include: (a) Community responses for providing services for
substance abusing care providers; (b) community overviews of public
health problems as they relate to substance abusing parents, including
pregnant women; (c) physiological aspects of substances as they relate
to child abuse and neglect; (d) effects of prenatal substance use on
newborns; (e) strategies for working with drug exposed and drug
affected infants, older children, and adolescents; (f) risk assessment
training for identifying and intervening with substance abusing parents
and other family members; (g) strategies for working with substance
abusing adults/parents; (h) impacts of substance abuse and child abuse
on family support and family preservation programs; (i) strategies for
addressing substance abuse issues in families and the related supports
for children when developing family support and family preservation
case plans. Training may be developed by contract, or may be jointly
developed by individual agencies.
Minimum Requirements for Program Design: In order to successfully
compete under this priority area, the application should be responsive
to the requirements of this part and Section 107A(c) of the Act. (See
section III C. 1 of this announcement):
Indicate the type of training that would be targeted by
the project (i.e., statewide, multi-state, or regional) and the network
through which the training would be offered.
Identify the lead agency or educational entity and other
responsible entities that would be involved in the proposed project.
Training development should involve, at a minimum, input from the
medical, legal, social work, and mental health disciplines in
coordination with local drug and alcohol counseling, youth shelter and
public health service providers. If the application builds on a program
currently funded under the Emergency Services program, describe how the
evaluation of the current project will be utilized to improve training
strategies and how the target population will be expanded under the new
program. Documentation of interdisciplinary participation must be
provided: e.g., copies of existing agreements or letters of commitment
indicating the level, duration, and type of participation that would be
provided.
Provide for coordination with and involvement of the State
or Tribal agency responsible for the State planning and implementation
of Family Preservation and Support Services (Title IV-B of the Social
Security Act, Subpart 2) with a description of how this demonstration
relates to the planning process and/or the development of a statewide
continuum of coordinated services. It is the intent of these
demonstrations to pilot innovative training models which will inform
State and/or Tribal policy in the training of professionals who provide
family preservation and support services to families in which substance
abuse places children at risk. Documentation of the State agency's
participation must be provided in the form of an interagency agreement
or letter of commitment documenting the joint effort to be undertaken.
Describe how the proposed project would enhance or expand
training that is already available for professionals on the problems of
substance abuse and child abuse and neglect, and how they interrelate
with the provision of comprehensive family preservation and support
services. Describe the population to which the training would be
directed. Describe the plan for targeting and recruiting training
participants. Describe the criteria for selecting the targeted
population.
Describe the type of training that would be provided, type
of staff or trainers to be used, the curriculum that would be used, the
length of training, and the number of persons expected to benefit from
the training during the life of the project. If the proposal builds
upon a currently funded Emergency Services project, discuss the impact
of the project, how the proposed effort expands upon it, and how it
relates to the implementation of family support and family preservation
services.
Clear statements of the project goals, the anticipated end
results, and how outcomes would be measured are required of all
applications. The costs of this evaluation are to be included in the
project budget. It is suggested that 10% of the grant award be
designated for evaluation purposes. Additionally, applicants should
assure participation in any national evaluation that ACYF may conduct.
Provide for an evaluation of the implementation,
effectiveness, and impact of the project. Each applicant is required to
obtain an independent third party evaluation of the project, and to
submit with the application, an evaluation plan that clearly addresses
the following areas and questions:
1. The project's success in implementing the training effort.
--Was the training successfully implemented?
--Was the project successful in recruiting and maintaining targeted
participants?
--What were the obstacles/problems in implementing the training?
This should include a discussion of start-up activities, staff
recruitment and qualifications, training design and approach, training
implementation, criteria for success and methods to measure each,
participant recruitment and characteristics, and feedback sources and
revisions. A description of problems encountered and procedures for
resolving problems relevant to each aspect of the training effort
should be included.
2. The effectiveness of the training effort.
--Did the training effort bring about a change in the knowledge,
attitudes, and/or behavior of the participants with respect to the
training objectives?
3. The impact of the training effort.
--Did the training result in a change in the on-the-job activities of
participants?
--Did the training change the way participants view their agency's role
in the community?
Document and describe how the project would become an
ongoing part of the agency, organization, tribe, or State's program of
family support and family preservation following the termination of
Federal funding and the steps the applicant would take to accomplish
this. Among these steps should be the project's representation and
expected impact on the planning process for family support and family
preservation services.
Provide assurances that at least one key person from the
project would attend an annual three day grantees' meeting in
Washington, D.C.
Project Duration: The length of the projects must not exceed 17
months.
Federal Share of Project Costs: The maximum Federal share is
$200,000 for a 17 month budget period.
Matching Requirements: None
Anticipated Number of Projects To Be Funded: It is anticipated that
10 projects will be funded.
III. General Information and Requirements for the Application Process
and Review
This part contains information and instructions for submitting
applications in response to this announcement. Application forms are
provided at the end of this section, along with a checklist for
assembling the application package.
A. General Information
1. Review Process and Funding Decisions
Applications will be reviewed and scored competitively against the
published evaluation criteria (see III D of this section) by experts in
the field, generally persons from outside of the Federal government.
The results of this review are a primary factor in making funding
decisions. The Administration on Children, Youth, and Families (ACYF)
reserves the option of discussing applications with, or referring them
to, other Federal or non-Federal funding sources when this is
determined to be in the best interest of the Federal government or the
applicant. ACYF may also solicit comments from other Federal agencies,
Central and Regional Office staff, interested foundations, national
organizations, specialists, experts, States and the general public.
These comments, along with those of the expert reviewers, will be
considered by the Commissioner, Administration on Children, Youth and
Families in making funding decisions.
2. Required Notification of the State Single Point of Contact
All applications for research or demonstration projects submitted
to NCCAN are covered under Executive Order (E.O.) 12372,
Intergovernmental Review of Federal Programs, and title 45 Code of
Federal Regulations (CFR) part 100, Intergovernmental Review of
Department of Health and Human Services Programs and Activities. Under
the Order, States may design their own processes for reviewing and
commenting on proposed Federal assistance under covered programs.
Therefore, the applicant should contact his or her State Single Point
of Contact (SPOC) directly to determine what materials, if any, the
SPOC requires. Contact information for each State's SPOC is found at
the end of this Part.
All States and territories, except Alabama, Alaska, Connecticut,
Hawaii, Idaho, Kansas, Louisiana, Minnesota, Montana, Nebraska,
Oklahoma, Pennsylvania, Oregon, Virginia, Washington, American Samoa
and Palau, have elected to participate in the Executive Order process
and have established a State Single Point of Contact (SPOC). Applicants
from these 17 jurisdictions need take no action regarding E.O. 12372.
Applications for projects to be administered by federally recognized
Indian Tribes are also exempt from the requirements of E.O. 12372.
It is imperative that the applicant submit all required materials
to the SPOC as soon as possible and indicate the date of this submittal
(or the date of contact, if no submittal is required) on the Standard
Form (SF) 424, item 16a. Under 45 CFR 100.8(a)(2), SPOCs have 60 days
from the grant application deadline to comment on applications for
financial assistance under this program. These comments are reviewed as
part of the award process. Failure to notify the SPOC can result in a
delay in grant award.
The 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. It is helpful in tracking SPOC
comments if the SPOC will clearly indicate the applicant organization
as it appears on the application SF 424. When comments are submitted
directly to ACF, they should be addressed to the application mailing
address located in the front section of this announcement. A list of
Single Points of Contact for each State and territory is included in
Appendix 5 of this announcement.
3. Paperwork Reduction Act of 1980
Under the Paperwork Reduction Act of 1980, Public Law 96-511, the
Department is required to submit to the Office of Management and Budget
for review and approval any information collection involving 10 or more
respondents.
B. Application Screening Criteria
Applications must meet the following screening requirements or they
will not be considered in the current competition; these requirements
will be rigorously enforced:
1. Eligible Applicants
(a) Any State or local agencies that are responsible for
administering child abuse or related child abuse intervention services;
and (b) community and mental health agencies and nonprofit youth-
serving organizations with experience in providing child abuse
prevention services.
In cases where applications have been reviewed and evaluated and
are determined to be qualitatively of equal strength, priority
consideration will be given to those entities funded in 1991 under
Program Announcement No. 93554.911, published in the Federal Register
on July 11, 1991, (56 FR 31782), entitled Emergency Child Abuse and
Neglect Prevention Services Program: Availability of Funds and Request
for Applications; Notice.
Applications may be submitted under more than one priority area;
however, a separate application must be submitted for each priority
area.
2. Deadline for Submittal of Applications
The closing date for submittal of applications is on July 18, 1994.
(a) Deadlines. Applications shall be considered as meeting the
deadline if they are either: (1) Received on or before the deadline
date at the address specified above; or (2) postmarked on or before the
deadline date and received by ACF in time to be considered during the
competitive review and evaluation process under chapter 1-62 of the
Health and Human Services Grants Administration Manual. (Applicants are
cautioned to request a legibly dated U.S. Postal Service postmark or to
obtain a legibly dated receipt from a commercial carrier or the U.S.
Postal Service. Private metered postmarks shall not be acceptable as
proof of timely mailing.)
(b) Late applications. Applications which do not meet the criteria
in the above paragraphs are considered late applications. The granting
agency shall notify each late applicant that its application will not
be considered in the current competition.
(c) Extension of deadlines. The Administration for Children and
Families (ACF) may extend the deadline for all applicants because of
acts of God such as floods, hurricanes, etc., or when there is
widespread disruption of the mails. However, if ACF does not extend the
deadline for all applicants, it may not waive or extend the deadline
for any applicant.
C. Application Requirements
1. Responsiveness to Funding Priorities
The application must be responsive to the priority area under which
it is being submitted. The applicant must identify the priority area at
the top of page one of the SF 424. In order to be considered
responsive, the application must address each of the minimum
requirements for an application specified in the priority area
description and must contain the following information as specified in
section 107A of the Child Abuse Prevention and Treatment Act:
(a) an assurance that the applicant operates in a geographic
area where child abuse and neglect related to parental substance
abuse has placed substantial strains on State and local agencies and
has resulted in substantial increases in the need for services and/
or training that cannot be met without funds available under this
announcement (citing existing sources of data to the extent
possible);
(b) identify the responsible agency or agencies that will be
involved in the use of funds provided under this announcement;
(c) a description of emergency situations with regard to
children of substance abusers who need services of the type
described in this announcement;
(d) a plan for improving the delivery of such services to
children; and
(e) assurances that such services or training will be provided
in a comprehensive, multi-disciplinary and coordinated manner.
