[Federal Register Volume 61, Number 117 (Monday, June 17, 1996)]
[Notices]
[Pages 30748-30775]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-15156]
[[Page 30747]]
_______________________________________________________________________
Part V
Department of Health and Human Services
_______________________________________________________________________
Administration for Children and Families
_______________________________________________________________________
National Center on Child Abuse and Neglect Projects; Fiscal Year 1996
Availability of Funds and Requests for Comments; Notice
Federal Register / Vol. 61, No. 117 / Monday, June 17, 1996 /
Notices
[[Page 30748]]
DEPARTMENT OF HEALTH AND HUMAN SERVICES
Administration for Children and Families
[Program Announcement No. ACF/ACYF/NCCAN/DP 96-1]
Fiscal Year 1996 National Center on Child Abuse and Neglect;
Availability of Fund and Requests for Applications
AGENCY: National Center on Child Abuse and Neglect (NCCAN),
Administration on Children, Youth and Families (ACYF), Administration
for Children and Families (ACF), Department of Health and Human
Services (DHHS).
ACTION: Announcement of the availability of financial assistance and
requests for applications to support child abuse and neglect research,
demonstration, and training and technical assistance projects as
authorized by the Child Abuse Prevention and Treatment Act, as amended.
SUMMARY: The National Center on Child Abuse and Neglect (NCCAN)
announces the availability of Fiscal Year 1996 funding.
Funds from NCCAN are for research on the causes, prevention,
identification, treatment and cultural distinctions of child abuse and
neglect; for research on appropriate, effective and culturally-
sensitive investigative, administrative and judicial procedures with
respect to cases of child abuse; and for demonstration or service
programs and projects designed to prevent, identify, and treat child
abuse and neglect.
This announcement contains forms and instructions for submitting an
application.
DATES: The closing time and date for the receipt of applications under
this announcement is 4:30 p.m. (Eastern Time) August 16, 1996.
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, S.W., Mail Stop 6C-462,
Washington, D.C. 20447, ATTN: __________ (Reference announcement number
and specify Priority Area 1.01, 2.01, or 2.02).
Hand-delivered, courier or overnight applications are accepted
during the normal working hours of 8:00 a.m. to 4:30 p.m., (Eastern
time), 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, S.W., Washington, D.C. 20447, ATTN: __________
(reference number and specify Priority Area 1.01, 2.01, or 2.02).
FOR FURTHER INFORMATION CONTACT: The ACYF Operations Center Technical
Assistance Team at 1-800-351-2293 is available to answer questions
regarding application requirements and to refer you to the appropriate
contact person in NCCAN for programmatic questions.
INTENT TO APPLY: If you are going to submit an application, send a
postcard or call in the following information: The name, address, and
telephone number of the contact person; the name of the organization;
and the priority area(s) in which you may submit an application, within
two weeks of the receipt of this announcement to: Administration on
Children, Youth and Families, Operations Center, 3030 Clarendon
Boulevard, Suite 240, Arlington, VA 22201. The telephone number is 1-
800-351-2293. 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 National Center on Child
Abuse and Neglect 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 follow Part III.
Please copy as single-sided 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
Part II: 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. 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. Assurances/Certifications
F. Checklist for a Complete Application
G. The Application Package
Part I--General Information
A. Background
The Administration on Children, Youth and Families (ACYF)
administers national programs for children and youth, works with States
and local communities to develop services which support and strengthen
family life, seeks out joint ventures with the private sector to
enhance the lives of children and their families, and provides
information and other assistance to parents, public and private
agencies, States and local communities, and other entities.
The concerns of ACYF extend to all children from birth through
adolescence. Many 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 Native American and migrant families.
Located organizationally within ACYF, the National Center on Child
Abuse and Neglect (NCCAN) was established within the Department of
Health and Human Services in 1974 by the Child Abuse Prevention and
Treatment Act (the Act).
NCCAN conducts activities designed to assist and enhance national,
State and community efforts to prevent, identify, and treat child abuse
and neglect. These activities include: conducting research and
demonstrations; supporting service improvement projects; gathering,
analyzing, and disseminating information through a national
clearinghouse; and awarding grants to eligible States to develop,
strengthen, and carry out child abuse and neglect prevention and
treatment programs and programs relating to the investigation
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and prosecution of child abuse cases. In addition, the legislatively-
mandated Advisory Board on Child Abuse and Neglect and the Inter-Agency
Task Force on Child Abuse and Neglect produce periodic reports on child
abuse and neglect activities.
B. Statutory Authority Covered Under This Announcement
NCCAN solicits applications under the authority of the Child Abuse
Prevention and Treatment Act (42 U.S.C. 5101 et seq.) as amended. The
Act was most recently reauthorized through September 1995 and was
further amended through the Child Abuse, Domestic Violence, Adoption,
and Family Services Act of 1992 (Pub. L. 102-295, 5/28/92), the
Juvenile Justice and Delinquency Act Amendments of 1992 (Pub. L. 102-
586, 11/4/92), and Title IV of the Human Services Amendments of 1994
(Pub. L. 103-252, sec. 401). Funds were appropriated, at a reduced
level, under the 1996 Appropriation Bill (Pub. L. 104-134) through
September 1996. (CFDA: 93.670)
Part II. The Review Process and Priority Areas
A. Eligible Applicants
Each priority area description contains information about the types
of agencies and organizations eligible to apply. Because eligibility
varies depending on statutory provisions, it is critical that the
``Eligible Applicants'' section of each priority area be read
carefully.
Before review, each application will be screened for applicant
organization eligibility. Applications from ineligible organizations
will not be reviewed in the competition, and the applicants will be so
informed.
Only agencies and organizations, not individuals, are eligible to
apply under this Announcement. All applications developed jointly by
more than one agency or organization must identify a single lead
organization 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 agency must submit proof of non-profit status either
by making reference to its listing in the Internal Revenue Service's
(IRS) most recent list of tax-exempt organizations or by submitting a
copy of its letter from the IRS under IRS Code Section 501(c)(3). The
ACYF cannot fund a non-profit applicant without acceptable proof of its
non-profit status.
B. Review Process and Funding Decisions
Before applications are reviewed, each application is screened to
determine whether the applicant organization is eligible. Applications
from ineligible organizations will not be reviewed in the competition,
and the applicant will be so informed. Applications that omit essential
components of the application or fail to comply with format
specifications described in Part III will have their application
withdrawn from further consideration.
Applications will be screened for categorical appropriateness. If
applications are found to be inappropriate for the priority area in
which they were submitted, applicants will be contacted for verbal
approval of redirection to a more appropriate priority area.
Redirection does not affect decision-making in the competitive process
following the initial screening.
Timely applications 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
result of this review is a primary factor in funding decisions.
NCCAN and ACYF reserve the option to discuss applications with, or
refer them to, other Federal or non-Federal funding sources when this
is in the best interest of the Federal government or the applicants.
ACYF may also solicit comments from ACF Regional Office staff, other
Federal agencies, interested foundations, national organizations,
specialists, experts, States and the general public. These comments,
along with those of the expert reviewers, will be considered by ACYF in
making funding decisions.
In making decisions on awards, ACYF may give preference to
applications which focus on: over-represented or under-served
populations; substantially innovative strategies with the potential to
improve theory or practice in child welfare and child protective
services; a model practice or set of procedures that holds the
potential for replication by organizations that administer or deliver
child welfare and/or child protective services; substantial involvement
of volunteers, where appropriate; substantial involvement (either
financial or programmatic) of the private sector; a favorable balance
between Federal and non-Federal funds available for the proposed
project; the potential for high benefit from low Federal investment;
and/or substantial involvement by national or community foundations.
To the greatest extent possible, funding decisions will reflect an
equitable distribution of assistance among the States and geographical
regions of the country, rural and urban areas, and ethnic populations.
In making these decisions, ACYF may also take into account the need to
avoid unnecessary duplication of effort.
C. Evaluation Criteria
A panel of at least three reviewers (primarily experts from outside
the Federal government) will review the applications. To facilitate
this review, applicants should address each 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 and provide
verbal and written comments and assign numerical scores to each
application. The point value following each criterion heading is the
maximum score for that criterion.
All research applications will be evaluated against the following
criteria:
(a) Objectives (5 points). The application pinpoints the research
problem addressed; concisely states the specific objectives of the
study; references theory or craft knowledge supporting the study; and
states the question(s) or hypothesis(es) to be tested.
(b) Background and Significance (maximum of 19 points). The
application provides a thoughtful discussion about the current state of
knowledge related to the research problem addressed by presenting a
review of the relevant literature, including any pilot tests, in order
to establish the need for the study as a replication to validate
existing knowledge or a new study to fill a knowledge gap. Applicants
also must indicate how the proposed study findings are expected to
significantly inform policy, improve practice, and/or advance the
science of child abuse and neglect research. Bibliographic references
for all citations should be included.
(c) Methodology (51 points). The application precisely defines the
terms and variables used in the study; identifies data sources, data
collection processes and instruments, including the instruments'
reliability and validity with the population proposed; and describes
the data analysis plan. If the
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study proposes to do secondary data analysis, the application describes
access to the data source.
The application describes the characteristics of the target
population and the rationale, strengths, and potential limitations for
interpretations of findings due to the gender and ethnic composition of
the proposed study sample; depicts recruitment and retention
procedures; provides realistic estimates of attrition, and discusses
appropriate procedures for handling attrition or interpreting the
findings of the study in light of attrition.
The proposed methodology protects human subjects; reflects
sensitivity to ethical issues that may arise and provides for reporting
suspected abuse and/or neglect as governed by applicable laws and
regulations; describes procedures for soliciting approval from an
institutional review board (IRB), if applicable, and protecting the
integrity and confidentiality of data.
The applicant(s) commits to using data processing and documentation
practices in accordance with the needs of the National Data Archive on
Child Abuse and Neglect and to providing study data to the Archive at
the conclusion of the project, as applicable. A manual describing such
practices, The Preparation of Data Sets for Analysis and Dissemination:
Technical Standards for Machine-Readable Data, can be obtained free of
cost from the National Data Archive on Child Abuse and Neglect located
at Cornell University, Family Life Development Center, G20 MVR Hall,
Ithaca, New York 14853-4401, 607-255-7794. Applicants must confirm that
the final report will be prepared in the suggested format to ensure its
readiness for dissemination by NCCAN and ACYF, if desired.
The application provides a fiscally responsible and workable plan
of action; details a reasonable time-line and target dates; includes an
adequate staffing plan, listing key and support staff, consultants, any
agency, organization, other key group, and/or advisory panels involved
or proposed; describes the responsibilities, activities, and/or
training plans for each, if applicable. The application explicitly
identifies the role of the author(s) of this proposal in relation to
the work plan and administrative structure.
The application proposes reasonable project costs and allocates
sufficient funds across component areas. This information also must be
included in the budget narrative.
(d) Staff Background and Organizational Experience (25 points). The
application describes the qualifications of the key staff and
consultants alluded to in the methods section (a curriculum vitae for
each key staff person must be included with the application); the
geographic accessibility of the personnel proposed; and access to
special personnel resources to be tapped, if required.
The application describes the adequacy of the available facilities
and organizational experience to perform the pertinent tasks of the
proposed project effectively and efficiently. Organizational capability
statements included with applications should be no longer than two
pages. If collaboration is proposed, the nature and extent of the
collaboration must be described in detail, and supported by letters of
commitment.
The application describes the relationship between this project and
any other Federally assisted work planned, anticipated, or underway, by
the applicant.
All demonstration and training and technical assistance
applications will be evaluated against the following criteria:
(a). Objectives and Need for Assistance (20 points). The
application pinpoints the problem or issue requiring a solution and
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; identifies other successful demonstration projects that
may have implications for the proposed demonstration (which may include
a review of the relevant literature); identifies the conceptual or
theoretical framework for this model; and describes whether the
proposed project replicates or modifies previously evaluated model(s)
addressing the identified need. The application must pinpoint the
location of the project and area and population to be served.
(b). Approach (35 points). The application outlines a sound and
workable plan of action and time-line and details how the proposed work
will be accomplished; describes the approach in detail and points out
its unique features; cites factors which might accelerate or delay this
approach, giving acceptable reasons for taking this approach as opposed
to others; describes and supports any unusual features of the project,
such as extraordinary social and community involvements; includes an
adequate staffing plan, that lists key and support staff, consultants,
any agency, organization, other key group, and/or advisory panels
involved or proposed; describes the responsibilities, activities, and/
or training plans for each (if applicable). The application proposes
reasonable project costs and allocates sufficient funds appropriately
across activities to accomplish the objectives.
The application, when appropriate, identifies the kinds of data to
be collected and maintained, describes procedures for informed consent
of participants, where applicable, and discusses the criteria to be
used to evaluate the results of the project. The application describes
the evaluation methodology that will be used to determine if the
process proposed was implemented, if the needs identified were
addressed, and if the benefits expected were achieved.
(c). Results or Benefits Expected (20 points). The application
identifies the results and benefits to be derived, the extent to which
they are consistent with the goals and objectives, and their
contributions to policy and practice. The extent to which the proposed
project costs are reasonable in view of the expected results.
(d). Staff Background and Organization Experience (25 points). The
application identifies the educational and professional background of
the project director/principal investigator and key project staff and
the experience of the organization to demonstrate the applicant's
ability to administer and implement the project effectively and
efficiently. The role of the author(s) of this proposal in relation to
the work plan and administrative structure should be explicitly
identified. The application describes the relationships between the
proposed project and other Federally assisted work planned, anticipated
or underway by the applicant. If the project proposed is a
collaboration, the application must describe the nature and extent of
the collaboration including the responsibilities of the respective
agencies in carrying out the activities identified in the work-plan.
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 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 and the current state-of-the-
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art and/or current state-of-practice supporting the need for the
particular priority area activity. Relevant information on projects
previously funded by ACYF and/or others, and State models are noted.
