[Federal Register Volume 62, Number 98 (Wednesday, May 21, 1997)]
[Notices]
[Pages 27738-27768]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-13092]
=======================================================================
-----------------------------------------------------------------------
DEPARTMENT OF HEALTH AND HUMAN SERVICES
Administration for Children and Families
[Program Announcement No. ACYF-CB-93.652-97-04]
Adoption Opportunities Program; Announcement of Availability of
Financial Assistance and Request for Applications
AGENCY: Administration on Children, Youth and Families ACF, DHHS.
ACTION: Announcement of the Availability of Financial Assistance and
Request for Applications to Conduct Demonstration Projects Funded Under
the Adoption Opportunities Program in the Children's Bureau,
Administration on Children, Youth and Families.
-----------------------------------------------------------------------
SUMMARY: The Children's Bureau (CB) within the Administration on
Children, Youth and Families (ACYF), Administration for Children and
Families (ACF) announces the availability of fiscal year (FY) 1997
funds from the Adoption Opportunities Program for demonstration grants
to State child welfare agencies, public or private nonprofit child
welfare and adoption parents' groups for projects aimed at: (a)
Developing effective collaborations for timely adoptions; (b)
increasing adoptive placements for children in foster care; (c)
developing innovative practices for increasing adoptions of minority
children; (d) developing innovations in post-legal adoption services;
(e) increasing practice options to secure permanency for children; (f)
allowing leaders in the adoption field to propose innovative endeavors;
and (g) developing strategies for increasing kinship care adoption.
CLOSING DATE: The closing time and date for the receipt of applications
under this announcement is 4:30 p.m. (Eastern Standard Time) August 19,
1997. Applications received after 4:30 p.m. will be classified as late.
ADDRESSES: Mail applications to: Department of Health and Human
Services, Administration for Children and Families, Division of
Discretionary Grants, 370 L'Enfant Promenade, SW., Mail Stop 6C-462,
Washington, DC. 20447, ATTN: ______________ (Reference announcement
number and priority area.)
Hand delivered, Courier or Overnight applications are accepted
during the normal working hours of 8 a.m. to 4:30 p.m. EST, Monday
through Friday, on or prior to the established closing date at:
Administration for Children and Families, Division of Discretionary
Grants, ACF Mailroom, 2nd Floor Loading Dock, Aerospace Center, 901 D
Street, SW., Washington, DC. 20024, ATTN: ______________ (reference
number and priority area). Applicants are cautioned that express/
overnight mail services do not always deliver as agreed.
FOR FURTHER INFORMATION CONTACT: The ACYF Operations Center Technical
Assistance Team at 1-800-351-2293 is available to answer questions
regarding application requirements and to refer you to the appropriate
contact person in the Children's Bureau for programmatic questions. You
may also locate frequently asked questions about this program
announcement on the ACYF Website at http://www.acf.dhhs.gov/programs/
cb.
INTENT TO APPLY: If you are going to submit an application, send a post
card or call in the following information: The name, address, and
telephone number of the contact person; the name of the organization;
and the priority area(s) in which you may submit an application, within
two weeks of the receipt of this announcement to: Administration on
Children, Youth and Families, Operations Center, 3030 Clarendon
Boulevard, Suite 240, Arlington, VA 22201. The telephone number is 1-
800-351-2293. This information will be used to determine the number of
expert reviewers needed and to update the mailing list of persons to
whom the program announcement is sent.
SUPPLEMENTARY INFORMATION: This program announcement consists of three
parts. Part I provides information on the Children's Bureau and general
information on the application procedures. Part II describes the review
process, additional requirements for the grant applications, the
criteria for the review and evaluation of applications, and the
programmatic priorities for which applications are being solicited.
Part III provides information and instructions for the development and
submission of applications.
The forms to be used for submitting an application are included in
Appendix A. Please copy as single-sided
[[Page 27739]]
forms and use in submitting an application under this announcement. No
additional application forms are needed to submit an application.
Applicants should note that grants to be awarded under this program
announcement are subject to the availability of funds.
Outline of Announcement
Part I: General Information
A. Background
B. Statutory Authority Covering This Announcement
C. Availability and Allocation of Funds
Part II: The Review Process and Priority Areas
A. Eligible Applicants
B. Review Process and Funding Decisions
C. Evaluation Criteria
D. Structure of Priority Area Descriptions
E. Available Funds
F. Grantee Share of Project Costs
G. Priority Areas Included in This Announcement
H. Priority Area Descriptions and Requirements
Part III: Information and Instructions for the Development and
Submission of Applications
A. Paperwork Reduction Act of 1995
B. Availability of Forms
C. Required Notification of the State Single Point of Contact
D. Deadline for Submission of Applications
E. Instructions for Preparing the Application and Completing
Application Forms
1. SF424, page 1, Application Cover Sheet
2. SF424A, Budget Information-Non-Construction Programs
3. Project Summary Description
4. Program Narrative Statement
5. Organizational Capability Statement
6. Part IV--Assurances/Certifications
F. Checklist for a Complete Application
G. The Application Package
Part I. General Information
A. Background
The Administration on Children, Youth and Families (ACYF)
administers national programs for children and youth, works with States
and local communities to develop services which support and strengthen
family life, seeks joint ventures with the private sector to enhance
the lives of children and their families, and provides information and
other assistance to parents.
The concerns of ACYF extend to all children from birth through
adolescence. Many of the programs administered by the agency focus on
children from low-income families; children and youth in need of foster
care, adoption or other child welfare services; preschool children;
children with disabilities; abused and neglected children; runaway and
homeless youth; and children from American Indian and migrant families.
Within ACYF, the Children's Bureau plans, manages, coordinates and
supports child welfare services programs. It administers the Foster
Care and Adoption Assistance Program, the Child Welfare Services State
Grants Program, the Child Welfare Services Research, Demonstration and
Training Programs, the Independent Living Initiatives Program, the
Adoption Opportunities Program, the Temporary Child Care for Children
with Disabilities and Crisis Nurseries Program, the Abandoned Infants
Assistance Program, and the Family Preservation and Support Services
Program.
The Federal statutory, regulatory, policy and program framework for
adoption has emphasized overcoming numerous complexities in order to
facilitate the completion of adoptions, creating financial incentives
for the adoption of certain children for whom it would be difficult to
secure an adoptive placement, requiring each State to establish a pool
of adoptive families reflecting the ethnic and racial diversity of
children for whom adoptive homes are needed, promoting a vision of and
guidance for permanence, and stimulating communication and
collaboration among foster care, adoption and court professionals.
The Adoption Opportunities Program, originally enacted in title II
of the Child Abuse Prevention and Treatment and Adoption Reform Act of
1978, Public Law 95-266, and most recently amended by the Child Abuse
Prevention and Treatment Act Amendments of 1996, Public Law 104-235,
works to eliminate barriers to adoption and provide permanent homes for
children who would benefit from adoption. The Adoption Opportunities
Program facilitates the elimination of barriers to adoption by: (1)
Promoting adoption legislation and procedures in the States and
territories of the United States in order to eliminate jurisdictional
and legal obstacles to adoption; (2) promoting quality standards for
adoption services, pre-placement, post-placement, and post-legal
adoption counseling, and standards to protect the rights of the
children in need of adoption; and (3) demonstrating expeditious ways to
free children for adoption for whom it has been determined that
adoption is the appropriate plan. This discretionary program awards
grants and contracts to public and private non-profit agencies.
The passage of the Adoption Assistance and Child Welfare Act of
1980, Pub. L. 96-272, resulted in the establishment of the title IV-E
adoption assistance program. This entitlement provides funds to States
to assist in paying costs associated with the adoption of children who
have special needs, such as being older or disabled. The adoption
assistance program encourages and supports permanence for children with
special needs in adoptive homes, thereby preventing their inappropriate
and excessive stays in foster care. To receive adoption assistance, a
child must also be a recipient of or be eligible for Aid to Families
with Dependent Children (AFDC), as in effect in the State on June 1,
1995, or Supplemental Security Income (SSI) benefits.
Another major legislative initiative in the area of adoptions, the
Multiethnic Placement Act (MEPA), was passed in 1994 and amended in
1996 by the Small Business Job Protection Act, Public Law 104-188. The
purposes of MEPA are to decrease the length of time that children wait
to be adopted and to prevent discrimination in the placement of
children on the basis of race, color, or national origin.
On August 20, 1996, President Clinton signed the Small Business Job
Protection Act of 1996 which amended the Multiethnic Placement Act of
1994 (MEPA). Section 1808 of the Small Business Job Protection Act of
1996 is entitled ``Removal of Barriers to Interethnic Adoption.'' The
section affirms and strengthens the prohibition against discrimination
in adoption or foster care placements. It does this by adding to title
IV-E of the Social Security Act a State Plan requirement and penalties
which apply both to States and to adoption agencies. In addition, it
repeals section 553 of the Multiethnic Placement Act (MEPA), which has
the effect of removing from the statute the language which read
``Permissible Consideration--An agency or entity (which receives
federal assistance) may consider the cultural, ethnic, or racial
background of the child and the capacity of the prospective foster or
adoptive parents to meet the needs of a child of such background as one
of a number of factors used to determine the best interests of a
child.''
The Interethnic Adoption provisions maintain a prohibition against
delaying or denying the placement of a child for adoption or foster
care on the basis of race, color, or national origin of the adoptive or
foster parent, or the child involved as a civil rights issue, and
further add a title IV-E State Plan requirement which also prohibits
delaying and denying foster and adoptive placements on the basis of
race, color or national origin.
The provisions also subject States and entities receiving Federal
funding which are not in compliance with these title
[[Page 27740]]
IV-E State plan requirements to specific graduated financial penalties
(in cases in which a corrective action plan fails to correct the
problem).
The Congress has retained section 554 of MEPA, which requires that
child welfare services programs provide for the diligent recruitment of
potential foster and adoptive families that reflect the ethnic and
racial diversity of children in the State for whom foster and adoptive
homes are needed. This is the section that requires States to include a
provision for diligent recruitment in their title IV-B State Plans.
Set forth below is the language of the new provision. Key terms
contained in MEPA that have been eliminated are shown in brackets.
A person or government that is involved in adoption or foster
care placements may not--(a) [categorically] deny to any individual
the opportunity to become an adoptive or a foster parent, [soley] on
the basis of the race, color, or national origin of the individual,
or of the child involved; or (b) delay or deny the placement of a
child for adoption or into foster care [or otherwise discriminate in
making a placement decision, solely] on the basis of race, color, or
national origin of the adoptive or foster parent, or the child,
involved.
On December 14, 1996 President Clinton directed the Secretary of
Health and Human Services to conduct wide consultations and report to
him with specific recommendations for strategies to move children more
quickly from foster care to permanent homes and to meet the goal of at
least doubling adoptions and other permanent placement over the next
five years. The Department developed Adoption 2002 as a blueprint for
bipartisan Federal leadership in adoption and other permanency planning
for children in the public child welfare system. To prepare this
report, the Department consulted with child welfare professionals,
policy experts, advocates, and foster and adoptive parents at the
national, State and local levels. Adoption 2002 outlines an agenda to
overcome barriers to permanence and to accelerate the path to
permanency for all waiting children in the public child welfare system.
To this end, the Department commits to providing expanded technical
assistance, rewarding States for incremental increases in adoption
levels with per-child financial bonuses, and otherwise recognizing
successful performance.
B. Statutory Authority Covering This Announcement
Title II of the Child Abuse Prevention and Treatment and Adoption
Reform Act of 1978, Public Law 95-266, as amended.
C. Availability and Allocation of Funds
The Administration on Children, Youth and Families proposes to
award appropriately 25 new grants in fiscal year 1997 in varying
amounts. The total combined funding for the Priority Areas 1.01, 1.02,
1.03, 1.04, 1.05, 1.06 and 1.07 for fiscal year 1997 competitive grants
is approximately $6 million.
Part II. The Review Process and Priority Areas
A. Eligible Applicants
Each priority area description contains information about the types
of agencies and organizations which are eligible to apply under that
priority area. Because eligibility varies depending on statutory
provisions, it is critical that the ``Eligible Applicants'' section of
each priority area be reviewed carefully.
Before review, each application will be screened for applicant
organization eligibility as specified under the selected priority area.
Applications from ineligible organizations will not be considered or
reviewed in the competition, and the applicants will be so informed.
Only agencies and organizations, not individuals, are eligible to
apply under this Announcement. All applications developed jointly by
more than one agency or organization, must identify only one lead
organization and official applicant. Participating agencies and
organizations can be included as co-participants, subgrantees or
subcontractors. For-profit organizations are eligible to participate as
subgrantees or subcontractors with eligible non-profit organizations
under all priority areas.
Any non-profit organization submitting an application must submit
proof of its non-profit status in its application at the time of
submission. The non-profit agency can accomplish this by providing a
copy of the applicant's listing in the Internal Revenue Service's (IRS)
most recent list of tax-exempt organizations described in section
501(c)(3) of the IRS code or by providing a copy of the currently valid
IRS tax exemption certificate, or by providing a copy of the articles
of incorporation bearing the seal of the State in which the corporation
or association is domiciled.
B. Review Process and Funding Decisions
The closing time and date for the receipt of the applications is
4:30 p.m. (Eastern Time Zone) on August 19, 1997. Applications received
after 4:30 p.m. will be classified as late. Timely applications
received by the deadline date which are from eligible applicants will
be reviewed and scored competitively. Experts in the field, generally
persons outside the Federal government, will use the appropriate
evaluation criteria listed later in this section to review and score
the applications. The results of this review are a primary factor in
making funding decisions.
The ACYF reserves the option of discussing applications with, or
referring them to, other Federal or non-Federal funding sources when
this is in the best interest of the Federal government or the
applicants. ACYF may also solicit comments from ACF Regional Office
staff, other Federal agencies, interested foundations, national
organizations, specialists, experts, States and the general public.
These comments, along with those of the expert reviewers, will be
considered by ACYF in making funding decisions.
In making decisions on awards, ACYF may give preference to
applications which focus on or feature: Overrepresented populations of
children in the Child Welfare system waiting to be adopted; a
substantially innovative strategy with the potential to improve theory
or practice in the field of human services; a model practice or set of
procedures that holds the potential for replication by organizations
that administer or deliver human services; substantial involvement of
volunteers; substantial involvement (either financial or programmatic)
of the private sector; a favorable balance between Federal and non-
Federal funds available for the proposed project; the potential for
high benefit for low Federal investment; a programmatic focus on those
most in need; and/or substantial involvement in the proposed project by
national or community foundations.
To the greatest extent possible, efforts will be made to ensure
that funding decisions reflect an equitable distribution of assistance
among the States and geographical regions of the country, rural and
urban areas, and ethnic populations. In making these decisions, ACYF
may also take into account the need to avoid unnecessary duplication of
effort.
C. Evaluation Criteria
A panel of reviewers (primarily experts from outside the Federal
government) will review applications. To facilitate this review,
applicants should ensure that they address each
[[Page 27741]]
minimum requirement in the priority area description under the
appropriate section of the Program Narrative Statement.
The reviewers will determine the strengths and weaknesses of each
application using the evaluation criteria listed below, provide
comments and assign numerical scores. The point value following each
criterion heading indicates the maximum numerical weight.
All applications will be evaluated against the following criteria:
(1) Objective and Need for Assistance (20 points). The extent to
which the application pinpoints any relevant physical, economic,
social, financial, institutional or other problems requiring a
solution; demonstrates the need for the assistance; states the
principal and subordinate objectives of the project; provides
supporting documentation or other testimonies from concerned interests
other than the applicant; and includes and/or footnotes relevant data
based on the results of planning studies. The application must identify
the precise location of the project and area to be served by the
proposed project. Maps and other graphic aids may be attached.
