[Federal Register Volume 64, Number 140 (Thursday, July 22, 1999)]
[Unknown Section]
[Pages 39860-39876]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-18511]
[[Page 39859]]
_______________________________________________________________________
Part VII
Department of Health and Human Services
_______________________________________________________________________
Administration for Children and Families
_______________________________________________________________________
Grants and Cooperative Agreements; Availability, etc.; Developmental
Disabilities; Projects of National Significance Program; Notice
Federal Register / Vol. 64, No. 140 / Thursday, July 22, 1999 /
Notice 4184-01P
[[Page 39860]]
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Administration for Children and Families
[Program Announcement No. 93631-98-03]
Developmental Disabilities: Final Notice of Availability of
Financial Assistance and Request for Applications to Support
Demonstration Projects Under the Projects of National Significance
Program
AGENCY: Administration on Developmental Disabilities (ADD), ACF, DHHS.
ACTION: Invitation to apply for financial assistance.
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SUMMARY: The Administration on Developmental Disabilities,
Administration for Children and Families, announces that applications
are being accepted for funding of Fiscal Year 1999 Projects of National
Significance.
This program announcement consists of five parts. Part I, the
Introduction, discusses the goals and objectives of ACF and ADD. Part
II provides the necessary background information on ADD for applicants.
Part III describes the review process. Part IV describes the priority
under which ADD requests applications for Fiscal Year 1999 funding of
projects. Part V describes in detail how to prepare and submit an
application.
Grants will be awarded under this program announcement subject to
the availability of funds for support of these activities.
DATES: The closing date for submittal of applications under this
announcement is August 23, 1999. Mailed or handcarried applications
received after 4:30 p.m. on the closing date will be classified as
late.
DEADLINE: Mailed applications shall be considered as meeting an
announced deadline if they are received on or before the deadline time
and date at the U.S. Department of Health and Human Services, ACF/
Administration on Developmental Disabilities, 370 L'Enfant Promenade
SW, Mail Stop 326F-HHH, Washington, DC 20447, Attention: Lois Hodge.
Applicants must ensure that a legibly dated U.S. Postal Service
postmark or a legibly dated, machine produced postmark of a commercial
mail service is affixed to the envelope/package containing the
application(s). To be acceptable as proof of timely mailing, a postmark
from a commercial mail service must include the logo/emblem of the
commercial mail service company and must reflect the date the package
was received by the commercial mail service company from the applicant.
Private Metered postmarks shall not be acceptable as proof of timely
mailing.
Applications handcarried by applicants, applicant couriers, other
representatives of the applicant, or by overnight/express mail couriers
shall be considered as meeting an announced deadline if they are
received on or before the deadline date, between the hours of 8 a.m.
and 4:30 p.m., EST, at the U.S. Department of Health and Human
Services, ACF/Administration on Developmental Disabilities, ACF Mail
Center, 2nd Floor (near loading dock), Aerospace Center, 901 D Street,
SW, Washington, DC 20024, between Monday and Friday (excluding Federal
holidays). This address must appear on the envelope/package containing
the application with the note ``Attention: Lois Hodge''. Applicants
using express/overnight services should allow two working days prior to
the deadline date for receipt of applications. (Applicants are
cautioned that express/overnight mail services do not always deliver as
agreed.) Any applications received after 4:30 p.m. on the deadline date
will not be considered for competition.
ADD cannot accommodate transmission of applications by fax or
through other electronic media. Therefore, applications transmitted to
ADD electronically will not be accepted regardless of date or time of
submission and time of receipt.
LATE APPLICATIONS: Applications that do not meet the criteria above are
considered late applications. ADD shall notify each late applicant that
its application will not be considered in the current competition.
EXTENSION OF DEADLINES: ADD may extend the deadline for all applicants
because of acts of God such as floods and hurricanes, or when there is
widespread disruption of the mails. However, if ADD does not extend the
deadline for all applicants, it may not waive or extend the deadline
for any applicants.
ADDRESSES: Application materials are available from Pat Laird, 370
L'Enfant Promenade, S.W., Rm. 300F, Washington, DC 20447, 202/690-7447;
http://www.acf.dhhs.gov/ programs/add; or add@acf.dhhs.gov.
FOR FURTHER INFORMATION CONTACT: Administration for Children and
Families (ACF), Pat Laird, 370 L'Enfant Promenade, SW, Rm. 300F,
Washington, D.C., 20447, 202/690-7447; or add@acf.dhhs.gov.
NOTICE OF INTENT TO SUBMIT APPLICATION: If you intend to submit an
application, please send a post card with the number and title of this
announcement and which priority area, your organization's name and
address, and your contact person's name, phone and fax numbers, and e-
mail address to: Administration on Developmental Disabilities, 370
L'Enfant Promenade SW, Rm. 300F, Washington, DC, 20447, Attn: Projects
of National Significance.
This information will be used to determine the number of expert
reviewers needed and to update the mailing list to whom program
announcements are sent.
SUPPLEMENTARY INFORMATION:
Part I. General Information
A. Goals of the Administration on Developmental Disabilities
The Administration on Developmental Disabilities (ADD) is located
within the Administration for Children and Families (ACF), Department
of Health and Human Services (DHHS). Although different from the other
ACF program administrations in the specific populations it serves, ADD
shares a common set of goals that promote the economic and social well-
being of families, children, individuals and communities. Through
national leadership, ACF and ADD envision:
Families and individuals empowered to increase their own
economic independence and productivity;
Strong, healthy, supportive communities having a positive
impact on the quality of life and the development of children;
Partnerships with individuals, front-line service
providers, communities, States and Congress that enable solutions which
transcend traditional agency boundaries;
Services planned and integrated to improve client access;
A strong commitment to working with Native Americans,
persons with developmental disabilities, refugees and migrants to
address their needs, strengths and abilities; and
A community-based approach that recognizes and expands on
the resources and benefits of diversity.
Emphasis on these goals and progress toward them will help more
individuals, including people with developmental disabilities, to live
productive and independent lives integrated into their communities. The
Projects of National Significance Program is one means through which
[[Page 39861]]
ADD promotes the achievement of these goals.
B. Purpose of the Administration on Developmental Disabilities
The Administration on Developmental Disabilities (ADD) is the lead
agency within ACF and DHHS responsible for planning and administering
programs that promote the self-sufficiency and protect the rights of
persons with developmental disabilities.
The Developmental Disabilities Assistance and Bill of Rights Act
(42 U.S.C. 6000, et seq.) (the Act) supports and provides assistance to
States and public and private nonprofit agencies and organizations to
assure that individuals with developmental disabilities and their
families participate in the design of and have access to culturally
competent services, supports, and other assistance and opportunities
that promote independence, productivity, integration and inclusion into
the community.
In the Act, Congress expressly found that:
Disability is a natural part of the human experience that
does not diminish the right of individuals with developmental
disabilities to enjoy the opportunity for independence, productivity,
integration and inclusion into the community;
Individuals whose disabilities occur during their
developmental period frequently have severe disabilities that are
likely to continue indefinitely;
Individuals with developmental disabilities often require
lifelong specialized services and assistance, provided in a coordinated
and culturally competent manner by many agencies, professionals,
advocates, community representatives, and others to eliminate barriers
and to meet the needs of such individuals and their families; The Act
further established as the policy of the United States:
Individuals with developmental disabilities, including
those with the most severe developmental disabilities, are capable of
achieving independence, productivity, integration and inclusion into
the community, and often require the provision of services, supports
and other assistance to achieve such;
Individuals with developmental disabilities have
competencies, capabilities and personal goals that should be
recognized, supported, and encouraged, and any assistance to such
individuals should be provided in an individualized manner, consistent
with the unique strengths, resources, priorities, concerns, abilities,
and capabilities of the individual;
Individuals with developmental disabilities and their
families are the primary decision makers regarding the services and
supports such individuals and their families receive; and play decision
making roles in policies and programs that affect the lives of such
individuals and their families; and
It is in the nation's interest for people with
developmental disabilities to be employed, and to live conventional and
independent lives as a part of families and communities.
Toward these ends, ADD seeks: to enhance the capabilities of
families in assisting people with developmental disabilities to achieve
their maximum potential; to support the increasing ability of people
with developmental disabilities to exercise greater choice and self-
determination; to engage in leadership activities in their communities;
as well as to ensure the protection of their legal and human rights.
The four programs funded under the Act are:
Federal assistance to State developmental disabilities
councils;
State system for the protection and advocacy of
individuals rights;
Grants to University Affiliated Programs for
interdisciplinary training, exemplary services, technical assistance,
and information dissemination; and
Grants for Projects of National Significance.
C. Statutory Authorities Covered Under This Announcement
The Developmental Disabilities Assistance and Bill of Rights Act of
1996, 42 U.S.C. 6000, et.seq. The Projects of National Significance is
Part E of the Developmental Disabilities Assistance and Bill of Rights
Act of 1996, 42 U.S.C. 6081, et.seq.
