[Federal Register Volume 59, Number 47 (Thursday, March 10, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-5549]


[[Page Unknown]]

[Federal Register: March 10, 1994]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Office of the Secretary

 

Strengthening Community Supports for Youth Development

AGENCY: Office of the Assistant Secretary for Planning and Evaluation, 
HHS.

ACTION: Request for applications to implement a strategy for 
strengthening community supports for youth development.

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SUMMARY: The Department wishes to participate in a demonstration and 
evaluation of a long-term community development process in behalf of 
at-risk youth in 3-5 communities with the majority of funding being 
provided by charitable foundations. We estimate that the scope and 
level of effort will require up to five years to accomplish and will 
cost approximately $3-5 million for the first 24-30 months of work. 
Only one grant of $100,000 per year for five years will be awarded.

CLOSING DATES: The closing date for submitting an application is May 9, 
1994.

FOR FURTHER INFORMATION CONTACT:
Grants Officer, Office of the Assistant Secretary for Planning and 
Evaluation, Department of Health and Human Services, 200 Independence 
Avenue, SW., room 405F, Hubert H. Humphrey Building, Washington, DC 
20201, Phone (202) 690-8794.

Part I. Background

    The Department has been participating in a broadly-based 
interdepartmental working group and internally reviewing its program 
and policy options to find ways of addressing the problems of teen 
crime and violence, teen parenthood, and other barriers to a successful 
transition to adulthood. These discussions have been conducted in 
multidimensional context. Teen violence has been described a top public 
health problem. The number of homicides and serious injuries because of 
violence among teenager has reached pandemic levels in some 
communities. For example, adolescents are 2\1/2\ times more likely to 
be victims of violent crimes than those over age 20. Homicide is the 
second leading cause of death for all youth ages 15-24 and is the 
leading cause of death for African-American youth in this age group. 
Welfare reform discussions have also highlighted the importance of 
preventing teen pregnancies. Finally the need to ensure that young 
people enter adulthood with competitive and marketable job skills in an 
era of global economic competition has never been greater.
    At the same time that these problems of youth are engaging the 
urgent attention of this Department, we are also concerned about 
avoiding the mistakes of past programs and initiatives. The lessons of 
the past point to the need to seek comprehensive, community-based 
family-centered solutions for today's problems. Many of the problems of 
poor children and poor families are inseparable from the conditions of 
their communities. Individual issues of drug abuse, delinquency, school 
failure, teen pregnancy, and so on, cannot be addressed unless the 
community poverty, violence, deterioration, and hopelessness that 
breeds these problems are also addressed. Any attempt to address these 
problems by working with youth in isolation from their families and 
communities will fail in the long term. While short term gains can be 
achieved and a few individuals can be ``rescued'' through high quality 
youth-focused intensive services, the core problems will not be 
addressed. These programs will never have enough resources to reach all 
the youth or even a majority of the youth who need help. We must begin 
devising policies and programs that respond not just to problems, not 
just individuals, not just families, but to whole communities as the 
client and subject of our concern. Large numbers of youth will not 
succeed until the environment within a local community supports 
positive youth development and a sufficiently strong social 
infrastructure exists to provide special help to those youth who need 
it.
    The empowerment-zone and enterprise-community legislation enacted 
by Congress in August, 1993 encourages the development of more 
comprehensive, coordinated, and integrated approaches to serving low-
income communities. While it is an opportunity to develop new and more 
local systems of human services--ones that are flexible, family 
focused, and community based, it is also an opportunity to realign the 
allocation of resources and accountability and develop new decision-
making institutions which are in and of the communities they serve. 
Ideally, these broad-based community-level governing bodies would 
assume control and responsibility for dozens of separate special-
purpose programs designed to address problems as if they were not 
interconnected. Accomplishing such fundamental structural changes will 
take years of effort and require repeated attempts. The scope of the 
task includes redefining the roles of the existing bureaucracies, 
renewal of the competencies of the helping professions, and the 
development of new measures and new tools for assuring accountability 
for positive outcomes.
    The Department wishes to contribute to the process of building the 
capacities and infrastructure necessary for development of such 
community based programs, especially in the area of youth services. 
However it does not have funding for an independent effort at this 
time. Therefore it wishes to participate in an existing project as a 
first step in developing its own agenda for positive youth development.