2. Application Form
The applicant must reproduce single-sided copies of the SF 424
(revised 1988).
3. Copies Required
Applicants must submit an original and two copies of the complete
application prepared in accordance with the instructions provided. A
complete application includes: the completed SF 424, a summary
description of the proposed project, required certifications/
assurances, and the program narrative. The full application package is
described in III H below.
4. Signature
The signature of the Certifying Representative must be handwritten
(preferably in black ink) and the signer's name and title must be typed
in Item 18a on the original SF 424.
5. Length
All narrative sections of the application must meet the format
specifications. Although no page limit has been established, applicants
should seriously consider the information provided in the introduction
to Part II, and provide narratives that are succinct, responsive to the
priority area requirements, and are within the general recommended
length requirements as specified in the instructions later in this
part.
D. Evaluation Criteria
The Program Narrative Statement of the application should
correspond to the evaluation criteria. The description of the four
criteria below should be used as headings in developing the program
narrative.
Applications will be reviewed by a panel of at least three
individuals. These reviewers will comment on and score the
applications, basing their comments and scoring decisions on the
criteria below.
1. Objectives and Need for Assistance (25 Points)
The extent to which the applicant clearly states principal
objectives and expected outcomes of the project which reflect an
understanding of the priority area issues; and indicates an awareness
of related services available in the community and how those services
will be used in relation to the proposed project. Describe the specific
need for the project in terms of its significance for the incorporation
of substance abuse and child abuse and neglect services into the State
or Tribal implementation of family preservation and support services.
Describe the problem within the context of the services now available
and services unavailable in the community. State the services objective
of the project and, where applicable, give a precise location of the
projects or area(s) to be served by the project. Discuss the state-of-
the-art relative to the problem of substance abuse as it relates to
child abuse and neglect, and their impact on family support and family
preservation services, including a list of any relevant published work
by the author(s) of the proposal.
2. Results or Benefits Expected (15 Points)
The extent to which the applicant identifies and describes
realistic and measurable service delivery components, results and
benefits, consistent with the specific goals and objectives of the
proposal; the manner in which actual results and benefits to be derived
by the project would be objectively measured and substantiated to
determine if objectives are met; and there are clearly stated, and
significant anticipated contributions to services and practice in the
implementation of Family Support and Family Preservation Services in
the community, Tribe, or State.
Describe the population or populations to be targeted and the
number of persons in that population expected to benefit. Indicate the
reason for targeting that particular population, e.g., previous
regional assessments, surveys, or other existing data. Describe the
specific benefits to the targeted population. Describe the anticipated
impact on the State planning process for Family Support and Family
Preservation Services.
3. Approach (40 Points)
The extent to which the application outlines a sound and workable
plan of action pertaining to the scope of the project and details how
the proposed work will be accomplished; presents a clear conceptual
understanding of prevention, intervention, and treatment approaches as
they relate to the coexisting problems of substance abuse and child
abuse and neglect; relates the specific service needs of the target
population (children who have been or are at risk of child abuse and
neglect due to parental or caretaker substance abuse and their
families) to family support and family preservation efforts; cites
factors which might accelerate or delay the work and gives acceptable
reasons for taking this approach as opposed to others; describes and
supports any unusual features of the project, such as design or
technological innovations, use of automated management and information
systems, reductions in cost or time, or extraordinary social and
community involvements; provides projections of the accomplishments to
be achieved; and presents an evaluation plan which clearly addresses
the evaluation questions contained in the priority area description,
including proposed measures to be used. The application lists the
activities to be carried out in chronological order and shows a
reasonable schedule of accomplishments and target dates. It relates
each aspect of the workplan to the specific evaluation objectives;
i.e., identifies the kind of data to be collected and maintained
relevant to goals and objectives to be evaluated; discusses the
criteria to be used to evaluate the results and impact of the project,
both at the program level and at the individual child and family
levels. The application explains the methodology that will be used to
determine if the needs that have been identified and discussed are met,
and the expected results and benefits are achieved. The application
also lists each organization, agency, consultant, or other key
individuals or groups with whom work on the project will be
coordinated, and describes the nature of the interaction and the
benefits expected to be derived from the proposed coordination of
programs and activities.
4. Staff Background and Organization's Experience (20 Points)
The extent to which the resumes of the program director and key
project staff (including names, addresses, training, background and
other qualifying experience) and the organization's experience
demonstrate the ability to administer effectively and efficiently a
project of this size, complexity and scope and reflect the ability to
use and coordinate activities with other agencies for the delivery of
comprehensive support services. The extent to which the agency is in
the position to inform policy related to the implementation of Family
Preservation and Support Services, and the involvement of the agency or
agency representatives in the Family Support and Family Preservation
planning process. The application describes the relationship between
this project and other work planned, anticipated or underway under
Federal assistance
Describe the background experience, training and qualifications of
the key staff and consultants, including any experiences working on
child abuse and neglect, programs or services related to substance
abuse, and/or family support and family preservation programs
(curriculum vitae or resumes must be included with the application.)
Describe the adequacy of available resources and organizational
experience related to the tasks of the proposed project. An
organizational capability statement must be included with the
application. Describe any collaborative efforts with other
organizations including the nature of their contribution to the
project. Interagency agreements or letters indicating the type, extent
and duration of commitment must be included with the application.
Describe the staffing pattern for the proposed project, listing key
staff and consultants, their responsibilities in conjunction with this
project and the time they will be committing to the project.
Identify the authors of the application, by section, and their role
in the proposed project.
E. The Components of the Application
A complete application consists of the following in this order:
1. Application Face Sheet, SF 424, page 1.
2. Budget Non-Construction, SF 424A, Budget Information: Section A
(Budget Summary), Section B (Budget Categories), and Section E (Budget
Estimates of Federal Funds Needed for Balance of the Project);
3. Budget justification (approximately three pages);
4. Project summary description with listing of key words
(approximately 1 page);
5. Program Narrative (approximately 40 double-spaced pages is
suggested as a reasonable length), organized with sections addressing
the following four areas: (1) Objectives and Need for Assistance; (2)
Results or Benefits Expected; (3) Approach; and (4) Staff Background
and Experience;
6. Organizational capability statement;
7. Letters of commitment;
8. SF 424B Assurances-Non Construction, Debarment, and Drug Free
Workplace; Certification Regarding Lobbying; and
9. Appendices/attachments, may include a bibliography
(approximately two pages single-spaced); resumes or curriculum vitae
(approximately two pages each); and evaluation instruments/measures.
F. Preparing the Application
1. Availability of Forms
Agencies and organizations interested in applying for grant funds
should submit an application(s) on the Standard Form 424 (revised April
1988) which is included in this announcement.
Each application must be executed by an individual authorized to
act on behalf of the applicant agency and to assume responsibility for
the obligations imposed by the terms and conditions of the grant award.
Applications must be prepared in accordance with the guidance provided
in this announcement and the instructions in the attached application
package.
2. Application Submission and Notification
Applications may be mailed to theDepartment of Health and Human
Services, Administration for Children and Families, Division of
Discretionary Grants, 370 L'Enfant Promenade SW., 6th Floor OFM/DDG,
Washington, DC 20447, Attention: Maiso Bryant.
Hand delivered applications are accepted during the normal working
hours of 8 a.m. to 4:30 p.m., Monday through Friday, on or prior to the
established closing date at: Administration for Children and Families,
Division of Discretionary Grants, 6th Floor OFM/DDG, 901 D Street SW.,
Washington DC 20447, Attention: Maiso Bryant.
The program announcement number, 93554.942, must be clearly
identified on the application.
Successful applicants will be notified through a Notice of
Financial Assistance Awarded. The award will state the amount of
Federal funds awarded, the purpose of the grant, the terms and
conditions of the award, the effective date of the grant, the total
project period, the budget period and the amount of the non-Federal
matching share. Unsuccessful applicants will be notified by letter.
3. Program Narrative
The Program Narrative is a very important part of the application.
It should be clear, concise and specific to the priority area being
addressed as described in Part II. The narrative should provide
information on how the application meets the evaluation criteria. This
narrative should be no less than 6 double-spaced pages and up to
approximately 40 double-spaced pages. It should be typed on a single-
side of 8\1/2\'' by 11'' plain white paper with 1'' margins on both
sides. All pages of the narrative (including charts, tables, maps,
exhibits, etc.) must be sequentially numbered, beginning with
``Objectives and Need for Assistance'' as page one. Applicants should
not submit reproductions of larger size paper reduced to meet the size
requirement.
Applicants are required to follow the format described below in
preparing their applications, using the four headings for the sections
of the narrative. However, the number of specific pages for each
section is given as a suggestion only. The specific information to be
included under each heading was discussed previously under the
``Evaluation Criteria.''
The four sections are:
(1) Objectives and Need for Assistance (nine pages double-spaced);
(2) Results or Benefits Expected (three pages double-spaced);
(3) Approach (twenty pages double-spaced);
(4) Staff Background and Experience (eight pages double-spaced).
4. Organizational Capability Statement
Applicants should provide a brief (approximately two pages double-
spaced) background description of how the applicant is organized and
the types and quantities of services it provides or the research
capabilities it possesses. This statement may also include descriptions
of current work, descriptions of relevant past experience as well as
the competence of the project team and its demonstrated ability to
produce a final product that is comprehensive and usable.
5. Assurances and Certifications
Applicants must file a standard form 424B, Assurances-Non-
Construction Programs, and Certifications Regarding Lobbying. Both must
be signed and returned with the application. In addition, applicants
must provide certification regarding: (1) Drug-Free Workplace
Requirements; and (2) Debarment and Other Responsibilities. These two
certifications are self-explanatory.
Copies of these 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 Workplace Requirements and the Debarment and Other
Responsibilities certifications.
G. The Application Package
To expedite the processing of applications, each applicant is
requested to adhere to the following instructions. Each application
package must include:
1. A copy of the Checklist for a Complete Application with all the
items checked as being included in the application.
2. An original and two copies of the complete application. Each
copy should be stapled securely (front and back if necessary) in the
upper left corner. All pages of the narrative (including charts,
tables, maps, exhibits, etc.) must be sequentially numbered, beginning
with ``Objectives and Need for Assistance as page one. To facilitate
handling, please do not use covers, binders, tabs or include extraneous
materials such as agency promotion brochures, slide, tapes, film clips,
minutes of meetings or articles of incorporation.