(2) Approach (35 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;
cites factors which might accelerate or decelerate the work, giving
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, reductions in cost or time, or
extraordinary social and community involvements; and provides for
projections for the accomplishments to be achieved. The Approach
section should include a listing of the activities to be carried out in
chronological order, showing a reasonable schedule of accomplishments
and target dates.
The extent to which, when appropriate, the application identifies
the kinds of data to be collected and maintained, and discusses the
criteria to be used to evaluate the results and successes of the
project. The extent to which the application describes the evaluation
methodology that will be used to determine if the needs identified and
discussed are being met and if the results and benefits identified are
being achieved. The application also lists each organization, agency,
consultant, or other key individuals or groups who will work on the
project, along with a description of the activities and nature of their
effort or contribution.
(3) Results or Benefits Expected (20 points). The extent to which
the application identifies the results and benefits to be derived, the
extent to which they are consistent with the objectives of the
application, and the extent to which the application indicates the
anticipated contributions to policy, practice, theory and/or research.
The extent to which the proposed project costs are reasonable in view
of the expected results.
(4) Staff Background and Organization Experience (25 points). The
application identifies the background of the project director/principal
investigator and key project staff (including name, address, training,
educational background and other qualifying experience) and the
experience of the organization to demonstrate the applicant's ability
to effectively and efficiently administer the project. The application
describes the relationships between the proposed project and other work
planned, anticipated or underway by the applicant with Federal
assistance.
D. Structure of Priority Area Descriptions
Each priority area description is composed of the following
sections:
Eligible Applicants: This section specifies the type of
organization eligible to apply under the particular priority area.
Specific restrictions are also noted, where applicable.
Purpose: This section presents the basic focus and/or broad goal(s)
of the priority area.
Background Information: This section briefly discusses the
legislative background as well as the current state-of-the-art and/or
current state-of-practice that supports the need for the particular
priority area activity. Relevant information on projects previously
funded by ACYF and/or others, and State models are noted, where
applicable.
Minimum Requirements for Project Design: This section presents the
basic set of issues that must be addressed in the application.
Typically, they relate to project design, evaluation, and community
involvement. This section also asks for specific information on the
proposed project. Inclusion and discussion of these items is important,
since they will be used by the reviewers in evaluating the applications
against the evaluation criteria. Project products, continuation of the
project effort after the Federal support ceases, and dissemination/
utilization activities, if appropriate, are also addressed.
Project Duration: This section specifies the maximum allowable
length of time for the project period and refers to the amount of time
for which Federal funding is available.
Federal Share of Project Cost: This section specifies the maximum
amount of Federal support for the project for the first budget period.
Matching Requirements: This section specifies the minimum non-
Federal contribution, either through cash or in-kind match, required in
relation to the maximum Federal funds requested for the project.
Grantees must provide at least 10 percent of the total cost of the
project. The total cost of the project is the sum of the ACF share and
the non-Federal share. The non-Federal share may be met by cash or in-
kind contributions, although applicants are encouraged to meet the
match requirements through cash contributions. Therefore, a project
requesting $150,000 in Federal funds (based on an award of $150,000 per
budget period) must include a match of at least $16,667 (10 percent of
total project cost).
Anticipated Number of Projects To Be Funded: This section specifies
the number of projects that ACYF anticipates it will fund under the
priority area.
Catalog of Federal Domestic Assistance Number (CFDA): This section
specifies the CFDA Number for the program.
Please note that applications that do not comply with the specific
priority area requirements in the section on ``Eligible Applicants''
will not be reviewed. Applicants should also note that non-
responsiveness to the section ``Minimum Requirements for the Project
Design'' will result in a low evaluation score by the reviewers.
Applicants must clearly identify the specific priority area under which
they wish to have their applications considered, and tailor their
applications accordingly. Previous experience has shown that an
application which is broader and more general in concept than outlined
in the priority area description scores lower than one more clearly
focused on, and directly responsive to, that specific priority area.
E. Available Funds
The ACYF intends to award new grants resulting from this
announcement during the fourth quarter of fiscal year 1997, subject to
the availability of funds.
Each priority area description includes information on the maximum
Federal share of the project costs and the anticipated number of
projects to be funded.
The term ``budget period'' refers to the interval of time (usually
12 months) into which a multi-year period of assistance
[[Page 27742]]
(project period) is divided for budgetary and funding purposes. The
term ``project period'' refers to the total time a project is approved
for support, including any extensions.
Where appropriate, applicants may propose project periods which are
shorter than the maximums specified in the various priority areas. Non-
Federal share contributions may exceed the minimums specified in the
various priority areas when the applicant is able to do so. However, if
the proposed match exceeds the minimum requirement, the grantee must
maintain its proposed level of match support throughout the entire
project period. Applicants should propose only that non-Federal share
they can realistically provide, since any unmatched Federal funds will
be disallowed by ACF.
For multi-year projects, continued Federal funding beyond the first
budget period is dependent upon satisfactory performance by the
grantee, availability of funds from future appropriations and a
determination that continued funding is in the best interest of the
Government.
F. Grantee Share of Project Costs
Grantees must provide at least 10 percent of the total approved
cost of the project. The total approved cost of the project is the sum
of the ACF share and the non-Federal share. The non-Federal share may
be met by cash or in-kind contributions, although applicants are
encouraged to meet their match requirements through cash contributions.
Therefore, a project requesting $150,000 in Federal funds (based on an
award of $150,000 per budget period) must include a match of at least
$16,667 (10 percent of the total project cost). If approved for funding
the grantee will be held accountable for commitments of non-Federal
resources, and failure to provide the required amount will result in a
disallowance of unmatched Federal funds.
G. Priority Areas Included in This Announcement
1.01 Effective Collaborations for Timely Adoptions
1.02 Achieving Increased Adoptive Placement of Children in Foster
Care
1.03 Innovations to Increase Adoptive Placements of Minority
Children
1.04 Post-Legal Adoption Services
1.05 Expanding Options for Permanency
1.06 Field Initiated Applications Advancing the State-of-the-Art in
the Adoption Field
1.07 Kinship Care Adoption
H. Priority Area Descriptions and Requirements
1.01 Effective Collaboratives for Timely Adoptions
Eligible Applicants: States, local government entities, courts,
federally recognized Indian Tribes and Indian Tribal Organizations.
Purpose: To develop a system reform project that functions as an
extension of the State's Court Improvement activities through which
collaborative partnerships are formed between child welfare agencies
and the courts to reduce the time that children waiting for an adoptive
home remain in foster care by reducing delays in terminating parental
rights and finalizing adoptions.
Background Information: The Adoption Assistance and Child Welfare
Act of 1980, Public Law 96-272, charges child welfare agencies with the
responsibility of securing a safe, permanent home for every child who
comes into their care. This goal is often delayed by procedures for
terminating the parental rights of birth parents for those children for
whom adoption has been identified as the most appropriate permanent
plan.
Delays in completing terminations of parental rights (TPRs) can
often be attributed to a lack of understanding, communication and
coordination between the two systems involved with child protection:
Child welfare and courts. Social workers often have difficulty
gathering and presenting the necessary legal evidence to facilitate a
TPR. Lawyers are not experts in social work practice and the clinical
issues associated with a significant life-event like TPR and the
subsequent execution of a plan for permanency.
In recent years, ACF has awarded grants that focus on reforming
child welfare agency practices and the courts. Currently, six grantees
are testing the efficacy of non-adversarial approaches to TPR, and 48
States are participating in the Court Improvement project. The non-
adversarial approaches being tested include mediation, concurrent
planning and voluntary relinquishment. The Court Improvement project
provides funding to the highest State court for the purpose of studying
State laws and practices that impede the timely execution of child
welfare services and permanent plans. Child welfare agencies and the
courts are encouraged to collaborate with each other in both grant
programs; however, the projects tend to focus primarily on their
respective systems and do not require this type of collaboration.
ACF intends to test the efficacy of facilitating collaborations
between child welfare agencies and the courts to reduce the amount of
time between initial agency involvement, the execution of a TPR where
appropriate, and finalizing an adoption. This project must coordinate
with the State's current court improvement efforts, targeted
specifically to facilitate timely adoptions.
Minimum Requirements for Project Design: In order to successfully
compete under this priority area, the applicant should:
Demonstrate knowledge of current issues in adoption and
permanency for children in the public child welfare field.
Describe experience with reform approaches, the current
status of those initiatives, and how this initiative will build on and
complement current reform initiatives.
Describe specifically how this project integrates with the
State's court improvement activities.
Describe the collaboration including participants,
activities, and roles and responsibilities.
Provide documentation, such as memoranda of understanding,
that demonstrates that all parties in the collaboration have committed
to their respective roles and responsibilities.
Describe how this project's reform approaches will be
institutionalized.
Describe the process that will be used to identify
children and families in need of these services.
Provide assurances that project staff know and understand
policies, Federal regulations, laws and cultural issues that have
impact on permanency for children.
Describe the training/staff development components of the
project.
Describe an evaluation plan that will focus on the reform
approaches and is capable of identifying the successes and failures of
the approaches. The evaluation plan should be outcome-oriented and
include the collection and analysis of data to ascertain the
effectiveness of the collaboration. The evaluation should also include
descriptive information on the processes and procedures used in
implementing the project.
Discuss strategies for disseminating information on the
effective reform approaches of the project. Identify audiences who will
benefit from receiving the information, and specify mechanisms and
forums that will be used to convey the information, and support
replication by other interested agencies.
Provide assurances that at least one key person from the
project will attend an annual three to five day Child
[[Page 27743]]
Welfare Conference in the Washington, DC metropolitan area hosted by
the Children's Bureau. The Conference brings together child welfare
professionals including Adoption Opportunities and other Children's
Bureau discretionary program grantees to exchange information and
address current child welfare issues.
Provide assurances and document that the project will be
staffed and implemented within 90 days of the notification of the grant
award.
Provide assurance that 90 days after the project end date,
the grantee will submit a copy of the final report, evaluation report,
and any program products to the National Adoption Information
Clearinghouse, PO Box 1182, Washington, DC 20013. This is in addition
to the standard requirement that the final program report and
evaluation report must also be submitted to the Grants Management
Specialist and the Federal Project Officer.
Project Duration: The length of the project must not exceed 36
months.
Federal Share of Project Costs: The maximum Federal share of the
project is not to exceed $250,000 per 12-month budget period.
Matching or Cost Sharing Requirements: Grantees must provide at
least 10 percent of the total cost of the project. The total approved
cost of the project is the sum of the ACF share and the non-Federal
share. Therefore, a project requesting $250,000 in Federal funds (based
on an award of $250,000 per budget period) must include a match of at
least $27,778 (10 percent of the total project cost of $277,778). The
non-Federal share may be cash or in-kind contributions, although
applicants are encouraged to meet their match requirements through cash
contributions.
Anticipated Number of Projects to be Funded: It is anticipated that
5 projects will be funded.
CFDA: 93.652 Adoption Opportunities Grants: Title II of the Child
Abuse Prevention and Treatment Adoption Reform Act of 1978, Public Law
95-266, as amended.
1.02 Achieving Increased Adoptive Placement of Children in Foster Care
Eligible Applicants: Eligibility is limited to State social service
agencies.
Purpose: To develop demonstration projects to increase the
placement of children who are in foster care and are legally free for
adoption with adoptive families.
Background Information: The President announced a new directive to
members of his Cabinet to take new actions to move children more
rapidly from foster care to safe, permanent homes. The goal of the
President's ambitious new initiative is to double, by the year 2002,
the number of children in foster care who are adopted or permanently
placed each year. The directive focuses on securing homes for the tens
of thousands of children in foster care who cannot return safely to
their homes and for whom adoption is a goal.
Children in foster care who are free for adoption, especially older
children and those with special needs, often have difficulty attaining
permanence through placement with an adoptive family. There are
multiple reasons for this. Increasingly, children entering foster care
have more complex needs, which require more intensive services.
Permanent families must be continuously recruited and prepared to
parent the growing population of children who cannot return to their
birth families. Supportive services must be added or improved so that
the children in foster care who are legally free for adoption can move
into an adoptive placement in a timely manner. This requires
collaborative efforts with the court system to terminate parental
rights. In addition, agencies must commit resources for the ongoing
support of adoptive families from recruitment through the post-legal
phase.
The Adoption Opportunities Program has provided demonstration
grants to States to improve adoption services for the placement of
children with special needs who are legally free for adoption. States
have received awards to make systemic changes in their adoption
programs in areas such as: acquiring computer hardware and software and
becoming members in the National Adoption Exchange's Network;
developing a consortium of nine States with large numbers of children
in care in order to share knowledge to improve and enhance their
special needs adoption programs; and forming a seven State national
consortium on post-legal adoption services to develop and share model
programs and promising practices of post-legal adoption services for
the adoption community.
These projects have demonstrated that improvements in placing
children with adoptive families are achieved when permanent plans are
made and carried out very early in the placement; when there are
sufficiently trained and experienced staff; and when there are
available resources and administrative commitments to adoption and to
coordinated community-based efforts.
Even though more than half of the States have received grants to
improve adoption services, only a small number have been able to
sustain these efforts because of limited funds and staffing problems
and because adoption services are often not viewed as a priority.
This priority area is designed to provide incentives for States to
craft innovative initiatives to secure and sustain permanence for
children who are free for adoption. A recent legislative change
authorizes projects in this priority area to be approved for 36 months.
Minimum Requirements for Project Design: In order to successfully
compete under this priority area, the applicant should:
Identify and verify the number of children in foster care
to be served by the project who are legally free and waiting for
adoptive placement.
Provide and verify the proportion of placement of children
in foster care placed in adoption in the year preceding the application
(the proportion of placement is the number of children placed divided
by the number of children waiting for adoption).
Describe the measurable improvements to be achieved during
the period of the grant and the methods to be employed to increase the
proportion of placement of legally-free children in foster care with
adoptive families. Improvements should be specified as goals and
objectives which are measurable and represent an increase over previous
years.
Describe how the proposed improvements, if successful,
would be continued beyond the period of Federal support under this
grant as part of the agency's ongoing program and describe the specific
steps which would be taken to accomplish this.
Propose and describe an evaluation plan which will focus
on the innovations used to improve the placement of children who are
legally free for adoption and which is capable of identifying the
successes and failures of the initiative. The evaluation plan should
include the collection and analysis of data to determine placement
rates and the types of clients served (e.g., waiting children,
prospective adoptive families). Statistics should be collected to
determine the availability of adoptive families during the program
period. The evaluation should also include descriptive information on
the processes and procedures used in implementing the project.
Discuss plans for disseminating information on the
strategies utilized and the outcomes achieved. Identify audiences who
will benefit from
[[Page 27744]]
receiving the information and specify mechanisms and forums which will
be used to convey the information and support replication by other
interested agencies.
Provide assurances and document that the project will be
staffed and implemented within 90 days of the notification of the grant
award.
Describe how project will deal with non-minority
applicants who may respond to the project.
Provide assurance that 90 days after the project end date,
the Grantee will submit a copy of the final report, the evaluation
report, and any program products to the National Adoption Information
Clearinghouse, PO Box 1182, Washington, DC 20013. This is in addition
to the standard requirement that the final program report and
evaluation report must also be submitted to the Grants Management
Specialist and the Federal Project Officer.
Provide assurances that at least one key person from the
project will attend an annual three to five day Child Welfare
Conference in the Washington, DC metropolitan area hosted by the
Children's Bureau. The Conference brings together child welfare
professionals, including Adoption Opportunities and other Children's
Bureau discretionary program grantees, to exchange information and
address current child welfare issues.