Part II. Required Characteristics of a Qualifying Demonstration Project

A. Demonstrations in Multiple Sites

    The applicant should be prepared to conduct a minimum of five 
demonstration projects in geographically separate communities. The 
process of collaboration with each local community will respect the 
flexibility and uniqueness that each community requires, while ensuring 
that the results of local development decisions reflect a coherent 
theory built on the best knowledge and evidence available. This 
approach consciously avoids assigning specific responsibilities to 
specific institutions. These would vary according to the capacities and 
strengths of each community. But the need for all key youth-serving 
institutions--the schools, voluntary organizations, community-based 
agencies, employers--to be actively involved and supportive of changes 
in current practices if necessary, is critical.

B. Foundation Support for Demonstrations

    The applicant must demonstrate sufficient financial support from 
private philanthropic foundations to carry out at least the first two 
years of the project. Written evidence of the commitment of financial 
resources from the major participants must be included with the 
application.

C. Focus on ``Core Concepts''

    The design and implementation of a long-term youth development 
initiative should be focused around a small number of substantive core 
concepts. These ``core concepts'' are to be derived from theory and 
research on how adolescents learn, on what motivates them, and on what 
socialization practices most effectively promote their healthy 
development.
    These core concepts should not attempt to meet all of a youth's 
needs, but rather represent hard choices about what supports and 
opportunities are critical to successful adolescence and transition to 
economic self-sufficiency, are likely to be absent in most resource 
poor neighborhoods, and are within the influence of social policy. They 
should represent a hypothesis about the threshold content of social 
infrastructure necessary to secure positive teenage development and a 
successful transition to adulthood, for a substantial number of youth 
who would otherwise not succeed.

D. Continuity From Early Adolescence Through Early Adulthood

    Most of the current programs provide for only time-limited 
interventions, e.g., special classes, summer camps or specific problem-
solving activities, e.g., homelessness, pregnancy counseling. To borrow 
an analogy from the field of medical practice, most programs are akin 
to attempts at inoculations for communicable disease or emergency room 
treatment. There have been very few programs that attempt to provide 
continuity of support and opportunity through the whole period of 
transition from early adolescence to early adulthood. Few yet have 
attempted to make support and mentoring of youth a conscious part of 
community social infrastructure. Applicants should discuss whether 
continuous youth supports are necessary for positive adult outcomes and 
whether these supports can be organized on a community level.

E. Support for Local Projects

    Previous experience in multisitie demonstrations and replications 
also indicates the importance of providing to local initiatives certain 
kinds of support and assistance that local resources can rarely afford. 
Thus an applicant must demonstrate the ability to carry out or manage 
the following activities and roles to support local operations:

    * The identification of and training in the use of ``best 
practice'' materials, curricula and training packages to provide 
content and boost local staff capacity in carrying out the five core 
concepts;
    * The development and installation of an information system to 
assist in local decision-making, and provision of training in its 
installation and operation;
    * Financial support for sites to implement core concept 
innovations that current public funding streams do not support;
    * Support in securing local private resources necessary for 
staffing the local governance mechanism; and
    * Assignment to each site of a staff member or consultant with 
substantial experience in multi-institution youth initiatives, to 
act as a sounding-board and broker on local issues, and provide a 
perspective independent of any specific local interest.
    These functions are, in our experience, important to building 
local capacity for effective and institutionalized changes in 
practice.

F. Community Empowerment

    In each community an organization which is representative of both 
public and private sectors and a variety of interests will be needed to 
direct the planning and implementation of the youth services project. 
The applicant should describe how it envisions the size and different 
levels within these organizations, the kinds of representation that 
will be needed, the level at which local community leaders will be 
involved in the project and the efforts that will be made to involve 
the youth themselves in meaningful roles.