Do not include a self-addressed, stamped acknowledgment card. All
applicants will be automatically notified of the receipt of, and the
four digit identification number assigned to, their application. This
number and priority area must be referred to in all subsequent
communication with ACF concerning the application. After an
identification number is assigned and the applicant has been notified
of the number, applications are filed numerically by identification
number to aid in quick retrieval. It will not be possible for ACF staff
to provide a timely response to inquiries about a specific application
unless the identification number and the priority area are given.
Applicants should be advised that ACF staff cannot release information
about the status of any application prior to the time funding decisions
are made. Once a decision is reached, the applicant will be notified as
soon as possible of the acceptance or rejection of the application.
H. Checklist for a Complete Application
The Checklist below should be typed on 8\1/2\'' by 11'' plain white
paper, completed and included in the application package.
Checklist
I have checked my application package to ensure that it includes
the following:
__________Checklist for a Complete Application;
__________One original application signed in black ink and dated plus
two copies;
__________A complete SPOC certification with the date of SPOC contact
entered in item 16 page 1 on the SF 424;
__________Each package contains the application (original and two
copies) for one priority area.
The original and both copies of the application include the
following:
__________SF 424, page 1, Application Face Sheet;
__________SF 424A;
__________Budget justification;
__________Summary description and key words;
__________Program narrative;
__________Organizational Capability Statement;
__________Interagency agreements; Letters of commitment;
__________Certification Regarding Lobbying;
__________SF 424B Assurances
__________Appendices/attachments.
(Federal Catalog of Domestic Assistance Program Number 93.554 Child
Abuse and Neglect Prevention and Treatment).
Dated: April 13, 1994.
Olivia A. Golden,
Commissioner, Administration on Children, Youth and Families.
BILLING CODE 4184-01-P
TN02MY94.000
BILLING CODE 4184-01-C
Subject: Implementation of New Legislation: Family Preservation and
Support Services, Title IV-B, Subpart 2.
Purpose: The purpose of this Program Instruction is to provide
information on the Fiscal Year (FY) 1994 application requirements and
guidance for developing the FY 1995 five-year State Plan for Family
Preservation and Support Services. A separate Program Instruction will
be issued for grants to Indian Tribes.
Legal and Related References: Title IV-B of the Social Security Act,
Subpart 2, Family Preservation and Support Services; Omnibus Budget
Reconciliation Act of 1993 (P.L. 103-66); 45 CFR Part 92.
Public reporting burden for this collection of information is
estimated to average 144 hours per response, including the time for
reviewing the instructions, searching existing data sources, gathering
and maintaining the data needed, and completing and reviewing the
collection of information. Send comments regarding this burden estimate
or any other aspect of this collection of information, including
suggestions for reducing this burden, to: Reports Clearance Officer,
Administration for Children and families, Department of Health and
Human Services, 370 L'Enfant Promenade SW., Washington, DC 20447; and
to: Office of Management and Budget, Paperwork Reduction Project, OMB
control number 0980-0258 (new request), Washington, D.C. 20503.
Overview
This new legislation aims to promote family strength and
stability, enhance parental functioning, and protect children through
funding a capped entitlement to States to provide family support and
family preservation services, which the law defines broadly.
There is widespread consensus in the child and family policy
community that these new dollars, although relatively small, can best
be used strategically and creatively to stimulate and encourage broader
system reform which is already under way in many States and
communities.
The FY 1994 appropriation for this program is $60 million. Of this
amount, $2 million is reserved for Federal evaluation, research, and
training and technical assistance; $600,000 is reserved for grants to
Indian Tribes. The balance is available for grants to States to fund
planning and services for family support and family preservation.
For FY 1995, the authorization increases to $150 million. Of this
amount, $6 million is reserved for Federal evaluation, research, and
training and technical assistance; $1.5 million is reserved for grants
to Indian Tribes. A new program of grants to State courts will be
initiated at a funding level of $5 million. (Information on this
program will be forthcoming.) The balance is available for grants to
States for services.
Attachment A lists FY 1994 State allotments and estimated
allotments for FYs 1995-98 based on the statutory formula. Attachment B
contains a copy of the statute and an excerpt from the Conference
Report regarding the definition of family support services.
This Program Instruction is divided into five parts.
Part I is an introductory section which contains our
vision for this new legislation and background information on family
support and family preservation services.
Part II is a discussion of family support and family
preservation services and guiding principles for these services.
Part III is a discussion of planning activities essential
to the development of a five-year State Plan for services beginning in
FY 1995, including consultation, coordination, data collection, and
joint planning.
Part IV contains a brief outline of major provisions of
the statute and additional fiscal and administrative information.
Part V contains instructions for preparing the FY 1994
application for planning funds and for services funds.
Submittals
The FY 1994 Application
We encourage States to submit the FY 1994 application to the
appropriate Regional Office as soon as possible and no later than June
30, 1994.
The FY 1995 State Plan
We encourage States to submit the five-year FY 1995-99 State Plan
as soon as possible after completing the planning process and no later
than June 30, 1995.
Part I: Introduction
A. Background
Enactment of a new Subpart 2 to title IV-B of the Social Security
Act is the first major change in this title since the amendments made
by Public Law 96-272, the Adoption Assistance and Child Welfare Act of
1980.
The goals of that legislation were to:
Prevent the unnecessary separation of children from their
families;
Improve the quality of care and services to children and
their families; and
Ensure permanency for children through reunification with
parents, through adoption, or through another permanent living
arrangement.
These goals have not been fully realized. A wide variety of reasons
have been suggested by researchers and practitioners, including:
Social, cultural, and economic changes (increases in
substance abuse, community violence, poverty, and homelessness, for
example), which have affected the number of families coming to the
attention of child welfare agencies and the severity of their problems;
Rising rates of child abuse and neglect reports,
particularly for child sexual abuse;
A child welfare system unable to keep up with these
increased demands, given constrained resources, high caseloads, and
overburdened workers;
Services planning that focuses most resources on crisis
intervention and too few on prevention;
Lack of services that fit the real needs of families; and
The isolation of the child welfare services system from
other services needed by vulnerable families, such as housing,
employment, and substance abuse services.
In response, Congress has passed, and the President has signed,
legislation that will provide States with new Federal dollars for
preventive services (family support services) and services to families
at risk or in crisis (family preservation services).
In addition to providing funds for expanding services, the new
program offers States an extraordinary opportunity to assess and make
changes in State and local service delivery in child welfare, broadly
defined. The purpose of these changes is to achieve improved well-being
for vulnerable children and their families, particularly those
experiencing or at risk for abuse and neglect. Because the multiple
needs of these vulnerable children and families cannot be addressed
adequately through categorical programs and fragmented service delivery
systems, we encourage States to use the new program as a catalyst for
establishing a continuum of coordinated and integrated, culturally
relevant, family-focused services for children and families.
Among the elements that would ideally be part of the continuum,
depending on family needs, are family support and family preservation
services; child welfare services, including child abuse and neglect
preventive and treatment services and foster care; services to support
reunification, adoption, kinship care, independent living, or other
permanent living arrangements; and linkages to services that meet other
needs, such as housing, employment, and health.
In passing this legislation, Congress recognized that new funding
alone would not be sufficient to meet the goals of the legislation and
Public Law 96-272. Because new or expanded services are just one
element needed to improve the child welfare system, many States and
communities may choose to carry out major changes in the ways services
are delivered and in the systems that deliver them, in order to ensure
that services are part of a comprehensive, coordinated service delivery
system that draws heavily on community-based programs in its design and
implementation.
Therefore, we expect that a major goal of the planning process will
be to examine the changes that are needed in each State to make
delivery of services more responsive to the needs of individuals and
communities and more sensitive to the context in which they are to be
delivered.
It is our strong expectation that States will take advantage of
this opportunity to move the child welfare service system in these
directions, leading to a more coordinated, flexible system, built on
and linked to existing community services and supports, and able to
serve children and their families in a more effective way.
B. Development of Family Preservation and Support Services
Family support and family preservation services are not new. They
date back to the turn of the century, e.g., Hull House and the
settlement house movement. Recently, however, there has been increased
interest in such programs.
Over the last several years, State and local governments,
foundations, national organizations, and non-profit agencies have begun
to develop and implement family support and family preservation
programs; push for change in child welfare programs, including reform
of State laws and policies to support family-centered practice; and
experiment with changing the way child welfare services are organized
and delivered, including strengthening linkages with other agencies and
resources and moving toward greater community direction and control of
services.
A few examples of such efforts include the American Public Welfare
Association's policy on Commitment to Change, the decategorization of
funding and collaborative planning efforts in a number of States, the
Children's Trust Funds and Children's Cabinets, the Pew Foundation's
Children's Initiative and support for demonstrations of improved
planning and child welfare service delivery from the Edna McConnell
Clark Foundation and the Annie E. Casey Foundation. Specific program
models include the Homebuilders and the Families First programs, the
Healthy Families America initiative, and hundreds of community-based
family support programs nationwide including both family resource
centers and home-based models, such as Parents as Teachers, and the
Home Instruction Program for Preschool Youngsters (HIPPY).
Several Federal programs or initiatives also have focused on
prevention, family-centered practice, and a community-based approach.
Some examples include the Head Start Bureau's Family Service and Family
Support Projects, and Parent and Child Centers; the national
Comprehensive Child Development Program demonstration; the National
Center on Child Abuse and Neglect's State community-based prevention
grants associated with Children's Trust Funds; the Family Support
Resource Center and the Family Based Services Resource Center funded by
the Children's Bureau; the Family and Youth Services Bureau's Family
Resource and Support program; the Public Health Services' (PHS) Healthy
Start program; the Office of Community Services' Family Support Centers
(homeless families demonstration); the Department of Housing and Urban
Development's (HUD) Family Self-Sufficiency demonstration program; and
the PHS Child and Adolescent Services System Program (CASSP), a
planning model for coordinated mental health services now implemented
in all States.
We have compiled in Attachment C reference information on family
support and family preservation resources, programs and options;
information on collaborative planning and needs assessment; and a
summary of two recent Federal programs that States and communities
should consider as they develop the family support and family
preservation five-year plan: the community empowerment funds under the
social services block grant and the HUD Family Unification Program.
As one part of our implementation of this new legislation, we have
convened a series of focus groups in both the Central and Regional
Offices with family support and family preservation program directors,
practitioners, and experts; State, county, and city child welfare
administrators; State and local agencies with experience in providing
such programs; representatives of Indian Tribes and regional and
national Tribal organizations; national advocacy, interest group, and
professional organizations; representatives of national organizations
representing Governors, State legislators, and counties; and parents,
foster parents, and consumers of child welfare services. In addition,
we have met with or received written materials and recommendations from
a number of other experts and practitioners in the field. The
suggestions, guidance, and information we have received through this
process have been invaluable to us in the development of this Program
Instruction.