Part II. Background Information For Applicants
A. Description of Projects of National Significance
Under Part E of the Act, grants and contracts are awarded for
projects of national significance that support the development of
national and State policy to enhance the independence, productivity,
and integration and inclusion of individuals with developmental
disabilities through:
Data collection and analysis;
Technical assistance to enhance the quality of State
developmental disabilities councils, protection and advocacy systems,
and university affiliated programs; and
Other projects of sufficient size and scope that hold
promise to expand or improve opportunities for people with
developmental disabilities, including:
--Technical assistance for the development of information and referral
systems;
--Educating policy makers;
--Federal interagency initiatives;
--The enhancement of participation of minority and ethnic groups in
public and private sector initiatives in developmental disabilities;
--Transition of youth with developmental disabilities from school to
adult life; and
--Special pilots and evaluation studies to explore the expansion of
programs under part B (State developmental disabilities councils) to
individuals with severe disabilities other than developmental
disabilities.
B. Comments on FY 1999 Proposed Priority Areas
ADD received 46 letters in response to the public comment notice.
Commentary was from the following sources:
Advocacy agencies, including national organizations and
associations, national advocacy groups and State/local advocacy groups;
Service organizations, including agencies that provide
services for individuals with developmental disabilities as well as
providing advocacy services on behalf of a particular disability,
including developmental disabilities councils;
Educational systems, including schools, colleges, and
universities, programs located within a university setting and
University Affiliated Programs;
Private agencies, including national, State, and local
nonprofit organizations;
Government agencies, including Federal, State, county, and
local government agencies; and
Private individuals.
Comments ranged from general support to informative, clarifying
responses for this year's proposed funding priorities and
recommendations for other priority areas. The vast majority supported
and expanded upon what we proposed in the announcement. Other comments
relate specifically to the program goals and priorities of the
particular agencies that responded to the announcement.
The comments helped highlight the concerns of the developmental
disabilities field and have been used in refining the final priority
areas.
Comment: Six letters were submitted to ADD recommending additional
or other funding priorities for FY 1999. Suggestions included projects
[[Page 39862]]
addressing: business opportunities; fetal alcohol syndrome (FAS);
welfare reform; postsecondary education; dissemination of information
on past PNS projects; and siblings.
Response: Increasing access to employment and postsecondary
education are closely interwined if individuals with developmental
disabilities are to be successfully included in their communities. ADD
continues to have an interest in these areas and is supportive in
various ways. Through a recent Small Business and Innovation Research
project (SBIR), a feasibility study was conducted to determine the
barriers and enhancers to self-operated home businesses for individuals
with developmental disabilities or families with a member having a
developmental disability and were receiving welfare assistance. The
Commissioner, staff, and some ADD programs are actively involved in the
President's Task Force on Employment of Adults with Disabilities, which
includes postsecondary education and transitional issues. Additionally,
several of ADD's University-Affiliated Programs (UAPs) have undertaken
projects concerning employment and specifically postsecondary
education. For instance, the System Change Network, at the Iowa UAP, is
a public policy effort for the passage of laws expanding eligibility
for a state program supporting entrepreneurs with disabilities. Another
is the Georgia UAP working with the Georgia Association of Disabilities
Service Providers in Higher Education which is conducting research on
ADA awareness and information on selecting a postsecondary institution;
while the Mississippi UAP has initiated Project Advance: Postsecondary
Educational Opportunities for People with Disabilities having a focus
on African Americans and Native Americans.
Regarding Fetal Alcohol Syndrome, ADD funded a joint project with
the Administration on Native Americans in the early 1990s. Many of our
UAPs are involved in this area; their activities range from research,
outreach, clinics, training, conference and teleconferencing support to
assessments. Under new systems change grants for family support
services funded by ADD families having children with FAS have a vital
role to play in the development or enhancement of their state's system.
The National Technical Assistance Center on Welfare Reform and
Disability at the University of Kansas is a currently funded project
under PNS. It is serving states, communities and stakeholders to
implement effective welfare reform; it tracks trends and practices;
reports through research summaries, and details best practices,
promising approaches and lessons learned. Its website is www.welfare-
policy.org. Another ADD project at Wayne State University is studying
the effects of welfare reform and children's health insurance on
families whose children have disabilities. Also, there are numerous
projects being funded through the Office of the Assistant Secretary on
Planning and Evaluation/HHS that have as their focus the effect of
welfare reform on people and families with disabilities.
ADD understands the importance of knowledge sharing and promotes
this effort in different ways. In all of our grant announcements it is
stated that ADD will expect to fund only those applications that
incorporate certain elements; one of those being the development of
capacity to communicate and disseminate information and technical
assistance through electronic and other effective, affordable, and
accessible formats. Within our website is a listing of current PNS
projects with contact information; other ADD programs can be contacted
by using the lists contained there. ADD's National Information Center
on Developmental Disabilities will list products and materials
available from our programs and grantees.
ADD recognizes the important role siblings can have in a family
when another sibling has a disability, especially a cognitive
disability. Often times we lose sight of the stresses, emotions, and
needs of these siblings when parents are distracted by the various
systems meant to serve their child. We are aware that many siblings
take on the role of the parents when parents are no longer able to do
so, or when they have passed away. For these reasons, ADD thinks this
issue should be encompassed within state family support service
systems. The development and growth of family support services is a
significant effort in this country and within ADD. The issues expressed
in the letters to ADD will sharpen our focus as we begin our effort to
implement new family support systems change projects. The energy and
feelings conveyed in these letters are valuable contributions that
should be made as these projects and other actions are undertaken by
the States to further family support services.
Comment: 10 comments were received on Proposed Priority Area 1,
Ongoing Data Collection and Information Dissemination. One letter of
comment included 91 letters of endorsement of the Project on Data on
Public Expenditures and Related Statistics. There were comments
addressing the scope, content quality, and dissemination of data
collection efforts. Other comments suggested specific studies on
employment, the prevention of institutionalization, and the impact of
various components of the service delivery system on people with
developmental disabilities. Some comments suggested that data be
collected at other than the state level.
There were two comments regarding inclusive education, one of which
endorsed such a study. The other letter commented that such a study
would further marginalize ``inclusive education'' as a part of special
education.
Response: ADD remains committed to collecting data on public
expenditures, employment and economic status, and residential services
as they impact on the independence, productivity, integration, and
inclusion of people with developmental disabilities. Proposed data
collection systems will be evaluated for their scope, content, quality
and potential uses. Many issues concerned with employment, the
effectiveness of the service system, and inclusion will be addressed in
the data collection projects.
Although ADD does acknowledge that collecting data on an individual
basis and not from state records would be profitable, data collection
through any mechanism other than state agency records would not be
feasible in these projects.
Comment/Response: ADD received 8 comments on Proposed Priority Area
2, Breaking Through the Glass Ceiling to Attain First Class
Citizenship. ADD is committed to strengthening the leadership and self-
determination of individuals with developmental disabilities and family
members. We take seriously the continued growth of the self-advocacy
movement and have reflected this by incorporating some of the comments
in this priority area. We encourage partnerships between a self-
advocacy organization and another organization in submitting an
application. The comments provided some useful ideas that assisted in
clarifying some points and adding to others. Although we understand the
concerns of one of the commenters regarding travel stipends, ADD would
not be able to implement this initiative without the support of
Developmental Disability Councils and University Affiliated Programs,
(UAP) who did comment favorably in this matter. ADD doesn't think we
need to formalize a national network of leaders; we believe this will
occur as a natural outgrowth of this project, and that it is not
properly
[[Page 39863]]
controlled by a federal agency. We expect that the knowledge and skills
gained through participation in the academy will provide the
interconnection between Federal and state systems thus strengthening
leadership abilities at the state level. Contributions at both levels
will be enhanced. The idea of sponsoring fellowships for academy
graduates, as suggested by another commenter, has merit and would be a
logical step; however, that step could be at least one year behind the
academy. Possibly the project could offer guidance for those
individuals who want to pursue this type of experience. ADD and the
developmental disabilities community must continue to strive for the
cultural diversity of our leadership. It is expected that the academy
will reflect this. ADD began a PNS leadership initiative in this area
in 1994 by funding four projects at the UAPs of Puerto Rico, Wisconsin
and Georgia, and People First of Tennessee. This was a first step in
developing new leadership from culturally diverse communities.
Comment: ADD received 8 comments in response to the Proposed
Priority Area 3, Reinventing Quality: Ensuring and Enhancing That
Community Living Settings and Services Are Responsive to People With
Developmental Disabilities. All expressed support for sponsoring more
work on the development of consumer outcome quality assurance systems.
The most detailed of the comments expressed concern, however, that the
proposed priority took too narrow a focus by calling for individual
demonstration projects using volunteers to assess the quality of
programs and services. These letters stated that there are many
programs around the country delivering consumer outcome-oriented
services as well as various efforts to establish new programs and
conduct consumer outcome quality assurance. Given the existence of
these efforts, the comment letters noted that there is a need to learn
more about the existing programs and to broadly disseminate the
findings. Comment letters suggested that the emphasis of this area be
broadened to a national level and designed more as an information
dissemination or technical assistance effort rather than individual
demonstration projects.