Project Duration: The length of the project must not exceed 36
months.
Federal Share of Project Costs: The maximum Federal share of the
project is not to exceed $150,000 per 12-month budget period.
Matching or Cost Sharing Requirement: Grantees must provide at
least 10 percent of the total cost of the project. The total approved
cost of the project is the sum of the ACF share and the non-Federal
share. Therefore, a project requesting $150,000 in Federal funds (based
upon an award of $150,000 per budget period) must include a match of at
least $16,667 (10 percent of the total project cost of $166,667). The
non-Federal share may be cash or in-kind contributions, although
applicants are encouraged to meet their match requirements through cash
contributions.
Anticipated Number of Projects to be Funded: It is anticipated that
three projects will be funded.
CFDA: 93.652 Adoption Opportunities Grants: title II of the Child
Abuse Prevention and Treatment Adoption Reform Act of 1978 Pub. L. 95-
266, as amended.
1.03 Innovations to Increase Adoptive Placements of Minority Children
Eligible Applicants: States, local government entities, eligible
Indian Tribes and Indian Tribal Organizations, public or private non-
profit licensed child welfare or adoption agencies, and adoption
exchanges with experience in working with minority populations.
Purpose: To implement innovative programs designed to increase the
adoptive placement of minority children who are in foster care and have
the goal of adoption, with an emphasis on the recruitment, retention
and utilization of minority families and adoptive placements for
minority children who are over the age of ten and/or a part of sibling
groups.
Background Information: According to the Voluntary Cooperative
Information System administered by the American Public Welfare
Association (VCIS/APWA), in 1994 an estimated 700 children in the U.S.
were separated from their biological parents every day and placed in an
unfamiliar setting. VCIS also estimated the number of children with a
permanency goal of adoption at the end of 1994 as 60,000 and this
includes 27,000 legally free or ``waiting'' children for whom adoptive
families are actively being sought. These are children for whom it is
difficult to find an adoptive placement because they are not the young
people families often seek to adopt. It is estimated that more than 40
percent of the 27,000 children seeking an adoptive placement are 10
years old and older, and more than 58 percent are members of a minority
group.
There continues to be an insufficient pool of adoptive families,
especially for older minority children and sibling groups for whom
adoption has been deemed the preferred means of accomplishing
permanence. The purpose of the Adoption Opportunities Program is to
facilitate the elimination of barriers to adoption and to provide
permanent homes for children with special needs who are older,
disabled, of minority heritage, or in sibling groups who should be
placed together. In addition, the Multiethnic Placement Act (MEPA)
passed in 1994 was, in part, designed to facilitate the identification
and recruitment of foster and adoptive parents who can meet the needs
of the children waiting for an adoptive family. State agencies to
engage in diligent recruitment efforts to develop a pool of families
that reflect the racial, ethnic or national origin of the children in
care, and/or who can meet the needs of these children.
Minimum Requirements for Project Design: In order to successfully
compete under this priority area, the applicant should:
Identify and describe existing barriers to minority
adoption of children over 10 and children who are a part of a sibling
group in the locale where the project would be implemented; the number
of families who would be recruited; and the number of children over age
10 and the number of sibling groups who would be placed.
Describe the innovative methods that would be employed to
recruit, retain and prepare minority families for adoption of children
with special needs, especially older children and sibling groups,
making sure to include individuals who are single.
Provide assurances that the project would not require the
payment of fees by families for the adoption process.
If the applicant is not a child-placing agency, describe
the relationship with the child placing agencies and document the
contract.
Describe how training in cultural competence would be
provided to all relevant staff to increase their effectiveness in
serving minority children and families.
Present an evaluation plan for assessing the project's
effectiveness in achieving its stated goals and objectives, and its
ability to provide services to prospective adoptive families through
the completion of the adoption.
Document how the project would be continued beyond Federal
funding as part of the agency's ongoing program and describe the
specific steps which would be taken to accomplish this.
If the applicant is a private non-profit adoption agency,
it must provide evidence of licensure by submitting a copy of its
license with the application.
Discuss plans for disseminating information on the
innovations utilized. Identify audiences who will benefit from
receiving the information and specify mechanisms and forums which will
be used to convey the information and support replication by other
interested agencies.
Provide assurances that at least one key person from the
project will attend an annual three to five day Child Welfare
Conference in the Washington, D.C. metropolitan area hosted by the
Children's Bureau. The Conference brings together child welfare
professionals, including Adoption Opportunities and other Children's
Bureau discretionary program grantees, to exchange information and
address current child welfare issues.
[[Page 27745]]
Provide assurance that 90 days after project end date, the
Grantee will submit a copy of the final report, the evaluation report,
and any program products to the National Adoption Information
Clearinghouse, P.O. Box 1182, Washington, D.C. 20013. This is in
addition to the standard requirement that the final program report and
evaluation report must also be submitted to the Grants Management
Specialist and the Federal Project Officer.
Provide assurances and document that the project will be
staffed and implemented within 90 days of the notification of the grant
award.
Project Duration: The length of the project must not exceed 36
months.
Federal Share of Project Costs: The maximum Federal share of the
project is not to exceed $200,000 per 12-month budget period.
Matching or Cost Sharing Requirement: Grantees must provide at
least 10 percent of the total cost of the project. The total approved
cost of the project is the sum of the ACF share and the non-Federal
share. Therefore, a project requesting $200,000 in Federal funds (based
on an award of $200,000 per budget period) must include a match of at
least $22,223 (10 percent of the total project cost of $222,223). The
non-Federal share may be cash or in-kind contributions, although
applicants are encouraged to meet their match requirements through cash
contributions.
Anticipated Number of Projects to be Funded: It is anticipated that
three projects will be funded.
CFDA: 93.652 Adoption Opportunities Grants: Title II of the Child
Abuse Prevention and Treatment and Adoption Reform Act of 1978, Public
Law 95-266, as amended.
1.04 Post-Legal Adoption Services
Eligible Applicants: States, local government entities, and public
or private nonprofit licensed child welfare or adoption agencies. Given
limited funds, and in order to generate and financially support the
widest possible variety of issues and approaches, priority will be
given to applicants that have not been funded under this priority area
in previous fiscal years. However, previously funded applicants under
this priority area will not be precluded from receiving a grant.
Purpose: To develop or replicate post-legal adoption projects,
which will provide services to strengthen and preserve families who
have adopted children with special needs. The services provided shall
supplement, not supplant, services supported by any other funds
available to the applicant for the same general services.
Background Information: The Adoption Opportunities legislation, as
amended by Public Law 100-294, authorizes funds for increased post-
legal adoption services. Recognition of special issues in adoption in
the past decade has led adoption professionals to reconsider the
concept that agency services to adoptive families end with the legal
consummation of the adoption. Historically, once the adoption was
legally consummated, the newly-formed family was to be considered the
same as any other family. Adoption is a life-long process and service
providers need to understand the unique interpersonal dynamics of
adoption in order to provide effective post legal adoption services
(those provided after the legalization of the adoption) to families
with special needs children who seek assistance.
Project A.S.K. (Adoption Services Knowledge): A Synthesis of Post-
Legal Adoption Projects endeavors to bring adoption professionals and
child welfare policy makers abreast of current knowledge on post-legal
adoption services. Approximately 70 Adoption Opportunities grants were
reviewed in order to synthesize the knowledge gained from these efforts
and to develop a list of resources which are available as a result of
thse projects. A final report describing the types of activities and
services developed through the grant projects will be available by July
1997. This report covers services in the following categories:
Education and support for adoptive families, training for mental health
and other professionals, therapeutic intervention services, respite
care, resource development and networking, and addressing the needs of
special populations. The final report and a resource directory will be
widely disseminated including distribution to adoption specialists in
each state, agencies whose grants have been reviewed, the National
Resource Center for Special Needs Adoption, and the National Adoption
Information Clearinghouse.
ACYF has funded over 100 programs across the country including a
synthesis, to provide post-legal adoption services for families who
have adopted children with special needs as well as a synthesis of
these programs. Information on these projects can be obtained from the
National Adoption Information Clearinghouse, PO Box 1182, Washington,
DC 20013-1182, telephone: (703) 246-9095.
Funds awarded under this priority area in fiscal year 1998 will
support ongoing post-legal adoption services in communities where such
services already exist and will support the development of such
services in communities where they do not yet exist. Services funded
under this priority area shall be provided to families who have adopted
children with special needs.
Minimum Requirements for Project Design: In order to successfully
compete under this priority area, the applicant should:
Propose to provide services such as individual, group and/
or family counseling; case management; training of mental health
professionals and staff of public agencies and of private, nonprofit
child welfare and adoption agencies licensed by the State to provide
adoption services; and provide assistance to adoptive parents, adopted
children and siblings of adopted children.
Describe the models that would be developed or replicated
and the services that would be provided.
Describe the existing post-legal adoption services, if
any; the need for new services; and plans for the development,
implementation, and institutionalization of such services.
Describe how the proposed project would build upon the
existing literature and knowledge base related to post legal adoption
services.
Provide specific written commitments from collaborating or
cooperating agencies, if any.
Document how the program would be continued beyond Federal
funding.
Provide assurances that the project will be staffed and
implemented within 90 days of the notification of the grant award.
Provide assurance that 90 days after project end date, the
Grantee will submit a copy of the final report, the evaluation report,
and any program products to the National Adoption Information
Clearinghouse, PO Box 1182, Washington, DC 20013. This is in addition
to the standard requirement that the final program report and
evaluation report must also be submitted to the Grants Management
Specialist and the Federal Project Officer.
Specify a plan to carry out an independent evaluation of
the effectiveness of the demonstration. It is suggested that the
applicant should identify a qualified person from a university or
research organization who will be involved in the design of the effort
and provide ongoing consultation to the project. This would include
criteria for case identification, outcomes to be measured, methodology
for data
[[Page 27746]]
collection, and determining an adequate sample size at each stage of
the demonstration, as well as analysis of data and writing of the final
report.
Provide assurances that at least one key person from the
project will attend an annual three to five day Child Welfare
Conference in Washington, D.C. metropolitan area hosted by the
Children's Bureau. The Conference brings together child welfare
professionals, including Adoption Opportunities and other Children's
Bureau discretionary program grantees, to exchange information and
address current child welfare issues.
If the applicant is a private non-profit adoption agency,
it must provide evidence of licensure by submitting a copy of its
license application.
Project Duration: The length of the project must not exceed 36
months.
Federal Share of Project Costs: The maximum Federal share is not to
exceed $200,000 per 12-month budget period.
Matching or Cost Sharing Requirements: Grantees must provide at
least 10 percent of the total cost of the project. The total approved
cost of the project is the sum of the ACYF share and the non-Federal
share. Therefore, a project requesting $200,000 in Federal funds must
include a match of at least $22,223 (10 percent of the total project
cost of $222,223). The non-Federal share may be cash or in-kind
contributions, although applicants are encouraged to meet their match
requirements through cash contributions.
Anticipated Number of Projects to be Funded: It is anticipated that
three projects will be funded.
CFDA: 93.652 Adoption Opportunities Grants: Title II of the Child
Abuse Prevention and Treatment Act of 1978, Public Law 95-266, as
amended.
1.05 Expanding Options for Permanency
Eligible Applicants: States, local government entities, eligible
Indian Tribes and Indian Tribal Organizations, public or private non-
profit licensed child welfare or adoption agencies that currently serve
children in the public welfare child system.
Purpose: To develop a reform project that incorporates or
strengthens the practice of one or more of the following non-
adversarial options for permanency: Voluntary relinquishment,
concurrent planning and/or mediation.
Background Information: The Adoption Assistance and Child Welfare
Act of 1980, Public Law 96-272, mandates securing a safe, permanent
home for every child. The child welfare system continues to struggle
with meeting this goal in a timely fashion. The practice base for
achieving permanency for children is too often based on adversarial or
involuntary methods. The major practice is to seek involuntary
termination of parental rights (TPR) for children for whom adoption is
considered the best permanency plan. Involuntary termination of
parental rights can be a lengthy and expensive process which may
involve court appeals. The procedure can also be emotionally stressful
for birth, foster and prospective adoptive parents and the child.
Frequently this practice is insensitive to the need of some children to
maintain connections with their birth families. Although necessary in
some cases, TPR and other practices of a similar tone, have failed to
significantly reduce the large number of children in the foster care
system waiting to be freed for adoption, to be adopted, or for other
permanent arrangements.
Alternatively, the child welfare system is encouraged to focus on
approaches that set a different tone and emphasize non-adversarial
front-end practices and procedures and strengthen the agency's capacity
to achieve earlier and better outcomes for children and their families.
Expanding options for permanency which encourage cooperative processes
and early decision making among all parties involved and will promote
achieving child, family, and system well-being.
The demonstration projects funded under this priority area should
be designed to inform the field about the efficacy of these non-
adversarial approaches in achieving permanency earlier, more quickly
and more sensitively for these children. Permanency is broadly
conceptualized to include adoption, guardianship to a relative or non-
relative and parental consent to relative or non-relative adoption. One
or a combination of the following approaches can be included in the
demonstration: Mediation, concurrent planning or voluntary
relinquishment.
Mediation is the voluntary, non-coercive process of negotiation
with the assistance of a neutral, impartial third party. The aim of
mediation in child welfare and permanency is to encourage birth
parents, extended relatives and foster and/or adoptive parents to
cooperate in making decisions that reflect the best interest of the
child and reinforce family responsibility.
Concurrent Planning is the process of workers developing
alternative permanent plans for children during their initial contact
with the child welfare system. Concurrent planning involves enacting a
plan for family preservation or reunification with the child's birth
family, while simultaneously engaging in planning for alternative
permanency placements such as adoption and kinship care for children
where return home is unlikely.
Relinquishment is a voluntary process of transferring parental
rights to an authorized child welfare agency. It is often used at the
request of the parent and can be provided at any point along the child
welfare service continuum. In recent years it has been used by child
welfare workers, and the professional skill associated with counseling
parents on the issues of voluntary relinquishment have eroded.
This priority area encourages child welfare system reform by
incorporating and/or strengthening non-adversarial approaches into
practice to achieve permanency for children in the child welfare
system.
Minimum Requirements for Project Design: In order to successfully
compete under this priority area, the applicant should:
Demonstrate knowledge of current issues in adoption and
permanency for children in the public child welfare field.
Describe the project and explain why a particular system
reform approach or set of approaches is being selected. Demonstrate
knowledge and understanding of the reform approach or approaches
selected. If more than one approach is selected, describe how they are
linked.
Describe how the approach(es) to be used in this
demonstration differ from current agency practice and how this
project's reform approaches will be institutionalized.
Describe the measurable goals and objectives of the
project to be used to determine if the approach selected led to an
increase in achieving permanency earlier.
Describe the process and criteria that will be used to
identify children and families in need of these services.
Describe how the birth families and extended families will
be involved in the permanency planning process.
Provide assurances that project staff are knowledgeable of
policies, Federal regulations, laws and cultural issues that impact on
permanency for children.
Provide assurances and document that the project would be
staffed and implemented within 90 days of the notification of the grant
award.
Describe the training/staff development components of the
project.
If the project involves coordination with other agencies,
present a plan clarifying how these agencies will work
[[Page 27747]]
with the applicant to accomplish project goals and objectives.
Describe an evaluation plan which will focus on the reform
approaches and which is capable of identifying the successes and
failures of the approaches.
The evaluation plan should be outcome oriented and include the
collection and analysis of data to ascertain the effectiveness of the
non-adversarial options for permanency. The evaluation should also
include descriptive information on the processes and procedures used in
implementing the project.