Minimum Requirements for Project Design: This section presents the
minimum requirements which must be addressed in response to the
evaluation criteria. For research projects, these requirements relate
to project objectives, background and significance, methodology, staff
background and organizational experience. For demonstration projects,
these requirements relate to objectives and need for assistance,
approach, results or benefits expected, and staff background and
organizational experience. Reviewers will use the details expected
under these headings in response to each priority area to evaluate the
applications.
Project Duration: This section specifies the maximum allowable
project period; it refers to the amount of time for which Federal
funding is available.
Federal Share of Project Cost: This section specifies the maximum
amount of Federal support for the project for the first budget year.
Matching Requirement: This section specifies the minimum non-
Federal contribution, either cash or in-kind match, required in
relation to the maximum Federal funds requested for the project.
Anticipated Number of Projects To Be Funded: This section specifies
the number of projects ACYF anticipates funding under the priority
area.
Applications that fail to comply with the specific priority area
requirements in the section on ``Eligible Applicants'' will not be
reviewed.
Non-responsiveness to the section ``Minimum Requirements for the
Project Design'' is likely to 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. Experience has shown that an
application which is broader and more general in concept than the
priority area description calls for invariably scores lower than one
more clearly focused on, and directly responsive to, the specific
priority area.
E. Available Funds
The ACYF intends to award new grants resulting from this
announcement during the fourth quarter of Fiscal Year 1996, subject to
the availability of funds. The size of the actual awards will vary from
priority area to priority area.
Each priority area description specifies the maximum Federal share
of the project costs and the anticipated number of projects to be
funded.
``Budget period'' is the interval of time (usually 12 months) into
which a multi-year period of assistance (project period) is divided for
budgetary and funding purposes. ``Project period'' is the total time a
project is approved for support, including any extensions.
Where appropriate, applicants may propose project periods which are
shorter than the specified maximums. Non-Federal share contributions
may exceed the minimums specified when the applicant is able to do so.
However, applicants only should propose a non-Federal share they can
realistically provide because ACF will disallow any unmatched Federal
funds.
For multi-year projects, continued Federal funding beyond the first
budget period depends 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. Priority Area Descriptions and Requirements
1.01 University-Based Doctoral or Medical Student and Faculty
Fellowships in Child Abuse and Neglect
2.01 Demonstration Models on Neglect
2.02 National Resource Center on Child Maltreatment
On October 25, 1994 (Federal Register Vol. 59, No. 205, pp. 53652-
53657) NCCAN published, as required by the authorizing legislation, a
notice of the proposed research and demonstration priorities for Fiscal
Years 1995 and 1996. The notice provided a 60-day period for public
comment on the proposed areas. NCCAN received 81 written responses. A
detailed description of those responses was included in the notice of
availability of funds and request for applications published on May 9,
1995 (Federal Register Vol. 60, No. 89, pp. 24700-24732). The priority
areas selected for that announcement were chosen by prioritizing needs,
matched to available funding levels, with due consideration of the
public comments on the proposed priorities. This announcement is based
on the proposed priority publication and public comments. Public
responses to those proposed priority topics which were not presented in
previous announcements are described here.
Thirty-seven letters commented on the proposed research topic
focusing on the impact of community-based family support and family
preservation programs on child abuse and neglect. Almost all concurred
with the direction of this priority. Some writers suggested that the
target populations and the target findings needed greater clarity. By
designating four populations of interest and four outcomes, the
impression may have been given that all four populations and all four
outcomes were to be included in each proposal, creating projects of
scope and complexity exceeding available funding. Many criticisms
targeted the lack of clarity between the priority area and ongoing
Federal evaluations of family support and family preservation services.
The proposed population categories and outcomes described in the
previous announcement were intended to focus applicants' thinking on
populations and outcomes of primary interest to NCCAN. If this topic is
pursued, applicants should feel free to suggest (and justify) other
populations or subgroups and outcomes, and select only those logically
and appropriately related to the outcomes, theoretical foundation,
research methods and measures proposed. Regardless of population and
outcomes, each applicant will be expected to propose explorations that
will inform future prevention and intervention strategies. With respect
to the lack of sufficient funding for large-scale explorations of Child
Protective Service (CPS) populations and service outcomes, this topic
has been subsumed in the list of suggested topics for university-based
doctoral or medical student and faculty fellowship studies.
Regarding field-initiated research, which was not included as a
separate topic in the proposed priorities, several respondents
suggested reinstating the previously funded priority area because it
focused the innovative thinking of the research community specifically
on issues of child maltreatment. NCCAN, recognizing the importance of
innovative research from the field and has taken those comments into
consideration in developing this announcement.
Twenty-five comments addressed the proposal to develop models for
centers of excellence in research. A number of respondents questioned
this approach and suggested alternatives for configuring research
centers, such as developing partnerships with for-profit companies,
universities, or other agencies. Seventeen respondents supported this
priority area as it was described. Many comments in both categories
supported the graduate research and medical research fellowships issued
previously. Both
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topics were intended to support the continued development of a research
infrastructure and to attract new researchers to the field. These goals
have been combined in priority area (1.01) for a block of fellowships
for doctoral or medical students and a faculty member to conduct child
abuse and neglect research.
Seventeen responses addressed the two priority areas proposing
service demonstrations on models for neglect. Thirteen made suggestions
for improving the priority area, only one did not support the priority.
Comments focused primarily on clarifying the populations to be served
and studied, the service approaches to be demonstrated, and the
partnerships required between the proposed organization and child
protection service agencies and/or community-based programs. Many
writers suggested additional populations meriting study (e.g., families
with substance abuse and addiction problems, families experiencing
domestic violence, parents with mental retardation, families of
adoption, and families with children with special needs). Respondents
expressed the need to select clearly defined, homogeneous populations
in order to conduct rigorous research and have generalizable findings.
With regard to the two approaches discussed in the announcement
(ecological and psychosocial), over half supported a combined approach.
The remainder stressed the importance of matching the approach to
client needs, available resources, and selection of outcome variables
and measures. Those comments have been incorporated into the priority
appearing in this announcement. Based on comments, the project length
will be expanded to five years.
Ongoing infrastructure support activities, such as resource centers
and training and technical assistance activities, also received support
for continuation.
Other respondents indicated the need to acknowledge the role
parental substance abuse and domestic violence may play in preventing
and treating child abuse and neglect regardless of topic focus. NCCAN
supports including these issues, as appropriate, and will reiterate in
the priority area descriptions the need to focus on parental substance
abuse and domestic violence as important issues, as research study
variables, and as co-occurring problems in demonstration projects.
NCCAN encourages applications from applicants who bring a special
understanding of the dynamics of communities over-represented in the
child protective service and child welfare systems. There is a
compelling need to generate knowledge about these populations through
research based upon conceptual frameworks that include appropriate
cultural and sociological perspectives. Researchers with experience or
the potential to examine over-represented and/or under-served
populations can make significant and unique contributions to knowledge
about child abuse and neglect, diversity, and over-representation.
Applications from Historically Black Colleges and Universities may
receive special consideration, in concurrence with Departmental
precedent.
Applicants are strongly encouraged to build new studies on the
findings of previously funded NCCAN grants. Information on prior
research and demonstration projects supported by NCCAN and other
studies on child maltreatment are available from the Clearinghouse on
Child Abuse and Neglect Information, P.O. Box 1182, Washington, DC
20013, (1-800-FYI-3366). The Clearinghouse (a member of the Consortium
of Clearinghouses) can provide information on the other Clearinghouses
and Resource Centers having special information resources on substance
abuse and domestic violence.
1.01 University-Based Doctoral or Medical Student and Faculty
Fellowships in Child Abuse and Neglect
Eligible Applicants: Institutions of higher education, including
medical schools, teaching hospitals, and Historically Black Colleges
and Universities on behalf of qualified doctoral students, medical
students, residents (medical, surgical, pediatric, or others), house
officers, or fellows enrolled in the institution and faculty employed
by the institution. To be eligible to administer such a grant, the
institution must be fully accredited by one of the regional
institutional accrediting commissions recognized by the U.S. Secretary
of Education and the Council on Post-Secondary Accreditation, the
Accreditation Council for Graduate Medical Education, American
Association of Medical Colleges, or the Liaison Committee for Medical
Education, as applicable. While an individual is considered to be the
beneficiary of the grant support, awards will be made only to eligible
institutions on behalf of their qualified candidates.
Purpose: To provide support for doctoral students, medical
students, residents, house officers, or fellows, who show promise and
demonstrate serious interest and commitment to issues of child
maltreatment and faculty to conduct research on critical issues in
child abuse prevention, identification, and treatment in order to
cultivate the academic infrastructure, support the growth of the
university-based research capacity for child abuse and neglect, and
encourage doctoral-level students and faculty to pursue careers in
child abuse and neglect research.
Background Information: The research community has highlighted the
need to draw new researchers into the field of child abuse and neglect
(Understanding Child Abuse and Neglect, National Research Council,
Washington, D.C.: 1993). During FYs 1991, 1992, and 1994, NCCAN funded
26 graduate research fellowships for doctoral candidates to complete
dissertations addressing critical issues in child abuse and neglect.
This activity proved rewarding for NCCAN and garnered the support of
the field. NCCAN is expanding this effort to include doctoral students,
medical students, residents, or fellows, and faculty interested in
pursuing child abuse and neglect research projects. Faculty, doctoral
students, and students in medical schools, resident or fellows programs
are encouraged to apply for support through their schools and
interdisciplinary programs in social sciences, human development,
community and family development, human services, social work,
medicine, nursing, special education, early childhood education,
psychology, sociology, anthropology, public health, child study,
minority studies, and criminology.
NCCAN proposes to award funds for fellowships in blocks to eligible
institutions. Each institutional block would contain up to four
students and one faculty member. The students and faculty member may
pursue their own individual research or work on coordinated projects on
child abuse and neglect. In addition to submitting all the required
reports to NCCAN, the faculty member's work may lead to publications
and the students' work may lead to their doctoral dissertations or
fulfill the requirements of a major research project (e.g., independent
study projects requiring a minimum commitment of 6 to 9 graduate credit
hours).
Institutions will be selected competitively, with attention to
geographic distribution, and with at least one grant to Historically
Black Colleges and Universities (HBCU) in order to generate research
and researchers particularly responsive to issues of cultural context
and the over-representation of some groups in child protective systems.
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Examples of the proposed topics to be addressed and issues to be
studied for these fellowships include, but are not limited to, the
following topics: (1) Prevention effectiveness studies; (2) CPS service
interventions and outcomes studies; (3) treatment outcome studies; (4)
studies focusing on over-represented and/or under-served populations in
the child welfare and child protective services; (5) studies of the
impact of managed care on child maltreatment prevention and treatment
programs; and (6) secondary analysis of existing data sets. Medical
students, residents, and fellows are also encouraged to consider
research on new medical screening, diagnostic, or interview protocol
techniques or treatments for child abuse and neglect.
NCCAN has a general interest in research conducted in cooperation/
partnership with State or local Child Protective Services/child welfare
systems, prevention-oriented and/or service-providing community-based
organizations and/or systems, and teaching hospitals with
multidisciplinary child protection teams.
(1) Prevention effectiveness study topics might include tests of
effectiveness for various models of developmentally appropriate,
comprehensive prevention services in various settings; effectiveness of
parenting education and peer-support parent programs; studies of how
interactions between fathers and children promote or reduce the risk of
child maltreatment; studies of the relationship of parental discipline
practices and child maltreatment; or other topics related to prevention
effectiveness as proposed by applicants.
(2) Research studies on CPS service interventions and outcomes with
particular interest on families: (a) Referred to CPS, whose cases were
unsubstantiated or unfounded, but were found to need services, and were
referred for, or provided services, whose cases are now open or closed;
(b) follow-up studies with families whose child abuse or neglect cases
were substantiated or indicated, who received services that might have
included short-term placement and reunification, and whose cases are
now closed; and (c) families whose child abuse or neglect cases have
been substantiated or indicated, who are receiving services which might
include short-term placement and reunification, and whose cases are
currently open. We are also interested in system responses to cases
involving multiple forms of abuse. NCCAN encourages studies on the
combination of neglect and physical abuse; cases involving substance
abuse and/or domestic violence are also of interest. Type of services
and moderating variables that impact the outcomes of service should be
carefully defined. Family and child outcome variables might include
service impacts on: (a) Child health and development, child and family
functioning, recidivism, and frequency and duration of removals from
these families, if any; (b) costs/cost effectiveness of service
delivery approaches; (c) other issues related to these three
populations as proposed by applicants.
(3) Treatment outcome study topics of interest include studies of
the effectiveness of various approaches to the treatment of: (a)
Children subjected to multiple forms of maltreatment; (b) child abuse
and domestic violence; and (c) child abuse and substance abuse; or
other subtopics related to these three areas, as proposed by
applicants.
(4) Studies exploring the unique cultural dynamics of communities
over-represented in the child protective service and child welfare
systems; studies generating knowledge about the conceptual frameworks,
sociological, psychological, and cultural perspectives which can inform
interventions operating in these communities; examinations of over-
represented and/or under-served populations; or other topics related to
cultural dynamics as proposed by applicants.
(5) Studies of the impact of managed care on the delivery of child
maltreatment prevention and treatment programs.
(6) Secondary analysis of existing data. NCCAN encourages the use
of NIS, NCANDS, data-sets collected through other ACF-funded awards,
and data stored at the National Data Archives on Child Abuse and
Neglect located at Cornell University, Family Life Development Center,
G20 MVR Hall, Ithaca, New York 14853-4401; telephone: 607-255-7794.
Each applicant institution should prepare a single submission
packet composed of (up to) five individual research proposals. Each
individual proposal will be evaluated against the criteria for
evaluating research projects. For this priority area only, an exception
is made regarding the 60-page limit described elsewhere in this
announcement. However, the text of each individual proposal should not
exceed a maximum of 15 pages. The total text for the five proposals
cannot exceed a maximum of 75 pages. Application forms and all required
attachments can add up to 25 more pages. Thus the total length of the
institutional submission, including text, application, and attachments
may be up to 100 pages. Human Subjects Assurances must be completed for
each individual proposal; however, all other assurances should be
submitted only once, by the institutional applicant. The academic
institution, in accepting the award, agrees to waive overhead charges
(indirect costs) and pass the entirety of the funds on to students and
faculty as fellowships.