Further, in an effort to improve Federal collaboration and
coordination, we have met with staff of other Federal programs (both
within and outside the Department) to obtain current information on new
programs and explore ways to consolidate and maximize resources.
We are actively collaborating on FY 1994 discretionary grant
announcements with the Health Resources and Services Administration
(HRSA) and the Substance Abuse and Mental Health Administration
(SAMHSA) in the Public Health Service. For example, in an effort to
strengthen coordination at the State and local level, HRSA's
discretionary grant announcement for a new program, ``Home Visiting for
At-Risk Families,'' will require that the application must be developed
collaboratively by representatives of the State agency administering
title IV-B (Child and Family Services) and title V (Maternal and Child
Health). Information on the Home Visiting Announcement may be obtained
by calling Geraldine J. Norris at 301-443-6600.
Also, in the interest of coordinating service efforts at the State
and local level, we have been working with SAMHSA which will be
publishing a discretionary grant announcement early in FY 1994. The
announcement will be for the development of community-based systems of
care for children and adolescents who are experiencing a serious
emotional disturbance and their families.
In reviewing applications for these discretionary grants, one of
the criteria that the Center for Mental Health Services, SAMHSA, will
take into account is the degree to which the applicant has included
children's mental health services in its comprehensive planning for
coordinated services under the Family Preservation and Support Services
program.
Part II: Family Preservation and Family Support Services and Principles
The literature on professional practice and the discussion at the
focus groups reflected general agreement on the goals for family
support and family preservation services. These services should be
directed towards:
Enhancing parents' ability to create stable and nurturing
home environments that promote healthy child development;
Assisting children and families to resolve crises, connect
with necessary and appropriate services, and remain safely together in
their homes; and
Avoiding unnecessary out-of-home placement of children,
and helping children already in out-of-home care to be returned to and
be maintained with their families or in another planned, permanent
living arrangement.
Family support services are primarily community-based preventive
activities designed to alleviate stress and promote parental
competencies and behaviors that will increase the ability of families
to successfully nurture their children; enable families to use other
resources and opportunities available in the community; and create
supportive networks to enhance child-rearing abilities of parents and
help compensate for the increased social isolation and vulnerability of
families.
Examples of community-based services and activities include respite
care for parents and other caregivers; early developmental screening of
children to assess the needs of these children and assistance in
obtaining specific services to meet their needs; mentoring, tutoring,
and health education for youth; and a range of center-based activities
(informal interactions in drop-in centers, parent support groups) and
home visiting activities. (See Section 431 of the statute and the
Conference Report language in Attachment B.)
Family preservation services typically are services designed to
help families alleviate crises that might lead to out of home placement
of children; maintain the safety of children in their own homes;
support families preparing to reunify or adopt; and assist families in
obtaining services and other supports necessary to address their
multiple needs in a culturally sensitive manner. (If a child cannot be
protected from harm without placement or the family does not have
adequate strengths on which to build, family preservation services are
not appropriate).
Examples of family preservation activities and services, include
intensive preplacement preventive services; respite care for parents
and other caregivers (including foster parents); services to improve
parenting skills and support child development; follow-up services to
support adopting and reunifying families; services for youth and
families at risk or in crisis; and intervention and advocacy services
for victims of domestic violence. (Section 431 of the statute.)
Currently, a number of program models, approaches, and levels of
family preservation services are in operation. In this Program
Instruction the term ``family preservation'' is used to include all
such service options. ACF does not plan to require and does not endorse
any specific program model for implementation. However, in joint
planning activities with Federal staff, States will have an opportunity
to discuss the basis for their selection of program models, the
operation of specific service designs and options, and sources for
additional information on high quality program approaches and models.
Some activities such as respite care, home visiting, and assistance in
obtaining services may be considered either a family support or a
family preservation service.
Families and Children
The statute clarifies that, in providing services, ``families'' may
include biological, adoptive, foster, and extended families. The term
``children'' includes youth and adolescents.
Statewideness
We recommend that States consider: (1) targeting services in areas
of greatest need; and (2) targeting services to support cross-cutting
community-based strategies. Such strategies have the potential to draw
on multiple funding streams to bring a critical mass of resources to
bear in high-need communities.
There is no requirement that services must be statewide by a
specific date, although States are encouraged to move in that direction
as they set goals in their State Plans.
Guiding Principles
Both family support and family preservation services are based on a
common set of principles or characteristics which help assure their
responsiveness and effectiveness for children and their families. Focus
group participants frequently pointed out that, while various models of
services or programs are available for communities and States to
consider, it is an approach based on these principles that should
provide an organizing framework for State planning.
Among the shared principles most often identified by practitioners
are:
The welfare and safety of children and of all family
members must be maintained while strengthening and preserving the
family whenever possible. Supporting families is seen as the best way
of promoting children's healthy development.
Services are focused on the family as a whole; family
strengths are identified, enhanced, and respected, as opposed to a
focus on family deficits or dysfunctions; and service providers work
with families as partners in identifying and meeting individual and
family needs.
Services are easily accessible (often delivered in the
home or in community-based settings, convenient to parents' schedules),
and are delivered in a manner that respects cultural and community
differences.
Services are flexible and responsive to real family needs.
Linkage to a wide variety of supports and services outside the child
welfare system (e.g., housing, substance abuse treatment, mental
health, health, job training, child care) are generally crucial to
meeting families' and children's needs.
Services are community-based and involve community
organizations and residents (including parents) in their design and
delivery.
Services are intensive enough to meet family needs and
keep children safe. The level of intensity needed to achieve these
goals may vary greatly between preventive (family support) and crisis
services.
For additional information on service programs and options, see
Attachment C.
Part III: Planning Activities
This new legislation provides an unusual opportunity for States to
strengthen and refocus their child and family services. The
legislation:
Provides additional and flexible funds for innovative
services;
Directs the focus of these services in new ways; and
Provides the resources for a planning effort to ensure
maximum results.
Because the new focus on family-based services and community
linkages requires changes in vision, in philosophy, and in the design
and delivery of child welfare services, the planning period is
especially critical. By making funds available for planning and by
requiring the development of a long-range, five-year plan, the
legislation recognizes this critical first step and offers each State
an opportunity to strengthen, reform, and better coordinate and
integrate its service delivery system.
We strongly urge States to take advantage of this extraordinary
opportunity. To seize that opportunity, we believe that a thoughtful,
strategic planning process that includes a wide array of State, local,
and community agencies and institutions, parents, consumers, and other
interested individuals whose collective work feeds into joint State-
Federal planning activities, is necessary.
The five-year State Plan will be the vehicle to articulate a
State's vision and strategy for achieving that vision, set goals and
measure progress towards those goals, and identify practical next steps
toward a more comprehensive and integrated continuum of services that
responds to the needs of vulnerable families within the State. To
provide the maximum opportunity for States to strategize broadly about
the service continuum and family needs, State Plans need to include the
major programs serving children and their families, including child
welfare services broadly defined, and need to consider family support
and family preservation services not as isolated categorical programs
but as a part of the overall continuum. Ideally, the planning process
will offer an opportunity for multiple State, local and community
agencies and organizations (as well as Federal agencies) to become
partners on behalf of children.
State planning and service development activities should be
characterized by broad consultation and involvement, the identification
and gathering of data needed for planning (needs assessment), and joint
planning between Federal and State agency staff leading to the
development of the State Plan.
A. Consultation and Coordination
We recognize that many States have successful, cross-cutting
planning processes underway for child and family services. We believe
that these new title IV-B funds can be used to build on and strengthen
current planning efforts and act as a catalyst for States at the
beginning of this planning process.
In isolation, family support and family preservation services
cannot effectively address the needs of children and families.
Therefore, consultation and coordination should include the active
involvement of major actors across the entire spectrum of the service
delivery system for children and their families including:
State and local public agencies, non-profit private
agencies, and community-based organizations with experience in
administering programs of services for children and families (including
family support and family preservation);
Representatives of communities, Indian Tribes, and other
areas where needs for family support and family preservation are high.
Parents (especially parents who are participating in or
who have participated in family support and/or family preservation
programs) and other consumers, foster parents, adoptive parents, and
families with a member with a disability.
Representatives of professional and advocacy organizations
(including foundations and national resource centers with the expertise
to assist States and communities with regard to family support and
family preservation), individual practitioners working with children
and families, and the courts; and
State and local agencies administering Federal and
federally assisted programs, such as maternal and child health; the
Early and Periodic, Screening, Diagnosis, and Treatment program; mental
health; child abuse and neglect (e.g., the NCCAN emergency child abuse
prevention services grants); transitional and independent living;
substance abuse; education; developmental disabilities; juvenile
justice; early childhood education (child care and Head Start);
domestic violence; youth gangs; housing; income security (AFDC, JOBS,
Child Support); nutrition (Food Stamps, WIC); the social services and
the community services block grant; and the title IV-A Emergency
Assistance program.
There are many purposes of outreach and consultation, including the
development of new and more effective service approaches for children
and families, the assessment of family and community needs, the
identification of service overlaps and gaps, the identification of
available resources (expertise, money, facilities, staff) that might
help to meet needs, and the development of strategies for blended
financing, common application forms, or simplified case management
procedures across programs. All of these outcomes help to improve
service delivery to children and families.
B. Collection of Data
An essential component of the planning process is the collection of
information on which to base service decisions and determine future
goals. We strongly recommend that States conduct a thorough needs
assessment using available data whenever possible.
The needs assessment should identify the existing array of family
support, family preservation, and other related services currently
being provided; resources and sources of funding; and gaps and
deficiencies in services. It should also identify data on which to base
target population decisions, e.g., demographic characteristics of
children and families from census data; State legislative and city
planning data; child abuse and neglect and infant mortality data; data
on communities that experience high rates of foster care placements;
and data about communities experiencing disproportionately high levels
of poverty, homelessness, substance abuse, or teen pregnancy. A State
might also project what the future circumstances of families and
children in the State would be if nothing were done.
C. Joint Planning
Joint planning is an ongoing process of discussion, consultation,
and negotiation which takes place between the State child welfare
agency and the Federal Regional Office representative for the purpose
of developing a State Plan. It includes Federal technical assistance to
the State as well.