Discuss strategies for disseminating information on the
reform approaches utilized. Identify audiences who will benefit from
receiving the information and specify mechanisms and forums which will
be used to convey the information and support replication by other
interested agencies.
If the applicant is a non-profit private agency, it must
provide assurance that the children to be served through this
demonstration are public agency children.
Provide assurance that 90 days after project end date, the
Grantee will submit a copy of the final report, the evaluation report,
and any program products to the National Adoption Information
Clearinghouse, PO Box 1182, Washington, DC 20013. This is in addition
to the standard requirement that the final program report and
evaluation report must also be submitted to the Grants Management
Specialist and the Federal Project Officer.
Provide assurances that at least one key person from the
project will attend an annual three to five day Child Welfare
Conference in the Washington, D.C. metropolitan area hosted by the
Children's Bureau. The Conference brings together child welfare
professionals, including Adoption Opportunities and other Children's
Bureau discretionary program grantees to exchange information and
address current child welfare issues.
Project Duration: The length of the project must not exceed 36
months.
Project Share of Project Costs: The maximum Federal share of the
project is not to exceed $200,000 per 12-month budget period.
Matching Requirement: Grantees must provide at least 10 percent of
the total approved cost of the project. The total approved cost of the
project is the sum of the ACF share and the non-Federal share.
Therefore, a project requesting $200,000 in Federal funds (based upon
an award of $200,000 per budget period) must include a match of at
least $22,223 (10 percent of the total project cost of $222,223). The
non-Federal share may be cash or in-kind contributions, although
applicants are encouraged to meet their match requirements through cash
contributions.
Anticipated Number of Projects to be Funded: It is anticipated that
four projects will be funded.
CFDA: 93.652 Adoption Opportunities Grants: Title II of the Child
Abuse Prevention and Treatment and Adoption Reform Act of 1978, Pub. L.
95-266, as amended.
1.06 Field Initiated Applications Advancing the State-of-the-Art in
the Adoption Field
Eligible Applicants: State, regional or local public child welfare
or adoption agencies and voluntary child welfare or adoption agencies
or organizations. Voluntary agencies that apply should coordinate their
applications with relevant public agencies.
Purpose: To improve adoption services to children with special
needs through activities which are not addressed elsewhere in this
announcement. This priority area provides public and voluntary agencies
and organizations involved in the adoption process with an opportunity
to present innovative ideas for improving child welfare and adoption
systems that are consistent with the President's Directive on Adoption.
Background Information: Public child welfare workers who provide
adoption services are often overburdened because of a shortage of staff
and an increasing child welfare caseload. In many public agencies, the
adoption staff are expected to provide services not only to children
with special needs and their potential adoptive families, but also to
families requesting independent, intercountry and other types of
adoption services. There is also a rising need to provide post legal
adoption services to prevent the disruption and/or dissolution of
adoptive placements and preserve adoptive families. Furthermore,
agencies are also faced with an increasing responsibility for search
and reunion services. This places substantial burdens on the limited
adoption agency resources which are needed to serve the children with
special needs.
President Clinton has initiated and is committed to efforts to
increase the number of children who achieve permanency from the public
child welfare system. In December 1996, the President issued a
directive on adoption to bring the Federal government into a partership
with States and communities to increase the number of children securing
permanency goals in the public child welfare system. The Department has
submitted a report that includes policy and programmatic proposals to
double the number of children who achieve permanency over the next five
years.
At any given time, approximately 27,000 children are legally free
for adoption. Minority children continue to languish in foster care.
Older children and sibling groups also continue to present unique
challenges. Other sub-populations, such as drug exposed infants and
medically fragile infants, will be or are currently testing the
capacity of adoption programs. Innovative efforts, such as those
embodying the spirit of public-private partnerships, are needed to
provide permanent adoptive homes to all waiting children.
There are so many complex and challenging issues that face the
public sector in providing permanent homes for children who have
special needs. Therefore, ACYF is requesting field initiated proposals
with a preference given to those that address areas outlined in the
Directive in serving children with special needs for whom adoption is
the plan. These proposals must be innovative and cannot be a
replication of a previous project or be responsive to other priority
areas in this announcement.
Minimum Requirements for Project Design: In order to compete
successfully under this priority area, the applicant should:
Describe the agency's current adoption program and the
specific problem(s) that would be addressed.
Describe the approach that would be used to alleviate the
problem(s).
Provide specific written commitments from cooperating or
collaborating agencies, if any.
Provide for an evaluation of the project and include a
discussion of the proposed evaluation design. The evaluation should
focus on child and family outcome measures (e.g. number of families
recruited, number of children placed, disruption rates, etc).
Describe how the agency would incorporate successful
results of the project into its ongoing program.
Provide assurances that at least one person from the
project would attend an annual three to five day Child Welfare
Conference in Washington, DC metropolitan area hosted by the Children's
Bureau. The Conference brings together child welfare professionals,
including Adoption Opportunities and other Children's Bureau
discretionary program grantees to exchange information and address
current child welfare issues.
[[Page 27748]]
Provide assurance that 90 days after project end date, the
Grantee will submit a copy of the final report, the evaluation report,
and any program products to the National Adoption Information
Clearinghouse, PO Box 1182, Washington, DC 20013. This is in addition
to the standard requirement that the final program report and
evaluation report must also be submitted to the Grants Management
Specialist and the Federal Project Officer.
Provide assurances that the project would be staffed and
implemented within 90 days of the notification of the grant award.
Describe the reports and/or other products that would be
developed under the project, including the types of information that
would be presented and the steps that would be undertaken to
disseminate and promote the utilization of project products and
findings.
Project Duration: The length of the project must not exceed 36
months.
Federal Share of Project Costs: The maximum Federal share of the
project is not to exceed $200,000 per 12-month budget period.
Matching or Cost Sharing Requirements: Grantees must provide at
least 10 percent of the total cost of the project. The total approved
cost of the project is the sum of the ACYF share and the non-Federal
share. Therefore, a project requesting $200,000 in Federal funds (based
upon an award of $200,000 per budget period) must include a match of at
least $22,223 (10 percent of the total project cost of $222,223). The
non-Federal share may be cash or in-kind contributions, although
applicants are encouraged to meet their match requirements through cash
contributions.
Anticipated Number of Projects to be Funded: It is anticipated that
six projects will be funded.
CDFA: 93.652 Adoption Opportunities Grants: Title II of the Child
Abuse Prevention and Treatment Act of 1978, Pub. L. 95-266, as amended.
1.07 Kinship Care Adoption
Eligible Applicants: Public child welfare agencies in cooperation
with private foster care and adoption agencies and/or university and
social service organizations in cooperation with public and private
foster care and adoption agencies.
Purpose: To increase the adoption of children in relative foster
care and to remove the barriers to such adoptions within the child
welfare system.
Background Information: Relative foster care, also called kinship
foster care, has become increasingly common. Although we are learning
more about these types of placements, information about these
placements is sparse. There is general agreement that children placed
with relatives are not returned to their parents or placed in permanent
homes as quickly as children in non-relative homes. Some argue that
relative placements are more stable than non-related placements. In
addition to the limited use of adoption for relatives, agencies are
concerned about the appropriate level of supervision, the appropriate
certification standards for the relative's home, the permanency goals
for the children, and the disparity between cash assistance support
payments available to relatives and those allowed under foster care and
adoption assistance.
Minimum Requirements for Project Design: In order to compete
successfully under this priority area, the applicant should:
Demonstrate access to an adequate number of children (more
than 100) who have already been placed with relatives for more than one
year.
Provide letters of commitment in the application from both
foster care and adoption agencies or divisions of these agencies
indicating that they would actively participate in the review of cases
and assist in the development of criteria for the selection of
demonstration cases.
Specify a plan for the review of cases and the criteria
that would be employed in determining the appropriateness of moving to
adoption, including the requirement that children selected must be
those for whom reunification with birth parents is not possible.
Propose to develop and test effective methods for moving
the case toward an alternative permanent goal, e.g. adoption by
relatives currently acting as foster parents; adoption within the
kinship group, that is, by other appropriate family members; non-
federally subsidized legal guardianship to a relative; or adoption by
non-relatives.
Identify existing barriers within the system which prevent
or inhibit the increase of adoptions, or other permanent arrangements
as specified above. Barriers may include, but are not limited to,
agency and court practices; regulations and policies at the State and
Federal level; lack of appropriate knowledge concerning the orientation
of relatives to the values of legal adoption; and attitudes, beliefs
and values of agency staff, as well as the values, economic status and
other circumstances of relatives which may inhibit or delay the
movemnent of children into permanent adoptive homes or other permanent
arrangements.
Specify a plan to carry out an independent evaluation of
the effectiveness of the demonstration. It is suggested that the
applicant should identify a qualified person who will provide ongoing
consultation to the project. The evaluation plan should be outcome
oriented and include the collection of and analysis of data to
ascertain the barriers to relative adoptions.
Provide assurances that at least one key person from the
project will attend an annual three to five day Child Welfare
Conference in the Washington, DC metropolitan area hosted by the
Children's Bureau. The Conference brings together child welfare
professionals, including Adoption Opportunities and other Children's
Bureau discretionary program grantees to exchange information and
address current child welfare issues.
Describe the reports and/or other products that would be
developed under the project, including the types of information that
would be presented and the steps that would be undertaken to
disseminate and promote the utilization of project products and
findings.
Provide assurance that 90 days after project end date, the
Grantee will submit a copy of the final report, the evaluation report,
and any program products to the National Adoption Information
Clearinghouse, PO Box 1182, Washington, DC 20013. This is in addition
to the standard requirement that the final program report and
evaluation report must also be submitted to the Grants Management
Specialist and the Federal Project Officer.
Provide assurances that the project would be staffed and
implemented within 90 days of the notification of the grant award.
Project Duration: The length of the project must not exceed 36
months.
Federal Share of Project Costs: The maximum Federal share of the
project is not to exceed $200,000 per 12-month budget period.
Matching or Cost Sharing Requirements: Grantees must provide at
least 10 percent of the total cost of the project. The total approved
cost of the project is the sum of the ACF share and the non-Federal
share. Therefore, a project requesting $200,000 in Federal funds (based
on an award of $200,000 per budget period) must include a
[[Page 27749]]
match of at least $22,223 (10 percent of the total project cost of
$222,223). The non-Federal share may be cash or in-kind contributions,
although applicants are encouraged to meet their match requirements
through cash contributions.
Anticipated Number of Projects to be Funded: It is anticipated that
four projects will be funded.
CFDA: 93.652 Adoption Opportunities Grants: Title II of the Child
Abuse Prevention and Treatment and Adoption Reform Act of 1978, Pub. L.
95-266, as amended.
Part III. Instructions for the Development and Submission of
Applications
This part contains information and instructions for submitting
applications in response to this announcement. Application forms are
provided, along with a checklist, for assembling an application
package. Please copy and use these forms in submitting an application.
Potential applicants should read this section carefully in
conjunction with the information contained within the specific priority
area under which the application is to be submitted. The priority area
descriptions are in Part II.
A. Paperwork Reduction Act of 1995
Under the Paperwork Reduction Act of 1995 (Pub. L. 104-13), the
Department is required to submit to OMB for review and approval any
reporting and record keeping requirements or program announcements.
This program announcement meets all information collection requirements
approved for ACF grant applications under OMB Control Number 0970-0139.
An agency may not conduct or sponsor, and a person is not required to
respond to, a collection of information unless it displays a currently
valid OMB control number.
B. Availability of Forms
Eligible applicants interested in applying for funds must submit a
complete application including the required forms at the end of this
program announcement in Appendix A. In order to be considered for a
grant under this announcement, an application must be submitted on the
Standard Form 424 (approved by the Office of Management and Budget
under Control Number 0348-0043). A copy has been provided. Each
application must be signed by an individual authorized to act for the
applicant and to assume responsibility for the obligations imposed by
the terms and conditions of the grant award. Applicants requesting
financial assistance for non-construction projects must file the
Standard Form 424B, ``Assurances: Non-Construction Programs'' (approved
by the Office of Management and Budget under control number 0348-0040).
Applicants must sign and return the Standard Form 424B with their
application. Applicants must provide a certification regarding lobbying
(approved by the Office of Management and Budget under Control Number
0348-0046). Prior to receiving an award in excess of $100,000,
applicants shall furnish an executed copy of the lobbying certification
(approved by the Office of Management and Budget under control number
0348-0046). Applicants must sign and return the certification with
their application.
Applicants must make the appropriate certification of their
compliance with the Drug Free Workplace Act of 1988. By signing and
submitting the application, applicants are providing the certification
and need not mail back the certification with the application.
Applicants must make the appropriate certification that they are
not presently debarred, suspended or otherwise ineligible for an award.
By signing and submitting the application, applicants are providing the
certification and need not mail back the certification with the
application.
Applicants will be held accountable for the smoking prohibition
included within Public Law 103-227, Part C Environmental Tobacco Smoke
(also known as the Pro-Children's Act of 1994). A copy of the Federal
Register notice which implements the smoking prohibition is included
with the forms. By signing and submitting the application, applicants
are providing the certification and need not mail back the
certification with the application.
All applicants for research projects must provide a Protection of
Human Subjects Assurance as specified in Appendix A. If there is a
question regarding the applicability of this assurance, contact the
Office of Protection from Research Risks of the National Institutes of
Health at (301) 496-7041. Those applying for or currently conducting
research projects are further advised of the availability of a
Certificate of Confidentiality through the National Institute of Mental
Health of the Department of Health and Human Services. To obtain more
information and to apply for a Certificate of Confidentiality, contact
the Division of Extramural Activities of the National Institute of
Mental Health at (301) 443-4673.
C. Required Notification of the State Single Point of Contact
The Adoption Opportunities Program is not covered under Executive
Order 12372, Intergovernmental Review of Federal Programs. Therefore,
notification of the State Single Point of Contact is unnecessary.
D. Deadline for Submission of Applications
The closing time and date for the receipt of applications under
this announcement is 4:30 p.m. (Eastern Time Zone) on August 19, 1997.
Applications received after 4:30 p.m. will be classified as late.
Deadline: Mailed applications shall be considered as meeting an
announced deadline if they are received on or before the deadline time
and date at the U.S. Department of Health and Human Services,
Administration for Children and Families, Division of Discretionary
Grants, 370 L'Enfant Promenade SW, Mail Stop 6C-462, Washington, DC
20447 (Reference Announcement Number and Priority Area). Applicants are
responsible for mailing applications well in advance, when using all
mail services, to ensure that the applications are received on or
before the deadline time and date. Applications hand-carried by
applicants, applicant couriers, or by overnight/express mail couriers
shall be considered as meeting an announced deadline if they are
received on or before the deadline date, between the hours of 8 a.m.
and 4:30 p.m. at the U.S. Department of Health and Human Services,
Administration for Children and Families, Division of Discretionary
Grants, ACF Mailroom, 2nd Floor Loading Dock, Aerospace Center, 901 D
Street, SW, Washington, DC 20024, between Monday and Friday (excluding
Federal Holidays). Applicants are cautioned that express/overnight mail
services do not always deliver as agreed.
ACF cannot accommodate transmission of applications by fax or
through other electronic media. Therefore, applications faxed to ACF
will not be accepted regardless of date or time of submission and time
of receipt.
Late Applications: Applications which do not meet the criteria
above are considered late applications. ACF shall notify each late
applicant that its application will not be considered in the current
competition.
Extension of Deadlines: ACF may extend the deadline for all
applicants because of acts of God such as floods, hurricanes, etc., or
when there is a widespread disruption of the mails.