Minimum Requirements for Project Design: As part of addressing the
evaluation criteria outlined in Part II of this announcement, each
applicant must address the following items in the program narrative
section of the proposal.
Objectives
Pinpoint the research problem being addressed.
State the specific objectives of the study.
State the question(s) or hypothesis(es) to be tested.
Background and Significance
Discuss the current state of knowledge related to the
research problem.
Provide a review of the relevant literature, including any
pilot tests.
Demonstrate a conceptual framework that includes
appropriate cultural perspectives and references theory or craft
knowledge in support of the study.
Establish the need for the study as either a replication
to validate existing knowledge or as a new study to fill a knowledge
gap. If applicable, indicate how the proposed study is distinguished
from other on-going research of which it is a part.
Indicate how the proposed study findings significantly
inform policy, improve practice, and/or advance the science of child
abuse and neglect research.
Include all bibliographic references.
Methodology
Describe the proposed methodology. Define the terms,
variables, and design to be used in the study.
Describe the population and sampling plan, the rationale,
strengths, and potential limitations for interpretations of findings
due to the gender and ethnic composition of the proposed study sample.
Describe recruitment and retention procedures; provide
realistic estimates of attrition, and discuss appropriate procedures
for handling attrition or interpreting the findings of the study in
light of attrition.
[[Page 30754]]
Identify data sources, data collection procedures, and
instruments, including information on reliability and validity of the
instruments with the population proposed. If the study proposes
secondary data analysis, describe access to the data source. Describe
data management to safeguard the integrity and confidentiality of data.
Describe the plan to prepare study data according to sound
data processing and documentation practices in accordance with the
needs of the National Data Archive on Child Abuse and Neglect.
Provide a data analysis plan.
Assure protections for human subjects; describe procedures
for soliciting approval from an institutional review board (IRB), if
applicable.
Reflect sensitivity to ethical issues that may arise and
make provision for reporting suspected abuse and/or neglect as governed
by applicable laws and regulations.
Provide a fiscally responsible and workable plan of
action; detail a reasonable time-line and target dates; include an
adequate staffing plan, listing key and support staff, consultants, any
agency, organization, other key group, and/or advisory panels involved
or proposed; describe the responsibilities, activities, and/or training
plans for each, if applicable.
Describe strategies for disseminating the findings in a
manner that would be useful to other researchers and practitioners in
the field.
Staff Background and Organizational Experience
Include evidence that the student candidates are enrolled
and in good standing as doctoral or medical students, residents, or
fellows in the sponsoring institution and verify the employment status
of the faculty candidate.
Document the agreement between the dean or chairperson and
the faculty candidate indicating that the faculty candidate will be
permitted to conduct the research project as part of his/her academic
duties, and if needed, that a senior faculty member would be available
to guide the project.
Include a letter of support from a tenured faculty member,
advisor, Dean, or Chairperson for each student seeking a fellowship,
recommending the student's capability to undertake a research project
of this nature.
Describe the corporate capability of the institution to
support a research initiative, in terms of the existing research
infrastructure and academic climate.
Include a short resume for each candidate (limit to one
page) including information on education and relevant experiences.
Describe the relationship between this project and any
other Federally-assisted work planned, anticipated, or underway, by the
applicant.
Provide assurances that each candidate will attend a
three-day annual spring meeting of NCCAN research grantees in
Washington, D.C.; prepare a pre-meeting abstract of the research,
quarterly progress reports, and a final project report in an NCCAN-
suggested format ensuring ease of dissemination and utilization;
prepare and submit at the conclusion of each individual study, the data
in accordance with the needs of the National Data Archive on Child
Abuse and Neglect, as described.
Project Duration: The length of the project may not exceed 17
months.
Federal Share of the Project Costs: The maximum Federal share of
the project is not to exceed $75,000 per university or institution to
fund up to four student-candidates at $13,750 each and $20,000 for the
faculty candidate.
Matching Requirement: There is no matching requirement.
Anticipated Number of Projects to be Funded: It is anticipated that
3 sites will be funded.
2.01 Demonstration Models on Neglect
Eligible Applicants: Public or private nonprofit agencies,
organizations, and institutions of higher learning. For-profit
organizations are eligible to participate as subgrantees or
subcontractors of eligible non-profit organizations.
Purpose: The intent of this priority area is to fund service models
that address the prevention, intervention, and treatment needs of
neglected children and their families. These models should provide for
(a) early identification of families at risk of neglect, (b)
identification of chronically neglectful families, and (c) neglected
children (in placements or reunified) who may be in need of special
services.
Projects may either present innovative approaches or be
replications of previously evaluated and promising models. In either
case, proposed models should build on previous research findings and
NCCAN-sponsored symposium findings; they should also incorporate mental
health, substance abuse, parenting education, and family support
services. They should collect data on the costs and potential cost
benefits of providing the proposed services. A strong evaluation
component will be essential.
Background Information: Child neglect is the most common form of
child maltreatment today. According to the latest NCANDS data available
(Child Maltreatment 1994: Reports from the States to the National
Center on Child Abuse and Neglect), 52.9% of all cases substantiated by
child protection service agencies are neglect cases. Since NCANDS began
tracking cases, neglect has been the predominant type of maltreatment.
This is also true of the NIS data. Yet, efforts to focus attention on
neglect have lagged significantly behind other forms of maltreatment.
Research indicates that the consequences for children who are
neglected have a long-term negative impact. Child victims of neglect
fail to develop secure psychological attachments as infants, and this
seriously hinders their subsequent development. Neglected preschool
children demonstrate a lack of readiness for learning, behavior
problems, and less active interaction with peers. School-aged neglected
children do poorly in school. The connection between delinquency and
neglect is less clear, although according to some preliminary data from
the U.S. Department of Justice's National Institute of Justice
(Research Preview, February 1996), adolescents neglected as children
were equally likely to be arrested for violent crimes as physically
abused children. Neglected children under age 3 are at high risk for
child fatalities. Parents of neglected children are also more likely
to: have limited intellectual functioning; experience depression; abuse
alcohol and drugs; and have limited education (Gaudin, Polansky,
Kilpatrick and Shilton. ``Loneliness, Depression, Stress and Social
Supports in Neglectful Families,'' October 1993, American Journal of
Orthopsychiatry, Vol. 63, No. 4, pp. 597-605).
To address one aspect of this problem, NCCAN convened a symposium
on chronic neglect in June 1993. Building upon lessons learned from
previous demonstration models on neglect, the symposium addressed
consensus-building on definitions, strategies for change through
empowerment, research, treatment and policy topics. The Chronic Neglect
Symposium Proceedings (1993) are available from the NCCAN Clearinghouse
(800-394-3366). A number of studies referred to in the Proceedings
suggest that programs for neglectful families based on building
interpersonal strengths, fostering individual empowerment, and ensuring
the provision of basic human needs in a safe environment were most
likely to improve parenting, self-esteem
[[Page 30755]]
and coping ability among the neglectful population.
Designing services for families that neglect children is a
challenge. Both ecological and psycho-social factors influence the
manifestation of neglect. The many differences among neglectful
families, including cultural and sociological distinctions, dictate a
service model based on careful assessment of the family and services
designed specifically for them.
Projects may be based on either an ecological, i.e., a neighborhood
model, or the psycho-social model. If a project chooses the ecological
model, it must be aggressive in its outreach to the community;
conversely, if a project chooses to follow the psycho-social model, it
must include home-based/family support services, parenting education,
substance abuse and mental health services in its approach to
addressing neglect.
The U.S. Advisory Board on Child Abuse and Neglect focuses on the
ecological aspects in their report, Neighbors Helping Neighbors (1993).
The report recommends several strategies for strengthening
neighborhoods and improving the quality of support available to
families within their own communities, as a national strategy for the
protection of children. Recommendations include:
Involving residents as participants, planners and managers
of neighborhood services,
Encouragement of foster grandparent programs,
Empowerment through home ownership,
Implementing prevention zones by public/private
partnerships, and
Funding more family resource centers.
The importance of neighborhoods in combatting neglect is also
emphasized in the 1994 Kids Count Data Book (The Annie E. Casey
Foundation, pp. 4-7).
The report issued by the National Research Council (NRC, 1993, pp.
50-52) also highlights the ecological aspects. That report states that
``dysfunctional families are often part of a dysfunctional
environment'' (p. 60). Its recommendations for intervention programs
include: home-based approaches, improving socio-economic conditions and
reversing social isolation.
Other research focuses on the psycho-social foundations of neglect.
DiLeonardi (``Families in Poverty and Chronic Neglect of Children,''
November 1993, Families in Society, Vol. 74, No. 9, pp. 557-562),
reported that ``family empowerment, the use of groups to develop social
support networks, and the assistance of volunteers or paraprofessionals
as home visitors or parent aides, appear to be beneficial'' to families
reported for neglect. The study concluded that families were able to
reverse their neglectful child-rearing patterns with this model of
service. DePanfilis (``Social Isolation of Neglectful Families: A
Review of Social Support, Assessment and Intervention Models,''
February 1993, Child Maltreatment, Vol. 1, Issue 1, pp. 37-52) also has
suggested that programs that address the social isolation of neglectful
parents by teaching them social and interactional skills work well.
Gaudin, et al., also found that family dynamics explains a
significant portion of the variance in quality of parenting and
neglect. Depression and substance abuse, for example, have been
suggested as powerful forces in family dynamics and mediators of
neglect.
Recent work by the Kansas Cooperative Extension Service (Smith,
C.A., Cudaback, D., Goddard, H.W., & Myers-Walls, J., 1994, National
Extension Parent Education Model) may provide a useful guide for
designing the parent education component of a comprehensive psycho-
social model. Parent education can help parents in many ways including:
learning to care for themselves, managing personal stress, managing
family resources; providing children with developmentally appropriate
opportunities and learning appropriate disciplinary techniques;
maintaining developmentally appropriate expectations of children;
improving communication skills, building social support systems; and
learning to access community, social service, and family support
resources.
Structurally, these projects are intended to function cooperatively
as a cluster. NCCAN proposes funding a minimum of four demonstration
projects on neglect. Participation in a cluster affords the grantees
the greatest opportunities to cooperate and collaborate. NCCAN will
assist this cooperation by providing assistance through a technical
assistance contract, encouraging meetings to develop common evaluation
criteria, data elements, and measures to maximize comparability of
evaluation findings. Evaluations will be required of each demonstration
project. Priority will be give to those who provide evidence of
partnership between CPS/IV-B agencies which provide Family
Preservation/Family Support services and community-based mental health/
family resource centers.
NCCAN is especially interested in examinations of core services and
studies of essential elements in treatment, and outcome studies.
Projects which address issues related to family preservation and family
support are encouraged as are demonstrations related to treatment
outcomes and practitioner evaluations.
Minimum Requirements for Project Design: As part of addressing the
evaluation criteria outlined in Part II of this announcement, each
applicant must address the following items in the program narrative
section of the proposal.
Objectives and Need for Assistance
Pinpoint the child neglect-related problem or issue that
needs to be addressed and establish the need for assistance; state the
principal and subordinate objectives of the project. State goals and
objectives in specific, measurable form for evaluation purposes.
Identify the conceptual framework used as the basis for
the proposed model and provide a review of the relevant literature;
include information about similar successful demonstration projects
that may have implications for the proposed demonstration; and provide
supporting documentation or other testimonies from concerned interests
other than the applicant.
Demonstrate an awareness of current initiatives in the
field and how the approach being proposed would build on this work.
Describe whether the proposed project replicates or
modifies a previously-evaluated model which addresses the identified
need.
Identify the precise location of the project, community,
and population to be served by the proposed project.
Approach
Describe the approach in detail and point out its unique
features including sensitivity to cultural, sociological,
psychological, and ethnic dynamics which have affected the choice of
approach.
Describe a sound and workable plan of action and time-line
which match the scope of the project and explain how the proposed work
will be accomplished.
Cite factors which might accelerate or delay this
approach, giving acceptable reasons for taking this approach as opposed
to others.
Include an adequate staffing plan, listing key and support
staff, consultants, any agency, organization, other key group, and/or
advisory panels involved or proposed; describe the responsibilities,
activities, and/or
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training plans for each (if applicable). If the proposed project is a
collaboration, the application must describe the nature and extent of
the collaboration and the responsibilities of the respective agencies
in carrying out the activities identified in the work-plan.
Propose an evaluation plan. Discuss the methods and
criteria to be used to evaluate the process, outcomes, or impacts of
the project in terms of the objectives of the project. Identify the
kinds of data to be collected and maintained for this purpose. An
external evaluator may be hired or an internal evaluation may be
designed. It is recommended that approximately 15 percent of the
proposed budget be set aside for evaluation efforts.
Results or Benefits Expected
Identify the results and benefits to be derived by
clients, community, agency, and NCCAN as a result of the implementation
and evaluation of this project. Discuss how project findings are likely
to improve practice and inform policy related to neglectful families.
Justify proposed project costs in view of the expected
results.
Describe strategies for disseminating findings to other
practitioners in the field.
Staff Background and Organization Experience
Identify the educational and professional background of
the project director and key project staff.
Describe the organization's ability to administer and
implement the project effectively and efficiently.
Identify precisely the role of the author(s) of this
proposal in relation to the work plan and administrative structure.
Describe the relationships between the proposed project
and other Federally assisted work planned, anticipated, or underway by
the applicant.
Provide assurances that at least one key staff person will
attend an annual three-day meeting in Washington, DC.
Grant recipients will be expected to follow an NCCAN-
suggested format in preparing final program reports and copies of final
reports and other products shall be provided to the Clearinghouse.
Project Duration: The length of the project must not exceed a five-
year period.
