[Federal Register Volume 59, Number 122 (Monday, June 27, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-15454]
[[Page Unknown]]
[Federal Register: June 27, 1994]
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Administration for Children and Families
[Program Announcement No. 93.608-941]
Availability of Financial Assistance and Request for Applications
AGENCY: 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
request for applications to carry out cooperative agreements under
programs in the Children's Bureau, Administration on Children, Youth
and Families.
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SUMMARY: The Administration on Children, Youth and Families (ACYF)
announces the availability of fiscal year 1994 funds for new
discretionary cooperative agreements in the following program areas:
(1) National Resource Centers for Child Welfare Services Programs; and
(2) National Resource Center for Programs Serving Abandoned Infants and
Infants At Risk of Abandonment and Their Families. Funding for ACYF
cooperative agreements under this announcement is authorized by
legislation governing ACF programs in the Administration on Children,
Youth and Families.
This announcement contains all of the necessary application
material to apply for these cooperative agreements.
DATES: The closing date for the receipt of all applications under this
announcement is August 26, 1994.
ADDRESSES: Application submission point:
Applications can be mailed to: Department of Health and Human
Services, Administration for Children and Families, Division of
Discretionary Grants, 370 L'Enfant Promenade SW., 6th Floor East, OFM/
DDG, Washington, D.C. 20447, Attn: ________________ (Reference
announcement number and priority area.)
Hand delivered applications are accepted during the normal working
hours of 8:00 a.m. to 4:30 p.m., Monday through Friday, on or prior to
the established closing date at: Department of Health and Human
Services, Administration for Children and Families, Division of
Discretionary Grants, 6th Floor East, OFM/DDG, 901 D Street SW.,
Washington, D.C. 20447, Attn: ________________ (Reference announcement
number and priority area.)
FOR FURTHER INFORMATION CONTACT: Administration on Children, Youth and
Families, Children's Bureau, P.O. Box 1182, Washington, D.C. 20013.
Contacts for Priority Areas 1.01A-E are:
Alverna Durham 202-205-8903
Marc Mannes 202-401-7626
Gerri Robinson 202-205-8575
Cecelia Sudia 202-205-8764
Jake Terpstra 202-205-8810
Contact for Priority Area 2.01 is: Patricia Campiglia 202-205-8657.
SUPPLEMENTARY INFORMATION: The Administration on Children, Youth and
Families (ACYF) administers national programs for children, youth and
families, 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.
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 and
preschool children with disabilities; abused and neglected children;
runaway and homeless youth; youth gangs; and children from American
Indian, Alaskan Native, and migrant families.
ACYF funds research, demonstration, dissemination, utilization and
technical assistance in four basic areas: child welfare, child care,
youth development, and child and family services. The resources
budgeted for these four areas address the needs and problems
confronting some of the most vulnerable children and families in the
country.
Within ACYF, the Children's Bureau's Division of Child Welfare
plans, manages, coordinates and supports child welfare services
programs. It administers the Foster Care and Adoption Assistance
Program, the Child Welfare Services Program, the Independent Living
Program, the Child Welfare Research, Demonstration and Training
Program, the Adoption Opportunities Program, the Temporary Child Care
and Crisis Nurseries Program, the Abandoned Infants Assistance Program
and the recently enacted Family Preservation and Family Support
program.
The Children's Bureau's programs are designed to promote the
welfare of all children, including those disabled, homeless, dependent,
abused or neglected children and their families. The programs aid in
preventing and remedying the neglect, abuse and exploitation of
children. The programs also encourage the strengthening of the family
unit to help prevent the unnecessary separation of children from their
families, and reunify families, where possible, when separation has
occurred.
Part I--General Information
A. Background
Federally funded child welfare resource centers have been in
existence for over a decade. In 1982 the Children's Bureau supported
ten Regional Child Welfare Resource Centers as well as several national
specialized centers to operate three year projects. In 1985 the
Children's Bureau funded six National Resource Centers for a three year
period to provide leadership to the field through the identification,
collection, development and utilization of models and promising
practices, systems improvements, training programs, and other resource
materials on effective methods of addressing child welfare service
program needs. Each Resource Center focused on a priority area of child
welfare services: family-based services, foster care, adoption, youth
services, legal resources, and management and administration.
These Centers were directed by the Federal government to move
towards self-sufficiency. Although this criterion of self-sufficiency
was met, certain critical core functions which proved vital to the
States--short-term consultation, information dissemination, and the
development of programs, practices, and resource materials on emerging
issues--could not be provided without ongoing Federal support.
In 1988 and 1989 the six Resource Centers received continuation
funding to insure the ongoing availability of these core services. In
1990, the Children's Bureau employed a competitive process to again
fund National Centers in the same six priority areas to make sure
resources in key areas would continue to be available to the field. In
1993, a National Adoption Resource Center was funded for a five year
project period.
B. Statutory Authorities Covered Under This Announcement
Section 426 of the Social Security Act, as amended, 42
U.S.C. 626, CFDA: 93.608.
Sections 430-435 of the Social Security Act, as amended,
42 U.S.C. 629-629e, CFDA:93.556.
The Runaway and Homeless Youth Act of 1988, as amended, 42
U.S.C. 5714-1 et. seq., CFDA:93.550.
The Child Abuse Prevention and Treatment and Adoption
Reform Act of 1978, as amended, 42 U.S.C. 5111-5115, CFDA:93.652.
The Abandoned Infants Assistance Act of 1988, as amended,
42 U.S.C. 670 note, CFDA:93.551.
C. Eligibility Requirements
Eligibility requirements are referenced under each priority area.
D. Available Funds
ACYF intends to award new cooperative agreements for all six
National Resource Centers resulting from this announcement during
fiscal year 1994, subject to the availability of funding.
This announcement is soliciting applications for project periods up
to five years. Awards, on a competitive basis, will be for a one-year
budget period, although project periods may be five years. Applications
for continuation grants funded under these awards beyond the one-year
budget period but within the five year project period will be
entertained in subsequent years on a non-competitive basis, subject to
availability of funds, timely and successful completion of the project,
and determination that continued funding would be in the best interest
of the Government.
The Children's Bureau plans to make this determination, in part, by
convening a panel of experts, including customers, to review the
progress of the five National Resource Centers for Child Welfare
Services Programs and the National Resource Center for Programs Serving
Abandoned Infants and Infants at Risk of Abandonment and Their Families
during the third budget period and to make recommendations regarding
continued funding on a non-competitive basis.
Successful completion of the review during the third budget period
will result in the five National Resource Centers for Child Welfare
Services Programs being able to submit non-competitive applications for
two additional budget periods and the National Resource Center for
Programs Serving Abandoned Infants and Infants at Risk of Abandonment
and Their Families being able to submit a non-competitive application
for one additional budget period subject to the availability of funds.
Part II--Programmatic Priorities for Funding
The priority areas identified in this announcement are derived from
legislative mandates as well as Departmental goals and initiatives. The
priorities reflect the state of current knowledge as well as emerging
issues which have come to ACYF's attention by several means including
consultation with advocates, policymakers, and practitioners in the
field.
The priorities seek to focus attention on and to encourage efforts
to obtain new knowledge and improvements in service delivery for the
solution of particular problems and to promote the dissemination and
utilization of the knowledge and model practices developed under these
priorities.
A. Structure of Priority Area Descriptions
This section presents the basic set of issues that must be
addressed in the application. Typically, they relate to project design,
evaluation, and community involvement. This section also asks for
specific information on the proposed project. Inclusion and discussion
of these items in the applicant's application is important since they
will be used by the reviewers in evaluating the application against the
evaluation criteria. Project products, continuation of the project
effort after the Federal support ceases, and dissemination/utilization
activities, if appropriate, should also be addressed.
Eligible Applicants: This section specifies the type of
organization which is eligible to apply under the particular priority
area. Specific restrictions are also noted, where applicable.
Each priority area description contains information about the types
of agencies and organizations which are eligible to apply under that
priority area. Since eligibility varies among priority areas depending
on statutory provisions, it is critical that the ``Eligible
Applicants'' section under each specific priority area be read
carefully.
Purpose: This section presents the basic focus and/or
broad goal(s) of the priority area.
The priority areas identified in this announcement are derived from
legislative mandates as well as Departmental goals and initiatives. As
noted above, the priorities reflect the state of current knowledge and
emerging issues which come to ACYF's attention by several means
including consultation with advocates, policymakers, and practitioners
in the field.
The priorities seek to focus attention on and promote the
identification, development, dissemination and utilization of knowledge
and model programs, resources, and practices, as well as to encourage
efforts to obtain new knowledge and develop and deliver resources
responding to particular problems faced by child welfare agencies.
Background: This section briefly discusses the current
state-of-the-art and/or current state-of-practice that supports the
need for the particular priority area activity. Relevant information on
projects previously funded by ACYF and/or other innovations or
exemplary activity is included, where applicable.
Minimum Requirements for Project Design: This section
presents the basic set of issues that must be addressed in the
application. Typically, they relate to project design, evaluation, and
community involvement. This section also asks for specific information
on the proposed project. Inclusion and discussion of these items in the
applicant's application is important since they will be used by the
reviewers in evaluating the proposal against the evaluation criteria.
Project products, continuation of the project effort after the Federal
support ceases, and dissemination/utilization activities, if
applicable, should also be addressed.
Project Duration: This section specifies the maximum
length of time for the project period; it refers to the amount of time
for which Federal funding is available.
Federal Share of Project Cost: This section specifies the
amount of Federal support for the project.
The term ``budget period'' refers to the interval of time (usually
12 months) into which a multi-year period of assistance (project
period) is divided for budgetary and funding purposes. The term
``project period'' refers to the total time a project is approved for
support, including any extensions.
Matching Requirement: This section specifies the minimum
non-Federal contribution, either through cash or in-kind match, that is
required. Applicants are encouraged to meet their match requirements
through cash contributions. Grantees must provide at least 10 percent
of the total approved cost of the project. The total approved cost of
the project is the sum of the ACYF share and the non-Federal share.
Therefore, if the required match is 10 percent, a project requesting
$90,000 in Federal funds must include a match of at least $10,000 (10
percent of the total project cost of $100,000).