[[Page 27750]]
However, if the granting agency does not extend the deadline for all
applicants, it may not waive or extend the deadline for any applicants.
E. Instructions for Preparing the Application and Completing
Application Forms
Applicants are required to use the Standard Forms, Certifications,
Disclosures and Assurances provided under Appendix A.
The SF 424, 424A (approved by OMB under Control Number 0348-0044),
424B, and certifications are included in Appendix A. You should
reproduce single-sided copies of these forms from the reprinted forms
in the announcement, typing your information onto the copies. Please do
not use forms directly from the Federal Register announcement, as they
are printed on both sides of the page.
Please prepare your application in accordance with the following
instructions:
1. SF 424 Page 1, Application Cover Sheet. Please read the
following instructions before completing the application cover sheet.
An explanation of each item is included. Complete only the items
specified.
Top of Page. Enter the single priority area number under which the
application is being submitted under only one priority area.
Item 1. Type of submission--Preprinted on the form.
Item 2. Date Submitted and Applicant Identifier--Date application
is submitted to ACYF and applicant's own internal control number, if
applicable.
Item 3. Date Received By State--State use only (if applicable).
Item 4. Date Received by Federal Agency--Leave blank.
Item 5. Applicant Information Legal Name--Enter the legal name of
the applicant organization. For applications developed jointly, enter
the name of the lead organization only. There must be a single
applicant for each application.
Organizational Unit--Enter the name of the primary unit within the
applicant organization which will actually carry out the project
activity. Do not use the name of an individual as the applicant. If
this is the same as the applicant organization, leave the
organizational unit blank.
Address--Enter the complete address that the organization actually
uses to receive mail, since this is the address to which all
correspondence will be sent. Do not include both street address and
P.O. box number unless both must be used in mailing.
Name and telephone number of the person to be contacted on matters
involving this application (give area code)--Enter the full name
(including academic degree, if applicable) and telephone number of a
person who can respond to questions about the application. This person
should be accessible at the address given here and will receive all
correspondence regarding the application.
Item 6. Employer Identification Number (EIN)--Enter the employer
identification number of the applicant organization, only provide the
prefix and suffix assigned by the DHHS Central Registry System.
Item 7. Type of Applicant--Self-explanatory.
Item 8. Type of Application--Preprinted on the form.
Item 9. Name of Federal Agency--Preprinted on the form.
Item 10. Catalog of Federal Domestic Assistance Number and Title--
Enter the Catalog of Federal Domestic Assistance (CFDA) number assigned
to the program under which assistance is requested and its title, as
indicated in the relevant priority area description.
Item 11. Descriptive Title of Applicant's Project--Enter the
project title. The title is generally short and is descriptive of the
project, not the priority area title. Place the priority area number in
parenthesis after the main program title.
Item 12. Areas Affected by Project--Enter the governmental unit
where significant and meaningful impact could be observed. List only
the largest unit or units affected, such as State, county, or city. If
an entire unit is affected, list it rather than subunits.
Item 13. Proposed Project--Enter the desired start date for the
project and projected completion date.
Item 14. Congressional District of Applicant/Project--Enter the
number of the Congressional District where the applicant's principal
office is located and the number of the Congressional district(s) where
the project will be located. If statewide, a multi-State effort, or
nationwide, enter 00.
Items 15. Estimated Funding Levels: In completing 15a through 15f,
the dollar amounts entered should reflect, for a 12 month budget
period, the total amount requested. If the proposed project period
exceeds 17 months, enter only those dollar amounts needed for the first
12 months of the proposed project.
Item 15a. Enter the amount of ACF funds requested in accordance
with the preceding paragraph. This amount should be no greater than the
maximum amount specified in the priority area description.
Item 15b-e. Enter the amount(s) of funds from non-Federal sources
that will be contributed to the proposed project. Items b-e are
considered cost-sharing or matching funds. The value of third party in-
kind contributions should be included on appropriate lines as
applicable.
Items 15f. Enter the estimated amount of income, if any, expected
to be generated from the proposed project. Do not add or subtract this
amount from the total project amount entered under item 15g. Describe
the nature, source and anticipated use of this income in the Project
Narrative Statement.
Item 15g. Enter the sum of items 15a-15e.
Item 16a. Is Application Subject to Review By State Executive Order
12372 Process? This item does not apply to this Announcement and no
entry is to be made in this box.
Item 16b. Is Application Subject to Review By State Executive Order
12372 process? No.--Place a check in this box.
Item 17. Is the Applicant Delinquent on any Federal Debt?-- Check
the appropriate box. This question applies to the applicant
organization, not the person who signs as the authorized
representative. Categories of debt include audit disallowances, loans
and taxes.
Item 18. To the best of my knowledge and belief, all data in this
application/preapplication are true and correct. The document has been
duly authorized by the governing body of the applicant and the
applicant will comply with the attached assurances if the assistance is
awarded.--To be signed by the authorized representative of the
applicant. A copy of the governing body's authorization for signature
of this application by this individual as the official representative
must be on file in the applicant's office, and may be requested from
the applicant.
Item 18a-c. Typed Name of Authorized Representative, Title,
Telephone Number--Enter the name, title and telephone number of the
authorized representative of the applicant organization.
Item 18d. Signature of Authorized Representative--Signature of the
authorized representative named in Item 18a. At least one copy of the
application must have an original signature. Use colored ink (not
black) so that the original signature is easily identified.
Item 18e. Date Signed--Enter the date the application was signed by
the authorized representative.
2. SF 424A--Budget Information--Non-Construction Programs. This is
a form used by many Federal agencies. For this application, Sections A,
B, C, E
[[Page 27751]]
and F are to be completed. Section D does not need to be completed.
Sections A and B should include the Federal as well as the non-
Federal funding for the proposed project covering the first year budget
period.
Section A--Budget Summary. This section includes a summary of the
budget. On line 5, enter total Federal costs in column (e) and total
non-Federal costs, including third party in-kind contributions, but not
program income, in column (f). Enter the total of (e) and (f) in column
(g).
Section B--Budget Categories. This budget, which includes the
Federal as well as non-Federal funding for the proposed project, covers
the first year budget period if the proposed project period exceeds 12
months. It should relate to item 15g, total funding, on the SF 424.
Under column (5), enter the total requirements for funds (Federal and
non-Federal) by object class category.
A separate itemized budget justification for each line item is
required. The types of information to be included in the justification
are indicated under each category. For multiple year projects, it is
desirable to provide this information for each year of the project.
Applicants should refer to the Budget and Budget Justification
information in the Program Narrative section in Appendix A.
Personnel--Line 6a. Enter the total costs of salaries and wages of
applicant/grantee staff. Do not include the costs of consultants, which
should be included on line 6h, Other.
Justification: Identify the principal investigator or project
director, if known. Specify by title or name the percentage of time
allocated to the project, the individual annual salaries, and the cost
to the project (both Federal and non-Federal) of the organization's
staff who will be working on the project.
Fringe Benefits--Line 6b. Enter the total cost of fringe benefits,
unless treated as part of an approved indirect cost rate.
Justification: Provide a break-down of amounts and percentages that
comprise fringe benefit costs, such as health insurance, FICA,
retirement insurance, etc.
Travel--6c. Enter total costs of out-of-town travel (travel
requiring per diem) for staff of the project. Do not enter costs for
consultant's travel or local transportation, which should be included
on Line 6h, Other.
Justification: Include the name(s) of traveler(s), total number of
trips, destinations, length of stay, transportation costs and
subsistence allowances.
Equipment--Line 6d. Enter the total costs of all equipment to be
acquired by the project. Equipment means an article as non-expendable,
tangible personal property having a useful life of more than one year
and an acquisition cost which equals or exceeds the lesser of (a) the
capitalization level established by the organization for the financial
statement purposes, or (b) $5,000.
Justification: Equipment to be purchased with Federal funds must be
justified. The equipment must be required to conduct the project, and
the applicant organization or its subgrantees must not have the
equipment or a reasonable facsimile available to the project. The
justification also must contain plans for future use or disposal of the
equipment after the project ends.
Supplies--Line 6e. Enter the total costs of all tangible expendable
personal property (supplies) other than those included on Line 6d.
Justification: Specify general categories of supplies and their
costs.
Contractual--Line 6f. Enter the total costs of all contracts,
including (1) Procurement contracts (except those which belong on other
lines such as equipment, supplies, etc.) and (2) contracts with
secondary recipient organizations, including delegate agencies. Also
include any contracts with organizations for the provision of technical
assistance. Do not include payments to individuals on this line. If the
name of the contractor, scope of work, and estimated total costs are
not available or have not been negotiated, include on Line 6h, other.
Justification: Attach a list of contractors, indicating the names
of the organizations, the purposes of the contracts, and the estimated
dollar amounts of the awards as part of the budget justification.
Whenever the applicant/grantee intends to delegate part or all of the
program to another agency, the applicant/grantee must complete this
section (Section B, Budget Categories) for each delegate agency by
agency title, along with the supporting information. The total cost of
all such agencies will be part of the amount shown on Line 6f. Provide
backup documentation identifying the name of contractor, purpose of
contract, and major cost elements. Applicants who anticipate
procurement that will exceed $5,000 (non-governmental entities) or
$25,000 (governmental entities) and are requesting an award without
competition should include a sole source justification in the proposal
which at a minimum should include the basis for contractor's selection,
justification for lack of competition when competitive bids or offers
are not obtained and basis for award cost or price.
(Note: Previous or past experience with a contractor is not
sufficient justification for sole source.)
Construction--Line 6g. Not applicable. New construction is not
allowable.
Other--Line 6h. Enter the total of all other costs. Where
applicable, such costs may include, but are not limited to: Insurance;
medical and dental costs; noncontractual fees and travel paid directly
to individual consultants; local transportation (all travel which does
not require per diem is considered local travel); space and equipment
rentals; printing and publication; computer use; training costs,
including tuition and stipends; training service costs, including wage
payments to individuals and supportive service payments; and staff
development costs. Note that costs identified as miscellaneous and
honoraria are not allowable.
Justification: Specify the costs included.
Total Direct Charge--Line 6i. Enter the total of Lines 6a through
6h.
Indirect Charges--6j. Enter the total amount of indirect charges
(costs). If no indirect costs are requested, enter none. Generally,
this line should be used when the applicant has a current indirect cost
rate agreement approved by the Department of Health and Human Services
or another Federal agency.
Local and State governments should enter the amount of indirect
costs determined in accordance with DHHS requirements. When an indirect
cost rate is requested, these costs are included in the indirect cost
pool and should not be charged again as direct costs to the grant.
Justification: Enclose a copy of the indirect cost rate agreement.
Total--Line 6k. Enter the total amounts of lines 6i and 6j.
Program Income--Line 7. Enter the estimated amount, if any,
expected to be generated from this project. Do not add or subtract this
amount from the total project amount.
Justification: Describe the nature, source, and anticipated use of
program income in the Program Narrative Statement.
Section C--Non-Federal Resources. This section summarizes the
amounts of non-Federal resources that will be applied to the grant.
Enter this information on line 12, entitled ``Totals''. In-kind
contributions are defined in 45 CFR, part 74 and 45 CFR part 92.
[[Page 27752]]
Justification: Describe third party in-kind contributions, if
included.
Section D--Forecasted Cash Needs, Not applicable.
Section E--Budget Estimate of Federal Funds Needed For Balance of
the Project. This section should only be completed if the total project
period exceeds 12 months.
Totals--Line 20. For projects that will have more than one budget
period, enter the estimated required Federal funds for the second
budget period (months 13 through 24) under column (b) ``First''. If a
third budget period will be necessary, enter the Federal funds needed
for months 25 through 36 under (c) ``Second''. Columns (d) would be
used in the case of a 48 month project period. Column (e) would not
apply.
Section F--Other Budget Information.
Direct Charges--Line 21, Not applicable.
Indirect Charges--Line 22, Enter the type of indirect rate
(provisional, predetermined, final or fixed) that will be in effect
during the funding period, the estimated amount of the base to which
the rate is applied, and the total indirect expense.
Remarks--Line 23. If the total project period exceeds 12 months,
you must enter your proposed non-Federal share of the project budget
for each of the remaining years of the project.
3. Project Summary Description. Clearly mark this separate page
with the applicant name as shown in item 5 of the SF 424, the priority
area number as shown at the top of the SF 424, and the title of the
project as shown in item 11 of the SF 424. The summary description
should not exceed 300 words. These 300 words become part of the
computer database on each project.
Care should be taken to produce a summary description which
accurately and concisely reflects the application. It should describe
the objectives of the project, the approaches to be used and the
outcomes expected. The description should also include a list of major
products that will result from the proposed project, such as software
packages, materials, management procedures, data collection
instruments, training packages, or videos (please note that
audiovisuals should be closed captioned). The project summary
description, together with the information on the SF 424, will
constitute the project abstract. It is the major source of information
about the proposed project and is usually the first part of the
application that the reviewers read in evaluating the application.
At the bottom of the page, following the summary description, type
up to 10 key words which best describe the proposed project, the
service(s) involved and the target population(s) to be covered. These
key words will be used for computerized information retrieval for
specific types of funded projects. Applicants should refer to the
instructions in Appendix A--under the Program Narrative Section
regarding the project summary.
4. Program Narrative Statement. The Program Narrative Statement is
a very important part of an application. It should be clear, concise,
and address the specific requirements mentioned under the priority area
description in Part II.
The narrative should provide information concerning how the
application meets the evaluation criteria using the following headings:
(a) Objective and Need for Assistance;
(b) Results and Benefits Expected;
(c) Approach; and
(d) Staff Background and Organization's Experience.
The narrative should be typed double-spaced on a single-side of an
8\1/2\'' x 11'' plain white paper, with 1'' margins on all sides, using
standard type sizes or fonts (e.g. Times Roman 12 or Courier 10).
Applicants should not submit reproductions of larger size paper reduced
to meet the size requirement. Applicants are requested not to send
pamphlets, brochures, or other printed material along with their
application as they pose copying difficulties. All pages of the
narrative (including charts, references/footnotes, tables, maps,
exhibits, etc.) must be sequentially numbered, beginning with
``Objective and Need for Assistance'', as page number one.
The length of the application, including the application forms and
all attachments, should not exceed 60 pages. Anything over the page
limit will not be reproduced and distributed to reviewers. Applicants
should understand that the first 60 pages of the application will be
reviewed. A page is a single side of an 8\1/2\'' X 11'' sheet of paper.
Applicants are requested not to send pamphlets, brochures or other
printed material along with their application as these pose xeroxing
difficulties. These materials, if submitted, will not be included in
the review process if they exceed the page limit criteria. Each page of
the application will be counted to determine the total length.
Applicants should respond to the Program Narrative instructions in
Appendix A, under the Project Description.
A.2. Objectives and Need for Assistance--This information is
addressed under the Objective and Need for Assistance section (Part
II.C.) of this announcement.
A.3. Results and Benefits Expected--This information is addressed
in the Results and Benefits section (Part II.C.) of this announcement.
A.4. Approach--This information is addressed under the Approach
section (Part II.C) of this announcement.
A.5. Evaluation--This information is addressed in the Approach
section (Part II.C) of this announcement.
A.6. Geographic Location--This information is addressed in the
Objective and Need for Assistance section (Part II.C) of this
announcement.
A.7. Additional Information--This information is addressed in the
Staff Background and Organization Experience section (Part II.C) of
this announcement.
Note: Item B. Noncompeting Continuation Applications and Item C.
Supplemental Requests do not apply to this announcement.