Federal Share of Project Cost: The maximum Federal share of this
project is not to exceed $150,000 for the first 12-month budget period
or a maximum of $750,000 for a period of five years. Funding for
subsequent years may exceed the amount specified above for the first
budget period based on a comprehensive needs assessment submitted by
the grantee and the availability of funds.
Matching Requirement: Grantees must provide a non-Federal share or
match of at least 25 percent of the Federal funds awarded. 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 five-year project requesting $750,000 in
Federal funds (based on an award of $150,000 per 12-month budget
period) must include a match of at least $187,500 ($37,500 per budget
period).
Anticipated Number of Projects To Be Funded: It is anticipated that
a minimum of four projects will be funded.
2.02 National Resource Center on Child Maltreatment
Eligible Applicants: Any State, local, public or private non-profit
agency or organization, including accredited colleges and universities,
may apply under this announcement. Applications developed jointly by
State, local, and community-based social service agencies, foundations,
colleges or universities and private non-profit organizations that
bring complementary expertise to bear on the resource needs of the
child maltreatment field are encouraged.
Purpose: The primary purpose of the National Resource Center on
Child Maltreatment (NRCCM) is to deliver direct, on-site, as well as
state-of-the-art communication, technology-based training, technical
assistance, consultation, and related resource materials and
information to State, local, Tribal, and other publicly-administered or
supported agencies and organizations that work in child maltreatment
prevention, identification and treatment services, (e.g., Child
Protective Service agencies, Children's Justice Act grantees,
Prevention grantees, and Tribal agencies and Organizations) to build
their capacity for developing, expanding, strengthening and/or
improving the quality and effectiveness of such services for child
victims of maltreatment and their families. A second purpose of the
NRCCM is to engage in ancillary activities which support the delivery
of training and technical assistance to the field, and to provide
advice, consultation, materials and information, as requested, to
private organizations and agencies, including disability organizations,
and individuals engaged in child maltreatment prevention,
identification, and treatment services.
The NRCCM will have a central role helping States, local agencies
and Tribes to improve and strengthen child maltreatment prevention,
identification, and treatment services for children and their families.
This will be accomplished by collaborating and coordinating with
related Administration on Children, Youth and Family (ACYF) funded
Resource Centers, Training and Technical Assistance Networks,
contractors, and Clearinghouses, especially with those funded by the
National Center on Child Abuse and Neglect (NCCAN), Children's Bureau
(CB), and the Family and Youth Services Bureau (FYSB). The NRCCM must
possess the expertise, knowledge and skill to provide quality training,
technical assistance, consultation, and appropriate materials and
information to relevant target audiences, both public and private.
Specific training, technical assistance, consultation and related
material and information needs of publicly-administered or supported
child maltreatment prevention, identification and treatment service
agencies will be identified in consultation with NCCAN Central Office
staff, the ten ACYF Regional Offices, the State agency staff, and plans
for meeting those needs will be coordinated with representatives of
NCCAN, CB and FYSB funded Resource Centers, Training and Technical
Assistance Networks, contractors, and clearinghouses. Similarly, the
need for ancillary activities to support delivery of training and
technical assistance, consultation, advice, materials and information
for private organizations and agencies, including disability
organizations, and individuals who work in the field of child
maltreatment, will be identified in consultation with the relevant
organizations, agencies and/or individuals.
Background Information: Section 105(b)C of the Child Abuse
Prevention and Treatment Act (CAPTA), as amended, requires NCCAN to
provide technical assistance to public and private agencies and
organizations, including disability organizations and persons who work
with children with disabilities, to assist such agencies and
organizations in planning, improving, developing and carrying out
programs and activities related to the prevention, identification, and
treatment of child abuse and neglect.
Section 106(b) of CAPTA, as amended, requires Resource Centers to
be established that serve defined geographic areas; that are staffed by
multi-disciplinary teams trained in the
[[Page 30757]]
prevention, identification and treatment of child abuse and neglect and
that provide advice and consultation to individuals, agencies and
organizations requesting such services.
To carry out this CAPTA mandate, in Fiscal Year 1991, NCCAN
supported a National Resource Center on Child Sexual Abuse, operated by
the National Children's Advocacy Center, Huntsville, Alabama, and a
National Resource Center on Child Abuse and Neglect, specializing in
physical abuse and neglect, operated by the American Humane
Association, Denver, Colorado. These Centers were funded through five-
year cooperative agreements starting September 30, 1991 and ending on
September 29, 1996. The functions of these resource centers were
broadly defined. The major activities under each of these resource
centers have been in the areas of knowledge-building, dissemination of
information, and consultation. The Centers also conducted a limited
amount of training and technical assistance activities.
To comply with the CAPTA mandate on a continuous basis starting
with Fiscal Year 1996, NCCAN seeks to support a minimum of one but not
more than two National Resource Center(s) on Child Maltreatment (NRCCM)
through a cooperative agreement(s). This NRCCM is expected to have
qualified, multi-disciplinary personnel trained in prevention,
identification, and treatment in the whole spectrum of child
maltreatment--child neglect, physical abuse, psychological
maltreatment, and sexual abuse--adequate resources, organizational,
professional, and educational capability and the expertise to carry out
the intent of this announcement.
The decision to fund a minimum of one but not more than two
resource centers starting with Fiscal Year 1996, reorienting the focus
of the center(s) to training, technical assistance, consultation, and
delivering related materials and information, across the whole spectrum
of child maltreatment, is made after taking into consideration several
factors. They include: the lessons learned from the operation of two
specialized resource centers during the past five years; funding
limitations; the need to avoid duplication of effort; the need to
maximize the use of Federal dollars and its benefits for the field; the
requirement of field staff to deal with clients who often are victims
of multiple types of abuse; current trends; and a critical need to
develop training and technical assistance that will address specific
State needs.
NCANDS is the primary source of national information on abused and
neglected children known to State child protective services agencies.
Child Maltreatment 1994 discusses NCANDS findings from 1994 data and
presents the overall child abuse and neglect data for the five years of
data collection, 1990 through 1994. According to this report, in 1994,
48 States reported that 1,011,628 children were determined to have been
victims of abuse and neglect, and State child protective services
agencies received reports of alleged maltreatment involving more than
2.9 million children. The report found that 53 percent of maltreated
children suffered neglect, 26 percent physical abuse, 14 percent sexual
abuse, and 5 percent emotional abuse, and 22 percent other forms of
maltreatment. The loss of life is the most severe repercussion of child
abuse and neglect. Forty-three States reported that 1,111 children died
as a result of abuse in 1994.
The number of children who were the subjects of reports of alleged
maltreatment increased from 2.6 million in 1990 to 2.9 million in 1994.
The number of ``substantiated'' or ``indicated'' victims of
maltreatment increased almost 27 percent from 1990 to 1994.
Characteristics of victims were consistent across the years. In each of
the five years, neglect was the predominant type of maltreatment. The
number of neglect victims was consistently more than two times the
number of physical abuse, the next most common type of maltreatment.
Almost all of the victims were 8 years of age or younger; though a
surprising 25 percent were twelve years of age and older. Fifty-two
percent of all victims were female and 46 percent were males. Child
protective services agencies identified almost 5,400 children who died
as result of abuse or neglect from 1990 through 1994.
Other recent studies using different reporting methodologies have
estimated that many more children are being abused than are ultimately
verified by States. For example, preliminary results from the Third
National Incidence Study of Child Abuse and Neglect (NIS-3) estimate
that almost three times the State-reported number of children are
maltreated.
In this context, the Federal government is redefining its
relationship with States and other child welfare agencies. The new
partnership being forged is based upon the vision wherein all concerned
agencies collaborate and cooperate to provide a continuum of services
to meet the needs of the increasing number of maltreated children and
their families. This comes at a time when steady increase in caseloads,
consisting of much more complex, multiple problem cases, are
confronting child maltreatment prevention, identification, and
treatment service programs. Throughout the country child maltreatment
service agencies, practitioners, and university-based personnel now are
demonstrating resiliency and creativity in response to these
circumstances. Skilled child maltreatment service professionals are
devising innovative solutions to numerous challenges, more often than
not, in the face of insufficient human, material, and financial
resources.
To meet the challenges of the current period, and overcome existing
resource deficiencies, capacity-building is needed by State, local,
Tribal and other private agencies, organizations as well as individuals
who are engaged in the prevention, identification and treatment of
child maltreatment. NRCCM is vital to making the most of this
opportunity with training and technical assistance, consultation,
advice and provision of related resource materials and information.
Support for this newly conceptualized NRCCM reflects NCCAN's commitment
to enhance the continuum of services for maltreated children and their
families.
The term `child maltreatment' in this priority announcement is
broadly defined to include child neglect, physical abuse, psychological
maltreatment, medical neglect, and sexual abuse.
`Cooperative agreement' in this announcement refers to Federal
assistance in which substantial Federal involvement is anticipated.
Minimum Requirements for Project Design: As part of addressing the
evaluation criteria outlined in Part II of this announcement, each
applicant must address the following items in the program narrative
section of the proposal.
Objectives and Need for Assistance
Describe the training, technical assistance, consultation,
and related materials and information needs of publicly supported/
administered agencies and organizations engaged in child maltreatment
prevention, identification, and treatment. Identify the auxiliary
activities needed to support training, technical assistance,
consultation to the field, and related materials and information needs
for private organizations and agencies engaged in child maltreatment
prevention, identification, and treatment.
Demonstrate awareness of training and technical assistance
initiatives currently underway at State and national levels. Describe
how the
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proposal does not duplicate existing efforts.
State the primary and secondary objectives of the proposed
resource center in specific measurable terms.
Approach
Describe the proposed activities in detail; point out the
scope and unique features.
List the type of training, technical assistance,
consultation, advice, and related material and information needs to be
provided.
Provide a plan for delivering training, technical
assistance, consultation, materials and information in response to the
identified needs, from year one through year five (a minimum of one
training and/or technical assistance activity in at least one of the
States in each of the ten ACYF regions is expected during the first
year; subsequent year's activities will be phased in) and specify the
delivery mode (e.g., principally on-site and in combination with the
use of state-of-the-art communications technology). Include a time-line
for the activities. Cite factors which might accelerate or delay this,
giving acceptable reasons for addressing these factors.
Include a staffing plan for each activity, listing key and
support staff, consultants, any agency, organization, other key group,
and/or advisory panels involved or proposed; describe the
qualifications, responsibilities and activities for each person.
Applications developed jointly by two or more
organizations must identify a single lead agency to be the primary
administrator of the NRCCM and the official recipient of the award; the
other applicant may be named as co-applicant. Joint applications must
delineate methods for coordinating activities and each organization's
responsibilities and contributions to completing the tasks identified
in the work plan.
Present strategies for obtaining input from the ten ACYF
regional offices, NCCAN central office, the State and local agencies
themselves.
Describe a plan for coordinating and establishing
effective linkages and collaborative working relationships with
relevant programs and other training and technical assistance providers
funded by Federal agencies. Specifically, NRCCM is expected to
establish effective linkages and appropriate coordination with the
Community Based Family Resource Program, NCCAN Emergency Services
Technical Service Contractor, seven resource centers funded by the
Children's Bureau, the three statewide Family Resource and Support
model projects initially funded by the Family and Youth Services Bureau
(FYSB), and the Technical Assistance Resource Coordination contract
funded by the Children's Bureau to assure effective utilization of
resources and to avoid duplication of efforts.
Describe a plan for utilizing Federal funds and matching
contributions to meet requests for on-site training, technical
assistance, consultation, materials, etc., from public agencies. Since
the Resource Center will have considerable, but finite, Federal funds,
applicants must present strategies for prioritizing requests and
maximizing available financial resources, including techniques such as,
but not limited to, subsidized cost-sharing arrangements with the
service recipient State, local, and Tribal agencies and/or
organizations. Justify the proposed costs.
Describe how on-going requests for consultation and
advice, and requests for training, technical assistance, related
materials and information from the private agencies, organizations, and
individuals will be handled, including techniques such as subsidized
cost-sharing. Justify the proposed costs.
Describe a plan to ensure that the services and program
activities of the Resource Center respond to cultural issues,
ethnically and culturally sensitive activities are furnished to the
populations being served, and the Resource Center staff is ethnically
and culturally diverse, and reflective of the populations being served.
Describe a plan to continually develop a national pool of
professionals in the field to serve as consultants and to link these
individuals with agencies, organizations, and individuals requesting
assistance.
Provide a plan for the NRCCM's own evaluation of the
quality of its training, technical assistance, consultation, and
provision of related materials and information, including plans for
eliciting consumer input. Discuss the methods and criteria to be used
to evaluate the process, outcomes, and impacts of the NRCCM. Identify
the kinds of data to be collected and maintained for the internal
evaluations. This data must also be made available to an independent
external evaluator, selected and funded by NCCAN.
Results or Benefits Expected
Identify the results and benefits to be derived from the
project in terms of the objectives of the proposal and as assessed by
the evaluation.
Justify the proposed project costs in view of the expected
benefits and results.
Staff Background and Organization Experience
Describe the full-time and part-time staff, as well as
project consultants, if any, with specific expertise, including
educational qualifications, training, experience and discipline of
each.
Identify precisely the role of the author(s) of this
proposal in relation to the work plan and administrative structure.
Demonstrate the organization's ability to administer and
implement the project effectively and efficiently.
Describe the organization's orientation to training and
technical assistance and any conceptual frameworks to be used in
designing and delivering training and technical assistance (e.g.,
multi-disciplinary, inter-agency, cross-program, comprehensive,
collaborative).
Document a commitment to and experience in providing
training, technical assistance, consultation, and related materials and
information, to agencies and organizations, both public and private, as
well as to individuals engaged in prevention, identification and
treatment of child maltreatment among economically, racially, and
culturally diverse population, including organizations and individuals
who serve maltreated children with disabilities and their families.
Describe the administrative and organizational structure
and the management plan for the project. An organizational chart
depicting these structures must be included.
Describe the relationships between the proposed project
and other Federally assisted work planned, anticipated, or underway by
the applicant.