Response: In response to these comments, ADD has changed this
Proposed Priority Area to a best practices information dissemination
project which will be conducted as a cooperative agreement with ADD.
There are already various efforts within the U.S. Department of Health
and Human Services to promote quality community-based long-term care
services such as developing a Primer to the Medicaid program which will
clarify long-term care options in Medicaid that promote consumer
responsive community-based long-term care and establishing a National
Consortium on Home and Community-Based Long-Term Care. This ADD project
will complement these efforts with a specific focus on services for
people with developmental disabilities. More specific information is
given in the revised Priority Area 3.
Part III. The Review Process
A. Eligible Applicants
Before applications under this Announcement are reviewed, each will
be screened to determine that the applicant is eligible for funding as
specified under the selected priority area. Applications from
organizations that 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.
Only public or non-profit private entities, not individuals, are
eligible to apply under any of the priority areas. All applications
developed jointly by more than one agency or organization must identify
only one organization as the lead organization and official applicant.
The other participating agencies and organizations can be included as
co-participants, subgrantees or subcontractors.
Nonprofit organizations must submit proof of nonprofit status in
their applications at the time of submission. One means of
accomplishing this is by providing a copy of the applicant's listing in
the Internal Revenue Service's most recent list of tax-exempt
organizations described in section 501 (c)(3) of the IRS code or by
providing a copy of the currently valid IRS tax exemption certificate,
or by providing a copy of the articles of incorporation bearing the
seal of the State in which the corporation or association is domiciled.
ADD cannot fund a nonprofit applicant without acceptable proof of
its nonprofit status.
B. Review Process and Funding Decisions
Timely applications under this Announcement from eligible
applicants received by the deadline date will be reviewed and scored
competitively. Experts in the field, generally persons from outside of
the Federal government, will use the appropriate evaluation criteria
listed later in this Part to review and score the applications. The
results of this review are a primary factor in making funding
decisions.
ADD 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 ADD 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 ADD in making funding decisions.
In making decisions on awards, ADD will consider whether
applications focus on or feature: services to culturally diverse or
ethnic populations among others; a substantially innovative strategy
with the potential to improve theory or practice in the field of human
services; a model practice or set of procedures that holds the
potential for replication by organizations administering or delivering
of human services; substantial involvement of volunteers; substantial
involvement (either financial or programmatic) of the private sector; a
favorable balance between Federal and non-Federal funds available for
the proposed project; the potential for high benefit for low Federal
investment; a programmatic focus on those most in need; and/or
substantial involvement in the proposed project by national or
community foundations.
This year, 5 points will be awarded in scoring for any project that
includes partnership and collaboration with the 112 Empowerment Zones/
Enterprise Communities.
To the greatest extent possible, efforts will be made to ensure
that funding decisions reflect an equitable distribution of assistance
among the States and geographical regions of the country, rural and
urban areas, and ethnic populations. In making these decisions, ADD may
also take into account the need to avoid unnecessary duplication of
effort.
C. Evaluation Process
Using the evaluation criteria below, a panel of at least three
reviewers (primarily experts from outside the Federal government) will
review the applications. To facilitate this review, 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
[[Page 39864]]
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.
D. Structure of Priority Area Descriptions
The priority area description is composed of the following
sections:
Eligible Applicants: This section specifies the type of
organization that is eligible to apply under the particular priority
area. Specific restrictions are also noted, where applicable.
Purpose: This section presents the basic focus and/or
broad goal(s) of the priority area.
Background Information: This section briefly discusses the
legislative background as well as the current state-of-the-art and/or
current state-of-practice that supports the need for the particular
priority area activity. Relevant information on projects previously
funded by ACF and/or other State models are noted, where applicable.
Evaluation Criteria: This section presents the basic set
of issues that must be addressed in the application. Typically, they
relate to need for assistance, results expected, project design, and
organizational and staff capabilities. Inclusion and discussion of
these items is important since the information provided will be used by
the reviewers in evaluating the application against the evaluation
criteria. Applicants should review the section on the Uniform Project
Description and the evaluation section under each priority area.
Minimum Requirements for Project Design: This section
presents the basic set of issues that must be addressed in the
application. Typically, they relate to project design, evaluation, and
community involvement. This section also asks for specific information
on the proposed project. Inclusion and discussion of these items is
important since they will be used by the reviewers to evaluate the
applications against the evaluation criteria. Project products,
continuation of the project after Federal support ceases, and
dissemination/utilization activities, if appropriate, are also
addressed.
Project Duration: This section specifies the maximum
allowable length of the project period; it refers to the amount of time
for which Federal funding is available.
Federal Share of Project Costs: This section specifies the
maximum amount of Federal support for the project.
Matching Requirement: This section specifies the minimum
non-Federal contribution, either cash or in-kind match, required.
Anticipated Number of Projects To Be Funded: This section
specifies the number of projects ADD anticipates funding under the
priority area.
CFDA: This section identifies the Catalog of Federal
Domestic Assistance (CFDA) number and title of the program under which
applications in this priority area will be funded. This information is
needed to complete item 10 on the SF 424.
Please note that applications under this Announcement that do not
comply with the specific priority area requirements in the section on
``Eligible Applicants'' will not be reviewed. Applicants under this
Announcement must clearly identify the specific priority area under
which they wish to have their applications considered, and tailor their
applications accordingly. Experience has shown that an application
which is broader and more general in concept than outlined in the
priority area description is less likely to score as well as an
application more clearly focused on, and directly responsive to, the
concerns of that specific priority area.
E. Available Funds
ADD intends to award new grants resulting from this announcement
during the fourth quarter of fiscal year 1999, subject to the
availability of funding. The size of the awards will vary. Each
priority area description includes information on the maximum Federal
share of the project costs and the anticipated number of projects to be
funded.
The term ``budget period'' refers to the interval of time (usually
12 months) into which a multi-year period of assistance (project
period) is divided for budgetary and funding purposes. The term
``project period'' refers to the total time a project is approved for
support, including any extensions.
Where appropriate, applicants may propose shorter project periods
than the maximums specified in the various priority areas. Non-Federal
share contributions may exceed the minimums specified in the various
priority areas.
For multi-year projects, continued Federal funding beyond the first
budget period, but within the approved project period, is subject to
the availability of funds, satisfactory progress of the grantee and a
determination that continued funding would be in the best interest of
the Government.
F. Grantee Share of Project Costs
Grantees must match $1 for every $3 requested in Federal funding to
reach 25% of the total approved cost of the project. The total approved
cost of the project is the sum of the ACF share and the non-Federal
share. The non-Federal share may be met by cash or in-kind
contributions, although applicants are encouraged to meet their match
requirements through cash contributions. Therefore, a project
requesting $100,000 in Federal funds (based on an award of $100,000 per
budget period) must include a match of at least $33,333 (total project
cost is $133,333, of which $33,333 is 25%).
An exception to the grantee cost-sharing requirement relates to
applications originating from American Samoa, Guam, the Virgin Islands,
and the Commonwealth of the Northern Mariana Islands. Applications from
these areas are covered under Section 501(d) of P. L. 95-134, which
requires that the Department waive ``any requirement for local matching
funds for grants under $200,000.''
The applicant contribution must generally be secured from non-
Federal sources. Except as provided by Federal statute, a cost-sharing
or matching requirement may not be met by costs borne by another
Federal grant. However, funds from some Federal programs benefiting
Tribes and Native American organizations have been used to provide
valid sources of matching funds. If this is the case for a Tribe or
Native American organization submitting an application to ADD, that
organization should identify the programs which will be providing the
funds for the match in its application. If the application successfully
competes for PNS grant funds, ADD will determine whether there is
statutory authority for this use of the funds. The Administration for
Native Americans and the DHHS Office of General Counsel will assist ADD
in making this determination.
G. General Instructions for the Uniform Project Description
The following ACF Uniform Project Description (UPD) has been
approved under OMB Control Number 0970-0139.
1. Introduction: Applicants required to submit a full project
description shall prepare the project description statement in
accordance with the following instructions.
2. Project summary/abstract: Provide a summary of the project
description (a page or less) with reference to the funding request.
3. Objectives and need for assistance: Clearly identify the
physical, economic,
[[Page 39865]]
social, financial, institutional, and/or other problem(s) requiring a
solution. The need for assistance must be demonstrated and the
principal and subordinate objectives of the project must be clearly
stated; supporting documentation, such as letters of support and
testimonials from concerned interests other than the applicant, may be
included. Any relevant data based on planning studies should be
included or referred to in the endnotes/footnotes. Incorporate
demographic data and participant/beneficiary information, as needed. In
developing the project description, the applicant may volunteer or be
requested to provide information on the total range of projects
currently being conducted and supported (or to be initiated), some of
which may be outside the scope of the program announcement.
4. Results or benefits expected: Identify the results and benefits
to be derived. For example, when applying for a grant to establish a
neighborhood child care center, describe who will occupy the facility,
who will use the facility, how the facility will be used, and how the
facility will benefit the community which it will serve.