5. Organizational Capability Statement. The Organizational
Capability Statement should consist of a brief (two to three pages)
background description of how the applicant organization (or the unit
within the organization that will have responsibility for the project)
is organized, the types and quantity of services it provides, and/or
the research and management capabilities it possesses. This description
should cover capabilities not included in the Program Narrative
Statement. It may include descriptions of any current or previous
relevant experience, or describe the competence of the project team and
its demonstrated ability to produce a final product that is readily
comprehensible and usable. An organization chart showing the
relationship of the project to the current organization should be
included.
6. Part IV--Assurances/Certifications. Applicants are required to
file an SF 424B, Assurances--Non-Construction Programs and the
Certification Regarding Lobbying. Both must be signed and returned with
the application. In addition, applicants must certify their compliance
with: (1) Drug-Free Workplace Requirements; (2) Debarment and Other
Responsibilities; and (3) Pro-Children Act of 1994. Copies of the
assurances/certifications are reprinted in Appendix A and should be
reproduced as necessary. A duly authorized representative of the
applicant organization must certify that the applicant is in compliance
with these assurances/certifications. A signature on the SF 424
indicates compliance with the Drug Free
[[Page 27753]]
Workplace Requirements, Debarment and Other Responsibilities and the
Pro-Children Act. A signature on the application constitutes an
assurance that the applicant will comply with the pertinent
Departmental regulations contained in 45 CFR part 74 or part 92.
F. Checklist for a Complete Application
The checklist below is for your use to ensure that your application
package has been properly prepared.
--One original, signed and dated application, plus two complete copies.
Applications for different priority areas are packaged separately;
--Application is from an organization which is eligible under the
eligibility requirements defined in the priority area description
(screening requirement);
--Application length does not exceed 60 pages. A complete application
consists of the following items in order:
--Application for Federal Assistance (SF 424, REV 4-92);
--Budget Information-Non-Construction Programs (SF 424A, REV 4-88);
--Budget justification for Section B-Budget Categories;
--Table of Contents
--Letter from the Internal Revenue Service to prove non-profit status,
if necessary;
--Copy of the applicant's approved indirect cost rate agreement, if
appropriate;
--Project summary description and listing of key words;
--Program Narrative Statement (See Part III, Section C);
--Organizational capability statement, including an organization chart;
--Any appendices/attachments;
--Assurances-Non-Construction Programs (Standard Form 424B,); and
--Certification Regarding Lobbying.
G. The Application Package
Each application package must include an original and two copies of
the complete application. Each copy should be stapled securely (front
and back if necessary) in the upper left-hand corner. All pages of the
narrative (including charts, tables, maps, exhibits, etc.) must be
sequentially numbered, beginning with page one. In order to facilitate
handling, please do not use covers, binders or tabs. Do not include
extraneous materials as attachments, such as agency promotion
brochures, slides, tapes, film clips, minutes of meetings, survey
instruments or articles of incorporation. Applicants are advised that
the copies of the application submitted, not the original, will be
reproduced by the Federal government for review.
Do not include a self-addressed, stamped acknowledgment card. All
applicants will be notified automatically about the receipt of their
application. If acknowledgment of receipt of your application is not
received within eight weeks after the deadlines date, please notify the
ACYF Operations Center by telephone at 1-800-351-2293.
Dated: May 1, 1997.
James A. Harrell,
Acting Commissioner, Administration on Children, Youth and Families.
BILLING CODE 4184-01-P
[[Page 27754]]
[GRAPHIC] [TIFF OMITTED] TN21MY97.000
BILLING CODE 4184-01-C
[[Page 27755]]
Instructions for the SF 424
Public reporting burden for this collection of information is
estimated to average 45 minutes per response, including time for
reviewing instructions, searching existing data sources, gathering
and maintaining the data needed, and completing and reviewing the
collection of information. Send comments regarding the burden
estimate or any other aspect of this collection of information,
including suggestions for reducing this burden, to the Office of
Management and Budget, Paperwork Reduction Project (0348-0043),
Washington, DC 20503.
Please do not return your completed form to the Office of
Management and Budget, send it to the address provided by the
sponsoring agency.
This is a standard form used by applicants as a required
facesheet for preapplications and applications submitted for Federal
assistance. It will be used by Federal agencies to obtain applicant
certification that States which have established a review and
comment procedure in response to Executive Order 12372 and have
selected the program to be included in their process, have been
given an opportunity to review the applicant's submission.
Item and Entry:
1. Self-explanatory.
2. Date application submitted to Federal agency (or State, if
applicable,) and applicant's control number (if applicable).
3. State use only (if applicable).
4. If this application is to continue or revise an existing
award, enter present Federal identifier number. If for a new
project, leave blank.
5. Legal name of applicant, name of primary organizational unit
which will undertake the assistance activity, complete address of
the applicant, and name and telephone number of the person to
contact on matters related to this application.
6. Enter Employer Identification Number (EIN) as assigned by the
Internal Revenue Service.
7. Enter the appropriate letter in the space provided.
8. Check appropriate box and enter appropriate letter(s) in the
space(s) provided:
-- ``New'' means a new assistance award.
-- ``Continuation'' means an extension for an additional funding/
budget period for a project with a projected completion date.
-- ``Revision'' means any change in the Federal Government's
financial obligation or contingent liability from an existing
obligation.
9. Name of Federal agency from which assistance is being
requested with this application.
10. Use the Catalog of Federal Domestic Assistance number and
title of the program under which assistance is requested.
11. Enter a brief descriptive title of the project. If more than
one program is involved, you should append an explanation on a
separate sheet. If appropriate (e.g., construction or real property
projects), attach a map showing project location. For
preapplications, use a separate sheet to provide a summary
description of this project.
12. List only the largest political entities affected (e.g.,
State, counties, cities).
13. Self-explanatory.
14. List the applicant's Congressional District and any
District(s) affected by the program or project.
15. Amount requested or to be contributed during the first
funding/budget period by each contributor. Value of in-kind
contributions should be included on appropriate lines as applicable.
If the action will result in a dollar change to an existing award,
indicate only the amount of the change. For decreases, enclose the
amounts in parentheses. If both basic and supplemental amounts are
included, show breakdown on an attached sheet. For multiple program
funding, use totals and show breakdown using same categories as item
15.
16. Applicants should contact the State Single Point of Contact
(SPOC) for Federal Executive Order 12372 to determine whether the
application is subject to the State intergovernmental review
process.
17. This question applies to the applicant organization, not the
person who signs as the authorized representative. Categories of
debt include delinquent audit allowances, loans and taxes.
18. To be signed by the authorized representative of the
applicant. A copy of the governing body's authorization for you to
sign this application as official representative must be on file in
the applicant's office. (Certain Federal agencies may require that
this authorization be submitted as part of the application.)
BILLING CODE 4184-01-P
[[Page 27756]]
[GRAPHIC] [TIFF OMITTED] TN21MY97.001
[[Page 27757]]
[GRAPHIC] [TIFF OMITTED] TN21MY97.002
BILLING CODE 4184-01-C
[[Page 27758]]
Instructions for the SF 424A
Public reporting burden for this collection of information is
estimated to average 180 minutes per response, including time for
reviewing instructions, searching existing data sources, gathering
and maintaining the data needed, and completing and reviewing the
collection of information. Send comments regarding the burden
estimate or any other aspect of this collection of information,
including suggestions for reducing this burden, to the Office of
Management and Budget, Paperwork Reduction Project (0348-0043),
Washington, DC 20503.
Please do not return your completed form to the Office of
Management and Budget, send it to the address provided by the
sponsoring agency.
General Instructions
This form is designed so that application can be made for funds
from one or more grant programs. In preparing the budget, adhere to
any existing Federal grantor agency guidelines which prescribe how
and whether budgeted amounts should be separately shown for
different functions or activities within the program. For some
programs, grantor agencies may require budgets to be separately
shown by function or activity. For other programs, grantor agencies
may require a breakdown by function or activity. Sections A, B, C,
and D should include budget estimates for the whole project except
when applying for assistance which requires Federal authorization in
annual or other funding period increments. In the latter case,
Sections A, B, C, and D should provide the budget for the first
budget period (usually a year) and Section E should present the need
for Federal assistance in the subsequent budget periods. All
applications should contain a breakdown by the object class
categories shown in Lines a-k of Section B.
Section A. Budget Summary Lines 1-4, Columns (a) and (b)
For applications pertaining to a single Federal grant program
(Federal Domestic Assistance Catalog number) and not requiring a
functional or activity breakdown, enter on Line 1 under Column (a)
the catalog program title and the catalog number in Column (b).
For applications pertaining to a single program requiring budget
amounts by multiple function or activities, enter the name of each
activity or function on each line in Column (a), and enter the
catalog number in Column (b). For applications pertaining to
multiple programs where none of the programs require a breakdown by
function or activity, enter the catalog program title on each line
in Column (a) and the respective catalog number of each line in
Column (b).
For applications pertaining to multiple programs where one or
more programs require a breakdown by function or activity, prepare a
separate sheet for each program requiring the breakdown. Additional
sheets should be used when one form does not provide adequate space
for all breakdown of data required. However, when more than one
sheet is used, the first page should provide the summary totals by
programs.
Lines 1-4, Columns (c) through (g)
For new applications, leave Columns (c) and (d) blank. For each
line entry in Columns (a) and (b), enter in Columns (e), (f), and
(g) the appropriate amounts of funds needed to support the project
for the first funding period (usually a year).
For continuing grant program applications, submit these forms
before the end of each funding period as required by the grantor
agency. Enter in Columns (c) and (d) the estimated amounts of funds
which will remain unobligated at the end of the grant funding period
only if the Federal grantor agency instructions provide for this.
Otherwise, leave these columns blank. Enter in Columns (e) and (f)
the amounts of funds needed for the upcoming period. The amount(s)
in Column (g) should be the sum of amounts in Columns (e) and (f).
For supplemental grants and changes to existing grants, do not
use Columns (c) and (d). Enter in Column (e) the amount of the
increase or decrease of Federal funds and enter in Column (f) the
amount of the increase or decrease of non-Federal funds. In Column
(g) enter the new total budgeted amount (Federal and non-Federal)
which includes the total previous authorized budgeted amounts plus
or minus, as appropriate, the amounts shown in Columns (e) and (f).
The amount(s) in Column (g) should not equal the sum of amounts in
Columns (e) and (f).
Line 5--Show the total for all columns used.
Section B. Budget Categories
In the column headings (1) through (4), enter the titles of the
same programs, functions, and activities shown on Lines 1-4, Column
(a), Section A. When additional sheets are prepared for Section A,
provide similar column headings on each sheet. For each program,
function or activity, fill in the total requirements for funds (both
Federal and non-Federal) by object class categories.
Line 6a-i--Show the totals of Lines 6a to 6h in each column.
Line 6j--Show the amount of indirect cost.
Line 6k--Enter the total of amounts on Lines 6i and 6j. For all
applications for new grants and continuation grants the total amount
in column (5), Line 6k, should be the same as the total amount shown
in Section A, Column (g), Line 5. For supplemental grants and
changes to grants, the total amount of the increase or decrease as
shown in Columns (1)-(4), Line 6k, should be the same as the sum of
the amounts in Section A, Columns (e) and (f) on Line 5.
Line 7--Enter the estimated amount of income, if any, expected
to be generated from this project. Do not add or subtract this
amount from the total project amount. Show under the program
narrative statement the nature and source of income. The estimated
amount of program income may be considered by the federal grantor
agency in determining the total amount of the grant.
Section C. Non-Federal Resources
Lines 8-11--Enter amounts of non-Federal resources that will be
used on the grant. If in-kind contributions are included, provide a
brief explanation on a separate sheet.
Column (a)--Enter the program titles identical to Column (a),
Section A. A breakdown by function or activity is not necessary.
Column (b)--Enter the 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 in Columns (b), (c), and (d).
Line 12--Enter the total for each of columns (b)-(e). The amount
in Column (e) should be equal to the amount on Line 5, Column (f),
Section A.
Section D. Forecasted Cash Needs
Line 13--Enter the amount of cash needed by quarter from the
grantor agency during the first year.
Line 14--Enter the amount of cash from all other sources needed
by quarter during the first year.
Line 15--Enter the totals of amounts on Lines 13 and 14.
Section E. Budget Estimates of Federal Funds Needed for Balance of
the Project
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
Public reporting burden for this collection of information is
estimated to average 15 minutes per response, including time for
reviewing instructions, searching existing data sources, gathering
and maintaining the data needed, and completing and reviewing
[[Page 27759]]
the collection of information. Send comments regarding the burden
estimate or any other aspect of this collection of information,
including suggestions for reducing this burden, to the Office of
Management and Budget, Paperwork Reduction Project (0348-0043),
Washington, DC 20503.
Please do not return your completed form to the Office of
Management and Budget, send it to the address provided by the
sponsoring agency.
Note: Certain of these assurances may not be applicable to your
project or program. If you have questions, please contact the
awarding agency. Further, certain Federal awarding agencies may
require applicants to certify to additional assurances. If such is
the case, you will be notified.
As the duly authorized representative of the applicant I certify
that the applicant:
1. Has the legal authority to apply for Federal assistance and
the institutional, managerial and financial capability (including
funds sufficient to pay the non-Federal share of project costs) to
ensure proper planning, management and completion of the project
described in this application.
2. Will give the awarding agency, the Comptroller General of
United States, and if appropriate, the State, through any authorized
representative, access to and the right to examine all records,
books, papers, or documents related to the award; and will establish
a proper accounting system in accordance with generally accepted
accounting standards or agency directives.
3. Will establish safeguards to prohibit employees from using
their positions for a purpose that constitutes or presents the
appearance of personal or organizational conflict of interest, or
personal gain.
4. Will initiate and complete the work within the applicable
time frame after receipt of approval of the awarding agency.
5. Will comply with the Intergovernmental Personnel Act of 1970
(42 U.S.C. Secs. 4728-4763) relating to prescribed standards for
merit systems for programs funded under one of the nineteen statutes
or regulations specified in Appendix A of OPM's Standards for a
Merit System of Personnel Administration (5 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. Sec. 6101-6107), which prohibits discrimination
on the basis of age; (e) the Drug Abuse Office and Treatment Act of
1972 (P.L. 92-255), as amended, relating to nondiscrimination on the
basis of drug abuse; (f) the Comprehensive Alcohol Abuse and
Alcoholism Prevention, Treatment and Rehabilitation Act of 1970
(P.L. 91-616), as amended, relating to nondiscrimination on the
basis of alcohol abuse or alcoholism; (g) Secs. 523 and 527 of the
Public Health Service Act of 1912 (42 U.S.C. 290 dd-3 and 290 ee-3),
as amended, relating to confidentiality of alcohol and drug abuse
patient records; (h) Title VIII of the Civil Rights Act of 1968 (42
U.S.C. Sec. 3601 et seq.), as amended, relating to 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, as applicable, with the provisions of the Hatch
Act (5 U.S.C. Secs. 1501-1508 and 7324-7328) which limit the
political activities of employees whose principal employment
activities are funded in whole or in part with Federal funds.
9. Will comply, as applicable, with the provisions of the Davis-
Bacon Act (40 U.S.C. Secs. 276a to 276a-7), the Copeland Act (40
U.S.C. Sec. 276c and 18 U.S.C. Sec. 874), and the Contract Work
Hours and Safety Standards Act (40 U.S.C. Secs. 327-333), regarding
labor standards for federally assisted construction subagreements.
10. Will comply, if applicable, with flood insurance purchase
requirements of Section 102(a) of the Flood Disaster Protection Act
of 1973 (P.L. 93-234) which requires recipients in a special flood
hazard area to participate in the program and to purchase flood
insurance if the total cost of insurable construction and
acquisition is $10,000 or more.