Provide assurance that the NRCCM will cooperate with a
third-party evaluator which will evaluate the operation of the center,
its outreach, and outcomes over the first two-year period and agree to
the principle that further funding will depend on the evaluation
findings. This evaluation will be funded by NCCAN under a separate
contract.
Provide assurances that two key staff persons would attend
two annual 1 or 2 day meetings in Washington, D.C. for the project
directors of Resource and Research Centers and Clearinghouses organized
by the Children's Bureau.
Provide assurances that at least two key staff members
will attend up to six meetings in Washington during the first year for
periodic review of the work plan and/or attend various NCCAN-
[[Page 30759]]
sponsored grantee meetings. This includes an initial meeting in
Washington, D.C. with the Federal Project Officer and other NCCAN
management representative(s) within 30 days of the award.
Provide assurance that in situations where the applicant's
organizational position on a particular child maltreatment-related
policy or practice differs from the Federal position, the Federal
position will guide NRCCM activity and will be reflected in all public
statements and publications of the NRCCM.
Agree to enter into a Cooperative Agreement which will
require NCCAN review and approval of work plans, including activities
involving Headquarters and Regional Office staff, topics to be covered
in training (training curricula, trainers manual, hand-outs), issues
for technical assistance, topics for consultation, location and
frequency of training and technical assistance activities, modes of
training and technical assistance, any subcontracts and their work
plans and budgets, and other materials prior to finalization by the
grantee.
Agree to work out the terms of the Cooperative Agreement
and the respective responsibilities of the Federal staff and the
project staff prior to the actual award.
Project Duration: The length of the project must not exceed 60
months.
Federal Share of the Project Costs: The maximum Federal share of
the project is not to exceed $700,000 for the first 12 months. Funding
for subsequent years of the project may exceed the amount specified
above for the first budget period based on a comprehensive needs
assessment submitted by the grantee and the availability of funds.
Matching Requirement: Grantees must provide a non-Federal share or
match of at least 25 percent of the Federal funds awarded. 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 one-year project requesting $700,000 in
Federal funds must include a match of at least $175,000.
Anticipated Number of Projects: It is anticipated that a minimum of
one but no more than two projects will be funded.
Part III--Instructions for the Development and Submission of
Applications
This part contains information and instructions for submitting
applications in response to this announcement. Application forms are
provided 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 in the specific priority area under
which the application is to be submitted. The priority area
descriptions are in Part II.
A. Paperwork Reduction Act of 1995
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.
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 B. 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 (approved by the
Office of Management and Budget under Control Number 0348-0340) 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 in
Pub. L. 103-227, Part C Environmental Tobacco Smoke (also known as the
Pro-Children's Act of 1994). A copy of the Federal Register notice
which implements the smoking prohibition is included with the forms. By
signing and submitting the application, applicants are providing the
certification and need not mail back the certification with the
application.
All applicants for research projects must provide a Protection of
Human Subjects Assurance as specified in the policy described on the
HHS Form 596 (approved by the Office of Management and Budget under
control number 0925-0137) in Appendix B. If there is a question
regarding the applicability of this assurance, contact the Office of
Protection from Research Risks of the National Institutes of Health at
(301)-496-7041. Those applying for or currently conducting research
projects are further advised of the availability of a Certificate of
Confidentiality through the National Institute of Mental Health of the
Department of Health and Human Services. To obtain more information and
to apply for a Certificate of Confidentiality, contact the Division of
Extramural Activities of the National Institute of Mental Health at
(301) 443-4673.
C. Required Notification of the State Single Point of Contact
The discretionary funds awarded by NCCAN are covered under
Executive Order 12372, Intergovernmental Review of Federal Programs,
and 45 CFR Part 100, Intergovernmental Review of Department of Health
and Human Services Program and Activities. Under the Order, States may
design their own processes for reviewing and commenting on proposed
Federal assistance under covered programs.
As of February, 1996, the following jurisdictions have elected not
to participate in the Executive Order process: Alaska, Colorado,
Connecticut, Hawaii, Idaho, Kansas, Louisiana, Massachusetts,
Minnesota, Montana, Nebraska, Oklahoma, Oregon, Pennsylvania, South
Dakota, Tennessee,
[[Page 30760]]
Virginia, Washington, American Samoa, Palau. Applicants from these
jurisdictions or for projects administered by Federally recognized
Indian Tribes need take no action in regard to E.O. 12372.
All remaining jurisdictions participate in the Executive Order
process and have established Single Points of Contact (SPOCs).
Applicants from participating jurisdictions should contact their SPOCs
as soon as possible to alert them of the prospective applications and
receive instructions. Applicants must submit any required material to
the SPOCs as soon as possible so that the program office can obtain and
review SPOC comments as part of the award process. The applicant must
submit all required materials, if any, to the SPOC and indicate the
date of this submittal (or the date of contact if no submittal is
required) on the Standard Form 424, item 16a.
Under 45 CFR 100.8(a)(2), a SPOC has 60 days from the application
deadline to comment on proposed new or competing continuation awards.
SPOCs are encouraged not to submit routine endorsements as official
recommendations. Additionally, SPOCs are requested to differentiate
clearly between advisory comments and official State process
recommendations which may trigger the ``accommodate or explain'' rule.
Comments submitted directly to ACF should be addressed to:
Department of Health and Human Services, Administration for Children
and Families, Division of Discretionary Grants, 370 L'Enfant Promenade
SW., Mail Stop 6C-462, Washington, DC 20447.
A list of the Single Points of Contact for each State and Territory
is included as Appendix A of this announcement.
D. Deadline for Submission of Applications
The closing time and date for receipt of applications is 4:30 p.m.
(Eastern time) on August 16, 1996. 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 S.W., Mail Stop 6C-462, Washington, DC
20447, Attention: __________ (Reference Announcement Number and specify
Priority Area 1.01, 2.01, or 2.02.) Applicants are responsible for
mailing applications well in advance, when using the mail services, to
ensure that the applications are received on or before the deadline
time and date.
Applications hand-carried by applicants, applicant couriers, or by
overnight/express mail couriers shall be considered as meeting an
announced deadline if they are received on or before the deadline date,
between the hours of 8:00 a.m. and 4:30 p.m. (Eastern time) 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.
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
stated above are considered late applications. Each late applicant will
be notified that its application will not be considered in the current
competition.
Extension of Deadlines: The deadline may be extended for all
applicants because of acts of God such as floods, hurricanes, etc., or
when there is a widespread disruption of the mail. However, if 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
The SF 424, 424A (approved by the Office of Management and Budget
under Control Number 0348-0044), 424B, and certifications have been
reprinted for your convenience in preparing the application. 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 (include area code)--Enter the full name
(including academic degree, if applicable) and telephone number of a
person who can respond to questions about the application. This person
should be accessible at the address given here and will receive all
correspondence regarding the application.
Item 6. Employer Identification Number (EIN)--Enter the employer
identification number of the applicant organization, as assigned by the
Internal Revenue Service, including, if known, the Central Registry
System suffix.
Item 7. Type of Applicant--Self-explanatory.
Item 8. Type of Application--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
[[Page 30761]]
descriptive of the project, not the priority area title.
Item 12. Areas Affected by Project--Enter the governmental unit
where significant and meaningful impact could be observed. List only
the largest unit or units affected, such as State, county, or city. If
an entire unit is affected, list it rather than subunits.
Item 13. Proposed Project--Enter the desired start date for the
project and projected completion date.
Item 14. Congressional District of Applicant/Project--Enter the
number of the Congressional District where the applicant's principal
office is located and the number of the Congressional district(s) where
the project will be located. If statewide, a multi-State effort, or
nationwide, enter 00.
Items 15. Estimated Funding Levels. In completing 15a through 15f,
the dollar amounts entered should reflect, for a 12-month budget
period, the total amount requested. If the proposed project period
exceeds 17 months, enter only those dollar amounts needed for the first
12 months of the proposed project.
Item 15a. Enter the amount of Federal funds requested in accordance
with the preceding paragraph. This amount should be no greater than the
maximum amount specified in the priority area description.
Items 15b-e. Enter the amount(s) of funds from non-Federal sources
that will be contributed to the proposed project. Items b-e are
considered cost-sharing or matching funds. The value of third party in-
kind contributions should be included on appropriate lines as
applicable.
Item 15f. Enter the estimated amount of income, if any, expected to
be generated from the proposed project. Do not add or subtract this
amount from the total project amount entered under item 15g. Describe
the nature, source and anticipated use of this income in the Project
Narrative Statement.
Item 15g. Enter the sum of items 15a-15e.
Item 16a. Is Application Subject to Review By State Executive Order
12372 Process? Yes, except for the 18 jurisdictions listed above.--
Enter the date the applicant contacted the SPOC regarding this
application. Select the appropriate SPOC from the listing provided at
the end of Part III. The review of the application is at the discretion
of the SPOC. The SPOC will verify the date noted on the application. If
there is a discrepancy in dates, the SPOC may request that the Federal
agency delay any proposed funding until September 1994.
Item 16b. Is Application Subject to Review By State Executive Order
12372 process? No.--Check the appropriate box if the application is not
covered by E.O. 12372 or if the program has not been selected by the
State for review.
Item 17. Is the Applicant Delinquent on any Federal Debt?-- Check
the appropriate box. This question applies to the applicant
organization, not the person who signs as the authorized
representative. Categories of debt include audit disallowances, loans
and taxes.
Item 18. To the best of my knowledge and belief, all data in this
application/preapplication are true and correct. The document has been
duly authorized by the governing body of the applicant and the
applicant will comply with the attached assurances if the assistance is
awarded.--To be signed by the authorized representative of the
applicant. A copy of the governing body's authorization for signature
of this application by this individual as the official representative
must be on file in the applicant's office, and may be requested from
the applicant.
Item 18a-c. Typed Name of Authorized Representative, Title,
Telephone Number--Enter the name, title and telephone number of the
authorized representative of the applicant organization.
Item 18d. Signature of Authorized Representative--Signature of the
authorized representative named in Item 18a. At least one copy of the
application must have an original signature. Use colored ink (not
black) so that the original signature is easily identified.
Item 18e. Date Signed--Enter the date the application was signed by
the authorized representative.
2. SF 424A--Budget Information--Non-Construction Programs. This is
a form used by many Federal agencies. For this application, Sections A,
B, C, E and F are to be completed. Section D does not need to be
completed.
Sections A and B should include the Federal as well as the non-
Federal funding for the proposed project covering the first year budget
period.
Section A--Budget Summary. This section includes a summary of the
budget. On line 5, enter total Federal costs in column (e) and total
non-Federal costs, including third party in-kind contributions, but not
program income, in column (f). Enter the total of (e) and (f) in column
(g).
Section B--Budget Categories. This budget, which includes the
Federal as well as non-Federal funding for the proposed project, covers
the first year budget period if the proposed project period exceeds 12
months. It should relate to item 15g, total funding, on the SF 424.
Under column (5), enter the total requirements for funds (Federal
dollars in one column and non-Federal in the other) by object class
category.
A separate, itemized, budget justification for each line item is
required. The types of information to be included in the justification
are indicated under each category. For multiple-year projects, it is
desirable to provide this information for each year of the project.
Personnel--Line 6a. Enter the total costs of salaries and wages of
applicant/grantee staff. Do not include the costs of consultants, which
should be included on line 6h, Other.
Justification: Identify the principal investigator or project
director, if known. Specify by title or name the percentage of time
allocated to the project, the individual annual salaries, and the cost
to the project (both Federal and non-Federal) of the organization's
staff who will be working on the project.
Fringe Benefits--Line 6b. Enter the total cost of fringe benefits,
unless treated as part of an approved indirect cost rate.
Justification: Provide a break-down of amounts and percentages that
comprise fringe benefit costs, such as health insurance, FICA,
retirement insurance, etc.
Travel--6c. Enter total costs of out-of-town travel (travel
requiring per diem) for staff of the project. Do not enter costs for
consultant's travel or local transportation, which should be included
on Line 6h, Other.
Justification: Include the name(s) of traveler(s), total number of
trips, destinations, length of stay, transportation costs and
subsistence allowances.
Equipment--Line 6d. Enter the total costs of all equipment to be
acquired by the project. Equipment is defined as non-expendable
tangible personal property having a useful life of more than one year
and a acquisition cost of $5,000 or more per unit.
Justification: Equipment to be purchased with Federal funds must be
justified. The equipment must be required to conduct the project, and
the applicant organization or its 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.
[[Page 30762]]
Contractual--Line 6f. Enter the total costs of all contracts,
including (1) procurement contracts (except those which belong on other
lines such as equipment, supplies, etc.) and (2) contracts with
secondary recipient organizations, including delegate agencies. Also
include any contracts with organizations for the provision of technical
assistance. Do not include payments to individuals on this line. If the
name of the contractor, scope of work, and estimated total costs are
not available or have not been negotiated, include on Line 6h, other.
Justification: Attach a list of contractors, indicating the names
of the organizations, the purposes of the contracts, and the estimated
dollar amounts of the awards as part of the budget justification.
Whenever the applicant/grantee intends to delegate part or all of the
program to another agency, the applicant/grantee must complete this
section (Section B, Budget Categories) for each delegate agency by
agency title, along with the supporting information. The total cost of
all such agencies will be part of the amount shown on Line 6f. Provide
back-up documentation identifying the name of contractor, purpose of
contract, and major cost elements. Applicants who anticipate
procurement that will exceed $5,000 (non-governmental entities) or
$25,000 (governmental entities) and are requesting an award without
competition should include a sole-source justification in the proposal
which at a minimum should include the basis for contractor's selection,
justification for lack of competition when competitive bids or offers
are not obtained and basis for award cost or price. (Note: Previous or
past experience with a contractor is not sufficient justification for
sole source.)
Construction--Line 6g. Not applicable. New construction is not
allowable.
Other--Line 6h. Enter the total of all other costs. Where
applicable, such costs may include, but are not limited to: insurance,
medical and dental costs, noncontractual fees and travel paid directly
to individual consultants, local transportation (all travel which does
not require per diem is considered local travel), space and equipment
rentals, printing and publication, computer use, training costs,
including tuition and stipends, training service costs, including wage
payments to individuals and supportive service payments, and staff
development costs. Note that costs identified as miscellaneous and
honoraria are not allowable.