5. Approach: Outline a plan of action which describes the scope and
detail of how the proposed work will be accomplished. Account for all
functions or activities identified in the application. Cite factors
which might accelerate or decelerate the work and state your reason for
taking the proposed approach rather than others. Describe any unusual
features of the project such as design or technological innovations,
reductions in cost or time, or extraordinary social and community
involvement.
Provide quantitative monthly or quarterly projections of the
accomplishments to be achieved for each function or activity. When
accomplishments cannot be quantified by activity or function, list them
in chronological order to show the schedule of accomplishments and
their target dates.
Identify the kinds of data to be collected, maintained, and/or
disseminated. Note that clearance from the U.S. Office of Management
and Budget might be needed prior to a ``collection of information''
that is ``conducted or sponsored'' by ACF. List organizations,
cooperating entities, consultants, or other key individuals who will
work on the project along with a short description of the nature of
their effort or contribution.
6. Organization Profile: Provide information on the applicant
organization(s) and cooperating partners such as organizational charts,
financial statements, audit reports or statements from CPAs/Licensed
Public Accountants, Employer Identification Numbers, names of bond
carriers, contact persons and telephone numbers, child care licenses
and other documentation of professional accreditation, information on
compliance with Federal/State/local government standards, documentation
of experience in the program area, and other pertinent information. Any
non-profit organization submitting an application must submit proof of
its non-profit status in its application at the time of submission. The
non-profit agency can accomplish this by providing a copy of the
applicant's listing in the Internal Revenue Service's (IRS) most recent
list of tax-exempt organizations described in Section 501(c)(3) of the
IRS code, or by providing a copy of the currently valid IRS tax
exemption certificate, or by providing a copy of the articles of
incorporation bearing the seal of the State in which the corporation or
association is domiciled.
G. Cooperation in Evaluation Efforts
Grantees funded by ADD may be requested to cooperate in evaluation
efforts funded by ADD. The purpose of these evaluation activities is to
learn from the combined experience of multiple projects funded under a
particular priority area.
H. Closed Captioning for Audiovisual Efforts
Applicants are encouraged to include ``closed captioning'' in the
development of any audiovisual products.
Part IV. Fiscal Year 1999 Priority Areas for Projects of National
Significance--Description and Requirements
The following section presents the final priority areas for Fiscal
Year 1998 Projects of National Significance (PNS) and solicits the
appropriate applications.
Fiscal Year 1999 Priority Area 1: Ongoing Data Collection and
Information Dissemination
Eligible Applicants: State agencies, public or private nonprofit
organizations, institutions or agencies.
Purpose: Under this priority area, ADD will award grant funds
through a cooperative agreement which will collect data on public
expenditures, residential services, employment and economic status, and
other factors as they impact on the independence, productivity and
integration into the community of persons with developmental
disabilities. ADD is particularly interested in the maximum use of
existing data bases and in fostering the broadest dissemination to, and
use of, the data by consumers, families and advocacy audiences.
Background Information: In the 1990s the United States modified how
it provided certain financial assistance to citizens with and without
disabilities. In addition, changes were made in how the nation provided
enhanced employment opportunities. These changes included new
legislation such as the Personal Responsibility and Work Opportunity
Reconciliation Act, the Work Incentives Improvement Act, and the
Workforce Investment Act. Another national trend of the past decade has
been the devolution of responsibility and authority for a variety of
social programs to state governments.
ADD is interested in the effect of these recent national
initiatives on people with developmental disabilities, both in terms of
whether they have been included in programs and whether participation
in these programs generate measurable outcomes for people with
developmental disabilities.
Examples of successful projects that ADD has funded include:
University of Minnesota: National Recurring Data Set Project on
Residential Services--Ongoing National and State-by-State Data
Collection and Policy/Impact Analysis on Residential Services for
Persons with Developmental Disabilities (Charles Lakin: 612/624-2097)
University of Illinois at Chicago: Fourth National Study of Public
Mental Retardation/Developmental Disabilities Spending (David Braddock:
312/413-1647)
Boston Children's Hospital: Ongoing National Collection on Data and
Employment Services for Citizens with Developmental Disabilities (Bill
Kiernan: 617/735-6506)
Examples of projects include activities that would:
Identify, collect and disseminate new data bases.
Modify, expand and/or reformulate existing data bases.
Connect, integrate or analyze available data bases.
Project and model the cost-benefit impact of alternative
future decisions based on the analysis of discrete programmatic options
in the areas of residential services and employment.
Minimum Requirements for Project Design: Given its interest in
promoting the increased independence, productivity, and community
integration of people with
[[Page 39866]]
developmental disabilities in a cost-beneficial manner, ADD emphasizes
its desire to support projects that provide quantitative and
qualitative analysis in the following areas:
Trends in the movement of people with developmental
disabilities from institutional to community settings (especially
domiciles of their own) and the outcomes experienced by individuals
with disabilities who receive publicly funded residential services.
The impact of managed care plans on the delivery and
efficacy of residential and support services to individuals with
developmental disabilities, and on the relationship between Federal and
State governments.
The efficacy of various approaches to the full inclusion
of people with developmental disabilities in local community activities
where the majority of participants do not have a disability.
The employment status of people with developmental
disabilities on a state and national basis.
Employment models that accurately predict employment
outcomes of persons with developmental disabilities, and the systemic
factors that lead to integrated employment.
The inclusion of people with developmental disabilities in
nation-wide legislatively-mandated efforts to alleviate welfare and
unemployment.
The use of generic community resources versus the existing
special delivery system by people with developmental disabilities and
their families.
Any sampling techniques used as part of this analysis should be
broadly representative of persons with developmental disabilities of
working age on a national basis, including people with severe
disabilities. Quantitative data should provide statistical information
on current placement patterns and their cost as well as projections
regarding future placement options and associated costs. It is also
recognized that certain areas may be more appropriate for qualitative
analysis, although a summary of any quantitative data (if available)
should be included in the proposal.
All projects funded under this priority area must provide evidence
of the soundness of their proposed research methods and analytic
techniques. In addition, proposals should clearly delineate (via a
comprehensive literature review) data sets that are already in
existence, how these data sets will be incorporated into the research
design, and what new knowledge will be gained through the proposed
project.
All projects shall provide for the widespread distribution of their
products (reports, summary documents, audio-visual materials, and the
like) in accessible formats to a national audience consisting of, at a
minimum, people with developmental disabilities and their families,
advocacy groups, State Developmental Disabilities Councils, Protection
and Advocacy Systems, University Affiliated Programs, State Mental
Retardation/ Developmental Disabilities Directors, State Governor's
Offices, Federal agencies represented on the Interagency Committee on
Developmental Disabilities, as well as the Secretaries of Health and
Human Services and Education at the federal level.
The application should also respond to the following:
Describe the physical setting, the administrative and
organizational structure within which the program will function, and
internal and external organizational relationships relevant to this
project. Charts outlining these relationships, and any formal
agreements defining them, should be included in the appendices.
Describe staff, space, equipment, research facilities, and
other supports available to carry out the program.
Describe briefly how the additional resources sought to
accomplish the purposes of this effort will be integrated into and
augmented by other resources available or accessible by the applicant.
Develop and implement an evaluation process to ensure that
systematic, objective information is available about the utilization
and effectiveness of the products of this project. Specific outcomes
must be built into the project for evaluation. The evaluation should be
performed by an independent evaluator.
Applications should also include provisions for the travel of two
key personnel during the first and last year of the project to
Washington, DC for a one day meeting with ADD staff.
In addition to the three national data projects, ADD is interested
in a separate analysis of state-level supports and services for people
who have disabilities and, within this population, people who have
developmental disabilities. For this reason the recipient of the grant
award to collect data on public expenditures will be provided
additional funding to conduct a study focusing on state funding of
human services programs for people with disabilities as compared to
funding of programs for people with developmental disabilities. The
analysis could be a nation-wide comparison of states or involve a
selection of states. The study would not involve income maintenance
programs but would include state expenditures for supports and services
relating to housing, medical care, employment or vocational training,
transportation, education including efforts to enhance inclusive
education, and personal assistants and other supports for independent
living. ADD anticipates that the activity will be a duration of 12
months.
As noted earlier, the award will be made as a cooperative
agreement. While an organization receiving an award will not be
conducting its project on behalf of ADD, ADD and the awardee will work
cooperatively in the development and implementation of the project's
agenda. Under the cooperative agreement mechanism, ADD and the awardees
will share the responsibility for planning the objectives of the
projects. Awardees will have the primary responsibility for developing
and implementing the activities of the project. ADD will jointly
participate with awardees in such activities as clarifying the specific
issue areas to be addressed through periodic briefings and ongoing
consultation, sharing with awardees its knowledge of the issues being
addressed by past and current projects, and providing feedback to
awardees about the usefulness to the field of written products and
information sharing activities. The details of the relationship between
ADD and awardees will be set forth in the cooperative agreement to be
developed and signed prior to issuance of the award.