Anticipated Number of Projects To Be Funded: This section
specifies the number of projects that ACYF anticipates it will fund in
the priority area.
B. Priority Areas
1.01--National Resource Centers for Child Welfare Services Programs
1.01A--National Resource Center for Family-Centered Practice
1.01B--National Resource Center for Permanency Planning
1.01C--National Resource Center for Organizational Improvement
1.01D--National Resource Center for Youth Development
1.01E--National Resource Center on Legal and Court Issues
2.01--National Resource Center for Programs Serving Abandoned Infants
and Infants at Risk of Abandonment and Their Families
C. Discussion of Priority Areas
1.01 National Resource Centers For Child Welfare Services
Programs.
1. Eligible Applicants: Any State, local, Tribal, public or private
non-profit agency or organization, including accredited colleges and
universities may submit an application under this announcement.
Applications developed jointly by State, local, and community-based
social service agencies, foundations, colleges or universities, and
private organizations that bring complementary expertise to bear on the
resource needs of the child welfare field are encouraged. All
applications, even those developed by two or more organizations, must
identify a single lead agency to be the primary administrator of the
Resource Center and the official recipient of an award. Organizations
interested in applying to administer more than one Resource Center must
submit a separate and distinct application for each. Applications must
clearly indicate whether they are being submitted under Priority Area
1.01 or 2.01. Also, every application submitted under Priority Area
1.01 must clearly indicate by letter which specific National Resource
Center for Child Welfare Services Programs the application addresses.
2. Purpose: To build the capacity of State, local, Tribal, and
other publicly administered or publicly supported child welfare
agencies in the development, expansion, strengthening and/or
improvement of the quality and effectiveness of child welfare services
to children, youth and families in a number of critical areas. The
National Resource Centers for Child Welfare Services Programs will
strengthen agencies' capacity to integrate policy and practice as well
as develop and implement policy frameworks which support quality
practice. The National Resource Centers for Child Welfare Services
Programs will build capacity primarily through delivering on-site
training, technical assistance, and consultation to publicly
administered or publicly supported child welfare agencies. They will
also engage in ancillary activities which support the delivery of
training and technical assistance. Training and technical assistance
needs will be identified in collaboration with ACYF Central and
Regional Office personnel and State agency staff.
3. Background: A period of great promise and significant
opportunity has emerged for child welfare. The Omnibus Budget
Reconciliation Act of 1993 established a new Subpart 2 of Title IV-B of
the Social Security Act, entitled Family Preservation and Support
Services, which is capable of stimulating meaningful change in child
welfare systems and fostering more effective working relationships
among Federal, State and local governments, other direct service
providers, foundations and advocacy groups around child welfare
matters.
The Federal government is in the process of redefining its
relationship with State and other child welfare agencies. A new
partnership is being forged based upon a vision wherein all concerned
agencies will collaborate and cooperate to provide a continuum of
services to meet the needs of vulnerable children, youth and families.
Even though the capped entitlement funding to States from the
Family Preservation and Support Program is relatively modest, there is
widespread agreement within the child and family policy community that
the funds can be used best in a creative and strategic fashion to
stimulate and encourage broader system reform which is already underway
in many States and communities. Because the multiple needs of
vulnerable children and families cannot be adequately addressed through
categorical programs and fragmented service delivery systems, States
are being encouraged to use the new funds to help establish a continuum
of coordinated and integrated, culturally relevant, family-centered
services for children and families. Specifically, States are being
asked to conduct a broad-based and inclusive planning process with
their FY 1994 Family Preservation and Family Support allocation leading
to the development of a five-year State Plan for child welfare,
including family preservation and support services, beginning in FY
1995.
Additional Federal child welfare initiatives are being implemented
that have enormous potential for the field. The publication of the
final rule for the Adoption and Foster Care Analysis and Reporting
System (AFCARS), and interim final rules for the Statewide Automated
Child Welfare Information Systems (SACWIS), in the Federal Register on
December 22, 1993, paves the way for the collection, aggregation and
analysis of child welfare data to inform and improve policies,
programs, and practices at the Federal, State and local levels.
Private philanthropy continues to make a major investment in
responding to the needs of the child welfare system. Numerous
foundations are underwriting the costs of major reform efforts at the
State and local levels and funding more targeted demonstration grants
on specific topics to governmental units and private agencies.
This period of promise and opportunity for child welfare comes at a
time when a mix of social, cultural and economic forces are placing
pressures on children and families as well as on child welfare
professionals and agencies. Sweeping transformations in the domestic
labor market, rising rates of child and family poverty, numerous health
care crises, greater numbers of teen pregnancies, the AIDS and
substance abuse epidemics, and increasing levels of interpersonal and
community violence are cumulatively taking a toll on child and family
well-being. Steadily rising caseloads, consisting of much more complex
cases involving more severe presenting problems, are confronting
service programs for children and families at the State and local
level.
Throughout the country child welfare agency administrators,
practitioners, and university-based personnel are demonstrating
resiliency and creativity in response to these circumstances. Skilled
and knowledgeable child welfare professionals are devising innovative
and exemplary solutions to these numerous challenges, more often than
not, in the face of insufficient human, material and financial
resources.
In order to more fully meet the promise and potential the current
period offers, and more fully compensate for and overcome existing
resource deficiencies, State and other publicly supported child welfare
agencies are in need of capacity-building.
National Resource Centers for Child Welfare Services Programs are
vital to making the most of this opportunity for progress and
accomplishment by providing States and other publicly administered or
publicly supported child welfare agencies the quality training,
technical assistance and consultation they need.
In light of the current opportunity to revitalize child welfare,
the role and responsibilities of National Resource Centers assume
strategic importance. The Children's Bureau seeks to fund five National
Resource Centers for Child Welfare Services Programs which individually
and collectively can make a meaningful contribution to the
revitalization effort.
These National Resource Centers are expected to build collaborative
working relationships with relevant programs and other training and
technical assistance providers funded by Federal agencies and
foundations. They are to establish effective linkages and appropriate
coordination with the Community-Based Family Resource Program, the
National Center on Child Abuse and Neglect's (NCCAN) Emergency Services
Technical Services Contractor, and with three statewide Family Resource
and Support model projects funded by the Family and Youth Services
Bureau (FYSB). They will also play major roles in support of the
Training and Technical Assistance Resource Coordination Contract to be
funded by the Children's Bureau in FY 94.
This network of National Resource Centers possessing the expertise,
knowledge and skills to provide quality resources, training, technical
assistance, consultation, and related services is to have a central
role in improving and strengthening child welfare. Support for this
network of National Resource Centers reflects a commitment by the
Children's Bureau to enhance the policy environment and the continuum
of services for the benefit of children, families and agencies.
4. Minimum Requirements for Project Design: Applicants may apply to
administer a National Resource Center for Child Welfare Services
Programs in the following topical areas: (1) family-centered practice;
(2) permanency planning; (3) organizational improvement; (4) youth
development; and (5) legal and court related issues.
Applicants must, at a minimum, describe their capabilities and
plans for building the capacity of publicly administered or publicly
supported agencies delivering child welfare services to vulnerable
children, youth and families. In order to successfully compete under
this priority area, the applicant should:
Demonstrate knowledge of the problems and issues that will
be addressed. Provide documentation of a commitment to improving the
quality of child welfare service programs in the topical area, and
documentation of experience in providing training, technical assistance
and consultation particularly to providers serving economically,
racially and culturally diverse populations.
Describe the Resource Center's orientation to training and
technical assistance and any conceptual frameworks that will be used in
the analysis of needs and in the design and delivery of training and
technical assistance. Describe a plan for identifying the training and
technical assistance needs of States and other publicly supported child
welfare service programs and a plan for delivering services in response
to those needs. Present strategies for obtaining input from the ten
DHHS Regional Offices and the agencies themselves.
Describe a plan for utilizing Federal funds and matching
contributions to meet requests for on-site training, technical
assistance and consultation. Since the Resource Centers 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, cost-
sharing arrangements.
Describe a plan for continually identifying and/or
developing innovative and exemplary programs; planning, collaboration
and implementation methods; service development strategies; practice
techniques; resources such as training curricula and educational
manuals; and rigorous research and program evaluation approaches.
Discuss strategies for helping agencies perform exemplary and
innovative activities in overcoming the categorical nature of
traditional services, and facilitating critical linkages for children
and families to mental health and substance abuse services. Discuss
strategies for continually disseminating information about innovations
and exemplary efforts and assisting the field in adapting such
resources to meet specific needs. Specify audiences dissemination
efforts will focus on, how these audiences have been identified, and
why they are relevant to dissemination efforts. Describe how ongoing
requests from the general public for information will be handled.
Describe a plan for continually identifying relevant
emerging issues and the needs of new service populations as well as a
plan for preparing and disseminating information and policy papers to
the field which address these emerging issues and new service
populations.
Describe a plan for coordinating activities with other
National Resource and Research Centers and Clearinghouses funded by
DHHS and other sources, to assure effective utilization of resources
and to avoid duplication of efforts. Provide a specific assurance of
establishing close working ties with the Training and Technical
Assistance Resource Coordination Contractor to be funded by the
Children's Bureau in FY 94.
Describe a plan for conducting, in conjunction with the
Children's Bureau, one national conference/meeting on an annual basis
for relevant service providers, professionals, groups and
organizations. The conference/meeting may be an enhancement of an
established national conference/meeting. Describe how the Resource
Center will participate in the planning, promotion and implementation
of the ACYF-sponsored National Child Welfare Conference.
Describe a plan to help agencies improve services to
overrepresented populations, particularly minority group families and
minority children in care. Identify techniques to be used in assessing
factors which impede the delivery of culturally appropriate services
and strategies to assist agencies in reducing those factors.
Describe a plan to ensure that the services and program
activities of the Resource Center are responsive to topically-related
cultural competence issues, activities are provided in a manner that is
racially/culturally sensitive to the population being served, and the
staff of the Resource Center is racially and culturally diverse and
reflective of the populations being served.
Describe a plan for continually developing a national
network of professionals in the field to serve as consultants and for
linking these individuals with persons and agencies requesting
assistance; for ensuring that the network is racially and culturally
diverse; and for ensuring the quality of the consultation provided by
eliciting consumer input.