Justification: Specify the costs included.
Total Direct Charge--Line 6i. Enter the total of Lines 6a through
6h.
Indirect Charges--6j. Enter the total amount of indirect charges
(costs). If no indirect costs are requested, enter none. Generally,
this line should be used when the applicant has a current indirect cost
rate agreement approved by the Department of Health and Human Services
or another Federal agency.
Local and State governments should enter the amount of indirect
costs determined in accordance with DHHS requirements. When an indirect
cost rate is requested, these costs are included in the indirect cost
pool and should not be charged again as direct costs to the grant.
Justification: Enclose a copy of the indirect cost rate agreement.
Total--Line 6k. Enter the total amounts of lines 6i and 6j.
Program Income--Line 7. Enter the estimated amount, if any,
expected to be generated from this project. Do not add or subtract this
amount from the total project amount.
Justification: Describe the nature, source, and anticipated use of
program income in the Program Narrative Statement.
Section C--Non-Federal Resources. This section summarizes the
amounts of non-Federal resources that will be applied to the grant.
Enter this information on line 12 entitled Totals. In-kind
contributions are defined in 45 CFR, Part 74.51 and 45 CFR Part 92.3,
as property or services which benefit a grant-supported project or
program and which are contributed by non-Federal third parties without
charge to the grantee, the subgrantee, or a cost-type contractor under
the grant or subgrant.
Justification: Describe third party in-kind contributions, if
included.
Section D--Forecasted Cash Needs, Not applicable.
Section E--Budget Estimate of Federal Funds Needed For Balance of
the Project. This section should only be completed if the total project
period exceeds 12 months.
Totals--Line 20. For projects that will have more than one budget
period, enter the estimated required Federal funds for the second
budget period (months 13 through 24) under column (b) First. If a third
budget period will be necessary, enter the Federal funds needed for
months 25 through 36 under (c) Second. Columns (d) and (e) would be
used in the case of a 60 month project.
Section F--Other Budget Information.
Direct Charges--Line 21, Not applicable.
Indirect Charges--Line 22, Enter the type of indirect rate
(provisional, predetermined, final or fixed) that will be in effect
during the funding period, the estimated amount of the base to which
the rate is applied, and the total indirect expense.
Remarks--Line 23. If the total project period exceeds 12 months,
you must enter your proposed non-Federal share of the project budget
for each of the remaining years of the project.
3. Project Summary Description. Clearly mark this separate page
with the applicant name as shown in item 5 of the SF 424, the priority
area number as shown at the top of the SF 424, and the title of the
project as shown in item 11 of the SF 424. The summary description
should not exceed 300 words. These 300 words become part of the
computer database on each project.
Care should be taken to produce a summary description which
accurately and concisely reflects the application. It should describe
the objectives of the project, the approaches to be used and the
outcomes expected. The description should also include a list of major
products that will result from the proposed project, such as software
packages, materials, management procedures, data collection
instruments, training packages, or videos. (Please note that
audiovisuals should be closed captioned.) The project summary
description, together with the information on the SF 424, will
constitute the project abstract. It is the major source of information
about the proposed project and is usually the first part of the
application that the reviewers read in evaluating the application.
At the bottom of the page, following the summary description, type
up to 10 key words which best describe the proposed project, the
service(s) involved and the target population(s) to be covered. These
key words will be used for computerized information retrieval for
specific types of funded projects.
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
for Research applications:
(a) Objectives
(b) Background and Significance
(c) Methodology
(d) Staff Background and Organizational Experience
All demonstration applications should use the following headings:
[[Page 30763]]
(a) Objective and Need for Assistance
(b) Approach
(c) Results or Benefits Expected
(d) Staff Background and Organization 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
``Objectives'' or ``Objectives 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, except for applications
for priority area 1.01 which has different page limits as described in
that section of the announcement. Anything over the limit will not be
reproduced and distributed to reviewers. Applicants should understand
that, except for priority area 1.01, only the first 60 pages of
material will be reviewed. A page is a single side of an 8\1/2\ x
11'' sheet of paper. Applicants are requested not to send pamphlets,
brochures or other printed material along with their application as
these pose xeroxing difficulties. These materials, if submitted, will
not be included in the review process if they exceed the page limit
criteria. Each page of the application will be counted to determine the
total length.
5. Organizational Capability Statement. The Organizational
Capability Statement should consist of a brief (two pages is suggested)
background description of how the applicant organization (or the unit
within the organization that will have responsibility for the project)
is organized, the types and quantity of services it provides, and/or
the research and management capabilities it possesses. This description
should cover capabilities not included in the Program Narrative
Statement. It may include descriptions of any current or previous
relevant experience, or describe the competence of the project team and
its demonstrated ability to produce a final product that is readily
comprehensible and usable. An organization chart showing the
relationship of the project to the current organization must be
included.
6. 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; and (2) Debarment and Other
Responsibilities. Copies of the assurances/certifications are reprinted
at the end of this announcement and should be reproduced, as necessary.
A duly authorized representative of the applicant organization must
certify that the applicant is in compliance with these assurances/
certifications. A signature on the SF 424 indicates compliance with the
Drug-free Workplace Requirements, and Debarment and Other
Responsibilities certifications.
A signature on the application constitutes an assurance that the
applicant will comply with the pertinent Departmental regulations
contained in 45 CFR Part 74.
F. Checklist for a Complete Application
The checklist below is for your use to ensure that your application
package has been properly prepared.
--One original, signed and dated application, plus two copies.
Applications for different priority areas are packaged separately;
--Application is from an organization which is eligible under the
eligibility requirements defined in the priority area description
(screening requirement);
--Application length does not exceed 60 pages, unless otherwise
specified in the priority area description. A complete application
consists of the following items in this order:
--Application for Federal Assistance (SF 424, REV 4-88);
--A completed SPOC certification with the date of SPOC contact entered
in line 16, page 1 of the SF 424;
--Budget Information-Non-Construction Programs (SF 424A, REV 4-88);
--Budget justification for Section B--Budget Categories;
--Table of Contents;
--Letter from the Internal Revenue Service to prove non-profit status,
if necessary;
--Copy of the applicant's approved indirect cost rate agreement, if
appropriate;
--Project summary description and listing of key words;
--Program Narrative Statement (See Part III, Section D);
--Organizational capability statement, including an organization chart;
--Any appendices/attachments;
--Assurances-Non-Construction Programs (Standard Form 424B, REV 4-88);
--Certification Regarding Lobbying; and
--Certification of Protection of Human Subjects, if necessary.
G. The Application Package
Each application package must include an original and two copies of
the complete application. Each copy should be stapled securely (front
and back if necessary) in the upper left-hand corner. All pages of the
narrative (including charts, tables, maps, exhibits, etc.) must be
sequentially numbered, beginning with page one. In order to facilitate
handling, please do not use covers, binders or tabs. Do not include
extraneous materials as attachments, such as agency promotion
brochures, slides, tapes, film clips, minutes of meetings, survey
instruments or articles of incorporation.
Do not include a self-addressed, stamped acknowledgement card. All
applicants will be notified automatically about the receipt of their
application. If acknowledgement of receipt of your application is not
received within eight weeks after the deadline date, please notify the
ACYF Operations Center by telephone at 1-800-351-2293.
Dated: June 7, 1996.
Olivia A. Golden,
Commissioner, Administration on Children, Youth and Families.
Appendix A--OMB State Single Point of Contact Listing
Arizona
Joni Saad, Arizona State Clearinghouse, 3800 N. Central Avenue,
Fourteenth Floor, Phoenix, Arizona 85012, Telephone (602) 280-1315,
FAX: (602) 280-1305
Arkansas
Mr. Tracy L. Copeland, Manager, State Clearinghouse, Office of
Intergovernmental Services, Department of Finance and
Administration, 1515 W. 7th St., Room 412, Little Rock, Arkansas
72203, Telephone: (501) 682-1074, FAX: (501) 682-5206
Alabama
Jon C. Strickland, Alabama Department of Economic and Community
Affairs, Planning and Economic Development Division, 401 Adams
Avenue, Montgomery, Alabama 36103-5690, Telephone: (205) 242-5483,
FAX: (205) 242-5515
California
Grants Coordinator, Office of Planning & Research, 1400 Tenth
Street, Room 121, Sacramento, California 95814, Telephone (916) 323-
7480, FAX: (916) 323-3018
[[Page 30764]]
Delaware
Francine Booth, State Single Point of Contact Executive Department,
Thomas Collins Building, P.O. Box 1401, Dover, Delaware 19903,
Telephone: (302) 739-3326, FAX: (302) 739-5661
District of Columbia
Charles Nichols, State Single Point of Contact, Office of Grants
Mgmt. & Dev., 717 14th Street, N.W.--Suite 500, Washington, D.C.
20005, Telephone: (202) 727-6554, FAX: (202) 727-1617
Florida
Florida State Clearinghouse, Department of Community Affairs, 2740
Centerview Drive, Tallahassee, Florida 32399-2100, Telephone: (904)
922-5438, FAX: (904) 487-2899
Georgia
Tom L. Reid III, Administrator, Georgia State Clearinghouse, 254
Washington Street, S.W.--Room 401J, Atlanta, Georgia 30334,
Telephone: (404) 656-3855 or (404) 656-3829, FAX: (404) 656-7938
Illinois
Barbara Beard, State Single Point of Contact, Department of Commerce
and Community Affairs, 620 East Adams, Springfield, Illinois 62701,
Telephone: (217) 782-1671, FAX: (217) 534-1627
Indiana
Amy Brewer, State Budget Agency, 212 State House, Indianapolis,
Indiana 46204, Telephone: (317) 232-5619, FAX: (317) 233-3323
Iowa
Steven R. McCann, Division for Community Assistance, Iowa Department
of Economic Development, 200 East Grand Avenue, Des Moines, Iowa
50309, Telephone: (515) 242-4719, FAX: (515) 242-4859
Kentucky
Ronald W. Cook, Office of the Governor, Department of Local
Government, 1024 Capitol Center Drive, Frankfort, Kentucky 40601-
8204, Telephone: (502) 573-2382, FAX: (502) 573-2512
Maine
Joyce Benson, State Planning Office, State House Station #38,
Augusta, Maine 04333, Telephone: (207) 287-3261, FAX: (207) 287-6489
Maryland
William G. Carroll, Manager, State Clearinghouse for
Intergovernmental Assistance, Maryland Office of Planning, 301 W.
Preston Street--Room 1104, Baltimore, Maryland 21201-2365, Staff
Contact: Linda Janey, Telephone: (410) 225-4490, FAX: (410) 225-4480
Michigan
Richard Pfaff, Southeast Michigan Council of Governments, 1900
Edison Plaza, 660 Plaza Drive, Detroit, Michigan 48226, Telephone:
(313) 961-4266
Mississippi
Cathy Malette, Clearinghouse Officer, Department of Finance and
Administration, 455 North Lamar Street, Jackson, Mississippi 39202-
3087, Telephone: (601) 359-6762, FAX: (601) 359-6764
Missouri
Lois Pohl, Federal Assistance Clearinghouse, Office of
Administration, P.O. Box 809, Room 760, Truman Building, Jefferson
City, Missouri 65102, Telephone: (314) 751-4834, FAX: (314) 751-7819
Nevada
Department of Administration, State Clearinghouse, Capitol Complex,
Carson City, Nevada 89710, Telephone: (702) 687-4065, FAX: (702)
687-3983
New Hampshire
Jeffrey H. Taylor, Director, New Hampshire Office of State Planning,
Attn: Intergovernmental Review Process, Mike Blake, 2\1/2\ Beacon
Street, Concord, New Hampshire 03301, Telephone: (603) 271-2155,
FAX: (603) 271-1728
New Jersey
Gregory W. Adkins, Assistant Commissioner, New Jersey Department of
Community Affairs
Please direct all correspondence and questions about
intergovernmental review to:
Andrew J. Jaskolka, State Review Process, Intergovernmental Review
Unit CN 800, Room 813A, Trenton, New Jersey 08625-0800, Telephone:
(609) 292-9025, FAX: (609) 633-2132
New Mexico
Robert Peters, State Budget Division, Room 190, Bataan Memorial
Building, Santa Fe, New Mexico 87503, Telephone: (505) 827-3640
New York
New York State Clearinghouse, Division of the Budget, State Capitol,
Albany, New York 12224, Telephone: (518) 474-1605
North Carolina
Chrys Baggett, Director, N.C. State Clearinghouse, Office of the
Secretary of Admin., 116 West Jones Street, Raleigh, North Carolina
27603-8003, Telephone: (919) 733-7232, FAX: (919) 733-9571
North Dakota
North Dakota Single Point of Contact, Office of Intergovernmental
Assistance, 600 East Boulevard Avenue, Bismarck, North Dakota 58505-
0170, Telephone: (701) 224-2094, FAX: (701) 224-2308
Ohio
Larry Weaver, State Single Point of Contact, State Clearinghouse,
Office of Budget and Management, 30 East Broad Street, 34th Floor,
Columbus, Ohio 43266-0411
Please direct correspondence and questions about
intergovernmental review to: Linda Wise, Telephone: (614) 466-0698,
FAX: (614) 466-5400
Rhode Island
Daniel W. Varin, Associate Director, Department of Administration/
Division of Planning, One Capitol Hill, 4th Floor, Providence, Rhode
Island 02908-5870, Telephone: (401) 277-2656, FAX: (401) 277-2083
Please direct correspondence and questions to: Review
Coordinator, Office of Strategic Planning
South Carolina
Omeagia Burgess, State Single Point of Contact, Grant Services,
Office of the Governor, 1205 Pendleton Street--Room 477, Columbia,
South Carolina 29201, Telephone: (803) 734-0494, FAX: (803) 734-0385
Texas
Tom Adams, Governor's Office, Director, Intergovernmental
Coordination, P.O. Box 12428, Austin, Texas 78711, Telephone: (512)
463-1771, FAX: (512) 463-1880
Utah
Carolyn Wright, Utah State Clearinghouse, Office of Planning and
Budget, Room 116, Stater Capitol, Salt Lake City, Utah 84114,
Telephone: (801) 538-1535, FAX: (801) 538-1547
Vermont
Nancy McAvoy, State Single Point of Contact, Pavilion Office
Building, 109 State Street, Montpelier, Vermont 05609, Telephone:
(802) 828-3326, FAX: (802) 828-3339
West Virginia
Fred Cutlip, Director, Community Development Division, W. Virginia
Development Office, Building #6, Room 553, Charleston, West Virginia
25305, Telephone: (304) 558-4010, FAX: (304) 558-3248
Wisconsin
Martha Kerner, Section Chief, State/Federal Relations, Wisconsin
Department of Administration, 101 East Wilson Street--6th Floor,
P.O. Box 7868, Madison, Wisconsin 53707, Telephone: (608) 266-2125,
FAX: (608) 267-6931
Wyoming
Sheryl Jeffries, State Single Point of Contact, Herschler Building
4th Floor, East Wing, Cheyenne, Wyoming 82002, Telephone: (307) 777-
7574, FAX: (307) 638-8967
Territories
Guam
Mr. Giovanni T. Sgambelluri, Director, Bureau of Budget and
Management Research, Office of the Governor, P.O. Box 2950, Agana,
Guam 96910, Telephone: 011-671-472-2285, FAX: 011-671-472-2825
Puerto Rico
Norma Burgos/Jose E. Caro, Chairwoman/Director, Puerto Rico Planning
Board, Federal Proposals Review Office, Minillas Government Center,
P.O. Box 41119, San Juan, Puerto Rico 00940-1119, Telephone: (809)
727-4444, (809) 723-6190, FAX: (809) 724-3270, (809) 724-3103
North Marianna Islands
State Single Point of Contact, Planning and Budget Office, Office of
the Governor, Saipan, CM, Northern Marianna Islands 96950
[[Page 30765]]
Virgin Islands
Jose George, Director, Office of Management and Budget, #41
Norregade Emancipation Garden Station, Second Floor, Saint Thomas,
Virgin Islands 00802
Please direct all questions and correspondence about
intergovernmental review to:
Linda Clarke, Telephone: (809) 774-0750, FAX: (809) 776-0069
BILLING CODE 4184-01-P
[[Page 30766]]
[GRAPHIC] [TIFF OMITTED] TN17JN96.016
BILLING CODE 4184-01-C
[[Page 30767]]
Instructions for the SF 424
This is a standard form used by applicants as a required
facesheet for preapplication and applications submitted for Federal
assistance. It will be used by Federal agencies to obtain applicant
certification that States which have established a review and
comment procedure in response to Executive Order 12372 and have
selected the program to be included in their process, have been
given an opportunity to review the applicant's submission.