Project Duration: This announcement solicits applications for
project periods of up to five years. Awards on a competitive basis will
be for one-year budget periods, although project periods may be for
five years. Applications for continuation grants funded under this
priority 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 the availability of funds, satisfactory
progress of the grantee, and determination that continued funding would
be in the interest of the Government.
Evaluation Criteria: The four criteria that follow will be used to
review and evaluate each application under this announcement. Each of
these criteria should be addressed in the project description section
of the application. The point values indicate the maximum numerical
weight each criterion will be accorded in the review process. The
specific information to be included under each of these headings is
described in Section G of Part III,
[[Page 39867]]
General Instructions for the Uniform Project Description. Additional
information that must be addressed is described below.
Criterion 1: Objectives and Need for Assistance (20 Points)
The application must identify the precise location of the project
and area to be served by the proposed project. Maps and other graphic
aids should be attached.
Criterion 2: Results or Benefits Expected (20 Points)
The extent to which they are consistent with the objectives of the
application, and the extent to which the application indicates the
anticipated contributions to policy, practice, theory and/or research.
The extent to which the proposed project costs is reasonable in view of
the expected results.
Criterion 3: Approach (35 Points)
Discuss the criteria to be used to evaluate the results, and
explain the 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.
Criterion 4: Organization Profile (25 Points)
The application identifies the background of the project director/
principal investigator and key project staff (including name, address,
training, educational background and other qualifying experience) and
the experience of the organization to demonstrate the applicant's
ability to effectively and efficiently administer this project. The
application describes the relationship between this project and other
work planned, anticipated or under way by the applicant which is being
supported by Federal assistance.
This section 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. 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.
Project Duration: This announcement is soliciting applications for
project periods up to three years under this priority area. Awards, on
a competitive basis, will be for a one-year budget period, although
project periods may be for three years. Applications for continuation
grants funded under this priority area beyond the one-year budget
period, but within the three-year project period, will be entertained
in subsequent years on a non-competitive basis, subject to the
availability of funds, satisfactory progress of the grantee, and
determination that continued funding would be in the best interest of
the Government.
Federal Share of Project Costs: The maximum Federal share is not to
exceed $200,000 for the first 12-month budget period or a maximum of
$1,000,000 for a 5-year project period. The maximum Federal share for
the additional study of state-level supports and services is not to
exceed $100,000 for a 12-month budget period.
Matching Requirement: Grantees must match $1 for every $3 requested
in Federal funding to reach 25% of the total approved cost of the
project. The total approved cost of the project is the sum of the ACF
share and the non-Federal share. Cash or in-kind contributions may meet
the non-Federal share, although applicants are encouraged to meet their
match requirements through cash contributions. Therefore, a project
requesting $200,000 in Federal funds (based on an award of $200,000 per
budget period) must include a match of at least $66,666 (the total
project cost is $266,666, of which $66,666 is 25%).
Anticipated Number of Projects to be Funded: It is anticipated that
at least three data collection projects will be funded.
CFDA: ADD's CFDA (Code of Federal Domestic Assistance) number is
93.631--Developmental Disabilities--Projects of National Significance.
This information is needed to complete item 10 on the SF 424.
Fiscal Year 1999 Priority Area 2: Breaking Through the Glass Ceiling to
Attain First Class Citizenship
Eligible Applicants: State agencies, public or private nonprofit
organizations, institutions or agencies, including a consortia of some
or all of the above.
Purpose: To provide experiential learning opportunities at the
national level for experienced state leaders who are adults with
developmental disabilities and family members of children with
developmental disabilities gain the necessary knowledge and skills to
shape and guide the implementation of Federal and state policies,
practices and approaches which enhance their own self determination.
Specifically, this project would seek to strengthen and expand national
leadership for the 21st Century by and for people with developmental
disabilities and families of children with disabilities. To address
this set of challenges and opportunities, ADD proposes to fund a
national policy training academy by issuing an award through the
instrument of a cooperative agreement.
Background Information: The May 1998 publication of the
``Disability Statistics Abstract'' reports that the 1994 Harris poll of
Americans with Disabilities indicated that 63 per cent of respondents
said their quality of life had improved during the previous four years.
However, trend data show only slow improvements in the lives of people
with disabilities as measured by such things as more opportunities for
employment and improved economic status, greater freedom of movement
and ease of access, and increased levels of social integration.
In the release of its 1998 progress report on the status of
disability policy, the National Council on Disability stated that ``The
country continues to move forward, however the rate of progress is
slower and less steady than many in the disability community had hoped
when the Americans with Disabilities Act (ADA) was enacted in 1990.
Federal policy remains rife with inconsistent messages and unrealistic
requirements for people with disabilities who rely on federal programs
like Social Security disability benefits, vocational rehabilitation,
Medicaid, Medicare, special education, and Temporary Assistance for
Needy Families (TANF). In addition, the backlash against civil rights
for children and adults with disabilities continues to motivate
attempts to weaken laws such as the Individuals with Disabilities
Education Act (IDEA) and ADA.''
Through Projects of National Significance, in particular, ADD has
assisted its grantees in developing and replicating a variety of
innovative and successful approaches to increased leadership
development and self-determination among people with significant
disabilities and their families. Most notably, this has taken the form
of early and formative support of such endeavors as Partners in
Policymaking, the active participation of families of children with
disabilities in the design and implementation of State family support
policies and programs, the Home of Your Own initiative, personal
assistance system change projects and targeted leadership efforts
[[Page 39868]]
among people of color who have developmental disabilities.
ADD's programs are State-based, and so are systems that serve
Americans with developmental disabilities. In fact, data measuring the
delivery of services and supports to people with developmental
disabilities and their families show little comparability from State to
State. To respond to State flexibility, devolution, and States' ongoing
needs for input from stakeholders, DD network programs in most States
provide some form of training or leadership development to people with
developmental disabilities and their families. Many people have been
trained to interact effectively on their own behalf with State systems
designed to serve them, and with State policymakers.
However, some issues, problems, programs and systems are inherently
national (such as civil rights) or are national in scope (such as the
design of federal systems including entitlements). ADD believes that
devolution will increase, not decrease the demand for national
stakeholders.
Minimum Requirements for Project Design: ADD expects this project
will be an equal partnership between people with developmental
disabilities and family members and advocates.
To be considered seriously for funding applicants must address the
following elements:
Building a leadership network of adults with developmental
disabilities and family members.
Developing systemic strategies for identifying, involving,
supporting, and advancing grassroots leaders who live with
developmental disabilities, especially self-advocates and family
members of children with developmental disabilities.
Disseminating best practices, curricula, guides, and
informational materials on self-determination and leadership
development especially those that have been adapted for individuals
with cognitive disabilities.
Providing experiential learning opportunities that will
enable individuals to acquire and deepen their knowledge and skills in
the areas of: (1) The operations of the legislative and executive
branches; (2) the programs and processes of significant federal
agencies; (3) the art of effective communication; (4) the analysis of
current or new proposals, policies, guidelines, approaches, or
regulations; (5) effective strategies to monitor and evaluate current
and proposed oversight and enforcement activities of Federal and state
agencies; (6) negotiation techniques; (7) the capacity of computer
technology as a communication tool; (8) the resources of national
advocacy organizations; (9) grant writing and reviewing; (10) using and
influencing research and data collection, and making data-based
arguments; and (11) the development of non-profit organizations.
A selection process for participants using the following
criteria: (a) Representation of various developmental disabilities,
particularly cognitive disabilities; (b) distinguished graduates of
State-based training programs including Leadership Today and Partners-
type projects, that are experienced, thoughtful, and responsible
advocates as a result of these State-based training programs; (c) a
range of age; (d) racial and ethnic diversity.
It is highly recommended to ensure the appropriateness and
understanding of materials and various teaching styles that self-
advocates are involved in the design of the training. In regard to
sponsorships by Developmental Disability Councils and UAPs, ADD
contemplates that up to two individuals from a state might be given a
stipend to cover expenses related to attending the Academy. It is
estimated that $10,000 per state, depending on the number of
individuals sponsored (not on the state's proximity to Washington,
D.C.), would be an appropriate amount. In selecting these individuals,
ADD would expect the above criteria to be used and that half of the
participants should be self-advocates.
As a general guide, ADD will expect to fund only those applications
that incorporate the following elements:
Consumer/self-advocate orientation and participation.
Key project personnel with direct life experience with
living with a disability.
Strong advisory components that consist of a majority of
individuals with developmental or severe disabilities and a structure
where individuals with disabilities make real decisions that determine
the outcome of the grant.
Research reflecting the principles of participatory
action.
Cultural competency.
A description of how individuals with disabilities and
their families will be involved in all aspects of the design,
implementation, and evaluation of the project.
Attention to unserved and inadequately served individuals,
having a range of disabilities from mild to severe, from multicultural
backgrounds, rural and inner-city areas, migrant, homeless, and refugee
families, with severe disabilities.
Compliance with the Americans with Disabilities Act and
Section 504 of the Rehabilitation Act of 1973 as amended (29 U.S.C.
794).
Collaboration through partnerships and coalitions.