Through joint planning, State and Federal staff, with appropriate
consultation and participation of other State, local and community-
based stakeholders, discuss the key strategic decisions facing the
State (as identified from needs assessments, consultation, and data
available to the State):
Priorities for services and for target populations;
Proposed goals and objectives;
Unmet needs, services gaps, and overlaps in funding;
Other funding resources available to provide the services
needed;
The State and local organizations, foundations, and
agencies with which the child welfare agency can coordinate;
Ongoing plans to move toward the State's goals by
improving the service delivery system and ensuring a more efficient
comprehensive system of care for children and families; and
Methods for reviewing progress toward those goals.
Finally, joint planning also includes Federal guidance and
technical assistance after the State Plan has been developed and
approved. This is provided through follow-up review and discussion of
progress in accomplishing the goals identified in the plan and updating
the plan as appropriate.
Part IV: Statutory and Fiscal Requirements
A. Brief Outline of Major Provisions of the Statute
1. Purpose
Family Preservation and Support Services is a capped entitlement
program. Its purpose is to encourage and enable each State ``to develop
and establish, or expand, and to operate a program of family
preservation services and community-based family support services.''
One hundred percent Federal funding is available in FY 1994 to develop
and submit a five-year State Plan for such services in FY 1995.
(Section 430) A copy of the statute is found in Attachment B.
2. Five-Year State Plan
In order to receive funds in FY 1995, each State must submit a
five-year State Plan for FYs 1995-99. The plan must at minimum:
Set forth the goals to be accomplished by the end of the
fifth year;
Be updated periodically to set forth the goals to be
accomplished by the end of each fifth fiscal year thereafter;
Describe the methods to be used to measure progress toward
the goals; and
Provide for coordination of services under the plan with
other Federal or federally assisted programs serving the same
populations.
As part of an ongoing planning process, the State must:
Annually review progress toward accomplishing the goals;
Based on the annual review, revise the goals if necessary;
and
At the end of the fifth year, conduct a final review and
provide a report to the Secretary and to the public on progress toward
accomplishing the goals; and
Also at the end of the fifth year, amend the plan to set
forth the goals for the next five years as developed in consultation
with public and non-profit agencies. (Section 432 (a))
3. Joint Planning and Consultation Requirements
The Secretary will approve a plan that meets the requirements only
if the plan was developed:
Jointly by the staff of the Department and the State
(Section 432(b)(1)); and
After consultation by the State agency with appropriate
public and non-profit private agencies and community-based
organizations with experience in administering programs of services for
children and families, including family support and family preservation
services. (Section 432(b))
4. Public Information and Reporting Activities
Annually, the State must furnish to the Secretary, and make
available to the public, a report which contains a description of:
The family preservation services and the community-based
family support services to be made available under the plan in the
upcoming fiscal year;
The populations each program will serve; and
The geographic areas in the State where each service will
be available.
This first descriptive services report for FY 1995 and FY 1996 is
due at the time the State submits its FY 1995 plan, and subsequent
reports will be due by June 30 of each succeeding fiscal year for the
upcoming fiscal year. (Section 432(a)(5))
As noted above, at the end of each five-year plan period, the State
must report to the Secretary and to the public on its progress in
meeting its five-year goals and on its goals for the next five-year
period.
5. FY 1994 Application and Special Rule Requirements
The State must submit an application for funds for FY
1994.
Up to $1 million of a State's allotment may be used for
planning purposes to develop and submit the FY 1995-99 plan.
Funds used for planning purposes in FY 1994 are 100
percent Federal funds, i.e., no State match is required.
Funds not needed to develop the FY 1995-99 plan may be
used to provide family support and family preservation services; funds
over $1 million in a State's allotment may only be used for such
services.
6. Fiscal and Administrative Requirements
Funds used to provide services in FY 1994 and subsequent
years are federally reimbursed at 75 percent. Federal funding for
planning and services will not exceed the amount of the State's
allotment.
States using funds for services in FY 1994 and subsequent
years may not use more than 10 percent of total Federal and State
service expenditures under this program for administrative costs.
The ten percent limitation on administrative costs does
not apply to funds used for planning purposes in FY 1994.
States must spend a significant portion of service dollars
for family support and for family preservation services, respectively.
(Section 432 (a)(4))
The use of other Federal funds as the State's share of
expenditures is prohibited. (Section 434)
7. Other Requirements
The statute requires that the State will:
Provide for the proper and efficient operation of the
State Plan (Section 432(a)(6));
Assure, and provide fiscal reports to the Secretary to
demonstrate compliance with the requirement, that Federal funds under
this program will not be used to supplant Federal or non-Federal funds
for existing family support and family preservation services and
activities (Section 432 (a)(7));
Furnish other reports as required (Section 432(a)(8));
Participate in evaluations as required (Section
432(a)(8)); and
Expend funds by September 30 of the fiscal year following
the fiscal year in which the funds were awarded, i.e., the State must
liquidate all obligations of FY 1994 funds by September 30, 1995.
(Section 434(b)(2))
8. Definitions
Definitions, including definitions of services, are found in
Section 431 of the Social Security Act. The Conference Report language
provides additional examples of family support services (see Attachment
B).
B. Additional Fiscal and Administrative Information
1. Rate of Federal Match
This FFP rate is the same as the rate under Subpart 1 of title IV-
B. The State's contribution may be in cash or donated funds.
For example, a State with an allotment of $600,000 must spend at
least $800,000 (at least $200,000 of which is non-Federal) in order to
receive the full amount of the allotment. If the State spends less than
$800,000 (e.g., $700,000), it will receive 75 percent of the amount it
spends (e.g., for $700,000 in expenditures, the State will receive
$525,000).
2. Submittals
The FY 1994 Application. The application for FY 1994 funds
may be submitted as a preprint or in the format of the State's choice.
A recommended preprint is found at Attachment D. If a State uses its
own format, the application must include all the information specified
in the preprint.
We encourage States to submit the FY 1994 application to the
appropriate Regional Office as soon as possible after completing the
application requirements and no later than June 30, 1994. Grant awards
will be made after the application has been approved. (See Attachment F
for a list of Regional Offices.)
The FY 1995 State Plan. FY 1995 funds are available only
after the State has submitted, and ACF has approved, a five-year State
Plan for services that meets all requirements.
ACF is considering consolidating the five-year State Plan for
Family Preservation and Support Services with the State's title IV-B
(Subpart 1, Child Welfare Services) State Plan, and the title IV-E
Independent Living Program plan. Instructions for submittal of this
proposed consolidated FY 1995 five-year State Plan will be issued in
the future to coincide with regulations ACF expects to propose for
family support and family preservation services.
States are encouraged to submit the FY 1995 State Plan as soon as
possible after completing the planning process and no later than June
30, 1995. Grant awards will be made after the plan has been approved.
3. Other Information
FY 1994 funds are available for expenditures from the
beginning of the fiscal year, i.e., October 1, 1993.
There is no reallotment provision in this new legislation.
The SF-269 report must be submitted annually to the
Regional Office.
Title IV-B, subpart 2, is covered by Executive Order 12372
for the purpose of consolidation and simplification of the State Plan
only. Like title IV-B, subpart 1, it is excluded from the
intergovernmental review process under the Executive Order.
Part V.--Application Instructions
A. Planning
We expect and encourage States to take full advantage of the
opportunity to use the 100 percent FY 1994 Federal funds, up to $1
million, for comprehensive planning and other planning related
activities, such as training, technical assistance, assessment, public
information and education, and commissioning further analyses. We
believe that such planning is critical to the development of a five-
year State Plan for services and to the effective establishment of a
continuum of services for children and families that includes family
support and family preservation services.
To qualify for Federal funding for FY 1994 under title IV-B,
Subpart 2, Family Preservation and Support Services, a State must
submit an application to the ACF Regional Office. (See optional
application preprint at Attachment D.)
All applications must: 1. Provide the name of the State agency that
will administer the program. It must be the same agency that
administers title IV-B, part 1.
2. Specify the estimated amount of the State's FY 1994 allotment
that will be used for planning for family preservation and family
support services, including development of a five-year State Plan for
services in the context of a comprehensive child welfare services plan.
3. Describe the proposed use of FY 1994 funds for planning
activities, including:
A description of the process the State will follow or the
existing State/local planning processes it will use to ensure that
parents, consumers, Indian Tribes, representatives of communities, and
a variety of State, local, and non-profit agencies, community-based
organizations and individuals having experience with services to
vulnerable children and families, including family preservation and
family support services, will be actively involved in the planning
process;
A description of how the State will coordinate the
provision of services with representatives of other Federal and
federally assisted programs to develop a more comprehensive and
integrated service delivery system;
A list of planned contacts and a description of the
outreach activities, such as hearings or focus group meetings, that the
State will use to ensure that interested parties in the State have an
opportunity for active involvement in this planning process; and
A description of how the State will inform all appropriate
parties about this new legislation and the planning, consultation, and
coordination provisions.
4. Describe how the State will assess State and local needs (or
describe a recently conducted prior planning process which assessed
community needs and meets the requirements of this paragraph). The
proposed approach to needs assessment should contain enough local
detail to support State targeting decisions and include specific data
collection strategies on service populations, service needs, available
programs, and available resources. Examples of information that may be
useful are local area data (including census tract data) on the number
and types of child abuse and neglect reports and foster care
placements, and data by community on child and family poverty,
homelessness, substance abuse, teen pregnancy. (See Attachment C for
reference materials on needs assessments.)
5. Describe how the State will collect information on the nature
and scope of existing public and privately funded family preservation
and family support programs in the State.
Information about these programs should be used to make informed
decisions on investing or expanding existing services or moving in new
directions.
6. Describe other activities the State will carry out to develop
the five-year State Plan and implement service system reform, including
activities such as:
Training and technical assistance; and
The approach the State will take to assess the
implementation and effectiveness of the family support and family
preservation services within the State and their effect on the broader
child welfare and family services system.
7. Supply State FY 1992 summary fiscal data, as shown on the
attached application preprint, on federally- or State-funded family
support and family preservation programs to enable monitoring of the
prohibition against supplantation of funds for these programs.
8. Provide the following general assurances:
The State will perform administrative procedures
determined necessary by the Secretary of HHS, for the proper and
efficient operation of the State's program.
The State will not use Federal funds provided to the State
under this program to supplant Federal or non- Federal funds, including
those provided to community-based programs, for existing family
preservation or family support services. The State will furnish
requested reports to the Secretary of HHS, that demonstrate the State's
compliance with the prohibition against supplantation.
The State will furnish reports requested by the Secretary
of HHS, including the SF-269.