Describe a plan for fostering and strengthening
communication and coordination activities among client and advocacy
groups, agencies, and professional organizations serving children,
youth and families. Specify key players and entities that need to be
connected, identify issues around which relationships need to be built,
and propose methods for establishing linkages and partnerships.
Describe a plan for continually evaluating the overall
operation of the Resource Center with particular emphasis on eliciting
consumer input in assessing the quality of the training, technical
assistance and consultation services provided.
Provide an assurance that at least one key staff member
would attend an annual 4 day meeting of Children's Bureau grantees in
Washington, D.C.
Provide an assurance that at least one key staff member
would attend two 1 to 2 day meetings convened annually for the Project
Directors of the Resource and Research Centers.
Provide an assurance that key Resource Center staff will
meet with their Federal project officer and other ACYF staff in
Washington D.C. within 60 days of receiving the award.
Provide an assurance that in situations where the
applicant's organizational position on a particular child welfare
policy and/or practice might differ from the Federal position, the
Federal position will be used to guide Resource Center activity and
will be reflected in all public statements and publications of the
Resource Center.
Agree to enter into a Cooperative Agreement which will
require the grantee to submit to the Children's Bureau for review and
approval: workplans, including as appropriate, activities involving
Headquarters and Regional Office staff; lists of topics to be covered
in technical assistance resources, syntheses, summaries and literature
reviews; topics, times and places for conferences; topics for any
collection of original data; and draft reports, conference agendas and
other materials prior to their finalization and dissemination by the
grantee. (A cooperative agreement is Federal Assistance in which
substantial Federal involvement is anticipated. The respective
responsibilities of Federal staff and the awardee are negotiated prior
to award.)
The grantee shall also cooperate, to the extent that its budget
will allow, with the Children's Bureau in meetings, briefings, or other
forums to disseminate knowledge gained from its work with States and
local communities around child welfare issues.
In cases where an application involves the collaboration
of two or more organizations, the application must not only identify a
single lead agency to be the primary administrator of the Resource
Center and the official recipient of the award, but also present a plan
delineating methods for coordinating activities and each organization's
responsibilities and contributions to completing Resource Center tasks.
5. Priority Area 1.01A National Resource Center for Family-Centered
Practice. As increasing social, economic and personal stresses place
greater numbers of families and children potentially at-risk and as the
numbers of actual at-risk children and families have continued to
expand, many State, local and Tribal governments have implemented or
are actively planning to initiate family preservation and support
programs as a way to strengthen vulnerable families. There is also
widespread hope that these family-centered services will reduce foster
care caseloads and out-of-home care costs.
Family-centered services are responsive to certain legislative
mandates of Public Law 96-272, the Adoption Assistance and Child
Welfare Act of 1980, and are central to the legislative intent of the
new Subpart 2 of title IV-B of the Social Security Act, Family
Preservation and Support Services.
The term ``family-centered'' encompasses both family preservation
and family support activities. Family support entails community-based
preventive services designed to: alleviate stress and promote parental
competencies and behaviors that will increase the ability of families
to successfully nurture their children; enable families to use other
resources and opportunities available in the community; create
supportive networks to enhance child-rearing abilities of parents; and
help compensate for the increased social isolation, economic
deficiencies and vulnerability of families.
Family preservation involves helping families maintain the safety
of children in their own homes; alleviate crises that might lead to the
out-of-home care of children; avoid the unnecessary out-of-home
placement of children; reunify with their children and youth already in
out-of-home care; deal with issues that arise in both pre and post-
adoption periods; and obtain services and other supports responsive to
their multiple needs in a culturally appropriate manner.
Child welfare agencies need to develop and/or enhance their
capacity to plan, manage, operate and monitor family-centered services,
and build collaborative working relationships with community-based
organizations providing family support programs. The National Resource
Center for Family-Centered Practice will help child and family service
agencies develop expertise in all phases and aspects of administering
family-centered services by providing training and technical assistance
itself or by providing a referral to an appropriate alternative
resource. The National Resource Center for Family-Centered Practice
will focus most of its activity on the preventive end (i.e., prevention
of family dysfunction/foster care) of the continuum of services for
children and families. In addition to meeting the minimum requirements
detailed previously, applicants need to:
Demonstrate the capacity to articulate a family-centered
approach, encompassing family preservation and family support, and
integrate family-centered concepts into the field of child welfare.
Describe a plan for collecting, reviewing and
disseminating analyses of existing research and other appropriate
information on the relative merits of different program approaches.
Describe a plan for providing techniques and strategies
that will assist child welfare decisionmakers in assessing numerous
options for the development and implementation of family-centered
programs and services. This plan should also consider the planning and
developmental needs for post-legal adoption family support and family
preservation program services.
Demonstrate knowledge of community-based family support
programs and describe a plan for fostering effective linkages between
these family support programs and public child welfare agencies.
CFDA: 93.556 Family Preservation and Support: Sections 430-435 of
the Social Security Act, as amended, 42 U.S.C. 629-629e.
6. Priority Area 1.01B National Resource Center for Permanency
Planning. During a brief period of time in the late 1970's and early
1980's the number of children placed in foster care was decreasing.
Many child welfare experts attribute this decline to attention and
activities addressing permanency planning which occurred in the period
around the passage of Public Law 96-272, the Adoption Assistance and
Child Welfare Act of 1980. Since the mid-1980's, the number of children
in foster care has shown continuous growth. These children and their
biological and foster families constitute a large and costly segment of
the population served by child welfare agencies.
Agencies are faced with the challenge of responding to the
increasing demand for services with quality and cost-effective
programs. They are expected to plan and achieve permanence for children
in foster care and conform to the procedures and safeguards spelled out
in both State and Federal statutes.
At the same time, the emergence of new and more severe child and
family problems has put additional pressure on agencies to develop and
deliver more complex services and has made the planning for and
attainment of permanency more complicated. Agencies are often hard
pressed to offer the specialized and therapeutic foster family
environments more children entering foster care appear to need.
Providing services to the families of children in care and attending to
the legal and service issues related to permanency planning have been
especially problematic. Finally, the declassification of many public
child welfare positions and the loosening of strong ties between public
agencies and social work education is believed to have contributed to
an erosion of practice quality and compromised achieving permanency.
While there is an emphasis on providing familial settings for
children and youth, large numbers of young people still are placed in
residential care facilities. Although quality residential care can be a
useful temporary resource for certain children and youth, a lack of
suitable alternatives means that far too often a residential placement
is used to care for young people when it may not be appropriate.
Establishing permanence for this segment of the foster care population
is often more challenging than with children in family foster care.
The National Resource Center for Permanency Planning will help
children and family services agencies improve their capacity to
accomplish permanence through the development and implementation of
high quality foster family and residential care for children who must
be removed from their homes. In addition to addressing the minimum
requirements detailed previously, applicants need to:
Describe a strategy for promoting agencies'
reconceptualizing foster care as a family-focused, community-based
service incorporating policies and practices consistent with a family-
centered orientation. Present a plan for helping agencies become more
effective in planning for permanency by being responsive to the
individualized needs of families who have their children in placement,
and operating from the perspective of family strengths.
Describe a strategy for assisting agencies with critical
issues such as improving ongoing services to birth parents; analyzing
the use of relative foster care; developing and implementing plans for
returning children home; improving after-care; establishing day
treatment programs; facilitating termination of parental rights;
improving group homes and family shelter care programs with particular
emphasis on case assessment; improving care provided in residential
facilities with particular emphasis on permanency planning; utilizing
family shelter for infants and young children; and reducing the time
actually spent in shelter care.
Describe a plan for assisting agencies with relevant
facets of cultural competence including the ability of workers to serve
all families effectively, making culturally appropriate placements,
recruiting minority adoptive and foster families, delivering culturally
relevant respite care, assessing the factors contributing to the
overrepresentation of minority children in the foster care system, and
developing strategies to improve outcomes for minority families and
children.
Describe a plan for analyzing existing training materials
on key topics such as case assessment, permanency planning and cultural
diversity emphasizing who will be doing the analysis and detailing
analytic procedures.
Describe a strategy for conveying how model approaches to
recruiting, providing pre-service and in-service training for, and
retaining foster parents will be collected and communicated.
Describe a plan for conveying how effective program
approaches that serve the medical, dental, mental health, special
educational and vocational needs of children in foster care and their
families will be identified and disseminated for replication.
Describe a plan for linking with the National Resource
Center for Organizational Improvement in the area of licensing, and the
National Resource Center on Legal and Court Issues on safeguards to
permanency and termination of parental rights.
CFDA: 93.608 Child Welfare Research and Demonstration: Section 426
of the Social Security Act, as amended, 42 U.S.C. 626.
7. Priority Area 1.01C National Resource Center for Organizational
Improvement. Child welfare agencies confront demanding management and
human resource development issues. In regard to management issues,
agencies are faced with the formidable task of developing, implementing
and evaluating an expanding range of programs and services for more
varied and challenging families and children. These programs and
services are often funded under broad and complex legislation and
accompanying regulations which delineate appropriate agency practices
and behaviors. Often embedded in child welfare statutes and regulations
are criteria to which agencies are held accountable. Agencies find it
challenging to simultaneously establish a broader repertoire of service
programs and meet mounting accountability and regulatory requirements.
Agencies' ability to blend funding streams and link programs to provide
more holistic services to families and children is daunting but doable.
In regard to human resources, the idiosyncracies of State civil
service systems, pressures for professional licensure of social service
agency staff, the inherent rigidity of bureaucratic systems, and high
turnover rates at all levels complicate and often compromise the
ability of agencies to attend and respond to staffing needs. This
subsequently impairs the ability of staff to meet the needs of families
and children.
A number of efforts are responding to human resource deficiencies
with the intent of increasing the professionalization of child welfare
staff. The rebuilding of partnerships between social work education
programs and public agencies, and States' increasing access to Federal
financial participation in the form of title IV-E training
reimbursements are examples.