Development of the capacity to communicate and disseminate
information and technical assistance through electronic and other
effective, affordable, and accessible formats of communication.
Development and establishment of practices and programs
beyond project period.
Dissemination of models, products, best practices, and
strategies for distribution between the networks and beyond. A plan
describing initial activities is needed between funded projects as well
as at the end of the project period. These activities should maintain
and share ongoing information, existing resources of consultants/
experts, and curriculum/materials with funded projects and within the
network.
Applications should also include provisions for the travel of two
key personnel during the first and last year of the project to
Washington, DC for a one day meeting with ADD staff.
As noted earlier, the award will be made as a cooperative
agreement. While an organization receiving an award will not be
conducting its project on behalf of ADD, ADD and the awardee will work
cooperatively in the development and implementation of the project's
agenda. Under the cooperative agreement mechanism, ADD and the awardee
will share the responsibility for planning the objectives of the
project. The awardee will have the primary responsibility for
developing and implementing the activities of the project. ADD will
jointly participate with the awardee in such activities as clarifying
the specific issue areas to be addressed through periodic briefings and
ongoing consultation, sharing with awardee its knowledge of the issues
being addressed by past and current projects, and providing feedback to
awardee about the usefulness to the field of written products and
information sharing activities. The details of the relationship between
ADD and awardee will be set forth in the cooperative agreement to be
developed and signed prior to issuance of the award.
Evaluation Criteria: The four criteria that follow will be used to
review and evaluate each application under this announcement. Each of
these criterion should be addressed in the project description section
of the application. The point values indicate the maximum
[[Page 39869]]
numerical weight each criterion will be accorded in the review process.
The specific information to be included under each of these headings is
described in Section G of Part III, General Instructions for the
Uniform Project Description. Additional information that must be
addressed is described below.
Criterion 1: Objectives and Need for Assistance (20 Points)
The application must identify the precise location of the project
and area to be served by the proposed project. Maps and other graphic
aids should be attached.
Criterion 2: Results or Benefits Expected (20 Points)
The extent to which they are consistent with the objectives of the
application, and the extent to which the application indicates the
anticipated contributions to policy, practice, theory and/or research.
The extent to which the proposed project costs is reasonable in view of
the expected results.
Criterion 3: Approach (35 Points)
Discuss the criteria to be used to evaluate the results, and
explain the 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.
Criterion 4: Organization Profile (25 Points)
The application identifies the background of the project director/
principal investigator and key project staff (including name, address,
training, educational background and other qualifying experience) and
the experience of the organization to demonstrate the applicant's
ability to effectively and efficiently administer this project. The
application describes the relationship between this project and other
work planned, anticipated or under way by the applicant which is being
supported by Federal assistance.
This section 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. 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.
Project Duration: This announcement is soliciting applications for
project periods up to three years under this priority area. Awards, on
a competitive basis, will be for a one-year budget period, although
project periods may be for three years. Applications for continuation
grants funded under this priority area beyond the one-year budget
period, but within the three-year project period, will be entertained
in subsequent years on a non-competitive basis, subject to the
availability of funds, satisfactory progress of the grantee, and
determination that continued funding would be in the best interest of
the Government.
Federal Share of Project Costs: The Federal share is a range of
$200,000--$250,000 for the first 12-month budget period or a minimum of
$600,000 for a three-year project period.
Matching Requirement: Grantees must match $1 for every $3 requested
in Federal funding to reach 25% of the total approved cost of the
project. The total approved cost of the project is the sum of the ACF
share and the non-Federal share. The non-Federal share may be met by
cash or in-kind contributions, although applicants are encouraged to
meet their match requirements through cash contributions. Therefore, a
project requesting $200,000 in Federal funds (based on an award of
$200,000 per budget period) must include a match of at least $66,666
(the total project cost is $266,666, of which your $66,666 share is
25%).
Anticipated Number of Projects to be Funded: It is anticipated that
up to one (1) project will be funded under this priority area.
CFDA: ADD's CFDA (Code of Federal Domestic Assistance) number is
93.631--Developmental Disabilities--Projects of National Significance.
This information is needed to complete item 10 on the SF 424.
Fiscal Year 1999 Priority Area 3: Reinventing Quality: Best Practices
Information Dissemination Project for Ensuring That Community Living
Settings and Services Are Responsive to the Needs and Goals of People
With Developmental Disabilities
Eligible Applicants: State agencies, public or private nonprofit
organizations, institutions or agencies, including a consortia of some
or all of the above.
Purpose: Under this priority area, ADD will issue an award through
the instrument of a cooperative agreement that will outline the terms
of ADD's involvement as well as the responsibilities of the recipient
organization or agency in the development of an information
dissemination project on best planning practices in consumer responsive
services and quality assurance processes in programs for people with
developmental disabilities. ADD is interested in helping states and
others respond to the challenges of establishing and assuring the
quality of consumer-outcome oriented community-based long-term support
programs. Especially in light of the recent Supreme Court ``Olmstead''
decision which reaffirms the ADA provision that public entities must
administer programs in the most integrated setting appropriate to the
needs of qualified individuals with disabilities and to make reasonable
modifications to avoid discrimination on the basis of disability, ADD
is interested in supporting work that will help public entities and
others establish comprehensive plans for the appropriate provision of
services to people with developmental disabilities. This project will
provide information and broker technical assistance on existing
successful approaches to assuring the quality and appropriateness of
long-term supports for people with developmental disabilities.
Background Information: In 1993, the Federal government presented
its response to improving how it does business--The National
Performance Review, the Federal government's ``reinvention'' project.
When the Review asked Americans what they expect from government
services this is what they heard:
``Ask us what we want.''
``Don't tell us, `That's not my department.' ''
``Treat us with courtesy, respect, and enthusiasm.''
``Make it easy.''
``Provide reliable, timely help.''
Americans with disabilities and their families share these
expectations of government services. According to the American
Association on Mental Retardation (AAMR) publication, ``Shaping Our
Destiny--A Provider's Guide to Quality Community Services,'' people
with developmental disabilities and their families ``should have an
equal right to quality services and supports--including clear, relevant
service standards, and reliable, timely help.''
Assuring the quality of services for people with developmental
disabilities means not only ensuring that abuse and neglect are
prevented, but also that persons' life goals and potentials are
[[Page 39870]]
identified and addressed. As the provider's guide states, ``Merely
delivering services in the community doesn't make them quality
services. Community services are quality services when they are
flexible, reliable, and complete enough to meet an individual's
needs.'' The guide explains that the old system of service delivery is
not based on individually-designed services; that new service standards
must be developed that ensure that everybody understands how community
services and supports are supposed to work and that the new standards
focus on results or outcomes that are meaningful to the people who use
the supports. Contained in the guide are examples of quality projects
and ways for service providers to interact with stakeholders.
The ``quality revolution'' described in the AAMR publication
reflects a trend in the States toward systems that assure outcome-
focused quality assurance systems in residential services for
individuals with developmental disabilities. The status of the States
activities toward implementing an outcome-based approach was the
subject of a 1996 report ``Compendium of State Outcome-Focused Quality
Assurance Systems'' in ICF/MR settings by the Human Services Research
Institute (HSRI). HRSI found that there was a general sense in the
States ``that traditional quality assurance, in particular
comprehensive licensure and certification surveys, focuses too heavily
on environment and process and not enough on outcomes for the
individual (consumer) or on `quality of life' issues. Across the States
there appears to be a relationship between the evolution of the State's
mental retardation/developmental disabilities service system and the
degree of quality assurance reform toward an outcome-focused system.''
It is obvious that ``monitoring'' in the traditional sense of the
word is no longer an acceptable method for determining the quality of
services and supports to people with developmental disabilities and
their families. ``Reinventing Quality: The 1998 Sourcebook of
Innovative Programs for the Quality Assurance and Quality Improvement
of Community Services,'' produced by the Institute on Community
Integration/University of Minnesota, reaffirms this trend in the States
as reported by HSRI and reasserts the need to change the service
standards to reflect the evolution to community-based services focused
on individual needs and individual outcomes. The Sourcebook notes that
``Recent years have seen a shift in long-term care for persons with
developmental disabilities from large institutions to community
settings. But people receiving community services can fully realize the
potential for improved quality of life afforded by this movement only
if quality assurance expectations and activities are changed
significantly from those originally developed for institutional care.''
Many innovative and comprehensive quality assessment and enhancement
practices are profiled in the Sourcebook. It is these efforts to
improve the quality of community services that ``may help others to
fashion their own responses that not only protect the basic safety and
well-being of individuals, but also encourage and support their
preferred choices, personal growth, and individual lifestyles.''
On June 22, 1999, in its decision on the ``Olmstead'' case, the
Supreme Court reaffirmed the Americans with Disabilities Act provision
that public entities must administer programs in the most integrated
setting appropriate to the needs of qualified individuals with
disabilities and to make reasonable modifications to avoid
discrimination on the basis of disability. While public entities are
not required to fundamentally alter the nature of their programs,
efforts must be made to provide services in the most integrated
setting. The Court concluded that under Title II of ADA, States are
required to place persons with mental disabilities in community
settings rather than in institutions when the State's treatment
professionals have determined that community placement is appropriate,
that transfer from institutional care to a less restrictive setting is
not opposed by the affected individual, and the placement can be
reasonably accommodated, taking into account the resources available to
the State and the needs of others with mental disabilities.