11. Will comply with environmental standards which may be
prescribed pursuant to the following: (a) institution of
environmental quality control measures under the National
Environmental Policy Act of 1969 (P.L. 91-190) and Executive Order
(EO) 11514; (b) notification of violating facilities pursuant to EO
11738; (c) protection of wetlands pursuant to EO 11990; (d)
evaluation of flood hazards in floodplains in accordance with EO
11988; (e) assurance of project consistency with the approved State
management program developed under the Coastal Zone Management Act
of 1972 (16 U.S.C. Secs. 1451 et seq.); (f) conformity of Federal
actions to State (Clear Air) Implementation Plans under Section
176(c) of the Clear Air Act of 1955, as amended (42 U.S.C.
Secs. 7401 et seq.); (g) protection of underground sources of
drinking water under the Safe Drinking Water Act of 1974, as amended
(P.L. 93-523); and (h) protection of endangered species under the
Endangered Species Act of 1973, as amended (P.L. 93-205).
12. Will comply with the Wild and Scenic Rivers Act of 1968 (16
U.S.C. Secs. 1271 et seq.) related to protecting components or
potential components of the national wild and scenic rivers system.
13. Will assist the awarding agency in assuring compliance with
Section 106 of the National Historic Preservation Act of 1966, as
amended (16 U.S.C. 470), EO 11593 (identification and protection of
historic properties), and the Archaeological and Historic
Preservation Act of 1974 (16 U.S.C. 469a-1 et seq.).
14. Will comply with P.L. 93-348 regarding the protection of
human subjects involved in research, development, and related
activities supported by this award of assistance.
15. Will comply with the Laboratory Animal Welfare Act of 1966
(P.L. 89-544, as amended, 7 U.S.C. 2131 et seq.) pertaining to the
care, handling, and treatment of warm blooded animals held for
research, teaching, or other activities supported by this award of
assistance.
16. Will comply with the Lead-Based Paint Poisoning Prevention
Act (42 U.S.C. Secs. 4801 et seq.) which prohibits the use of lead
based paint in construction or rehabilitation of residence
structures.
17. Will cause to be performed the required financial and
compliance audits in accordance with the Single Audit Act of 1984 or
OMB Circular No. A-133, Audits of Institutions of Higher Learning
and other Non-profit Institutions.
18. Will comply with all applicable requirements of all other
Federal laws, executive orders, regulations and policies governing
this program.
----------------------------------------------------------------------
Signature of Authorized Certifying Official
----------------------------------------------------------------------
Title
----------------------------------------------------------------------
Applicant Organization
----------------------------------------------------------------------
Date Submitted
Program Narrative
This program narrative section was designed for use by many and
varied programs. Consequently, it is not possible to provide
specific guidance for developing a program narrative statement that
would be appropriate in all cases. Applicants must refer the
relevant program announcement for information on specific program
requirements and any additional guidelines for preparing the program
narrative statement. The following are general guidelines for
preparing a program narrative statement.
The program narrative provides a major means by which the
application is evaluated and ranked to compete with other
applications for available assistance. It should be concise and
complete and should address the activity for which Federal funds are
requested. Supporting documents should be included where they can
present information clearly and succinctly. Applicants are
encouraged to provide information on their organizational structure,
staff, related experience, and other
[[Page 27760]]
information to determine whether the applicant has the capability
and resources necessary to carry out the proposed project. It is
important, therefore, that this information be included in the
application. However, in the narrative the applicant must
distinguish between resources directly related to the proposed
project from those which will not be used in support of the specific
project for which funds are requested.
Cross-referencing should be used rather than repetition. ACF is
particularly interested in specific factual information and
statements of measurable goals in quantitative terms. Narratives are
evaluated on the basis of substance, not length. Extensive exhibits
are not required. (Supporting information concerning activities
which will not be directly funded by the grant or information which
does not directly pertain to an integral part of the grant funded
activity should be placed in an appendix.) Pages should be numbered
for easy reference.
Prepare the program narrative statement in accordance with the
following instructions:
Applicants submitting new applications or competing
continuation applications should respond to Items A and D.
Applicants submitting noncompeting continuation
applications should respond to Item B.
Applicants requesting supplemental assistance should
respond to Item C.
A. Project Description--Components
1. Project Summary/Abstract
A summary of the project description (usually a page or less)
with reference to the funding request should be placed directly
behind the table of contents or SF-424.
2. Objectives and Need for Assistance
Applicants must clearly identify the physical, economic, social,
financial, institutional, or other problem(s) requiring a solution.
The need for assistance must be demonstrated and the principal and
subordinate objectives of the project must be clearly stated;
supporting documentation such as letters of support and testimonials
from concerned interests other than the applicant may be included.
Any relevant data based on planning studies should be included or
referenced in the endnotes/footnotes. Incorporate demographic data
and participant/beneficiary information, as needed. In developing
the narrative, the applicant may volunteer or be requested to
provide information on the total range of projects currently
conducted and supported (or to be initiated), some of which may be
outside the scope of the program announcement.
3. Results or Benefits Expected
Identify results and benefits to be derived. For example, when
applying for a grant to establish a neighborhood child care center,
describe who will occupy the facility, who will use the facility,
how the facility will be used, and how the facility will benefit the
community which it will serve.
4. Approach
Outline a plan of action which describes the scope and detail of
how the proposed work will be accomplished. Account for all
functions or activities identified in the application. Cite factors
which might accelerate or decelerate the work and state your reason
for taking this approach rather than others. Describe any unusual
features of the project such as design or technological innovations,
reductions in cost or time, or extraordinary social and community
involvement.
Provide quantitative monthly or quarterly projections of the
accomplishments to be achieved for each function or activity in such
terms as the number of people to be served and the number of
microloans made. When accomplishments cannot be quantified by
activity or function, list them in chronological order to show the
schedule of accomplishments and their target dates.
Identify the kinds of data to be collected, maintained, and/or
disseminated. (Note that clearance from the U.S. Office of
Management and Budget might be needed prior to an information
collection.) List organizations, cooperating entities, consultants,
or other key individuals who will work on the project along with a
short description of the nature of their effort or contribution.
5. Evaluation
Provide a narrative addressing how you will evaluate 1) the
results of your project and 2) the conduct of your program. In
addressing the evaluation of results, state how you will determine
the extent to which the program has achieved its stated objectives
and the extent to which the accomplishment of objectives can be
attributed to the program. Discuss the criteria to be used to
evaluate results; explain the methodology that will be used to
determine if the needs identified and discussed are being met and if
the project results and benefits are being achieved. With respect to
the conduct of your program, define the procedures you will employ
to determine whether the program, define the procedures you will
employ to determine whether the program is being conducted in a
manner consistent with the work plan you presented and discuss the
impact of the program's various activities upon the program's
effectiveness.
6. Geographic Location
Give the precise location of the project and boundaries of the
area to be served by the proposed project. Maps or other graphic
aids may be attached.
7. Additional Information (Include If Applicable)
Additional information may be provided in the body of the
program narrative or in the appendix. Refer to the program
announcement and ``General Information and Instructions'' for
guidance on placement of application materials.
Staff and Position Data--Provide a biographical sketch for key
personnel appointed and a job description for each vacant key
position. Some programs require both for all positions. Refer to the
program announcement for guidance on presenting this information.
Generally, a biographical sketch is required for original staff and
new members as appointed.
Plan for Project Continuance beyond Grant Support--A plan for
securing resources and continuing project activities after Federal
assistance has ceased.
Business Plan--When federal grant funds will be used to make an
equity investment, provide a business plan. Refer to the program
announcement for guidance on presenting this information.
Organization Profiles--Information on applicant organizations
and their cooperating partners such as organization charts,
financial statements, audit reports or statements from CPA/Licensed
Public Accountant, Employer Identification Numbers, names of bond
carriers, contact persons and telephone numbers, child care licenses
and other documentation of professional accreditation, information
on compliance with federal/state/local government standards,
documentation of experience in program area, and other pertinent
information. Any non-profit organization submitting an application
must submit proof of its non-profit status in its application at the
time of submission. The non-profit agency can accomplish this by
providing a copy of the applicant's listing in the Internal Revenue
Service's (IRS) most recent list of tax-exempt organizations
described in Section 501(c)(3) of the IRS code or by providing a
copy of the currently valid IRS tax exemption certificate, or by
providing a copy of the articles of incorporation bearing the seal
of the State in which the corporation or association is domiciled.
Dissemination Plan--A plan for distributing reports and other
project outputs to colleagues and the public. Applicants must
provide a description of the kind, volume and timing of
distribution.
Third-Party Agreements--Written agreements between grantees and
subgrantees or subcontractors or other cooperating entities. These
agreements may detail scope of work, work schedules,
remuneration,and other terms and conditions that structure or define
the relationship.
Waiver Request--A statement of program requirements for which
waivers will be needed to permit the proposed project to be
conducted.
Letters of Support--Statements from community, public and
commercial leaders which support the project proposed for funding.
B. Noncompeting Continuation Applications
A program narrative usually will not be required for
noncompeting continuation applications for nonconstruction programs.
Noncompeting continuation applications shall be abbreviated unless
the ACF Program Office administering this program has issued a
notice to the grantee that a full application will be required.
An abbreviated application consists of:
1. The Standard Form 424 series (SF 424, SF 424A, SF-424B)
2. The estimated or actual unobligated balance remaining from
the previous budget period should be identified on an accurate SF-
269 as well as in Section A, Columns (c) and (d) of the SF-424A.
3. The grant budget, broken down into the object class
categories on the 424A, and if
[[Page 27761]]
category ``other'' is used, the specific items supported must be
identified.
4. Required certifications.
A full application consists of all elements required for an
abbreviated application plus:
1. Program narrative information explaining significant changes
to the original program narrative statement, a description of
accomplishments from the prior budget period, a projection of
accomplishments throughout the entire remaining project period, and
any other supplemental information that ACF informs the grantee is
necessary.
2. A full budget proposal for the budget period under
consideration with a full cost analysis of all budget categories.
3. A corrective action plan, if requested by ACF, to address
organizational performance weaknesses.
C. Supplemental Requests
For supplemental assistance requests, explain the reason for the
request and justify the need for additional funding. Provide a
budget and budget justification only for those items for which
additional funds are requested. (See Item D for guidelines on
preparing a budget and budget justification.)
D. Budget and Budget Justification
Provide line item detail and detailed calculations for each
budget object class identified on the Budget Information form.
Detailed calculations must include estimation methods, quantities,
unit costs, and other similar quantitative detail sufficient for the
calculation to be duplicated.The detailed budget must also include a
breakout by the funding sources identified in Block 15 of the SF-
424.
Provide a narrative budget justification which describes how the
categorical costs are derived. Discuss the necessity,
reasonableness, and allocability of the proposed costs.
The following guidelines are for preparing the budget and budget
justification. Both federal and non-federal resources should be
detailed and justified in the budget and narrative justification.
For purposes of preparing the program narrative, ``federal
resources'' refers only to the ACF grant for which you are applying.
Non-Federal resources are all other federal and non-federal
resources. It is suggested that for the budget, applicants use a
column format: Column 1, object class categories; Column 2, federal
budget amounts; Column 3, non-federal budget amounts, and Column 4,
total amounts. The budget justification should be a narrative.
Personnel. Costs of employee salaries and wages.
Justification: Identify the project director or principal
investigator, if known. For each staff person, show name/title, time
commitment to the project (in months), time commitment to the
project (as a percentage or full-time equivalent), annual salary,
grant salary, wage rates, etc. Do not include costs of consultants
or personnel costs of delegate agencies or of specific project(s) or
businesses to be financed by the applicant.
Fringe Benefits. Costs of employee fringe benefits unless
treated as part of an approved indirect cost rate.
Justification: Provide a breakdown of amounts and percentages
that comprise fringe benefit costs, such as health insurance, FICA,
retirement insurance, taxes, etc.
Travel. Costs of project related travel by employees of the
applicant organization (does not include costs of consultant
travel).
Justification: For each trip, show the total number of
traveler(s), travel destination, duration of trip, per diem, mileage
allowances, if privately owned vehicles will be used, and other
transportation costs and subsistence allowances. Travel costs for
key staff to attend ACF sponsored workshops as specified in this
program announcement should be detailed in the budget.
Equipment. Costs of all non-expendable, tangible personal
property to be acquired by the project where each article has a
useful life of more than one year and an acquisition cost which
equals the lesser of (a) the capitalization level established by the
applicant organization for financial statement purposes, or (b)
$5,000.
Justification: For each type of equipment requested, provide a
description of the equipment, cost per unit, number of units, total
cost, and a plan for use on the project, as well as use or disposal
of the equipment after the project ends.
Supplies. Costs of all tangible personal property (supplies)
other than that included under the Equipment category.
Justification: Specify general categories of supplies and their
costs. Show computations and provide other information which
supports the amount requested.
Contractual. Costs of all contracts for services and goods
except for those which belong under other categories such as
equipment, supplies, construction, etc. Third-party evaluation
contracts (if applicable) and contracts with secondary recipient
organizations including delegate agencies and specific project(s) or
businesses to be financed by the applicant should be included under
this category.
Justification: All procurement transactions shall be conducted
in a manner to provide, to the maximum extent practical, open and
free competition. If procurement competitions were held or if a sole
source procurement is being proposed, attach a list of proposed
contractors, indicating the names of the organizations, the purposes
of the contracts, the estimated dollar amounts, and the award
selection process. Also provide back-up documentation where
necessary to support selection process.
Note: Whenever the applicant/grantee intends to delegate part of
the program to another agency, the applicant/grantee must provide a
detailed budget and budget narrative for each delegate agency by
agency, title, along with the required supporting information
referenced in these instructions.
Applicants must identify and justify any anticipated procurement
that is expected to exceed the simplified purchase threshold
(currently set at $100,000) and to be awarded without competition.
Recipients are required to make available to ACF pre-award review
and procurement documents, such as request for proposals or
invitations for bids, independent cost estimates, etc. under the
conditions identified at 45 CFR Part 74.44(e).
Construction. Costs of construction by applicant or contractor.
Justification: Provide detailed budget and narrative in
accordance with instructions for other object class categories.
Identify which construction activity/costs will be contractual and
which will be assumed by the applicant.
Other. Enter the total of all other costs. Such costs, where
applicable and appropriate, may include but are not limited to
insurance, food, medical and dental costs (noncontractual), fees and
travel paid directly to individual consultants, space and equipment
rentals, printing and publication, computer use, training costs,
including tuition and stipends, training service costs including
wage payments to individuals and supportive service payments, and
staff development costs.
Indirect Charges. Total amount of indirect costs. This category
should be used only when the applicant currently has an indirect
cost rate approved by the Department of Health and Human Services or
another cognizant Federal agency.
Justification: With the exception of most local government
agencies, an applicant which will charge indirect costs to the grant
must enclose a copy of the current rate agreement if the agreement
was negotiated with a cognizant Federal agency other than the
Department of Health and Human Services (DHHS). If the rate
agreement was negotiated with the Department of Health and Human
Services, the applicant should state this in the budget
justification. If the applicant organization is in the process of
initially developing or renegotiating a rate, it should immediately
upon notification that an award will be made, develop a tentative
indirect cost rate proposal based on its most recently completed
fiscal year in accordance with the principles set forth in the
pertinent DHHS Guide for Establishing Indirect Cost Rates, and
submit it to the appropriate DHHS Regional Office. Applicants
awaiting approval of their indirect costs proposals may also request
indirect costs. It should be noted that when an indirect cost rate
is requested, those costs included in the indirect cost pool should
not be also charged as direct costs to the grant. Also, if the
applicant is requesting a rate which is less than what is allowed
under this program announcement, the authorized representative of
your organization needs to submit a signed acknowledgement that the
applicant is accepting a lower rate than allowed.