The National Resource Center for Organizational Improvement will
help develop the capacity of child and family service agencies to
design, implement and evaluate management improvement and human
resource development practices to improve outcomes for families and
children. In addition to meeting the minimum requirements detailed
previously, applicants need to:
Describe how the Resource Center will employ an
Organizational Development perspective in rendering services.
Organizational Development is comprised of behavioral science and
system based procedures and practices supporting organizational
renewal. Organizational Development fosters agencies' capacity to gain
insight regarding their own operational processes as well as develop
and implement organizational change strategies.
Describe a plan for dealing with management improvement
issues emphasizing administrative strategies and operational procedures
such as managing systems change, redesigning case flow procedures to
overcome fragmentation and revitalize case management, streamlining
record-keeping practices, formulating strategic and operational
planning processes, and monitoring purchase-of-service agreements.
Describe a plan for dealing with human resource
development issues emphasizing effective staffing and workplace
improvement initiatives such as, modifying decision-making practices to
overcome staff isolation and promote their meaningful participation in
issues affecting their work; developing career ladders and promotional
opportunities; designing responses to worker safety; strengthening
supervisory in-service training; and promoting methods for minimizing
stress and burnout.
Describe a plan for addressing licensing issues related to
child placement and child care services, emphasizing the collection and
analysis of licensing related data for the purposes of identifying and
responding to the needs of States, and conducting meetings and/or
conferences on licensing.
Describe a plan for promoting interagency and intersystem
collaboration and exchange of information around blending funding
streams, planning practices, and policy and program innovations, making
sure to link with the Child and Adolescent Service System Program
(CAASP) Training and Technical Assistance Center funded by the Center
for Mental Health Services, the Maternal and Child Health Bureau and
the Children's Bureau.
Describe strategies for helping States, local and Tribal
agencies become adept at using information system technology for
strategic and operational decision-making.
Describe a plan for helping States and other publicly
administered or publicly supported agencies develop outcome measures at
the child, family and system levels.
CFDA: 93.608 Child Welfare Research and Demonstration: Section 426
of the Social Security Act, as amended, 42 U.S.C. 626.
8. Priority Area 1.01D National Resource Center for Youth
Development. The pressures on and dissolution of greater numbers of
families coupled with negative social forces and peer pressure has
resulted in higher levels of family conflict and increasing numbers of
youth struggling with the problems of maintaining effective school
performance, homelessness, substance abuse/addiction, prostitution,
delinquency, pregnancy and suicide.
Continuing difficulties in attaining permanency means many youth
remain in foster care without returning to their biological family or
becoming and remaining part of an adoptive family. This sizeable
population of youth needs to be prepared for self-sufficiency,
independence, and effective community living. These youth need
assistance in seeking additional education or training, and help in
securing employment, finding housing/living arrangements, learning
about parenting as they form their own families, and linking with
family/social/community supports.
There is also growing societal concern regarding the problem of
anti-social violent youth. While the juvenile justice and adult
correctional systems are dealing with the most severe adolescent
actions, the child welfare foster care system is also having to respond
to the needs of youth whose behavior makes it impossible for them to
remain with their families or in their communities.
Youth in the child welfare system are too often only marginally
served by existing agencies and the service delivery system. Most child
welfare agencies are hard pressed to develop quality programs and
services for this growing population of older adolescents who have more
complex challenges, and who are not as likely to be in residential care
due to the deinstitutionalization movement, the decriminalization of
status offenders, and budgetary cutbacks targeting group care
institutions.
The National Resource Center for Youth Development will help
agencies develop the capacity to effectively meet the needs of youth.
This category of youth includes primarily individuals from the age of
puberty through age 21. However, this definition does not exclude
consideration of the service needs of individuals who may be slightly
younger or older than the primary target population. In addition to
meeting the minimum requirements detailed previously, applicants need
to:
Describe a plan for collecting and disseminating
educational and occupational related resource materials and information
on issues including, but not limited to, special education, post-
secondary education including vocational and two and four-year academic
programs, school drop-out prevention, establishing and maintaining
family connections, illiteracy, job readiness, and effective parenting.
Describe a plan for addressing adolescent access to health
care, including substance abuse treatment and prevention issues,
specialized services for seriously emotionally disturbed (SED) youths,
and related mental health initiatives with particular attention paid to
the psychological trauma related to witnessing and experiencing
violence.
Describe strategies for dealing with youth sexuality
issues with an emphasis on teen pregnancy and AIDS, and propose how
those techniques will be communicated to adolescents and to the staff
of agencies serving youth.
Describe a plan for showcasing innovative and successful
transitional and independent living programs and practices dealing with
issues such as effective parenting and adolescent input into the design
of such programs through the sponsorship of national conferences.
Describe how the Resource Center will go about communicating
information about exemplary transitional and independent living
programs to public and private providers with an emphasis on adaptation
and replication.
CFDA: 93.608 Child Welfare Research and Demonstration: Section 426
of the Social Security Act, as amended, 42 U.S.C. 626.
9. Priority Area 1.01E National Resource Center on Legal and Court
Issues. Child welfare agencies administer child welfare programs within
a framework of law. The passage of major pieces of child welfare
legislation has prompted continuous reassessment and redefinition of
the relationship between State child welfare agencies and the
judiciary. Appropriate responses to confirmed cases of abuse and
neglect, termination of parental rights, and adoption proceedings are
eventually settled in the courts. Periodic judicial review of foster
care cases is a Federal statutory requirement. It is not unheard of for
judges in some jurisdictions to actually develop case plans for
individual clients, and give casework directives to agency staff.
Legislatively mandated judicial involvement in the details of case
practice has often forced agencies to analyze and interpret legal
issues, court decisions, and judicial pronouncements; determine their
implications for programs and practices; and review and revise their
policies and procedures accordingly. Faced with an expanding statutory
and regulatory base, the legal staff of public child welfare agencies
have gradually assumed a greater responsibility for maintaining legal
and regulatory compliance and consequently have acquired greater
influence in shaping agency activity. In addition, liability concerns
are substantially influencing agency practice.
The courts have become increasingly involved in the operations of
public child welfare agencies as a result of class action suits
intended to promote system reform. The courts have demonstrated a
willingness to oversee system change through court orders and consent
decrees.
The recognition of how intertwined courts and child welfare are is
reflected in a set-aside component of the Family Preservation and
Support Services program providing grants to State courts to assess and
improve their proceedings relating to foster care and adoption
beginning in FY 1995.
The National Resource Center on Legal and Court Issues will help
build the capacity of children and family service agencies to deal with
a range of legal and court related concerns. In addition to meeting the
minimum requirements detailed previously, applicants need to:
Describe a plan highlighting methods and techniques that
can be employed to improve coordination and communication between the
judicial system and the public child welfare system.
Describe a plan for assisting agencies to become more
adept at understanding and more efficient at responding to law-related
concerns.
Describe a plan for maintaining legal research and
analysis capabilities and ongoing information dissemination functions
on complex issues such as HIV/AIDS, custodial issues for medically
fragile children, rights of addicted parents, parental rights to
treatment, confidentiality, and others that may emerge.
Describe strategies for designing, delivering and/or
collaborating with others on the training of judges and other
significant court personnel to implement key provisions and
requirements of federal child welfare legislation.
Describe a plan for reviewing and analyzing class action
suits, court orders and consent decrees, and maintaining a database on
litigation within the child welfare system.
Describe a plan for working with State court systems and/
or with other organizations on assisting States regarding the grants
for State court assessment and improvement from the Family Preservation
and Support Services legislation.
CFDA: 93.608 Child Welfare Research and Demonstration: Section 426
of the Social Security Act, as amended, 42 U.S.C. 626.
10. Project Duration: The length of each National Resource Center
for Child Welfare Services Programs project shall not exceed 60 months.
11. Federal Share of Project Costs: The Federal share of the
projects varies from Center to Center for the first 12 month budget
period as follows:
National Resource Center for Family-Centered Practice--$950,000
National Resource Center for Permanency Planning--$750,000
National Resource Center for Organizational Improvement--$550,000
National Resource Center for Youth Development--$550,000
National Resource Center on Legal and Court Issues--$400,000.
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.
12. Matching Requirements: The applicant must provide at least 10
percent of the total approved cost of the project. The total approved
cost is the sum of the ACYF share and the non-federal share. The non-
federal share may be met by cash or in-kind contributions, although
applicants are encouraged to meet their match requirements through cash
contributions. Therefore, a project requesting $90,000 in Federal funds
for the first 12 month budget period, must include a match of $10,000
(10 percent of total project costs, i.e., $100,000 for the first budget
period).
13. Anticipated Number of Projects to be Funded: It is anticipated
that five (5) National Resource Centers will be funded as Cooperative
Agreements--one each in Priority Area 1.01A, 1.01B, 1.01C, 1.01D, and
1.01E.
14. Length of Application: There is no page limitation on
applications submitted under this priority area, but applicants are
encouraged to submit as concise a package as possible.
D. Discussion of Priority Area
2.01 National Resource Center for Programs Serving Abandoned Infants
and Infants at Risk of Abandonment and Their Families
1. Eligible Applicants: Any State, local, public or private
nonprofit agency or organization, including accredited colleges and
universities.
2. Purpose: To assist in the coordination of services, exchange of
information and the continuing development, expansion and strengthening
and improvement in the quality and effectiveness of programs described
in Public Law 102-236, the Abandoned Infants Assistance Act of 1988, as
amended (Act) whether or not the service providers receive funds
authorized under the Act. The Act provides financial support for
demonstration projects to prevent the abandonment of infants and young
children, particularly those with the human immunodeficiency virus
(HIV) or who have been perinatally exposed to the virus or who have
been perinatally exposed to a dangerous drug; to identify and address
the needs of those infants and young children who are, or are at risk
of being abandoned; to develop a program of comprehensive services for
those children and their families which will strengthen family
functioning and prevent abandonment, including family foster care, case
management, family support, respite care and crisis intervention,
counseling and group residential care services; and to recruit and
train health and social services personnel, foster care families and
residential providers to meet the needs of infants and young children
who are at risk of abandonment.