The State will participate in any national or local
(including local third party) evaluations of the program that may be
required by the Secretary of HHS. (A State may be asked to provide
information about the number of children served by the new program,
State goals on foster care caseloads, and on reports of child abuse and
neglect.)
The State will not expend (obligate and liquidate) any
amount paid under this program for any fiscal year after the end of the
immediately succeeding fiscal year.
9. Certify that the State will meet the following certifications
contained in the application preprint by signing the first and
submitting the two remaining certifications. (The signature of the
authorized State official on the application constitutes compliance
with the drug-free workplace and the debarment certifications.)
Anti-Lobbying and Disclosure Form;
Drug-Free Workplace Requirements; and
Debarment Certification.
10. Provide the name, signature and title of the State agency
official certifying compliance with all assurances and certifications
associated with the receipt of funds for family preservation and family
support services. Also, provide the name, title and telephone number of
a State contact person responsible for the planning effort.
B. Services
A State may apply to use FY 1994 funds for services in the
following circumstances:
a. Any funds over $1 million used by the State must be used for
services.
b. If, after reviewing the FY 1994 application requirements for
planning and the preliminary issues for possible regulatory action for
the FY 1995 State Plan (see Attachment E), the State believes it can
demonstrate that it has met or is in the process of meeting most of
these requirements and will have funds from its allotment not needed
for planning or developing the FY 1995 State Plan, it may apply to use
these funds for services.
Before authorizing the expenditure of FY 1994 funds for services,
we will want to be satisfied, for example, that the State expects to
meet the requirements for consultation with community-based
organizations, parents, and others in its design and funding of family
support programs; that it has completed or expects to complete a needs
assessment and obtain both State and local data necessary for services
planning and/or expansion; and that it has coordinated with other State
agencies and Federal and federally assisted programs in order to
develop collaborative arrangements to improve service delivery to
vulnerable families. The State also must be able to show how the family
preservation and support services to be provided in FY 1994 are related
to the State's current title IV-B Services Plan.
We urge States to consult with Regional Office staff as they
prepare their FY 1994 application for planning/services. Regional
Office staff will clarify requirements, review materials submitted as
part of the application, and provide further guidance.
In order to receive funding for services in FY 1994, a State's
application must include the following information:
1. Specify the estimated amount of the State's allotment that will
be used for services, and the amount the State will contribute (at
least 25 percent of the total, i.e., 33 percent of the Federal
contribution). Include total estimates of the amounts to be used for
training, technical assistance, and administrative costs.
2. Include the findings of a needs assessment or prior planning
processes that led to the decision to spend FY 1994 funds for services
and to the selection of the type of services, the populations to be
served, and the geographic areas for each type of service. Include a
description of the needs assessment/planning process and a list of the
organizations and individuals that participated.
3. Describe how representatives from Indian Tribes, cities and
communities, groups identified as having expertise in the field of
family preservation and family support, parents, consumers, and others
participated in the development of the application for FY 1994 services
funds.
4. Identify the State's goals for services to vulnerable children
and families in FY 1994 and indicate how the funds obtained under this
program will assist in meeting these goals. Specifically, describe how
these funds will be used to develop or expand family support and family
preservation services and strengthen service delivery in the existing
child welfare system.
Describe how these funds will link to other services (such as
social, educational, juvenile justice, substance abuse, and health and
mental health services) to improve the likelihood that children and
families will receive care appropriate to meet their multiple needs.
5. Describe separately the family support services and the family
preservation services that will be provided using FY 1994 funds.
Include a description of the populations to which each type of service
will be directed and the geographic areas where each type of service
will be provided.
Describe the nature and scope of existing public and privately
funded family preservation and family support services in the State.
6. Indicate the specific percentage of FY 1994 funds that the State
will expend for community-based family support and for family
preservation services, respectively, and the rationale for that choice.
Include an explanation of how this distribution was reached and why it
meets the requirement that a ``significant portion'' of the service
funds must be spent for each service. Examples of important
considerations might include the nature of the planning efforts that
led to the decision, the level of existing State effort in each area,
and the resulting need for new or expanded services. While there is no
minimum percentage that defines significant, States should be aware
that the rationale will need to be especially strong if the request for
either allocation is below 25 percent.
7. Estimate the amount of family support funds which the State will
provide to community-based organizations and how organizations will be
selected to receive these funds.
8. Specify the following information:
Describe the types of activities that will be claimed as
administrative costs. These typically are the overhead costs associated
with personnel, such as State agency rent, utilities, supplies, and so
on.
Describe the types of training and technical assistance
activities that will be carried out. (Costs directly associated with
the provision of services are not considered administrative costs,
e.g., training for individuals to administer or deliver family support
or family preservation services.)
9. Provide the following assurances:
The State will not spend more than ten percent of family
support and family preservation service funds on administrative costs.
The State will spend a significant portion of funds for
family preservation and for family support services, respectively.
The State will not use Federal funds to meet the State's
share of costs of services not covered by the amount received under
this law.
Note: The State will meet the general assurances in the law (see
p. 23) by submitting the signed planning section of this
application.
10. Provide the name, signature and title of the State agency
official certifying compliance with all assurances and certifications
associated with the receipt of funds for family preservation and family
support. Also, provide the name, title and telephone number of a State
contact person for family support and family preservation services.
Inquiries to: ACF Regional Administrators--Olivia A. Golden,
Commissioner, Administration on Children, Youth and Families.
For the purpose of this Federal Register Announcement, only the
body of the Program Instruction has been included as the most pertinent
information for prospective applicants. Attachments A through F have
not been included because they repeat information, or have been
determined to be less relevant to this announcement.
However, the Program Instruction, complete with all attachments may
be obtained from the Clearinghouse on Child Abuse and Neglect
Information, (800) 394-3366 or (703) 385-7565.
Appendix 2--Clearinghouses and Resource Centers
Clearinghouse on Child Abuse and Neglect Information, P.O. Box 1182,
Washington, DC 20013, (703) 385-7565, (800) FYI-3366, (703) 385-3206
FAX
National Adoption Information Clearinghouse (NAIC), 11426 Rockville
Pike, Suite 410, Rockville, MD 20852-3007, (301) 231-6512, (301)
984-8527 FAX
Center for Substance Abuse Prevention (CSAP), National Clearinghouse
for Alcohol and Drug Information (NACADI), P.O. Box 2345, Rockville,
MD 20847-2345, (800) 729-6686, (301) 468-2600, (301) 468-6433 FAX,
(301) 230-2687 TDD
National Information Clearinghouse (NIC) for Infants with
Disabilities and Life-Threatening Conditions, Center for
Developmental Disabilities/USC, Benson Building, 1st Floor,
Columbia, SC 29208, (800) 922-9234 ext. 201, (800) 922-1107 (in SC),
(803) 777-4435, (803) 777-6058 FAX
Juvenile Justice Clearinghouse, Box 6000, Rockville, MD 20850, (800)
638-8736, (310) 251-5212 FAX
National Center for Education in Maternal and Child Health (NCEMCH),
2000 15th Street, North, Suite 701, Arlington, VA 22201-2617, (703)
524-7802, (703) 524-9335 FAX
National Center for Missing and Exploited Children (NCMEC), 2101
Wilson Boulevard, Suite 550, Arlington, VA 22201-3052, (703) 235-
3900, (800) 843-5678 Hotline, (800) 826-7653 TDD Hotline, (703) 235-
4067 FAX
Center for Substance Abuse Prevention, National Resource Center for
the Prevention of Perinatal Abuse of Alcohol and Other Drugs, 9300
Lee Highway, Fairfax, VA 22031, (703) 218-5600, (800) 354-8824,
(703) 218-5701 FAX
National Clearinghouse on Runaway and Homeless Youth (NCRHY), P.O.
Box 13505, Silver Spring, MD 20911-3505, (301) 608-8098, (301) 587-
4352 FAX
National Victims Resource Center (NVRC), P.O. Box 6000, Rockville,
MD 20850-6000, (800) 627-6872, (301) 251-5121
Work and Family Clearinghouse, Women's Bureau, U.S. Department of
Labor, 200 Constitution Avenue, Washington, DC 20201-0002, (800)
827-5335, (202) 523-4486, (202) 523-1529
Appendix 3--Administration for Children and Families--Regional Offices
Program Managers, Child Care, Child Welfare and Developmental
Disabilities, OFSS
Region I
Tina Janey-Burrell, Program Manager, OFSS/OSP, Administration for
Children and Families, Department of Health and Human Services, JFK
Federal Building, Room 600, 6th Floor (Temp), Boston, MA 02203,
Phone: 617-565-3296, Fax: 617-565-2493
Region II
Salvatore Milano, Program Manager, OFSS/OSP, Administration for
Children and Families, Department of Health and Human Services,
Federal Building, Room 4048, 26 Federal Plaza, New York, NY 10278,
Phone: 212-264-2975, Fax: 212-264-4881
Region III
Richard Gilbert, Program Manager, OFSS/OSP, Administration for
Children and Families, Department of Health and Human Services, 3535
Market Street, Room 5450, Philadelphia, PA 19101, Phone: 215-596-
0293, Fax: 215-596-5028
Region IV
William Behm, Program Manager, OFSS/OSP, Administration for Children
and Families, Department of Health and Human Services, 101 Marietta
Tower, Suite 821, Atlanta, GA 30323, Phone: 404-331-2398, Fax: 404-
331-1776
Region V
Kathleen Penak, Program Manager, OFSS/OSP, Administration for
Children and Families, Department of Health and Human Services, 105
West Adams Street, 20th Floor, Chicago, IL 60603, Phone: 312-353-
6503, Fax: 312-353-2204
Region VI
Manuel Soto, Program Manager, OFSS/OSP, Administration for Children
and Families, Department of Health and Human Services, 1200 Main
Tower Building, Suite 1700, Dallas, TX 75202, Phone: 214-767-6596,
Fax: 214-767-3743
Region VII
Robert Reed, Program Manager, OFSS/OSP, Administration for Children
and Families, Department of Health and Human Services, 601 E. 12th
Street, Room 384, Kansas City, MO 64106, Phone: 816-426-5211, Fax:
816-426-2888
Region VIII
Charles Graham, Program Manager, OFSS/OSP, Administration for
Children and Families, Department of Health and Human Services,
Federal Office Building, 1961 Stout Street, Room 1185, Denver, CO
80294-3538, Phone: 303-844-4890, Fax: 303-844-3642
Region IX
John McGee, Program Manager, OFSS/OSP, Administration for Children
and Families, Department of Health and Human Services, 50 United
Nations Plaza, Room 450, San Francisco, CA 94102, Phone: 415-556-
6153, Fax: 415-556-3046
Region X
Richard McConnell, Program Manager, OFSS/OSP, Administration for
Children and Families, Department of Health and Human Services,
Blanchard Plaza, 2201 Sixth Avenue, Room 610-M/S RX-70, Seattle, WA
98121, Phone: 206-615-2558 ext. 3102, Fax: 206-615-2575
BILLING CODE 4184-01-P
TN02MY94.001
BILLING CODE 4184-01-C
Instructions for the SF 424
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 the 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 Entrv
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
contract on matter 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. Checks 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 of 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 and 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 contract 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 disallowances, 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
TN02MY94.002
TN02MY94.003
BILLING CODE 4184-01-C
Instructions for the SF-424A
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 functions 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 on 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 totals 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.