Item and Entry
1. Self-explanatory.
2. Date application submitted to Federal agency (or State if
applicable) & applicant's control number (if applicable).
3. State use only (if applicable).
4. If this application is to continue or revise an existing
award, enter present Federal identifier number. If for a new
project, leave blank.
5. Legal name of applicant, name of primary organizational unit
which will undertake the assistance activity, complete address of
the applicant, and name and telephone number of the person to
contact on matters related to this application.
6. Enter Employer Identification Number (EIN) as assigned by the
Internal Revenue Service.
7. Enter the appropriate letter in the space provided.
8. Check appropriate box and enter appropriate letter(s) in the
space(s) provided:
--``New'' means a new assistance award.
--``Continuation'' means an extension for an additional funding/
budget period for a project with a projected completion date.
--``Revision'' means any change in the Federal Government's
financial obligation or contingent liability from an existing
obligation.
9. Name of Federal agency from which assistance is being
requested with this application.
10. Use the Catalog of Federal Domestic Assistance number and
title of the program under which assistance is requested.
11. Enter a brief descriptive title of the project. If more than
one program is involved, you should append an explanation on a
separate sheet. If appropriate (e.g., construction or real property
projects), attach a map showing project location. For
preapplications, use a separate sheet to provide a summary
description of this project.
12. List only the largest political entities affected (e.g.,
State, counties, cities).
13. Self-explanatory.
14. List the applicant's Congressional District and any
District(s) affected by the program or project.
15. Amount requested or to be contributed during the first
funding/budget period by each contributor. Value of in-kind
contributions should be included on appropriate lines as applicable.
If the action will result in a dollar change to an existing award,
indicate only the amount of the change. For decreases, enclose the
amounts in parentheses. If both basic and supplemental amounts are
included, show breakdown on an attached sheet. For multiple program
funding, use totals and show breakdown using same categories as item
15.
16. Applicants should contact the State Single Point of Contact
(SPOC) for Federal Executive Order 12372 to determine whether the
application is subject to the State intergovernmental review
process.
17. This question applies to the applicant organization, not the
person who signs as the authorized representative. Categories of
debt include delinquent audit disallowances, loans and taxes.
18. To be signed by the authorized representative of the
applicant. A copy of the governing body's authorization for you to
sign this application as official representative must be on file in
the applicant's office. (Certain Federal agencies may require that
this authorization be submitted as part of the application.)
BILLING CODE 4184-01-P
[[Page 30768]]
[GRAPHIC] [TIFF OMITTED] TN17JN96.017
[[Page 30769]]
[GRAPHIC] [TIFF OMITTED] TN17JN96.018
BILLING CODE 4184-01-C
[[Page 30770]]
Instructions for the SF-424A
General Instructions
This form is designed so that application can be made for funds
from one or more grant programs. In preparing the budget, adhere to
any existing Federal grantor agency guidelines which prescribe how
and whether budgeted amounts should be separately shown for
different functions or activities within the program. For some
programs, grantor agencies may require budgets to be separately
shown by function or activity. For other programs, grantor agencies
may require a breakdown by function or activity. Sections A, B, C,
and D should include budget estimates for the whole project except
when applying for assistance which requires Federal authorization in
annual or other funding period increments. In the latter case,
Sections A, B, C, and D should provide the budget for the first
budget period (usually a year) and Section E should present the need
for Federal assistance in the subsequent budget periods. All
applications should contain a breakdown by the object class
categories shown in Lines a-k of Section B.
Section A. Budget Summary
Lines 1-4, Columns (a) and (b)
For applications pertaining to a single Federal grant program
(Federal Domestic Assistance Catalog number) and not requiring a
functional or activity breakdown, enter on Line 1 under Column (a)
the catalog program title and the catalog number in Column (b).
For applications pertaining to a single program requiring budget
amounts by multiple functions or activities, enter the name of each
activity or function on each line in Column (a), and enter the
catalog number in Column (b). For applications pertaining to
multiple programs where none of the programs require a breakdown by
function or activity, enter the catalog program title on each line
in Column (a) and the respective catalog number on each line in
Column (b).
For applications pertaining to multiple programs where one or
more programs require a breakdown by function or activity, prepare a
separate sheet for each program requiring the breakdown. Additional
sheets should be used when one form does not provide adequate space
for all breakdown of data required. However, when more than one
sheet is used, the first page should provide the summary totals by
programs.
Lines 1-4, Columns (c) Through (g.)
For new applications, leave Columns (c) and (d) blank. For each
line entry in Columns (a) and (b), enter in Columns (e), (f), and
(g) the appropriate amounts of funds needed to support the project
for the first funding period (usually a year).
For continuing grant program applications, submit these forms
before the end of each funding period as required by the grantor
agency. Enter in Columns (c) and (d) the estimated amounts of funds
which will remain unobligated at the end of the grant funding period
only if the Federal grantor agency instructions provide for this.
Otherwise, leave these columns blank. Enter in columns (e) and (f)
the amounts of funds needed for the upcoming period. The amount(s)
in Column (g) should be the sum of amounts in Columns (e) and (f).
For supplemental grants and changes to existing grants, do not
use Columns (c) and (d). Enter in Column (e) the amount of the
increase or decrease of Federal funds and enter in Column (f) the
amount of the increase or decrease of non-Federal funds. In Column
(g) enter the new total budgeted amount (Federal and non-Federal)
which includes the total previous authorized budgeted amounts plus
or minus, as appropriate, the amounts shown in Columns (e) and (f).
The amount(s) in Column (g) should not equal the sum of amounts in
Columns (e) and (f).
Line 5--Show the totals for all columns used.
Section B. Budget Categories
In the column headings (1) through (4), enter the titles of the
same programs, functions, and activities shown on Lines 1-4, Column
(a), Section A. When additional sheets are prepared for Section A,
provide similar column headings on each sheet. For each program,
function or activity, fill in the total requirements for funds (both
Federal and non-Federal) by object class categories.
Lines 6a-i--Show the totals of Lines 6a to 6h in each column
Line 6i--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 for 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 of Columns (b), (c), and (d).
Line 12--Enter the total for each of Columns (b)-(e). The amount
in Column (e) should be equal to the amount on Line 5, Column (f),
Section A.
Section D. Forecasted Cash Needs
Line 13--Enter the amount of cash needed by quarter from the
grantor agency during the first year.
Line 14--Enter the amount of cash from all other sources needed
by quarter during the first year.
Line 15--Enter the totals of amounts on Lines 13 and 14.
Section E. Budget Estimates of Federal Funds Needed for Balance of
the Project
Lines 16-19--Enter in Column (a) the same grant program titles
shown in Column (a), Section A. A breakdown by function or activity
is not necessary. For new applications and continuation grant
applications, enter in the proper columns amounts of Federal funds
which will be needed to complete the program or project over the
succeeding funding periods (usually in years). This section need not
be completed for revisions (amendments, changes, or supplements) to
funds for the current year of existing grants.
If more than four lines are needed to list the program titles,
submit additional schedules as necessary.
Line 20--Enter the total for each of the Columns (b)-(e). When
additional schedules are prepared for this Section, annotate
accordingly and show the overall totals on this line.
Section F. Other Budget Information
Line 21--Use this space to explain amounts for individual direct
object-class cost categories that may appear to be out of the
ordinary or to explain the details as required by the Federal
grantor agency.
Line 22--Enter the type of indirect rate (provisional,
predetermined, final or fixed) that will be in effect during the
funding period, the estimated amount of the base to which the rate
is applied, and the total indirect expense.
Line 23--Provide any other explanations or comments deemed
necessary.
Assurances--Non-Construction Programs
Note: Certain of these assurances may not be applicable to your
project or program. If you have questions, please contact the
awarding agency. Further, certain Federal awarding agencies may
require applicants to certify to additional assurances. If such is
the case, you will be notified.
As the duly authorized representative of the applicant I certify
that the applicant:
1. Has the legal authority to apply for Federal assistance, and
the institutional, managerial and financial capability (including
funds sufficient to pay the non-Federal share of project costs) to
ensure proper planning, management and completion of the project
described in this application.
2. Will give the awarding agency, the Comptroller General of the
United States, and if appropriate, the State, through any authorized
representative, access to and the right to examine all records,
books, papers, or documents related to the award; and will
[[Page 30771]]
establish a proper accounting system in accordance with generally
accepted accounting standards or agency directives.
3. Will establish safeguards to prohibit employees from using
their positions for a purpose that constitutes or presents the
appearance of personal or organizational conflict of interest, or
personal gain.
4. Will initiate and complete the work within the applicable
time frame after receipt of approval of the awarding agency.
5. Will comply with the Intergovernmental Personnel Act of 1970
(42 U.S.C. Secs. 4728-4763) relating to prescribed standards for
merit systems for programs funded under one of the nineteen statutes
or regulations specified in Appendix A of OPM's Standards for a
Merit System of Personnel Administration (5 C.F.R. 900, Subpart F).
6. Will comply with all Federal statutes relating to
nondiscrimination. These include but are not limited to: (a) Title
VI of the Civil Rights Act of 1964 (P.L. 88-352) which prohibits
discrimination on the basis of race, color or national origin; (b)
Title IX of the Education Amendments of 1972, as amended (20 U.S.C.
Secs. 1681-1683, and 1685-1686), which prohibits discrimination on
the basis of sex; (c) Section 504 of the Rehabilitation Act of 1973,
as amended (29 U.S.C. Sec. 794), which prohibits discrimination on
the basis of handicaps; (d) the Age Discrimination Act of 1975, as
amended (42 U.S.C. Secs. 6101-6107), which prohibits discrimination
on the basis of age; (e) the Drug Abuse Office and Treatment Act of
1972 (P.L. 92-255), as amended, relating to nondiscrimination on the
basis of drug abuse; (f) the Comprehensive Alcohol Abuse and
Alcoholism Prevention, Treatment and Rehabilitation Act of 1970
(P.L. 91-616), as amended, relating to nondiscrimination on the
basis of alcohol abuse or alcoholism; (g) Secs. 523 and 527 of the
Public Health Service Act of 1912 (42 U.S.C. 290dd-3 and 290ee-3),
as amended, relating to confidentiality of alcohol and drug abuse
patient records; (h) Title VII of the Civil Rights Act of 1968 (42
U.S.C. Sec. 3601 et seq.), as amended, relating to nondiscrimination
in the sale, rental or financing of housing; (i) any other
nondiscrimination provisions in the specific statute(s) under which
application for Federal assistance is being made; and (j) the
requirements of any other nondiscrimination statute(s) which may
apply to the application.
7. Will comply, or has already complied, with the requirements
of Titles II and III of the Uniform Relocation Assistance and Real
Property Acquisition Policies Act of 1970 (P.L. 91-646) which
provide for fair and equitable treatment of persons displaced or
whose property is acquired as a result of Federal or federally
assisted programs. These requirements apply to all interests in real
property acquired for project purposes regardless of Federal
participation in purchases.
8. Will comply with the provisions of the Hatch Act (5 U.S.C.
Secs. 1501-5108 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. Secs. 874), and the Contract Work
Hours and Safety Standards Act (40 U.S.C. Secs. 327-333), regarding
labor standards for federally assisted construction subagreements.