3. Background Information: Since 1990, ACYF has awarded a total of
42 grants under the Abandoned Infants Assistance Program (AIA) to a
variety of agencies, including State and local departments of social
and health services; hospitals; universities; and private, nonprofit,
child-serving agencies. These projects include comprehensive service
demonstration programs, training projects and resource coordination
efforts. Currently, there are 32 comprehensive service demonstration
programs in operation. In addition, the Maternal and Child Health
Bureau and the Center for Substance Abuse Programs fund related
activities. These programs are designed to meet the immediate social
service and health care needs of infants and young children and their
families impacted by HIV infection and drug exposure; to address issues
of community coordination; to improve utilization of scarce resources;
and to develop systems which will meet the long-term needs of the
children and their families. Also, many local jurisdictions nationwide
are implementing programs, with or without federal assistance, that
provide services to the same target populations.
The current National Abandoned Infant Assistance Resource Center
for Drug-, HIV, and Medically Involved Children, funded from September,
1991 through September, 1994, provides training, technical assistance
and consultation to the AIA programs and related activities in order to
improve service delivery to drug and HIV-exposed infants, young
children and their families; provides training to social service,
health and other workers in order to educate them about program and
services for families who are at risk of abandoning their children.
Although a substantial number of abandoned infants and related
projects have been established, knowledge about effective strategies
and services continues to evolve and develop. Existing programs vary
considerably in terms of quality, experience and intervention
strategies. However, the demand for such services is increasing as
substance abuse and HIV infection impact on greater number of infants
and young children and their families. ACF intends to continue to
support a National Resource Center to assist in identifying, developing
and utilizing effective program practices, information and materials in
order to meet this service demand; and to continue to provide training
and technical assistance as needed.
4. Minimum Requirements for Project Design: The National Resource
Center should provide State and local private nonprofit agencies and
organizations with broad access to information, methods, techniques and
strategies for developing, expanding, improving social and health care
services to infants and young children and their families impacted by
substance abuse and/or HIV infection. Applicants must describe their
capabilities and plans for assisting these organizations. The
application should:
Demonstrate knowledge about the problems and issues
involved in planning and providing services for infants and young
children who are drug- and/or HIV-exposed and are at risk of
abandonment and their families.
Provide documentation of the commitment to improve the
quality of programs and services for infants and young children who are
abandoned or in danger of abandonment and their families.
Describe a plan for continually identifying emerging
issues from the fields of child welfare, developmental disabilities,
maternal and child health, and substance abuse/addiction, particularly
as they relate to perinatal drug exposure and pediatric HIV-infection
and the impact these issues have on family functioning and stability.
Describe a plan for preparing and disseminating
information and policy papers to the field which addresses these
emerging issues.
Describe a plan for coordinating activities with other
National Resource Centers, Research Centers and clearinghouses, funded
by DHHS and other sources, to assure effective utilization of resources
and to avoid duplication of efforts.
Describe a plan for conducting, in conjunction with the
Children's Bureau, one national conference a year for relevant service
providers.
Describe a strategy for continually identifying innovative
and/or exemplary programs and for disseminating information about these
programs, with a particular emphasis on innovative collaborative models
involving child welfare, mental health and developmental disabilities.
Also, discuss strategies to promote programmatic linkages among the
three areas.
Describe a strategy for continually identifying,
documenting and developing innovative and/or exemplary resources such
as training curricula/manuals and for assisting the field in adapting
such resources to meet specific needs.
Describe a plan for providing technical assistance,
training and consultation to service providers and to State agencies to
improve professional competency; to insure service coordination and
integration; and to promote the utilization of resources and best
practices related to management and administration, primarily to
projects funded under the AIA program and, secondarily, to related
activities.
Describe a plan for providing technical assistance to AIA
grantees on their required third-party evaluation efforts. The plan
should describe the types of assistance needed by programs whose third-
party evaluation efforts range from a simple, basic approach to those
with more sophisticated evaluation designs.
Describe the applicant's experience in providing training
and technical assistance on a variety of program models serving
economically, racially and culturally diverse populations, and describe
a plan for ongoing work in this area.
Describe a plan for ensuring that the services, program
activities, and staff of the Resource Center are provided in a manner
that is racially/culturally sensitive to the population being served.
Describe a plan for continually developing a national
network of professionals in the field to serve as consultants and for
linking these individuals with persons and agencies requesting
assistance; for ensuring that the network is racially and culturally
diverse; and for following-up on the types and quality of consultation
provided.
Provide an assurance that at least one key staff member
would attend an annual 4 day meeting of Children's Bureau grantees in
Washington, D.C.
Provide an assurance that at least one key staff member
would attend two one to two day meetings convened annually for the
Project Directors of the Resource and Research Centers.
Provide an assurance that key Resource Center staff will
meet with their Federal project officer and other ACYF staff in
Washington D.C. within sixty days of receiving the award.
Describe a plan to establish an advisory board that will
provide overall program direction and guidance to the activities of the
Center. The plan should include two meetings of the Board per year both
of which must be held in Washington, D.C. One meeting will be held in
conjunction with the annual Abandoned Infants Assistance grantees'
meeting usually convened in the Spring of each year and the second
meeting to be held in conjunction with the Fall meeting of the Project
Directors of the Resource and Research Centers.
Describe a plan to develop and disseminate Fact Sheets on
topical issues related to the AIA programs.
Describe a plan for collecting summary evaluation data
from the funded programs and submitting an annual report to the
Children's Bureau that provides information on the number of clients
served, their characteristics and the services provided. This plan
shall further include a process for developing outcome indicators
across program sites that reflect the intent of the legislation and the
successes/achievements of the AIA service demonstration programs.
Additionally, the plan shall include the provision of technical
assistance to the projects, as needed, to develop the outcome
indicators and a process to collect the data and prepare a report on
the program outcomes. The timetable to prepare the report on program
outcomes must be included in the applicant's workplan.
Outline a plan for interaction with ACF for implementation
under a cooperative agreement including, as appropriate, Headquarters
and Regional Office staff. (A cooperative agreement is Federal
Assistance in which substantial Federal involvement is anticipated. The
respective responsibilities of Federal staff and the awardee are
negotiated prior to award.)
5. Project Duration: The length of the project shall not exceed 48
months.
6. Federal Share of Project Costs: The Federal share of the project
is $600,000 for each of the three initial 12 month budget periods, or
$1,800,000 for the initial 3 years of the project. Funding for Year 4
may exceed $600,000 but will not be greater than $675,000 for the
fourth 12 month budget period based on a needs assessment submitted by
the grantee and approved by appropriate Children's Bureau staff.
7. Matching Requirements: The applicant must provide at least 10
percent of the total approved cost of the project. The total approved
cost is the sum of the ACYF share and the non-Federal share. The non-
Federal share may be cash or in-kind contributions, although applicants
are encouraged to meet their match requirements through cash
contributions. Therefore, a project requesting $2,475,000 in Federal
funds must include a match of at least $275,000 (10 percent of the
total project cost of $2,750,000).
8. Anticipated Number of Projects to be Funded: It is anticipated
that one project will be funded as a cooperative agreement.
9. Length of Applications: The maximum length of the application
shall not exceed 75 pages excluding appendices.
CFDA: 93.551 The Abandoned Infants Assistance Act of 1988, as
amended, 42 U.S.C. 670 note.
Part III--Review Process
A. Eligible Applicants
Before applications are reviewed, each application will be screened
to determine that the applicant organization is an eligible applicant
as specified under the selected priority area. Applications from
organizations which do not meet the eligibility requirements for the
priority area will not be considered or reviewed in the competition,
and the applicant will be so informed.
B. Review Process and Funding Decisions
Timely applications from eligible applicants will be reviewed and
scored competitively. Experts in the field, generally persons from
outside of the Federal government, will use the evaluation criteria
listed in Section C, Evaluation Criteria, to review and score the
applications. The results of this review are a primary factor in making
funding decisions.
ACYF reserves the option of discussing applications with, or
referring them to, other Federal or non-Federal funding sources when
this is determined to be in the best interest of the Federal government
or the applicant. It may also solicit comments from ACYF 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 demonstrate or feature: Experience in providing
complex training and technical assistance in child welfare and/or
related fields; an eclectic approach to the substantive content of each
topical area; a favorable balance between Federal and non-Federal funds
available for the proposed project; and the potential for high benefit
for the level of Federal investment.
To the greatest extent possible, efforts will be made to ensure
that funding decisions reflect an equitable distribution of assistance
across geographic regions of the country.
C. Evaluation Criteria
A panel of at least three reviewers (primarily experts from outside
the Federal government) will review the applications. Applicants should
ensure that they address each minimum requirement in the priority area
description under the appropriate section of the Program Narrative
Statement.
Reviewers will determine the strengths and weaknesses of each
application in terms of the evaluation criteria listed below, provide
comments and assign numerical scores. The point value following each
criterion heading indicates the maximum numerical weight that each
section may be given in the review process.
Applications under all priority areas will be evaluated against the
following criteria.
1. Objective and Need for Assistance (20 points) The extent to
which the application pinpoints any relevant physical, economic,
social, financial, institutional or other problems requiring a
solution; demonstrates the need for the assistance; states the
principal and subordinate objectives of the project; provides
supporting documentation or other testimonies from concerned interests
other than the applicant; and includes and/or references relevant data.
2. Results or Benefits Expected (20 points). The extent to which
the application identifies the results and benefits to be derived, the
extent to which they are consistent with the objectives of the
proposal, and the extent to which the application indicates the
anticipated contributions to policy, practice, theory and/or research.
The extent to which the proposed project costs are reasonable in view
of the expected results.
3. Approach (35 points). The extent to which the application
outlines a sound and workable plan of action pertaining to the scope of
the project, and details how the proposed work will be accomplished;
cites factors which might accelerate or decelerate the work, giving
acceptable reasons for taking the proposed approach as opposed to
others; describes and supports any unusual features of the project,
such as design or technological innovations, reductions in cost or
time, or extraordinary social and community involvements; provides for
projections of the accomplishments to be achieved; and lists the
activities to be carried out in chronological order, showing a
reasonable schedule of accomplishments and target dates.