Instructions for the SF-424A (continued)
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
Line 8-11
Enter amounts of non-Federal resources that will be used on the
grant. If in-kind contributions are included, provide a brief
explanation on a separate sheet.
Column (a)--Enter the program titles identical to Column (a),
Section A. A breakdown by function or activity is not necessary.
Column (b)--Enter the contribution to be made by the applicant.
Column (c)--Enter the amount of 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 of Columns (b), (c), and (d).
Line 12
Enter the total for each of Columns (b)-(e). The amount in
Column (e) should be equal to the amount on Line 5. Column (f),
Section A.
Section D.--Forecasted Cash Needs
Line 13
Enter the amount of cash needed by quarter from the grantor
agency during the first year.
Line 14
Enter the amount of cash from all other sources needed by
quarter during the first year.
Line 15
Enter the totals of amounts on Lines 13 and 14.
Section E.--Budget Estimates of Federal Funds Needed for Balance of
the Project
Lines 16-19
Enter in Column (a) the same grant program titles shown in
Column (a), Section A. A breakdown by function or activity is not
necessary. For new applications and continuation grant applications,
enter in the proper columns amounts of Federal funds which will be
needed to complete the program or project over the succeeding
funding periods (usually in years). This section need not be
completed for revisions (amendments, changes, or supplements) to
funds for the current year of existing grants.
If more than four lines are needed to list the program titles,
submit additional schedules as necessary.
Line 20
Enter the total for each of the Columns (b)-(e). When additional
schedules are prepared for this Section, annotate accordingly and
show the overall totals on this line.
Section F.--Other Budget Information
Line 21
Use this space to explain amounts for individual direct object-
class cost categories that may appear to be out of the ordinary or
to explain the details as required by the Federal grantor agency.
Line 22
Enter the type of indirect rate (provisional, predetermined,
final or fixed) that will be in effect during the funding period,
the estimated amount of the base to which the rate is applied, and
the total indirect expense.
Line 23
Provide any other explanations or comments deemed necessary.
Assurances--Non-Construction Programs
Note: Certain of these assurances may not be applicable to your
project or program. If you have questions, please contact the
awarding agency. Further, certain Federal awarding agencies may
require applicants to certify to additional assurances. If such is
the case, you will be notified.
As the duly authorized representative of the applicant I certify
that the applicant:
1. Has the legal authority to apply for Federal assistance, and
the institutional, managerial and financial capability (including
funds sufficient to pay the non-Federal share of project costs) to
ensure proper planning, management and completion of the project
described in this application.
2. Will give the awarding agency, the Comptroller General of the
United States, and if appropriate, the State, through any authorized
representative, access to and the right to examine all records,
books, papers, or documents related to the award; and will establish
a proper accounting system in accordance with generally accepted
accounting standards or agency directives.
3. Will establish safeguards to prohibit employees from using
their positions for a purpose that constitutes or presents the
appearance of personal or organizational conflict of interest, or
personal gain.
4. Will initiate and complete the work within the applicable
time frame after receipt of approval of the awarding agency.
5. Will comply with the Intergovernmental personnel Act of 1970
(42 U.S.C. Secs. 4728-4763) relating to prescribed standards for
merit systems for programs funded under one of the nineteen statutes
or regulations specified in Appendix A of OPM's Standards for a
Merit System of Personnel Administration (5 C.F.R. 900, Subpart F).
6. Will comply with all Federal statutes relating to
nondiscrimination. These include but are not limited to:
(a) Title VI of the Civil Rights Act of 1964 (P.L. 88-352) which
prohibits discrimination on the basis of race, color or national
origin;
(b) Title IX of the Education Amendments of 1972, as amended (20
U.S.C. Secs. 1681-1683, and 1685-1686), which prohibits
discrimination on the basis of sex;
(c) Section 504 of the Rehabilitation Act of 1973, as amended
(29 U.S.C. Sec. 794), which prohibits discrimination on the basis of
handicaps;
(d) the Age Discrimination Act of 1975, as amended (42 U.S.C.
Secs. 6101-6107), which prohibits discrimination on the basis of
age;
(e) the Drug Abuse Office and Treatment Act of 1972 (P.L. 92-
255), as amended, relating to nondiscrimination on the basis of drug
abuse;
(f) the Comprehensive Alcohol Abuse and Alcoholism Prevention,
Treatment and Rehabilitation Act of 1970 (P.L. 91-616), as amended,
relating to nondiscrimination on the basis of alcohol abuse or
alcoholism;
(g) Secs. 523 and 527 of the Public Health Service Act of 1912
(42 U.S.C. 290 dd-3 and 290 ee-3), as amended, relating to
confidentiality of alcohol and drug abuse patient records;
(h) Title VIII of the Civil Rights Act of 1968 (42 U.S.C.
Sec. 3601 et seq.), as amended, relating to non-discrimination in
the sale, rental or financing of housing,
(i) any other nondiscrimination provisions in the specific
statute(s) under which application for Federal assistance is being
made; and
(j) the requirements of any other nondiscrimination 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 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. Sec. Sec. 276a to 276a-7), the Copeland Act (40
U.S.C. Sec. 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. Sec. 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 or residence
structures.
17. Will cause to be performed the required financial and
compliance audits in accordance with the Single Audit Act of 1984.
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:
Appendix 5--Executive Order 12372--State Single Points of Contact
Arizona
Mrs. Janice Dunn, ATTN: Arizona State Clearinghouse, 3800 N. Central
Avenue, 14th Floor, Phoenix, Arizona 85012, Telephone (602) 280-1315
Arkansas
Tracie L. Copeland, Manager, State Clearinghouse, Office of
Intergovernmental Services, Department of Finance and
Administration, P.O. Box 3278, Little Rock, Arkansas 72203,
Telephone (501) 682-1074
California
Glenn Stober, Grants Coordinator, Office of Planning and Research,
1400 Tenth Street, Sacramento, California 95814, Telephone (916)
323-7480
Colorado
State Single Point of Contact, State Clearinghouse, Division of
Local Government, 1313 Sherman Street, Room 520, Denver, Colorado
80203, Telephone (303) 866-2156
Delaware
Ms. Francine Booth, State Single Point of Contact, Executive
Department, Thomas Collins Building, Dover, Delaware 19903,
Telephone (302) 736-3326
District of Columbia
Rodney T. Hallman, State Single Point of Contact, Office of Grants
Management and Development, 717 14th Street, N.W., Suite 500,
Washington, D.C. 20005, Telephone (202) 727-6551
Florida
Flordia State Clearinghouse, Intergovernmental Affairs Policy Unit,
Executive Office of the Governor, Office of Planning and Budgeting,
The Capitol, Tallahassee, Florida 32399-0001, Telephone (904) 488-
8441
Georgia
Mr. Charles H. Badger, Administrator, Georgia State Clearinghouse,
254 Washington Street, S.W., Atlanta, Georgia 30334, Telephone (404)
656-3855
Illinois
Steve Klokkenga, State Single Point of Contact, Office of the
Governor, 107 Stratton Building, Springfield, Illinois 62706,
Telephone (217) 782-1671
Indiana
Jean S. Blackwell, Budget Director, State Budget Agency, 212 State
House, Indianapolis, Indiana 46204, Telephone (317) 232-5610
Iowa
Mr. Steven R. McCann, Division of Community Progress, Iowa
Department of Economic Development, 200 East Grand Avenue, Des
Moines, Iowa 50309, Telephone (515) 281-3725
Kentucky
Ronald W. Cook, Office of the Governor, Department of Local
Government, 1024 Capitol Center Drive, Frankfort, Kentucky 40601,
Telephone (502) 564-2382
Maine
Ms. Joyce Benson, State Planning Office, State House Station #38,
Augusta, Maine 04333, Telephone (207) 289-3261
Maryland
Ms. Mary Abrams, Chief, Maryland State Clearinghouse, Department of
State Planning, 301 West Preston Street, Baltimore, Maryland 21201-
2365, Telephone (301) 225-4490
Massachusetts
Karen Arone, State Clearinghouse, Executive Office of Communities
and Development, 100 Cambridge Street, Room 1803, Boston,
Massachusetts 02202, Telephone (617) 727-7001
Michigan
Richard S. Pastula, Director, Michigan Department of Commerce,
Lansing, Michigan 48909, Telephone (517) 373-7356
Mississippi
Ms. Cathy Mallette, Clearinghouse Officer, Office of Federal Grant
Management and Reporting, 301 West Pearl Street, Jackson,
Mississippi 39203, Telephone (601) 960-2174
Missouri
Ms. Lois Pohl, Federal Assistance Clearinghouse, Office of
Administration, P.O. Box 809, Room 430, Truman Building, Jefferson
City, Missouri 65102, Telephone (314) 751-4834
Nevada
Department of Administration, State Clearinghouse, Capitol Complex,
Carson City, Nevada 89710, Telephone (702) 687-4065, Attention: Ron
Sparks, Clearinghouse Coordinator
New Hampshire
Mr. Jeffrey H. Taylor, Director, New Hampshire Office of State
Planning, Attn: Intergovernmental Review, Process/James E. Bieber,
2\1/2\ Beacon Street, Concord, New Hampshire 03301, Telephone (603)
271-2155
New Jersey
Gregory W. Adkins, Acting Director, Division of Community Resources,
N.J. Department of Community Affairs, Trenton, New Jersey 08625-
0803, Telephone (609) 292-6613
Pleae direct correspondence and questions to: Andrew J.
Jaskolka, State Review Process, Division of Community Resources, CN
814, Room 609, Trenton, New Jersey 08625-0803, Telephone (609) 292-
9025.