Under the Clinton Administration, the U.S. Department of Health and
Human Services (HHS) is already engaged in a variety of activities
designed to promote the delivery of services in the most integrated
setting. HHS activities include building on existing Medicaid
flexibility in home health services, home and community-based waivers,
the personal care option, and the mental health block grant. HHS is
developing a Primer to the Medicaid program which will clarify long-
term care options in Medicaid that promote consumer responsive
community-based long-term care and establishing a National Consortium
on Home and Community-Based Long-Term Care.
As part of the Department's overall efforts to promote quality home
and community-based long-term care systems, ADD is interested in
establishing a best practices information dissemination project. The
project will help States and other entities to respond to the
challenges of developing and assuring quality consumer-oriented service
systems for people with developmental disabilities. The best practices
information gathered and disseminated by the project can be used by
services providers in such activities as:
Developing comprehensive State plans for serving people
with developmental disabilities in the most appropriate setting,
Managing waiting lists for services by conducting
assessments so that the most appropriate consumer-responsive services
can be delivered,
Changing existing programs to be more responsive to
specific consumer needs and goals, Developing new consumer outcome-
oriented programs, and
Developing quality assurance systems that measure and
assess specific consumer outcomes.
Minimum Requirements for Project Design: Significant research, best
practices, and ``lessons learned'' exist in regard to planning and
developing consumer outcome-oriented, community-based programs for
people with developmental disabilities with new standards of consumer-
oriented quality assurance. States, communities, direct service
providers, disability constituencies and others can benefit from
information dissemination about existing and evolving best practices
based on consumer-specific outcomes. Information dissemination about
best planning practices should seek to better equip major stakeholders
with the skills, knowledge and expertise necessary to apply what is
already known in the process of developing a comprehensive state plan.
The mission of the project would be to serve as a resource to
States, the disability community, service providers, and others to
enhance the development of new comprehensive state plans to develop
consumer-oriented community-based programs as well as to develop
appropriately linked quality assurance systems for new and existing
programs. Specifically, the project would:
Track and report on trends and best and promising
practices in consumer outcome oriented community-based services and
quality assurance systems affecting children and adults with
developmental disabilities and their families;
Convene working conferences to develop and share
strategies for
[[Page 39871]]
developing new comprehensive state plans for consumer-outcome oriented
programs and/or quality assurance methods;
Disseminate relevant research findings pertaining to
consumer-oriented programs and quality assurance methods for people
with developmental disabilities;
Broker technical assistance, especially peer-to-peer
consultations, designed to assist stakeholders to work together to
apply research and best practices regarding consumer-outcome oriented
service and linked quality assurance systems for people with
developmental disabilities;
Sponsor forums, on-line conferences and other ongoing
exchanges to facilitate a greater understanding of best practices in
consumer-oriented community-based programs and quality assurance
systems.
These activities may be sequenced so that information gathering is
the principal activity of the first year with dissemination (along with
continued information gathering) beginning in the second and continued
into the third year of the project.
Applications should include provisions for the travel of two key
personnel during the first and last year of the project to Washington,
DC for a one day meeting with ADD staff.
As noted earlier, the award will be made as a cooperative
agreement. While an organization receiving an award will not be
conducting its project on behalf of ADD, ADD and the awardee will work
cooperatively in the development and implementation of the project's
agenda. Under the cooperative agreement mechanism, ADD and the awardee
will share the responsibility for planning the objectives of the
project. The awardee will have the primary responsibility for
developing and implementing the activities of the project. ADD will
jointly participate with the awardee in such activities as clarifying
the specific issue areas to be addressed through periodic briefings and
ongoing consultation, sharing with awardee its knowledge of the issues
being addressed by past and current projects, and providing feedback to
awardee about the usefulness to the field of written products and
information sharing activities. The details of the relationship between
ADD and awardee will be set forth in the cooperative agreement to be
developed and signed prior to issuance of the award.
As a general guide, ADD will expect to fund only those applications
that incorporate the following elements:
Consumer/self-advocate orientation and participation.
Key project personnel with direct life experience with
living with a disability.
Strong advisory components that consist of a majority of
individuals with disabilities and a structure where individuals with
disabilities make real decisions that determine the outcome of the
grant.
Research reflecting the principles of participatory
action.
Cultural competency.
A description of how individuals with disabilities and
their families will be involved in all aspects of the design,
implementation, and evaluation of the project.
Attention to unserved and inadequately served individuals,
having a range of disabilities from mild to severe, from multicultural
backgrounds, rural and inner-city areas, migrant, homeless, and refugee
families, with severe disabilities.
Compliance with the Americans with Disabilities Act and
Section 504 of the Rehabilitation Act of 1973 as amended (29 U.S.C.
794).
Collaboration through partnerships and coalitions.
Development of the capacity to communicate and disseminate
information and technical assistance through electronic and other
effective, affordable, and accessible formats of communication.
Development and establishment of practices and programs
beyond project period.
Dissemination of models, products, best practices, and
strategies for distribution between the networks and beyond. A plan
describing initial activities is needed between funded projects as well
as at the end of the project period. These activities should maintain
and share ongoing information, existing resources of consultants/
experts, and curriculum/materials with funded projects and within the
network.
Evaluation Criteria: The four criteria that follow will be used to
review and evaluate each application under this announcement. Each of
these criterion should be addressed in the project description section
of the application. The point values indicate the maximum numerical
weight each criterion will be accorded in the review process. The
specific information to be included under each of these headings is
described in Section G of Part III, General Instructions for the
Uniform Project Description. Additional information that must be
addressed is described below.
Criterion 1: Objectives and Need for Assistance (20 Points)
The application must identify the precise location of the project
and area to be served by the proposed project. Maps and other graphic
aids must be attached.
Criterion 2: Results or Benefits Expected (20 Points)
The extent to which they are consistent with the objectives of the
application, and the extent to which the application indicates the
anticipated contributions to policy, practice, theory and/or research.
The extent to which the proposed project costs is reasonable in view of
the expected results.
Criterion 3: Approach (35 Points)
Discuss the criteria to be used to evaluate the results, and
explain the 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.
Criterion 4: Organization Profile (25 Points)
The application identifies the background of the project director/
principal investigator and key project staff (including name, address,
training, educational background and other qualifying experience) and
the experience of the organization to demonstrate the applicant's
ability to effectively and efficiently administer this project. The
application describes the relationship between this project and other
work planned, anticipated or under way by the applicant which is being
supported by Federal assistance.
This section 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. It may include
descriptions of any current or previous relevant experience, or
describe the competence of the project team and its demonstrated
ability to produce a final product that is readily comprehensible and
usable. An organization chart showing the relationship of the project
to the current organization must be included.
Project Duration: This announcement is soliciting applications for
project periods up to three years under this priority area. Awards, on
a competitive basis, will be for a one-year budget period, although the
project period may be for three years. Applications for
[[Page 39872]]
continuation grants funded under this priority area beyond the one-year
budget period, but within the three-year project period, will be
entertained in subsequent years on a non-competitive basis, subject to
the availability of funds, satisfactory progress of the grantee, and
determination that continued funding would be in the best interest of
the Government.
Federal Share of Project Costs: The Federal share is a range of
$200,000-$250,000 for the first 12-month budget period or a minimum of
$600,000 for a three-year project period. There is a possibility of
increased funding in year two and three contingent on additional funds.
Matching Requirement: Grantees must provide at least 25 percent of
the total approved cost of the project. The total approved cost of the
project is the sum of the ACF share and the non-Federal share. The non-
Federal share may be met by cash or in-kind contributions, although
applicants are encouraged to meet their match requirements through cash
contributions. Therefore, a project requesting $200,000 in Federal
funds (based on an award of $200,000 per budget period) must include a
match of at least $66,666 (the total project cost is $266,666, of which
$66,666 is 25%).
Anticipated Number of Projects to be Funded: It is anticipated that
up to one (1) project will be funded under this priority area.
Part V. Instructions for the Development and Submission of
Applications
This Part contains information and instructions for submitting
applications in response to this announcement. An application package
containing forms can be obtained by any of the following methods: Pat
Laird, ADD, 370 L'Enfant Promenade SW, Washington, DC, 20447, 202/690-
7447; http://www.acf.dhhs.gov/programs/add; or add@acf.dhhs.gov.
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 IV.
A. Required Notification of the State Single Point of Contact (SPOC)
All applications under the ADD priority areas are required to
follow the Executive Order (E.O.) 12372 process, ``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.
Note: State/territory participation in the Intergovernmental
Review process does not signify applicant eligibility for financial
assistance under a program. A potential applicant must meet the
eligibility requirements of the program for which it is applying
prior to submitting an application to its SPOC, if applicable, or to
ACF.