The extent to which, when applicable, the application identifies
the kinds of data to be collected and maintained, and discusses the
criteria to be used to evaluate the results and successes of the
project. The extent to which the application describes the evaluation
methodology that will be used to determine if the needs identified and
discussed are being met and if the results and benefits identified are
being achieved. The extent to which the application identifies each
organization, agency, consultant, or other key individuals or groups
who will work on the project, along with a description of the
activities each will undertake and the nature of their effort or
contribution.
4. Staff Background and Organization's Experience (25 points). The
extent to which the background of the project director/principal
investigator and key project staff (including name, address, training,
educational background and other qualifying experience) and the
experience of the organization demonstrate the applicant's ability to
effectively and efficiently administer the project. The extent to which
the application describes the relationship between the proposed project
and other relevant work planned, anticipated or underway by the
applicant.
Part IV--Instructions for the Development and Submission of
Applications
This Part contains information and instructions for submitting
applications in response to this announcement. Application forms are
provided along with a checklist for assembling an application package.
Please copy and use these forms in submitting an application.
Potential applicants should read this section carefully in
conjunction with the information contained within the specific priority
area under which the application is to be submitted. The priority area
descriptions are in Part II.
A. Required Notification of the State Single Point of Contact
The Abandoned Infants Program is covered under Executive Order
12372, Intergovernmental Review of Federal Programs, and 45 CFR Part
100, Intergovernmental Review of Department of Health and Human
Services Program and Activities. Under the Order, States may design
their own processes for reviewing and commenting on proposed Federal
assistance under covered programs.
All States and territories, except Alabama, Alaska, Connecticut,
Hawaii, Idaho, Kansas, Louisiana, Minnesota, Montana, Nebraska,
Oklahoma, Oregon, Pennsylvania, South Dakota, Virginia, Washington,
American Samoa and Palau, have elected to participate in the Executive
Order process and have established State Single Point of Contact
(SPOCs). Applicants from these 18 jurisdictions need take no action
regarding E.O. 12372. Applicants for projects to be administered by
Federally-recognized Indian Tribes are also exempt from the
requirements of E.O. 12372. Otherwise, applicants should contact their
SPOCs as soon as possible to alert them of the prospective applications
and receive any necessary instructions. Applicants must submit any
required material to the SPOCs as soon as possible so that the program
office can obtain and review SPOC comments as part of the award
process. It is imperative that the applicant submit all required
materials, if any, to the SPOC and indicate the date of this submittal
(or the date of contact if no submittal is required) on the Standard
Form 424, item 16a.
Under 45 CFR 100.8(a)(2), a SPOC has 60 days from the application
deadline to comment on proposed new or competing continuation awards.
For this particular announcement a waiver of the 60 day period has been
approved and SPOC's are asked to provide comments within 30 days of the
application deadline. The 30 day SPOC comment period provides all
potential applicants with a full 60 days for application preparation
and submission. This will allow for the greatest number of applicants,
and also not give an advantage to applicants who have received similar
awards in the past. The 30 day SPOC comment period ensures that all
applications can be thoroughly developed and reviewed, and that awards
can be made in FY 1994.
SPOCs are encouraged to eliminate the submission of routine
endorsements as official recommendations.
Additionally, SPOCs are requested to clearly differentiate between
mere advisory comments and those official State process recommendations
which may trigger the accommodate or explain rule.
When comments are submitted directly to ACF, they should be
addressed to: Department of Health and Human Services, Administration
for Children and Families, Division of Discretionary Grants, 370
L'Enfant Promenade SW. 6th Floor East, OFM/DDG, Washington, D.C. 20047.
A list of the Single Points of Contact for each State and Territory
is included as Appendix B of this announcement.
B. Deadline for Submission of Applications
Deadline: Applications shall be considered as meeting the announced
deadline if they are:
Submitted on or before the deadline date and received by the
granting agency in time for the independent review under DHHS GAM
Chapter 1-62. (Applicants are cautioned to request a legibly dated U.S.
Postal Service postmark or to obtain a legibly dated receipt from a
commercial carrier or U.S. Postal Service. Private Metered postmarks
shall not be acceptable as proof of timely mailing.)
Applications may be mailed to: Department of Health and Human
Services, Administration for Children and Families, Division of
Discretionary Grants, 370 L'Enfant Promenade SW., 6th Floor East, OFM/
DDG, Washington, D.C. 20047.
Hand delivered applications are accepted during the normal working
hours of 8:00 a.m. to 4:30 p.m., Monday through Friday, on or prior to
the established closing date at: Administration for Children and
Families, Division of Discretionary Grants, 6th Floor East, OFM/DDG,
901 D Street SW., Washington, D.C. 20047.
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 mails. However, if the
granting agency does not extend the deadline for all applicants, it may
not waive or extend the deadline for any applicants.
C. Instructions for Preparing the Application and Completing
Application Forms
The SF 424, 424A, 424B, and certifications have been reprinted for
your convenience in preparing the application. See Appendix A. You
should reproduce single-sided copies of these forms from the reprinted
forms in the announcement, typing your information onto the copies.
Please do not use forms directly from the Federal Register
announcement, as they are printed on both sides of the page.
Please prepare your application in accordance with the following
instructions:
1. SF 424 Page 1, Application Cover Sheet. Please read the
following instructions before completing the application cover sheet.
An explanation of each item is included. Complete only the items
specified.
Top of Page. Enter the single priority area number under which the
application is being submitted. An application should be submitted
under only one priority area.
Item 1. Type of Submission--Preprinted on the form.
Item 2. Date Submitted and Applicant Identifier--Date application
is submitted to ACYF and applicant's own internal control number, if
applicable.
Item 3. Date Received By State--State use only (if applicable).
Item 4. Date Received by Federal Agency--Leave blank.
Item 5. Applicant Information Legal Name--Enter the legal name of
the applicant organization. For applications developed jointly, enter
the name of the lead organization only. There must be a single
applicant for each application.
Organizational Unit--Enter the name of the primary unit within the
applicant organization which will actually carry out the project
activity. Do not use the name of an individual as the applicant. If
this is the same as the applicant organization, leave the
organizational unit blank.
Address--Enter the complete address that the organization actually
uses to receive mail, since this is the address to which all
correspondence will be sent. Do not include both street address and
P.O. box number unless both must be used in mailing.
Name and telephone number of the person to be contacted on matters
involving this application (give area code)--Enter the full name
(including academic degree, if applicable) and telephone number of a
person who can respond to questions about the application. This person
should be accessible at the address given here and will receive all
correspondence regarding the application.
Item 6. Employer Identification Number (EIN)--Enter the employer
identification number of the applicant organization, 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 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, for applications seeking to operate the National
Resource Center for Programs Serving Abandoned Infants and Infants At
Risk of Abandonment and Their Families.--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 and
non-Federal) by object class category.
A separate itemized budget justification for each line item is
required. The types of information to be included in the justification
are indicated under each category. For multiple year projects, it is
desirable to provide this information for each year of the project. The
budget justification should immediately follow the second page of the
SF 424A.
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.
Contractual--Line 6f. Enter the total costs of all contracts,
including (1) Procurement contracts (except those which belong on other
lines such as equipment, supplies, etc.) and (2) contracts with
secondary recipient organizations, including delegate agencies. Also
include any contracts with organizations for the provision of technical
assistance. Do not include payments to individuals on this line. If the
name of the contractor, scope of work, and estimated total costs are
not available or have not been negotiated, include on Line 6h, Other.
Justification: Attach a list of contractors, indicating the names
of the organizations, the purposes of the contracts, and the estimated
dollar amounts of the awards as part of the budget justification.
Whenever the applicant/grantee intends to delegate part or all of the
program to another agency, the applicant/grantee must complete this
section (Section B, Budget Categories) for each delegate agency by
agency title, along with the supporting information. The total cost of
all such agencies will be part of the amount shown on Line 6f. Provide
backup documentation identifying the name of contractor, purpose of
contract, and major cost elements. Applicants who anticipate
procurements 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 Charges--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 of income, 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 (see Section C, Part III),
using the following headings:
(a) Objectives and Need for Assistance;
(b) Results and Benefits Expected;
(c) Approach; and
(d) Staff Background and Organization's Experience.
The specific information to be included under each of these
headings is described in Section C of Part III, Evaluation Criteria.
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. All
pages of the narrative (including charts, references/footnotes, tables,
maps, exhibits, etc.) must be sequentially numbered, beginning with
Objectives and Need for Assistance as page number one. Applicants
should not submit reproductions of larger size paper, reduced to meet
the size requirement.
The length of the application, including the application forms and
all attachments, should meet criteria set forth in each Priority Area.
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 to three pages)
background description of how the applicant organization (or the unit
within the organization that will have responsibility for the project)
is organized, the types and quantity of services it provides, and/or
the research and management capabilities it possesses. This description
should cover capabilities not included in the Program Narrative
Statement. It may include descriptions of any current or previous
relevant experience, or describe the competence of the project team and
its demonstrated ability to produce a final product that is readily
comprehensible and usable. An organization chart showing the
relationship of the project to the current organization should be
included.
6. Part IV--Assurances/Certifications. Applicants are required to
file an SF 424B, Assurances--Non-Construction Programs and the
Certification Regarding Lobbying. Both must be signed and returned with
the application. In addition, applicants must certify their compliance
with: (1) Drug-Free Workplace Requirements; and (2) Debarment and Other
Responsibilities. Copies of these assurances/certifications are
reprinted at the end of this announcement in Appendix A and should be
reproduced, as necessary. A duly authorized representative of the
applicant organization must certify that the applicant is in compliance
with these assurances/certifications. A signature on the SF 424
indicates compliance with the Drug Free 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.
D. 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 meets criteria 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);
--Budget Information.--Non-Construction Programs (SF 424A, REV 4-88);
--Budget justification for Section B--Budget Categories;
--Table of Contents;
--Letter from the Internal Revenue Service to prove non-profit status,
if necessary;
--Copy of the applicant's approved indirect cost rate agreement, if
appropriate;
--Project summary description and listing of key words;
--Program Narrative Statement (See Part III, Section C)
--Organizational capability statement, including an organization chart;
--Any appendices/attachments;
--Assurances--Non-Construction Programs (Standard Form 424B, REV 4-88);
--Certification Regarding Lobbying; and
--Certification of Protection of Human Subjects, if necessary.