New Mexico
Geroge Elliott, Deputy Director, State Budget Division, Room 190,
Bataan Memorial Building, Santa Fe, New Mexico 87503, Telephone
(505) 827-3640, FAX (505) 827-3006
New York
New York State Clearinghouse, Division of the Budget, State Capitol,
Albany, New York 12224, Telephone (518) 474-1605
North Carolina
Mrs. Chrys Baggett, Director, Office of the Secretary of Admin.,
N.C. State Clearinghouse, 116 W. Jones Street, Raleigh, North
Carolina 27603-8003, Telephone (919) 733-7232
North Dakota
N.D. Single Point of Contact, Office of Intergovernmental
Assistance, Office of Management and Budget, 600 East Boulevard
Avenue, Bismarck, North Dakota 58505-0170, Telephone (701) 224-2094
Ohio
Larry Weaver, State Single Point of Contact, State/Federal Funds
Coordinator, State Clearinghouse, Office of Budget and Management,
30 East Broad Street, 34th Floor, Columbus, Ohio 43266-0411,
Telephone (614) 466-0698
Rhode Island
Mr. Daniel W. Varin, Associate Director, Statewide Planning Program,
Department of Administration, Division of Planning, 265 Melrose
Street, Providence, Rhode Island 02907, Telephone (401) 277-2656
Please direct correspondence and questions to: Review
Coordinator, Office of Strategic Planning.
South Carolina
Omeagia Burgess, State Single Point of Contact, Grant Services,
Office of the Governor, 1205 Pendleton Street, Room 477, Columbia,
South Carolina 29201, Telephone (803) 734-0494
South Dakota
Ms. Susan Comer, State Clearinghouse Coordinator, Office of the
Governor, 500 East Capitol, Pierre, South Dakota 57501, Telephone
(605) 773-3212
Tennessee
Mr. Charles Brown, State Single Point of Contact, State Planning
Office, 500 Charlotte Avenue, 309 John Sevier Building, Nashville,
Tennessee 37219, Telephone (615) 741-1676
Texas
Mr. Thomas Adams, Governor's Office of Budget and Planning, P.O. Box
12428, Austin, Texas 78711, Telephone (512) 463-1778
Utah
Utah State Clearinghouse, Office of Planning and Budget, ATTN:
Carolyn Wright, Room 116, State Capitol, Salt Lake City, Utah 84114,
Telephone (801) 538-1535
Vermont
Mr. Bernard D. Johnson, Assistant Director, Office of Policy
Research & Coordination, Pavilion Office Building, 109 State Street,
Montpelier, Vermont 05602, Telephone (802) 828-3326
West Virginia
Mr. Fred Cutlip, Director, Community Development Division, West
Virginia Development Office, Building #6, Room 553, Charleston, West
Virginia 25305, Telephone (304) 348-4010
Wisconsin
Mr. William C. Carey, Federal/State Relations, Wisconsin Department
of Administration, 101 South Webster Street, P.O. Box 7864, Madison,
Wisconsin 53707, Telephone (608) 266-0267
Wyoming
Sheryl Jeffries, State Single Point of Contact, Herschler Building,
4th Floor, East Wing, Cheyenne, Wyoming 82002, Telephone (307) 777-
7574
Guam
Mr. Michael J. Reidy, Director, Bureau of Budget and Management
Research, Office of the Governor, P.O. Box 2950, Agana, Guam 96910,
Telephone (671) 472-2285
Northern Mariana Islands
State Single Point or Contact, Planning and Budget Office, Office of
the Governor, Saipan, CM, Northern Mariana Islands 96950
Puerto Rico
Norma Burgos/Jose H. Caro, Chairman/Director, Puerto Rico Planning
Board, Minillas Government Center, P.O. Box 41119, San Juan, Puerto
Rico 00940-9985, Telephone (809) 727-4444
Virgin Islands
Jose L. George, Director, Office of Management and Budget, #41
Norregade Emancipation Garden Station, Second Floor, Saint Thomas,
Virgin Islands 00802
Please direct correspondence to: Linda Clarke, Telephone (809)
774-0750.
U.S. Department of Health and Human Services Certification Regarding
Drug-Free Workplace Requirements Grantees Other Than Individuals
By signing and/or submitting this application or grant
agreement, the grantee is providing the certification set out below.
This certification is required by regulations implementing the
Drug-Free Workplace Act of 1988, 45 CFR Part 76, Subpart F. The
regulations, published in the May 25, 1990 Federal Register, require
certification by grantees that they will maintain a drug-free
workplace. The certification set out below is a material
representation of fact upon which reliance will be placed when the
Department of Health and Human Services (HHS) determines to award
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, HHS, in addition to any
other remedies available to the Federal Government, may take action
authorized under the Drug-Free Workplace Act. False certification or
violation of the certification shall be grounds for suspension of
payments, suspension or termination of grants, or governmentwide
suspension or debarment.
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.
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.)
If the workplace identified to HHS 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 above).
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 USC 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).
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 subparagraph (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 subparagraph (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).
The grantee may insert in the space provided below the site(s)
for the performance of work done in connection with the specific
grant (use attachments, if needed):
Place of Performance (Street Address, City, County, State, ZIP
Code):
Check __ if there are workplaces on file that are not identified
here.
Sections 76.630(c) and (d)(2) and 76.635(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 receipt 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, S.W., Washington, D.C. 20201.
Appendix 7--Certification Regarding Debarment, Suspension, and Other
Responsibility Matters--Primary Covered Transactions
By signing and submitting this proposal, the applicant, defined
as the primary participant in accordance with 45 CFR part 76,
certifies to the best of its knowledge and believe that it and its
principals:
(a) Are not presently debarred, suspended, proposed for
debarment, declared ineligible, or voluntarily excluded from covered
transactions by any Federal Department or agency;
(b) Have not within a 3-year period preceding this proposal been
convicted of or had a civil judgment rendered against them for
commission of fraud or a criminal offense in connection with
obtaining, attempting to obtain, or performing a public (Federal,
State, or local) transaction or contract under a public transaction;
violation of Federal or State antitrust statutes or commission of
embezzlement, theft, forgery, bribery, falsification or destruction
of records, making false statements, or receiving stolen property;
(c) Are not presently indicted or otherwise criminally or
civilly charged by a governmental entity (Federal, State or local)
with commission of any of the offenses enumerated in paragraph
(1)(b) of this certification; and
(d) Have not within a 3-year period preceding this application/
proposal had one or more public transactions (Federal, State, or
local) terminated for cause or default.
The inability of a person to provide the certification required
above will not necessarily result in denial of participation in this
covered transaction. If necessary, the prospective participant shall
submit an explanation of why it cannot provide the certification.
The certification or explanation will be considered in connection
with the Department of Health and Human Services (HHS) determination
whether to enter into this transaction. However, failure of the
prospective primary participant to furnish a certification or an
explanation shall disqualify such person from participation in this
transaction.
The prospective primary participant agrees that by submitting
this proposal, it will include the clause entitled ``Certification
Regarding Debarment, Suspension, Ineligibility, and Voluntary
Exclusion--Lower Tier Covered Transaction. '' provided below without
modification in all lower tier covered transactions and in all
solicitations for lower tier covered transactions.
Certification Regarding, Debarment, Suspension, Ineligibility and
Voluntary Exclusion--Lower Tier Covered Transactions (To Be Supplied to
Lower Tier Participants)
By signing and submitting this lower tier proposal, the
prospective lower tier participant, as defined in 45 CFR part 76,
certifies to the best of its knowledge and belief that it and its
principals:
(a) Are not presently debarred, suspended, proposed for
debarment, declared ineligible, or voluntarily excluded from
participation in this transaction by any federal department or
agency.
(b) Where the prospective lower tier participant is unable to
certify to any of the above, such prospective participant shall
attach an explanation to this proposal.
The prospective lower tier participant further agrees by
submitting this proposal that it will include this clause entitled
``Certification Regarding Debarment, Suspension, Ineligibility, and
Voluntary Exclusion--Lower Tier Covered Transactions'' without
modification in all lower tier covered transactions and in all
solicitations for lower tier covered transactions.
Appendix 8--Certification Regarding Lobbying
Certification for Contracts, Grants, Loans, and Cooperative
Agreements
The undersigned certifies, to the best of his or her knowledge
and belief, that:
(1) No Federal appropriated funds have been paid or will be
paid, by or on behalf of the undersigned, to any person for
influencing or attempting to influence an officer or employee of any
agency, a Member of Congress, an officer or employee of Congress, or
an employee of a Member of Congress in connection with the awarding
of any Federal contract, the making of any Federal grant, the making
of any Federal loan, the entering into of any cooperative agreement,
and the extension, continuation, renewal, amendment, or modification
of any Federal contract, grant, loan, or cooperative agreement.
(2) If any funds other than Federal appropriated funds have been
paid or will be paid to any person for influencing or attempting to
influence an officer or employee of any agency, a Member of
Congress, an officer or employee of Congress, or an employee of a
Member of Congress in connection with this Federal contract, grant,
loan or cooperative agreement, the undersigned shall complete and
submit Standard Form-LLL, ``Disclosure Form to Report Lobbying,'' in
accordance with its instructions.
(3) The undersigned shall require that the language of this
certification be included in the award documents for all subawards
at all tiers (including subcontracts, subgrants, and contracts under
grants, loans, and cooperative agreements) and that all
subrecipients shall certify and disclose accordingly.
This certification is a material representation of fact upon
which reliance was placed when this transaction was made or entered
into. Submission of this certification is a prerequisite for making
or entering into this transaction imposed by section 1352, title 31,
U.S. Code. Any person who fails to file the required certification
shall be subject to a civil penalty of not less than $10,000 and not
more than $100,000 for each such failure.
State for Loan Guarantee and Loan Insurance
The undersigned states, to the best of his or her knowledge and
belief, that:
If any funds have been paid or will be paid to any person for
influencing or attempting to influence an officer or employee of any
agency, a Member of Congress, an officer or employee of Congress, or
an employee of a Member of Congress in connection with this
commitment providing for the United States to insure or guarantee a
loan, the undersigned shall complete and submit Standard Form-lLL
``Disclosure Form to Report Lobbying,'' in accordance with its
instructions.
Submission of this statement is a prerequisite for making or
entering into this transaction imposed by section 1352, title 31,
U.S. Code. Any person who fails to file the require statement shall
be subject to a civil penalty of not less than $10,000 and not more
than $100,000 for each such failure.
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Signature
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Title
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Organization
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Date
BILLING CODE 4184-01-P
TN02MY94.004
[FR Doc. 94-9930 Filed 4-29-94; 8:45 am]
BILLING CODE 4184-01-C