Program Income. The estimated amount of income, if any, expected
to be generated from this project. Separately show expected program
income generated from program support and income generated from
other mobilized funds. Do not add or subtract this amount from the
budget total. Show the nature and source of income in the program
narrative statement.
Justification: Describe the nature, source and anticipated use
of program income in the budget or reference pages in the program
narrative statement which contain this information.
Non-Federal Resources. Amounts of non-Federal resources that
will be used to support the project as identified in Block 15 of the
SF-424.
[[Page 27762]]
Justification: The firm commitment of these resources must be
documented and submitted with the application in order to be given
credit in the review process.
Total Direct Charges, Total Indirect Charges, Total Project
Costs (self explanatory).
This certification is required by the regulations implementing
the Drug-Free Workplace Act of 1988: 45 CFR Part 76,. Subpart, F.
Sections 76.630(c) and (d)(2) and 76.645(a)(1) and (b) provide that
a Federal agency may designate a central receipt point for STATE-
WIDE AND STATE AGENCY-WIDE certifications, and for notification of
criminal drug convictions. For the Department of Health and Human
Services, the central pint is: Division of Grants Management and
Oversight, Office of Management and Acquisition, Department of
Health and Human Services, Room 517-D, 200 Independence Avenue, SW
Washington, DC 20201.
Certification Regarding Drug-Free Workplace Requirements (Instructions
for Certification)
1. By signing and/or submitting this application or grant
agreement, the grantee is providing the certification set out below.
2. The certification set out below is a material representation
of fact upon which reliance is placed when the agency awards the
grant. If it is later determined that the grantee knowingly rendered
a false certification, or otherwise violates the requirements of the
Drug--Free Workplace Act, the agency, in addition to any other
remedies available to the Federal Government, may take action
authorized under the Drug-Free Workplace Act.
3. For grantees other than individuals, Alternate I applies.
4. For grantees who are individuals, Alternate II applies.
5. Workplaces under grants, 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 identify of
the workplace(s) on file in its office and make the information
available for federal inspection. Failure to identify all known
workplaces constitutes a violation of the grantee's drug-free
workplace requirements.
6. Workplace identifications must include the actual address of
buildings (or parts of buildings) or other sites where work under
the grant takes place. Categorical descriptions may be used (e.g.,
all vehicles of a mass transit authority or State highway department
while in operation. State employees in each local unemployment
office, performers in concert halls or radio studios.)
7. If the workplace identified to the agency changes during the
performance of the grant, the grantee shall inform the agency of the
change(s), if it previously identified the workplace in question
(see paragraph five).
8. Definitions of terms in the Nonprocurement Suspension and
Debarment common rule and Drug-Free Workplace common rule apply to
this certification. Grantees' attention is called, in particular, to
the following definitions form these rules:
Controlled substance means a controlled substance in Schedules I
through V of the Controlled Substances Act (21 U.S.C. 812) and as
further defined by regulation (21 CFR 1308.11 through 1308.15);
Conviction means a finding of guilt (including a plea of nolo
cotendere) or imposition of sentence, or both, by any judicial body
charged with the responsibility to determine violation of the
Federal or State criminal drug statutes;
Criminal drug statute means a Federal or non-Federal criminal
statute involving the manufacture, distribution, dispensing, sue, or
possession of any controlled substance;
Employee means the employee of a grantee directly engaged in the
performance of work under a grant, including: (i) All direct charge
employees; (ii) All indirect charge employees unless their impact or
involvement is insignificant to the performance of the grant; and
(iii) Temporary personnel and consultants who are directly engaged
in the performance of work under the grant and who are on the
grantee's payroll. This definition does not include workers not on
the payroll of the grantee (e.g., volunteers, even if used to meet a
matching requirement; consultants or independent contractors not on
the grantee's payroll; or employees of subrecipients or
subcontractors in covered workplaces).
Certification Regarding Drug-Free Workplace Requirements
Alternate I. (Grantees Other Than Individuals)
The grantee certifies that it will or will continue to provide a
drug-free workplace by:
(a) Publishing a statement notifying employees that the unlawful
manufacture, distribution, dispensing, possession, or use of a
controlled substance is prohibited in the grantee's workplace and
specifying the actions that will be taken against employees for
violation of such prohibition;
(b) Establishing on ongoing drug-free awareness program to
inform employees about--
(1) The dangers of drug abuse in the workplace:
(20 The grantee's policy of maintaining a drug-free workplace;
(3) Any available drug counseling, rehabilitation, and employee
assistance programs; and
(4) The penalties that may be imposed upon employees for drug
abuse violations occurring in the workplace;
(c) Making it a requirement that each employee to be engaged in
the performance of the grant be given a copy of the statement
required by paragraph (a);
(d) Notifying the employee in the statement required by
paragraph (a) that, as a condition of employment under the grant,
the employee will--
(1) Abide by the terms of the statement; and
(2) Notify the employer in writing of his or her conviction for
a violation of a criminal drug statute occurring in the workplace no
later than five calendar days after such conviction;
(e) Notifying the agency in writing, within ten calendar days
after receiving notice under paragraph (d)(2) from an employee or
otherwise receiving actual notice of such conviction. Employers of
convicted employees must provide notice, including position title,
to every grant officer or other designee on whose grant activity the
convicted employee was working, unless the Federal agency has
designated a central point for the receipt of such notices. Notice
shall include the identification number(s) of each affected grant;
(f) Taking one of the following actions, within 30 calendar days
of receiving notice under paragraph (d)(2), with respect to any
employee who is so convicted--
(1) Taking appropriate personnel action against such an
employee, up to and including termination, consistent with the
requirements of the Rehabilitation Act of 1973, as amended; or
(2) Requiring such employee to participate satisfactorily in a
drug abuse assistance or rehabilitation program approved for such
purposes by a Federal, State, or local health, law enforcement, or
other appropriate agency;
(g) Making a good faith effort to continue to maintain a drug-
free workplace through implementation of paragraphs (a), (b), (c),
(d), (e) and (f).
(B) The grantee may insert in the space provided below the
site(s) for the performance of work done in connection with the
specific grant:
Place of Performance (Street address, city, county, state, zip code)
----------------------------------------------------------------------
----------------------------------------------------------------------
Check {time} if there are workplaces on file that are not
identified here.
Alternate II. (Grantees Who Are Individuals)
(a) The grantee certifies that, as a condition of the grant, he
or she will not engage in the unlawful manufacture, distribution,
dispensing, possession, or use of a controlled substance in
conducting any activity with the grant;
(b) If convicted of a criminal drug offense resulting from a
violation occurring during the conduct of any grant activity, he or
she will report the conviction, in writing, within 10 calendar days
of the conviction, to every grant officer or other designee, unless
the Federal agency designates a central point for the receipt of
such notices. When notice is made to such a central point, it shall
include the identification number(s) of each affected grant.
[55 FR 21690, 21702, May 25, 1990]
Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion--Lower Tier Covered Transactions
Instructions for Certification
1. By signing and submitting this proposal, the prospective
lower tier participant is providing the certification set out below.
2. The certification in this clause is a material representation
of fact upon which reliance was placed when this transaction was
entered into. If it is later determined that
[[Page 27763]]
the prospective lower tier participant knowingly rendered an
erroneous certification, in addition to other remedies available to
the Federal Government the department or agency with which this
transaction originated may pursue available remedies, including
suspension and/or debarment.
3. The prospective lower tier participant shall provide
immediate written notice to the person to which this proposal is
submitted if at any time the prospective lower tier participant
learns that its certification was erroneous when submitted or had
become erroneous by reason of changed circumstances.
4. The terms covered transaction, debarred, suspended,
ineligible, lower tier covered transaction, participant, person,
primary covered transaction, principal, proposal, and voluntarily
excluded, as used in this clause, have the meaning set out in the
Definitions and Coverage sections of rules implementing Executive
Order 12549. You may contact the person to which this proposal is
submitted for assistance in obtaining a copy of those regulations.
5. The prospective lower tier participant agrees by submitting
this proposal that, [Page 33043] should the proposed covered
transaction be entered into, it shall not knowingly enter into any
lower tier covered transaction with a person who is proposed for
debarment under 48 CFR part 9, subpart 9.4, debarred, suspended,
declared ineligible, or voluntarily excluded from participation in
this covered transaction, unless authorized by the department or
agency with which this transaction originated.
6. The prospective lower tier participant further agrees by
submitting this proposal that it will include this clause titled
``Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion-Lower Tier Covered Transaction,'' without
modification, in all lower tier covered transactions and in all
solicitations for lower tier covered transactions.
7. A participant in a covered transaction may rely upon a
certification of a prospective participant in a lower tier covered
transaction that it is not proposed for debarment under 48 CFR part
9, subpart 9.4, debarred, suspended, ineligible, or voluntarily
excluded from covered transactions, unless it knows that the
certification is erroneous. A participant may decide the method and
frequency by which it determines the eligibility of its principals.
Each participant may, but is not required to, check the List of
Parties Excluded from Federal Procurement and Nonprocurement
Programs.
8. Nothing contained in the foregoing shall be construed to
require establishment of a system of records in order to render in
good faith the certification required by this clause. The knowledge
and information of a participant is not required to exceed that
which is normally possessed by a prudent person in the ordinary
course of business dealings.
9. Except for transactions authorized under paragraph 5 of these
instructions, if a participant in a covered transaction knowingly
enters into a lower tier covered transaction with a person who is
proposed for debarment under 48 CFR part 9, subpart 9.4, suspended,
debarred, ineligible, or voluntarily excluded from participation in
this transaction, in addition to other remedies available to the
Federal Government, the department or agency with which this
transaction originated may pursue available remedies, including
suspension and/or debarment.
* * * * *
Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion--Lower Tier Covered Transactions
(1) The prospective lower tier participant certifies, by
submission of this proposal, that neither it nor its principals is
presently debarred, suspended, proposed for debarment, declared
ineligible, or voluntarily excluded from participation in this
transaction by any Federal department or agency.
(2) Where the prospective lower tier participant is unable to
certify to any of the statements in this certification, such
prospective participant shall attach an explanation to this
proposal.
Certification Regarding Debarment, Suspension, and Other Responsibility
Matters--Primary Covered Transactions
Instructions for Certification
1. By signing and submitting this proposal, the prospective
primary participant is providing the certification set out below.
2. The inability of a person to provide the certification
required below will not necessarily result in denial of
participation in this covered transaction. The prospective
participant shall submit an explanation of why it cannot provide the
certification set out below. The certification or explanation will
be considered in connection with the department or agency's
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.
3. The certification in this clause is a material representation
of fact upon which reliance was placed when the department or agency
determined to enter into this transaction. If it is later determined
that the prospective primary participant knowingly rendered an
erroneous certification, in addition to other remedies available to
the Federal Government, the department or agency may terminate this
transaction for cause or default.
4. The prospective primary participant shall provide immediate
written notice to the department or agency to which this proposal is
submitted if at any time the prospective primary participant learns
that its certification was erroneous when submitted or has become
erroneous by reason of changed circumstances.
5. The terms covered transaction, debarred, suspended,
ineligible, lower tier covered transaction, participant, person,
primary covered transaction, principal, proposal, and voluntarily
excluded, as used in this clause, have the meanings set out in the
Definitions and Coverage sections of the rules implementing
Executive Order 12549. You may contact the department or agency to
which this proposal is being submitted for assistance in obtaining a
copy of those regulations.
6. The prospective primary participant agrees by submitting this
proposal that, should the proposed covered transaction be entered
into, it shall not knowingly enter into any lower tier covered
transaction with a person who is proposed for debarment under 48 CFR
part 9, subpart 9.4, debarred, suspended, declared ineligible, or
voluntarily excluded from participation in this covered transaction,
unless authorized by the department or agency entering into this
transaction.
7. The prospective primary participant further agrees by
submitting this proposal that it will include the clause titled
``Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion-Lower Tier Covered Transaction,'' provided by
the department or agency entering into this covered transaction,
without modification, in all lower tier covered transactions and in
all solicitations for lower tier covered transactions.
8. A participant in a covered transaction may rely upon a
certification of a prospective participant in a lower tier covered
transaction that it is not proposed for debarment under 48 CFR part
9, subpart 9.4, debarred, suspended, ineligible, or voluntarily
excluded from the covered transaction, unless it knows that the
certification is erroneous. A participant may decide the method and
frequency by which it determines the eligibility of its principals.
Each participant may, but is not required to, check the List of
Parties Excluded from Federal Procurement and Nonprocurement
Programs.
9. Nothing contained in the foregoing shall be construed to
require establishment of a system of records in order to render in
good faith the certification required by this clause. The knowledge
and information of a participant is not required to exceed that
which is normally possessed by a prudent person in the ordinary
course of business dealings.
10. Except for transactions authorized under paragraph 6 of
these instructions, if a participant in a covered transaction
knowingly enters into a lower tier covered transaction with a person
who is proposed for debarment under 48 CFR part 9, subpart 9.4,
suspended, debarred, ineligible, or voluntarily excluded from
participation in this transaction, in addition to other remedies
available to the Federal Government, the department or agency may
terminate this transaction for cause or default.
* * * * *
Certification Regarding Debarment, Suspension, and Other Responsibility
Matters--Primary Covered Transactions
(1) The prospective primary participant 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,
[[Page 27764]]
or voluntarily excluded by any Federal department or agency;
(b) Have not within a three-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 indicated for 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 three-year period preceding this
application/proposal had one or more public transactions (Federal,
State or local) terminated for cause or default.
(2) Where the prospective primary participant is unable to
certify to any of the statements in this certification, such
prospective participant shall attach an explanation to this
proposal.
BILLING CODE 4284-01-P
[[Page 27765]]
[GRAPHIC] [TIFF OMITTED] TN21MY97.003
[[Page 27766]]
BILLING CODE 4184-01-C
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 an
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.
Statement for Loan Guarantees 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--LL,
``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 required
statement shall be subject to a civil penalty of not less than
$10,000 and not more than $100,00 for each such failure.
----------------------------------------------------------------------
Signature
----------------------------------------------------------------------
Title
----------------------------------------------------------------------
Organization
----------------------------------------------------------------------
Date
BILLING CODE 4184-01-P
[[Page 27767]]
[GRAPHIC] [TIFF OMITTED] TN21MY97.004
BILLING CODE 4184-01-C
[[Page 27768]]
Certification Regarding Environmental Tobacco Smoke
Public Law 103-227, Part C--Environmental Tobacco Smoke, also
known as the Pro-Children Act of 1994 (Act), requires that smoking
not be permitted in any portion of any indoor routinely owned or
leased or contracted for by an entity and used routinely or
regularly for provision of health, day care, education, or library
services to children under the age of 18, if the services are funded
by Federal programs either directly or through State or local
governments, by Federal grant, contract, loan, or loan guarantee.
The law does not apply to children's services provided in private
residences, facilities funded solely by Medicare or Medicaid funds,
and portions of facilities used for inpatient drug or alcohol
treatment. Failure to comply with the provisions of the law may
result in the imposition of a civil monetary penalty of up to $1,000
per day and/or the imposition of an administrative compliance order
on the responsible entity.
By signing and submitting this application the applicant/grantee
certifies that it will comply with the requirements of the Act. The
applicant/grantee further agrees that it will require the language
of this certification be included in any subawards which contain
provisions for the children's services and that all subgrantees
shall certify accordingly.
[FR Doc. 97-13092 Filed 5-20-97; 8:45 am]
BILLING CODE 4184-01-P