E. The Application Package
Each application package must include an original and two copies of
the complete application. Each copy should be stapled securely (front
and back if necessary) in the upper left-hand corner. All pages of the
narrative (including charts, tables, maps, exhibits, etc.) must be
sequentially numbered, beginning with page one. In order to facilitate
handling, please do not use covers, binders or tabs. Do not include
extraneous materials as attachments, such as agency promotion
brochures, slides, tapes, film clips, minutes of meetings, survey
instruments or articles of incorporation.
Do not include a self-addressed, stamped acknowledgment card. All
applicants will be notified automatically about the receipt of their
application. If acknowledgment of receipt of your application is not
received within eight weeks after the deadline date, please notify ACYF
by telephone at (202) 690-7016.
Dated: June 20, 1994.
Olivia A. Golden,
Commissioner, Administration on Children, Youth and Families
BILLING CODE 4184-01-P
TN27JN94.004
BILLING CODE 4184-01-C
Instructions for the SF 424
This is a standard form used by applicants as a required facesheet
for preapplications and applications submitted for Federal assistance.
It will be used by 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
TN27JN94.005
TN27JN94.006
BILLING CODE 4184-01-C
Instructions for the SF-424A
General Instructions
This form is designed so that application can be made for funds
from one or more grant programs. In preparing the budget, adhere to any
existing Federal grantor agency guidelines which prescribe how and
whether budgeted amounts should be separately shown for different
functions or activities within the program. For some programs, grantor
agencies may require budgets to be separately shown by function or
activity. For other programs, grantor agencies may require a breakdown
by function or activity. Sections A, B, C, and D should include budget
estimates for the whole project except when applying for assistance
which requires Federal authorization in annual or other funding period
increments. In the latter case, Sections A, B, C, and D should provide
the budget for the first budget period (usually a year) and Section E
should present the need for Federal assistance in the subsequent budget
periods. All applications should contain a breakdown by the object
class categories shown in Lines a-k of Section B.
Section A. Budget Summary
Lines 1-4, Columns (a) and (b)
For applications pertaining to a single Federal grant program
(Federal Domestic Assistance Catalog number) and not requiring a
functional or activity breakdown, enter on Line 1 under Column (a) the
catalog program title and the catalog number in Column (b).
For applications pertaining to a single program requiring budget
amounts by multiple functions or activities, enter the name of each
activity or function on each line in Column (a), and enter the catalog
number in Column (b). For applications pertaining to multiple programs
where none of the programs require a breakdown by function or activity,
enter the catalog program title on each line in Column (a) and the
respective catalog number on each line in Column (b).
For applications pertaining to multiple programs where one or more
programs require a breakdown by function or activity, prepare a
separate sheet for each program requiring the breakdown. Additional
sheets should be used when one form does not provide adequate space for
all breakdown of data required. However, when more than one sheet is
used, the first page should provide the summary totals by programs.
Lines 1-4, Columns (c) through (g)
For new applications, leave Columns (c) and (d) blank. For each
line entry in Columns (a) and (b), enter in Columns (e), (f), and (g)
the appropriate amounts of funds needed to support the project for the
first funding period (usually a year).
For continuing grant program applications, submit these forms
before the end of each funding period as required by the grantor
agency. Enter in Columns (c) and (d) the estimated amounts of funds
which will remain unobligated at the end of the grant funding period
only if the Federal grantor agency instructions provide for this.
Otherwise, leave these columns blank. Enter in Columns (e) and (f) the
amounts of funds needed for the upcoming period. The amount(s) in
Column (g) should be the sum of amounts in Columns (e) and (f).
For supplemental grants and changes to existing grants, do not use
Columns (c) and (d). Enter in Column (e) the amount of the increase or
decrease of Federal funds and enter in Column (f) the amount of the
increase or decrease of non-Federal funds. In Column (g) enter the new
total budgeted amount (Federal and non-Federal) which includes the
total previous authorized budgeted amounts plus or minus, as
appropriate, the amounts shown in Columns (e) and (f). The amount(s) in
Column (g) should not equal the sum of amounts in Columns (e) and (f).
Line 5--Show the totals for all columns used.
Section B. Budget Categories
In the column headings (1) through (4), enter the titles of the
same programs, functions, and activities shown on Lines 1-4, Column
(a), Section A. When additional sheets are prepared for Section A,
provide similar column headings on each sheet. For each program,
function or activity, fill in the total requirements for funds (both
Federal and non-Federal) by object class categories.
Lines 6a-i--Show the totals of Lines 6a to 6h in each column.
Line 6j--Show the amount of indirect cost.
Line 6k--Enter the total of amounts on Lines 6i and 6j. For all
applications for new grants and continuation grants the total amount in
column (5), Line 6k, should be the same as the total amount shown in
Section A, Column (g), Line 5. For supplemental grants and changes to
grants, the total amount of the increase or decrease as shown in
Columns (1)-(4), Line 6k should be the same as the sum of the amounts
in Section A, Columns (e) and (f) on Line 5.
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; OMB Approval No. 0348-0040
Note: Certain of these assurances may not be applicable to your
project or program. If you have questions, please contact the
awarding agency. Further, certain Federal awarding agencies may
require applicants to certify to additional assurances. If such is
the case, you will be notified.
As the duly authorized representative of the applicant I certify
that the applicant:
1. Has the legal authority to apply for Federal assistance, and the
institutional, managerial and financial capability (including funds
sufficient to pay the non-Federal share of project costs) to ensure
proper planning, management and completion of the project described in
this application.
2. Will give the awarding agency, the Comptroller General of the
United States, and if appropriate, the State, through any authorized
representative, access to and the right to examine all records, books,
papers, or documents related to the award; and will establish a proper
accounting system in accordance with generally accepted accounting
standards or agency directives.
3. Will establish safeguards to prohibit employees from using their
positions for a purpose that constitutes or presents the appearance of
personal or organizational conflict of interest, or personal gain.
4. Will initiate and complete the work within the applicable time
frame after receipt of approval of the awarding agency.
5. Will comply with the Intergovernmental Personnel Act of 1970 (42
U.S.C. Secs. 4728-4763) relating to prescribed standards for merit
systems for programs funded under one of the nineteen statutes or
regulations specified in Appendix A of OPM's Standards for a Merit
System of Personnel Administration (5 C.F.R. 900, Subpart F).
6. Will comply with all Federal statutes relating to
nondiscrimination. These include but are not limited to: (a) Title VI
of the Civil Rights Act of 1964 (P.L. 88-352) which prohibits
discrimination on the basis of race, color or national origin; (b)
Title IX of the Education Amendments of 1972, as amended (20 U.S.C.
Secs. 1681-1683, and 1685-1686), which prohibits discrimination on the
basis of sex; (c) Section 504 of the Rehabilitation Act of 1973, as
amended (29 U.S.C. Sec. 794), which prohibits discrimination on the
basis of handicaps; (d) the Age Discrimination Act of 1975, as amended
(42 U.S.C. Secs. 6101-6107), which prohibits discrimination on the
basis of age;
(e) the Drug Abuse Office and Treatment Act of 1972 (P.L. 92-255),
as amended, relating to nondiscrimination on the basis of drug abuse;
(f) the Comprehensive Alcohol Abuse and Alcoholism Prevention,
Treatment and Rehabilitation Act of 1970 (P.L. 91-616), as amended,
relating to nondiscrimination on the basis of alcohol abuse or
alcoholism; (g) Secs. 523 and 527 of the Public Health Service Act of
1912 (42 U.S.C. 290 dd-3 and 290 ee-3), as amended, relating to
confidentiality of alcohol and drug abuse patient records; (h) Title
VIII of the Civil Rights Act of 1968 (42 U.S.C. Sec. 3601 et seq.), as
amended, relating to 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. 1501-1508 and 7324-7328) which limit the political activities of
employees whose principal employment activities are funded in whole or
in part with Federal funds.
9. Will comply, as applicable, with the provisions of the Davis-
Bacon Act (40 U.S.C. Secs. 276a to 276a-7), the Copeland Act (40 U.S.C.