10. Will comply, if applicable, with flood insurance purchase
requirements of Section 102(a) of the Flood Disaster Protection Act
of 1973 (P.L. 93-234) which requires recipients in a special flood
hazard area to participate in the program and to purchase flood
insurance if the total cost of insurable construction and
acquisition is $10,000 or more.
11. Will comply with environmental standards which may be
prescribed pursuant to the following: (a) institution of
environmental quality control measures under the National
Environmental Policy Act of 1969 (P.L. 91-190) and Executive Order
(EO) 11514; (b) notification of violating facilities pursuant to EO
11738; (c) protection of wetlands pursuant to EO 11990; (d)
evaluation of flood hazards in floodplains in accordance with EO
11988; (e) assurance of project consistency with the approved State
management program developed under the Coastal Zone Management Act
of 1972 (16 U.S.C. Secs. 1451 et seq.); (f) conformity of Federal
actions to State (Clear Air) Implementation Plans under Section
176(c) of the Clear Air Act of 1955, as amended (42 U.S.C. Sec. 7401
et seq.); (g) protection of underground sources of drinking water
under the Safe Drinking Water Act of 1974, as amended (P.L. 93-523);
and (h) protection of endangered species under the Endangered
Species Act of 1973, as amended (P.L. 93-205).
12. Will comply with the Wild and Scenic Rivers Act of 1968 (16
U.S.C. Secs. 1271 et seq.) related to protecting components or
potential components of the national wild and scenic rivers system.
13. Will assist the awarding agency in assuring compliance with
Section 106 of the National Historic Preservation Act of 1966, as
amended (16 U.S.C. 470), EO 11593 (identification and protection of
historic properties), and the Archaeological and Historic
Preservation Act of 1974 (16 U.S.C. 469a-1 et seq.).
14. Will comply with P.L. 93-348 regarding the protection of
human subjects involved in research, development, and related
activities supported by this award of assistance.
15. Will comply with the Laboratory Animal Welfare Act of 1966
(P.L. 89-544, as amended, 7 U.S.C. 2131 et seq.) pertaining to the
care, handling and treatment of warm blooded animals held for
research, teaching, or other activities supported by this award of
assistance.
16. Will comply with the Lead-Based Paint Poisoning Prevention
Act (42 U.S.C. Secs. 4801 et seq.) which prohibits the use of lead
based paint in construction or rehabilitation of residence
structures.
17. Will cause to be performed the required financial and
compliance audits in accordance with the Single Audit Act of 1984.
18. Will comply with all applicable requirements of all other
Federal laws, executive orders, regulations and policies governing
this program.
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Signature of authorized certifying official
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Title
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Applicant organization
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Date submitted
Appendix C--U.S. Department of Health and Human Services, Certification
Regarding Drug-Free Workplace Requirements, Grantees Other Than
Individuals
By signing and/or submitting this application or grant
agreement, the grantee is providing the certification set out below.
This certification is required by regulations implementing the
Drug-Free Workplace Act of 1988, 45 CFR Part 76, Subpart F. The
regulations, published in the May 25, 1990 Federal Register, require
certification by grantees that they will maintain a drug-free
workplace. The certification set out below is a material
representation of fact upon which reliance will be placed when the
Department of Health and Human Services (HHS) determines to award
the grant. If it is later determined that the grantee knowingly
rendered a false certification, or otherwise violates the
requirements of the Drug-Free Workplace Act, HHS, in addition to any
other remedies available to the Federal Government, may take action
authorized under the Drug-Free Workplace Act. False certification or
violation of the certification shall be grounds for suspension of
payments, suspension or termination of grants, or government wide
suspension or debarment.
Workplaces under grants, for grantees other than individuals,
need not be identified on the certification. If known, they may be
identified in the grant application. If the grantee does not
identify the workplaces at the time of application, or upon award,
if there is no application, the grantee must keep the identity of
the workplace(s) on file in its office and make the information
available for Federal inspection. Failure to identify all known
workplaces constitutes a violation of the grantee's drug-free
workplace requirements.
Workplace identifications must include the actual address of
buildings (or parts of buildings) or other sites where work under
the grant takes place. Categorical descriptions may be used (e.g.,
all vehicles of a mass transit authority or State highway department
while in operation, State employees in each local unemployment
office, performers in concert halls or radio studios.)
If the workplace identified to HHS changes during the
performance of the grant, the grantee shall inform the agency of the
change(s), if it previously identified the workplaces in question
(see above).
Definitions of terms in the Nonprocurement Suspension and
Debarment common rule and Drug-Free Workplace common rule apply to
this certification. Grantees' attention is called, in particular, to
the following definitions from these rules:
``Controlled substance'' means a controlled substance in
Schedules I through V of the
[[Page 30772]]
Controlled Substances Act (21 U.S.C. 812) and as further defined by
regulation (21 1308.11 through 1308.15).
``Conviction'' means a finding of guilt (including a plea of
nolo contendere) or imposition of sentence, or both, by any judicial
body charged with the responsibility to determine violations of the
Federal or State criminal drug statutes;
``Criminal drug statute'' means a Federal or non-Federal
criminal statute involving the manufacture, distribution,
dispensing, use, or possession of any controlled substance;
``Employee'' means the employee of a grantee directly engaged in
the performance of work under a grant, including: (i) All ``direct
charge'' employees; (ii) all ``indirect charge'' employees unless
their impact or involvement is insignificant to the performance of
the grant; and, (iii) temporary personnel and consultants who are
directly engaged in the performance of work under the grant and who
are on the grantee's payroll. This definition does not include
workers not on the payroll of the grantee (e.g., volunteers, even if
used to meet a matching requirement; consultants or independent
contractors not on the grantee's payroll; or employees of
subrecipients or subcontractors in covered workplaces).
The grantee certifies that it will or will continue to provide a
drug-free workplace by:
(a) Publishing a statement notifying employees that the unlawful
manufacture, distribution, dispensing, possession or use of a
controlled substance is prohibited in the grantee's workplace and
specifying the actions that will be taken against employees for
violation of such prohibition;
(b) Establishing an ongoing drug-free awareness program to
inform employees about:
(1) The dangers of drug abuse in the workplace; (2) The
grantee's policy of maintaining a drug-free workplace; (3) Any
available drug counseling, rehabilitation, and employee assistance
programs; and (4) The penalties that may be imposed upon employees
for drug abuse violations occurring in the workplace;
(c) Making it a requirement that each employee to be engaged in
the performance of the grant be given a copy of the statement
required by paragraph (a);
(d) Notifying the employee in the statement required by
paragraph (a) that, as a condition of employment under the grant,
the employee will:
(1) Abide by the terms of the statement; and, (2) Notify the
employer in writing of his or her conviction for a violation of a
criminal drug statute occurring in the workplace no later than five
calendar days after such conviction;
(e) Notifying the agency in writing, within ten calendar days
after receiving notice under subparagraph (d)(2) from an employee or
otherwise receiving actual notice of such conviction. Employers of
convicted employees must provide notice, including position title,
to every grant officer or other designee on whose grant activity the
convicted employee was working, unless the Federal agency has
designated a central point for the receipt of such notices. Notice
shall include the identification number(s) of each affected grant;
(f) Taking one of the following actions, within 30 calendar days
of receiving notice under subparagraph (d)(2), with respect to any
employee who is so convicted:
(1) Taking appropriate personnel action against such an
employee, up to and including termination, consistent with the
requirements of the Rehabilitation Act of 1973, as amended; or, (2)
Requiring such employee to participate satisfactorily in a drug
abuse assistance or rehabilitation program approved for such
purposes by a Federal, State, or local health, law enforcement, or
other appropriate agency;
(g) Making a good faith effort to continue to maintain a drug-
free workplace through implementation of paragraphs (a), (b), (c),
(d), (e) and (f).
The grantee may insert in the space provided below the site(s)
for the performance of work done in connection with the specific
grant (use attachments, if needed);
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Place of Performance (Street address, City, County, State, ZIP Code)
Check ______ if there are workplace on file that are not
identified here.
Sections 76.630 (c) and (d)(2) and 76.635 (a)(1) and (b) provide
that a Federal agency may designate a central receipt point for
STATE-WIDE AND STATE AGENCY-WIDE certifications, and for
notification or criminal drug convictions. For the Department of
Health and Human Services, the central receipt point is: Division of
Grants Management and Oversight, Office of Management and
Acquisition, Department of Health and Human Services, Room 517-D,
200 Independence Avenue, SW., Washington, DC 20201.
Appendix D--Certification Regarding Debarment, Suspension, and Other
Responsibility Matters--Primary Covered Transactions
By signing and submitting this proposal, the applicant, defined
as the primary participant in accordance with 45 CFR Part 76,
certifies to the best of its knowledge and believe that it and its
principals:
(a) are not presently debarred, suspended, proposed for
debarment, declared ineligible, or voluntarily excluded from covered
transactions by any Federal Department or agency;
(b) have not within a 3-year period preceding this proposal been
convicted of or had a civil judgment rendered against them for
commission of fraud or a criminal offense in connection with
obtaining, attempting to obtain, or performing a public (Federal,
State, or local) transaction or contract under a public transaction;
violation of Federal or State antitrust statutes or commission of
embezzlement, theft, forgery, bribery, falsification or destruction
of records, making false statements, or receiving stolen property;
(c) are not presently indicted or otherwise criminally or
civilly charged by a governmental entity (Federal, State of local)
with commission of any of the offenses enumerated in paragraph (1)
(b) of this certification; and
(d) have not within a 3-year period preceding this application/
proposal had one or more public transactions (Federal, State, or
local) terminated for cause or default.
The inability of a person to provide the certification required
above will not necessarily result in denial of participation in this
covered transaction. If necessary, the prospective participant shall
submit an explanation of why it cannot provide the certification.
The certification or explanation will be considered in connection
with the Department of Health and Human Services (HHS) determination
whether to enter into this transaction. However, failure of the
prospective primary participant to furnish a certification or an
explanation shall disqualify such person from participation in this
transaction.
The prospective primary participant agrees that by submitting
this proposal, it will include the clause entitled ``Certification
Regarding Debarment, Suspension, Ineligibility, and Voluntary
Exclusion--Lower Tier Covered Transaction.'' provided below without
modification in all lower tier covered transactions and in all
solicitations for lower tier covered transactions.
Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion--Lower Tier Covered Transactions
(To be Supplied to Lower Tier Participants)
By signing and submitting this lower tier proposal, the
prospective lower tier participant, as defined in 45 CFR Part 76,
certifies to best of its knowledge and belief that it and its
principals:
(a) are not presently debarred, suspended, proposed for
debarment, declared ineligible, or voluntarily excluded from
participation in this transaction by any federal department or
agency.
(b) where the prospective lower tier participant is unable to
certify to any of the above , such prospective participant shall
attach an explanation to this proposal.
The prospective lower tier participant further agrees by
submitting this proposal that it will include this clause entitled
``Certification Regarding Debarment, Suspension, Ineligibility, and
Voluntary Exclusion--Lower Tier Covered Transactions'' without
modification in all lower tier covered transactions and in all
solicitations for lower tier covered transactions.
Appendix E--Certification Regarding Lobbying--Certification for
Contracts, Grants, Loans, and Cooperative Agreements
The undersigned certifies, to the best of his or here knowledge
and belief, that:
(1) No Federal appropriated funds have been paid or will be
paid, by or on behalf of the undersigned, to any person for
influencing or attempting to influence an officer or employee of any
agency, a Member of Congress, an officer or employee of Congress, or
an employee of a Member of Congress in connection with the awarding
of any Federal contract, the making of any Federal grant, the making
of any Federal loan, the entering into of any cooperative agreement,
and the extension, continuation, renewal, amendment, or modification
of any Federal contract, grant, loan, or cooperative agreement.
[[Page 30773]]
(2) If any funds other than Federal appropriated funds have been
paid or will be paid to any person for influencing or attempting to
influence an officer or employee of any agency, a Member of
Congress, an officer or employee of Congress, or an employee of a
Member of Congress in connection with this Federal contract, grant,
loan or cooperative agreement, the undersigned shall complete and
submit Standard Form-LLL, ``Disclosure Form to Report Lobbying,'' in
accordance with its instructions.
(3) The undersigned shall require that the language of this
certification be included in the award documents for all subawards
at all tiers (including subcontracts, subgrants, and contracts under
grants, loans, and cooperative agreements) and that all
subrecipients shall certify and disclose accordingly.
This certification is a material representation of fact upon
which reliance was placed when this transaction was made or entered
into. Submission of this certification is a prerequisite for making
or entering into this transaction imposed by section 1352, title 31,
U.S. Code. Any person who fails to file the required certification
shall be subject to a civil penalty of not less than $10,000 and not
more than $100,000 for each such failure.
State for Loan Guarantee and Loan Insurance
The undersigned states, to the best of his or her knowledge and
belief, that:
If any funds have been paid or will be paid to any person for
influencing or attempting to influence an officer or employee of any
agency, a Member of Congress, an officer or employee of Congress, or
an employee of a Member of Congress in connection with this
commitment providing for the United States to insure or guarantee a
loan, the undersigned shall complete and submit Standard Form-LLL
``Disclosure Form to Report Lobbying,'' in accordance with its
instructions.
Submission of this statement is a prerequisite for making or
entering into this transaction imposed by section 1352, title 31,
U.S. Code. Any person who fails to file the required statement shall
be subject to a civil penalty of not less than $10,000 and not more
than $100,000 for each such failure.
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Signature
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Title
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Organization
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Date
BILLING CODE 4184-01-P
[[Page 30774]]
[GRAPHIC] [TIFF OMITTED] TN17JN96.019
BILLING CODE 4184-01-C
[[Page 30775]]
Appendix F--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 facility owned or
leased or contracted for by an entity and used routinely or
regularly for the 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 children's services and that all subgrantees shall
certify accordingly.
[FR Doc. 96-15156 Filed 6-14-96; 8:45 am]
BILLING CODE 4184-01-P