As of September 22, 1997, all States and territories, except
Alabama, Alaska, Colorado, Connecticut, Hawaii, Idaho, Kansas,
Louisiana, Massachusetts, Minnesota, Montana, Nebraska, New Jersey,
Ohio, Oklahoma, Oregon, Pennsylvania, South Dakota, Tennessee, Vermont,
Virginia, Washington, American Samoa and Palau, have elected to
participate in the Executive Order process and have established a State
Single Point of Contact (SPOC). Applicants from these jurisdictions or
for projects administered by Federally-recognized Indian Tribes need
take no action regarding 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 all required materials to the SPOC 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 and indicate the date of this
submittal (or date SPOC was contacted, if no submittal is required) on
the SF 424, item 16a.
Under 45 CFR 100.8(a)(2), a SPOC has 60 days from the application
due date to comment on proposed new or competing continuation awards.
However, there is insufficient time to allow for a complete SPOC
comment period. Therefore, we have reduced the comment period to 30
days from the closing date for applications. These comments are
reviewed as part of the award process. Failure to notify the SPOC can
result in delays in awarding grants.
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 that 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 and Audit
Resolution, 370 L'Enfant Promenade, SW, Mail Stop 326F-HHH, Washington,
DC 20447, Attn: 93.631 ADD--Projects of National Significance.
Contact information for each State's SPOC is found in the
application package or ADD's website.
B. Notification of State Developmental Disabilities Planning Councils
A copy of the application must also be submitted for review and
comment to the State Developmental Disabilities Council in each State
in which the applicant's project will be conducted. A list of the State
Developmental Disabilities Councils is included in the application
package or ADD's website under Programs.
C. Deadline for Submittal of Applications
One signed original and two copies of the application must be
submitted on or before August 23, 1999 to: U.S. Department of Health
and Human Services, Administration for Children and Families,
Administration on Developmental Disabilities, 370 L'Enfant Promenade,
SW, Mail Stop 326F-HHH, Washington, DC 20447, Attn: Lois Hodge.
Applications may be mailed or hand-delivered. Hand-delivered
applications are accepted during the normal working hours of 8:00 a.m.
to 4:30 p.m., Monday through Friday. Applications shall be considered
as meeting an announced deadline if received by the deadline date at
the ACF Grants Office (Close of Business: 4:30 p.m., local prevailing
time).
Late applications: Applications that do not meet the criterion
stated above are considered late applications. ACF/ADD shall notify
each late applicant that its application will not be considered in the
current competition.
Extension of deadlines: ACF may extend the deadline for all
applicants due to acts of God, such as floods, hurricanes, or
earthquakes; 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.
D. Instructions for Preparing the Application and Completing
Application Forms
The SF 424, SF 424A, SF 424A-Page 2 and Certifications/ Assurances
are contained in the application package. Please prepare your
application in accordance with the following instructions:
[[Page 39873]]
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 ACF 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 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. For all of ADD's priority areas, the following should be
entered, ``93.631--Developmental Disabilities: Projects of National
Significance.''
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 17-month or less
project 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. For more information regarding funding as well as
exceptions to these rules, see Part III, Sections E and F, and the
specific priority area description.
Item 15f. Enter the estimated amount of program 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 program
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.''--Enter the date the applicant contacted the
SPOC regarding this application. Select the appropriate SPOC from the
listing provided at the end of Part IV. The review of the application
is at the discretion of the SPOC. The SPOC will verify the date noted
on the application.
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 (1) the total project
period of
[[Page 39874]]
17 months or less or (2) the first year budget period, if the proposed
project period exceeds 15 months.
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
(1) the total project period of 17 months or less or (2) the first-year
budget period if the proposed project period exceeds 17 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 budget justification should be included to explain fully
and justify major items, as indicated below. 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 costs 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. For State and local governments, including
Federally recognized Indian Tribes, ``equipment'' is tangible, non-
expendable personal property having a useful life of more than one year
and 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.
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 (except local governments)
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 HHS 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.
In the case of training grants to other than State or local
governments (as defined in title 45, Code of Federal Regulations, part
74), the Federal reimbursement of indirect costs will be limited to the
lesser of the negotiated (or actual) indirect cost rate or 8 percent of
the amount allowed for direct costs, exclusive of any equipment
charges, rental of space, tuition and fees, post-doctoral training
allowances, contractual items, and alterations and renovations.
For training grant applications, the entry under line 6j should be
the total indirect costs being charged to the project. The Federal
share of indirect costs is calculated as shown above. The applicant's
share is calculated as follows:
(a) Calculate total project indirect costs (a*) by applying the
applicant's approved indirect cost rate to the total project (Federal
and non-Federal) direct costs.
(b) Calculate the Federal share of indirect costs (b*) at 8 percent
of the amount allowed for total project (Federal and non-Federal)
direct costs exclusive of any equipment charges, rental of space,
tuition and fees, post-doctoral training allowances, contractual items,
and alterations and renovations.
(c) Subtract (b*) from (a*). The remainder is what the applicant
can claim as part of its matching cost contribution.
Justification: Enclose a copy of the indirect cost rate agreement.
Applicants subject to the limitation on the Federal
[[Page 39875]]
reimbursement of indirect costs for training grants should specify
this.
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 title 45 of the Code of Federal
Regulations, Parts 74.51 and 92.24, 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 17 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) are
not applicable in most instances, since ACF funding is almost always
limited to a three-year maximum project period. They should remain
blank.
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 17 months,
you must enter your proposed non-Federal share of the project budget
for each of the remaining years of the project.
3. Project Description
The Project Description 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 IV. The narrative
should also provide information concerning how the application meets
the evaluation criteria, using the following headings:
(a) Objectives and Need for Assistance;
(b) Results and Benefits Expected;
(c) Approach; and
(d) Organization Profile.
The specific information to be included under each of these
headings is described in Section G of Part III, General Instructions
for the Uniform Project Description.
The narrative should be typed double-spaced on a single-side of an
8\1/2\'' x 11'' plain white paper, with 1'' margins on all sides, using
black print no smaller than 12 pitch or 12 point size. 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 not exceed 60 pages. This will be strictly
enforced. 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 copying
difficulties. These materials, if submitted, will not be included in
the review process if they exceed the 60-page limit. Each page of the
application will be counted to determine the total length.
4. Part V--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. Applicants must also
provide certifications regarding: (1) Drug-Free Workplace Requirements;
and (2) Debarment and Other Responsibilities. These two certifications
are self-explanatory. Copies of these assurances/certifications are
reprinted at the end of this announcement and should be reproduced, as
necessary. A duly authorized representative of the applicant
organization must certify that the applicant is in compliance with
these assurances/certifications. A signature on the SF 424 indicates
compliance with the Drug Free Workplace Requirements, and Debarment and
Other Responsibilities certifications, and need not be mailed back with
the application.
In addition, applicants are required under Section 162(c)(3) of the
Act to provide assurances that the human rights of all individuals with
developmental disabilities (especially those individuals without
familial protection) who will receive services under projects assisted
under Part E will be protected consistent with section 110 (relating to
the rights of individuals with developmental disabilities). Each
application must include a statement providing this assurance.
For research projects in which human subjects may be at risk, a
Protection of Human Subjects Assurance may be required. If there is a
question regarding the applicability of this assurance, contact the
Office for Research Risks of the National Institutes of Health at (301)
496-7041.
E. 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 that is eligible under the
eligibility requirements defined in the priority area description
(screening requirement);
____Application length does not exceed 60 pages, unless otherwise
specified in the priority area description.
A complete application consists of the following items in this
order:
____Application for Federal Assistance (SF 424, REV 4-88);
____A completed SPOC certification with the date of SPOC contact
entered in line 16, page 1 of the SF 424 if applicable.
____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, etc. to prove non-profit
status, if necessary;
____Copy of the applicant's approved indirect cost rate agreement, if
appropriate;
____Project Description (See Part III, Section C);
____Any appendices/attachments;
____Assurances--Non-Construction Programs (Standard Form 424B, REV 4-
88);
____Certification Regarding Lobbying; and
[[Page 39876]]
____Certification of Protection of Human Subjects, if necessary.
____Certification of the Pro-Children Act of 1994; signature on the
application represents certification.
F. 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.
G. Paper Reduction Act of 1995 (P.L. 104-13)
The Uniform Project Description information collection within this
announcement is approved under the Uniform Project Description (0970-
0139), Expiration Date 10/31/2000.
Public reporting burden for this collection of information is
estimated to average 10 hours per response, including the time for
reviewing instructions, gathering and maintaining the data needed, and
reviewing the collection of information.
An agency may not conduct or sponsor, and a person is not required
to respond to, a collection of information unless it displays a
currently valid OMB control number.
(Federal Catalog of Domestic Assistance Number 93.631 Developmental
Disabilities--Projects of National Significance)
Dated: July 13, 1999.
Sue Swenson,
Commissioner, Administration on Developmental Disabilities.
[FR Doc. 99-18511 Filed 7-21-99; 8:45 am]
BILLING CODE 4184-01-P