Sec. 276c and 18 U.S.C. 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 Walfare 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. Sec. 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 B
Executive Order 12372--State Single Points of Contact
Arizona
Mrs. Janice Dunn, Attn: Arizona State Clearinghouse, 3800 N. Central
Avenue, 14th Floor, Phoenix, Arizona 85012, Telephone (602) 280-1315
Arkansas
Tracie L. Copeland, Manager, State Clearinghouse, Office of
Intergovernmental Services, Department of Finance and
Administration, P.O. Box 3278, Little Rock, Arkansas 72203,
Telephone (501) 682-1074
California
Glenn Stober, Grants Coordinator, Office of Planning and Research,
1400 Tenth Street, Sacramento, California 95814, Telephone (916)
323-7480
Colorado
State Single Point of Contact, State Clearinghouse, Division of
Local Government, 1313 Sherman Street, Room 520, Denver, Colorado
80203, Telephone (303) 866-2156
Delaware
Ms. Francine Booth, State Single Point of Contact, Executive
Department, Thomas Collins Building, Dover, Delaware 19903,
Telephone (302) 736-3326
District of Columbia
Rodney T. Hallman, State Single Point of Contact, Office of Grants
Management and Development, 717 14th Street NW., Suite 500,
Washington, D.C. 20005, Telephone (202) 727-6551
Florida
Florida State Clearinghouse, Intergovernmental Affairs Policy Unit,
Executive Office of the Governor, Office of Planning and Budgeting,
The Capitol, Tallahassee, Florida 32399-0001, Telephone (904) 488-
8441
Georgia
Mr. Charles H. Badger, Administrator, Georgia State Clearinghouse,
254 Washington Street SW., Atlanta, Georgia 30334, Telephone (404)
656-3855
Illinois
Steve Klokkenga, State Single Point of Contact, Office of the
Governor, 107 Stratton Building, Springfield, Illinois 62706,
Telephone (217) 782-1671
Indiana
Jean S. Blackwell, Budget Director, State Budget Agency, 212 State
House, Indianapolis, Indiana 46204, Telephone (317) 232-5610
Iowa
Mr. Steven R. McCann, Division of Community Progress, Iowa
Department of Economic Development, 200 East Grand Avenue, Des
Moines, Iowa 50309, Telephone (515) 281-3725
Kentucky
Ronald W. Cook, Office of the Governor, Department of Local
Government, 1024 Capitol Center Drive, Frankfort, Kentucky 40601,
Telephone (502) 564-2382
Maine
Ms. Joyce Benson, State Planning Office, State House Station #38,
Augusta, Maine 04333, Telephone (207) 289-3261
Maryland
Ms. Mary Abrams, Chief, Maryland State Clearinghouse, Department of
State Planning, 301 West Preston Street, Baltimore, Maryland 21201-
2365, Telephone (301) 225-4490
Massachusetts
Karen Arone, State Clearinghouse, Executive Office of Communities
and Development, 100 Cambridge Street, Room 1803, Boston,
Massachusetts 02202, Telephone (617) 727-7001
Michigan
Richard S. Pastula, Director, Michigan Department of Commerce,
Lansing, Michigan 48909, Telephone (517) 373-7356
Mississippi
Ms. Cathy Mallette, Clearinghouse Officer, Office of Federal Grant
Management and Reporting, 301 West Pearl Street, Jackson,
Mississippi 39203, Telephone (601) 960-2174
Missouri
Ms. Lois Pohl, Federal Assistance Clearinghouse, Office of
Administration, P.O. Box 809, Room 430, Truman Building, Jefferson
City, Missouri 65102, Telephone (314) 751-4834
Nevada
Department of Administration, State Clearinghouse, Capitol Complex,
Carson City, Nevada 89710, Telephone (702) 687-4065, Attention: Ron
Sparks, Clearinghouse Coordinator
New Hampshire
Mr. Jeffrey H. Taylor, Director, New Hampshire Office of State
Planning, Attn: Intergovernmental Review Process/James E. Bieber,
2\1/2\ Beacon Street, Concord, New Hampshire 03301, Telephone (603)
271-2155
New Jersey
Gregory W. Adkins, Acting Director, Division of Community Resources,
N.J. Department of Community Affairs, Trenton, New Jersey 08625-
0803, Telephone (609) 292-6613
Please direct correspondence and questions to: Andrew J. Jaskolka,
State Review Process, Division of Community Resources, CN 814, Room
609, Trenton, New Jersey 08625-0803, Telephone (609) 292-9025
New Mexico
George Elliott, Deputy Director, State Budget Division, Room 190,
Bataan Memorial Building, Santa Fe, New Mexico 87503, Telephone
(505) 827-3640, FAX (505) 827-3006
New York
New York State Clearinghouse, Division of the Budget, State Capitol,
Albany, New York 12224, Telephone (518) 474-1605
North Carolina
Mrs. Chrys Baggett, Director, Office of the Secretary of Admin.,
N.C. State Clearinghouse, 116 W. Jones Street, Raleigh, North
Carolina 27603-8003, Telephone (919) 733-7232
North Dakota
N.D. Single Point of Contact, Office of Intergovernmental
Assistance, Office of Management and Budget, 660 East Boulevard
Avenue, Bismarck, North Dakota 58505-0170, Telephone (701) 224-2094.
Ohio
Larry Weaver, State Single Point of Contact, State/Federal Funds
Coordinator, State Clearinghouse, Office of Budget and Management,
30 East Broad Street, 34th Floor, Columbus, Ohio 43266-0411,
Telephone (614) 466-0698
Rhode Island
Mr. Daniel W. Varin, Associate Director, Statewide Planning Program,
Department of Administration, Division of Planning, 265 Melrose
Street, Providence, Rhode Island 02907, Telephone (401) 277-2656.
Please direct correspondence and questions to: Review Coordinator,
Office of Strategic Planning
South Carolina
Omeagia Burgess, State Single Point of Contact, Grant Services,
Officer of the Governor, 1205 Pendleton Street, Room 477, Columbia,
South Carolina 29201, Telephone (803) 734-0494
Tennessee
Mr. Charles Brown, State Single Point of Contact, State Planning
Office, 500 Charlotte Avenue, 309 John Sevier Building, Nashville,
Tennessee 37219, Telephone (615) 741-1676
Texas
Mr. Thomas Adams, Governor's Office of Budget and Planning, P.O. Box
12428, Austin, Texas 78711, Telephone (512) 463-1778
Utah
Utah State Clearinghouse, Office of Planning and Budget, Attn:
Carolyn Wright, Room 116 State Capitol, Salt Lake City, Utah 84114,
Telephone (801) 538-1535
Vermont
Mr. Bernard D. Johnson, Assistant Director, Office of Policy
Research & Coordination, Pavilion Office Building 109 State Street,
Montpelier, Vermont 05602, Telephone (802) 828-3326
West Virginia
Mr. Fred Cutlip, Director, Community Development Division, West
Virginia Development Office, Building #6, Room 553, Charleston, West
Virginia 25305, Telephone (304) 348-4010
Wisconsin
Mr. William C. Carey, Federal/State Relations, Wisconsin Department
of Administration, 101 South Webster Street, P.O. Box 7864, Madison,
Wisconsin 53707, Telephone (608) 266-0267
Wyoming
Sheryl Jeffries, State Single Point of Contact, Herschler Building,
4th Floor, East Wing, Cheyenne, Wyoming 82002, Telephone (307) 777-
7574
Guam
Mr. Michael J. Reidy, Director, Bureau of Budget and Management
Research, Office of the Governor, P.O. Box 2950, Agana, Guam 96910,
Telephone (671) 472-2285
Northern Mariana Islands
State Single Point of Contact, Planning and Budget Office, Office of
the Governor, Saipan, CM, Northern Mariana Islands 96950
Puerto Rico
Norma Burgos/Jose H. Caro, Chairman/Director, Puerto Rico Planning
Board, Minillas Government Center, P.O. Box 41119, San Juan, Puerto
Rico 00940-9985, Telephone (809) 727-4444
Virgin Islands
Jose L. George, Director, Office of Management and Budget, #41
Norregade Emancipation Garden Station, Second Floor, Saint Thomas,
Virgin Islands 00802, Please direct correspondence to: Linda Clarke,
Telephone (809) 774-0750.
BILLING CODE 4184-01-P
TN27JN94.007
TN27JN94.008
BILLING CODE 4184-01-C
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 transaction. However, failure of the
prospective primary participant to furnish a certification or an
explanation shall disqualify such person from participation in this
transaction.
The prospective primary participant agrees that by submitting this
proposal, it will include the clause entitled ``Certification Regarding
Debarment, Suspension, Ineligibility, and Voluntary Exclusion--Lower
Tier Covered Transaction.'' provided below without modification in all
lower tier covered transactions and in all solicitations for lower tier
covered transactions.
Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion--Lower Tier Covered Transactions
(To Be Supplied to Lower Tier Participants)
By signing and submitting this lower tier proposal, the prospective
lower tier participant, as defined in 45 CFR Part 76, certifies to the
best of its knowledge and belief that it and its principals:
(a) are not presently debarred, suspended, proposed for debarment,
declared ineligible, or voluntarily excluded from participation in this
transaction by any federal department or agency.
(b) where the prospective lower tier participant is unable to
certify to any of the above, such prospective participant shall attach
an explanation to this proposal.
The prospective lower tier participant further agrees by submitting
this proposal that it will include this clause entitled ``certification
Regarding Debarment, Suspension, Ineligibility, and Voluntary
Exclusion--Lower Tier Covered Transactions. ``without modification in
all lower tier covered transactions and in all solicitations for lower
tier covered transactions.
Certification Regarding Lobbying
Certification for Contracts, Grants, Loans, and Cooperative Agreements
The undersigned certifies, to the best of his or her knowledge and
belief, that:
(1) No Federal appropriated funds have been paid or will be paid,
by or on behalf of the undersigned, to any person for influencing or
attempting to influence an officer or employee of any agency, a Member
of Congress, an officer or employee of Congress, or an employee of a
Member of Congress in connection with the awarding of any Federal
contract, the making of any Federal grant, the making of any Federal
loan, the entering into of any cooperative agreement, and the
extension, continuation, renewal, amendment, or modification of any
Federal contract, grant, loan, or cooperative agreement.
(2) If any funds other than Federal appropriated funds have been
paid or will be paid to any person for influencing or attempting to
influence an officer or employee of any agency, a Member of Congress,
an officer or employee of Congress, or an employee of a Member of
Congress in connection with this Federal contract, grant, loan or
cooperative agreement, the undersigned shall complete and submit
Standard Form-LLL, ``Disclosure Form to Report Lobbying,'' in
accordance with its instructions.
(3) The undersigned shall require that the language of this
certification be included in the award documents for all subawards at
all tiers (including subcontracts, subgrants, and contracts under
grants, loans, and cooperative agreements) and that all subrecipients
shall certify and disclose accordingly.
This certification is a material representation of fact upon which
reliance was placed when this transaction was made or entered into.
Submission of this certification is a prerequisite for making or
entering into this transaction imposed by section 1352, title 31, U.S.
Code. Any person who fails to file the required certification shall be
subject to a civil penalty of not less than $10,000 and not more than
$100,000 for each such failure.
State for Loan Guarantee and Loan Insurance
The undersigned states, to the best of his or her knowledge and
belief, that:
If any funds have been paid or will be paid to any person for
influencing or attempting to influence an officer or employee of any
agency, a Member of Congress, an officer or employee of Congress, or an
employee of a Member of Congress in connection with this commitment
providing for the United States to insure or guarantee a loan, the
undersigned shall complete and submit Standard Form-LLL ``Disclosure
Form to Report Lobbying,'' in accordance with its instructions.
Submission of this statement is a prerequisite for making or
entering into this transaction imposed by section 1352, title 31, U.S.
Code. Any person who fails to file the require statement shall be
subject to a civil penalty of not less than $10,000 and not more than
$100,000 for each such failure.
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Signature
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Title
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Organization
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Date
BILLING CODE 4184-01-P
TN27JN94.009
[FR Doc. 94-15454 Filed 6-24-94; 8:45 am]
BILLING CODE 4184-01-C