G. Evaluation

    Each applicant must provide for an independent evaluation of the 
process of implementation itself. It is this process evaluation which 
will provide lessons for other communities.
    The implementation evaluation should be conducted by an independent 
evaluation team of researchers experienced in process evaluations, 
implementation studies, case studies, and other field approaches. The 
evaluation should focus on describing both the anticipated and the 
unanticipated processes of the implementation of the core concept 
strategy. The purpose of the documentation and analysis of 
unanticipated implementation issues is not to derive a judgment about 
the original plans, but rather to develop a better understanding of the 
factors affecting implementation and to derive lessons for wider-scale 
application.
    Some questions to consider include:
    What factors influence the success or failure of collaborative 
attempts to develop community based service delivery mechanisms?
    These factors should include environmental conditions of historical 
experience and political climate, membership characteristics including 
the degree to which members represent their community and the influence 
of shared or different cultural norms and values, factors related to 
decision making process and structure, factors related to 
communication, factors related to goals and purpose, and factors 
related to available resources such as skilled leadership, funding, and 
skilled staff.
    What are the appropriate intermediate measures of progress toward 
becoming a positive environment for youth development? How will we know 
that conditions are improving?
    Does collaboration on the community level reduce or eliminate the 
barriers to service commonly found in categorical funding? Do more 
youth and a greater diversity of youth receive services? What 
opportunities are presented by coordination of funding streams at the 
community level? What problems encountered? Does this result in 
increased funding or volume of services for youth?
    What are the core or essential services that must be in place in a 
comprehensive program? Do programs have to offer health, education, 
recreation, employment services? Should comprehensive programs attempt 
to address problems directly, e.g., pregnancy prevention and options 
counseling, substance abuse prevention and referrals.

Part III. Organization of Applications--Outline of Narrative 
Description

    An application must contain the required Federal forms and a 
narrative description of proposed project. All pages of the narrative 
should be numbered consecutively. Each applicant must present their 
responses to the ``Required Characteristics of a Qualifying 
Demonstration Project'' delineated in part II within the structure 
presented below.

A. Abstract

    Provide a one-page summary of the proposed project.

B. Goals, Objectives and Need for the Project

    Include a brief overview which describes the need for the proposed 
project, justifies the approach to be taken, and identifies any 
theoretical or empirical basis for the approach proposed along with 
appropriate supporting citations of the pertinent professional 
literature. Present the goals of the implementation effort and related 
objectives in observable terms. These goals and objectives should be 
used in the development of the evaluation section.

C. Strategic Plan

    Provide a description of how the proposed demonstration project 
will be implemented. It will be helpful if specific steps and 
milestones can be presented in the form of a series of Gantt or PERT 
charts.

D. Evaluation

    Describe the level of effort and the resources that will be devoted 
to an independent evaluation of the project.

E. Organizational Capacity

    Briefly describe the applicant's organizational capabilities and 
experience in conducting demonstration projects or programs involving 
local government, education, health, or human service agencies. 
Identify the key staff who are expected to carry out the demonstration 
project and provide a curriculum vitae for each person.

F. Budget

    Submit a request for federal funds using Standard Form 424A and 
provide a proposed budget using the categories listed on this form. 
Documentation must be included which substantiates the existence of a 
commitment by one or more private philanthropic foundations to provide 
at least $3 million for implementation of the demonstration project.

Part IV. Receipt and Processing of Applications

A. Deadline for Submitting of Applications

    The closing date for submittal of applications under this 
announcement is May 9, 1994. Applications must be postmarked or hand 
delivered to the application receipt point no later than 5 p.m. on the 
closing date. Applications which do not meet the deadline are 
disqualified and will not be considered further. DHHS will send a 
letter to this effect to each late applicant.
    An application will be considered as meeting the deadline if it is 
either: (1) Received at, or hand-delivered to, the mailing address on 
or before the due date, or (2) postmarked before midnight of the 
deadline date and received in time to be considered during the 
competitive review process.
    Hand-delivered applications will be accepted Monday through Friday, 
excluding federal holidays during the working hours of 9 a.m. to 5 p.m. 
in the lobby of the Hubert H. Humphrey building located at 200 
Independence Avenue, SW. in Washington, DC. When hand-delivering an 
application, call 690-8794 from the lobby for pick up. A staff person 
will be available to receive applications.
    When mailing applications, applicants are strongly advised to 
obtain a legibly dated receipt from a commercial carrier (such as UPS, 
Federal Express, etc.) or from the U.S. Postal Service as proof of 
mailing by the deadline date. If there is a question as to when an 
application was mailed, applicants will be asked to provide proof of 
mailing by the deadline date. When proof is not provided, an 
application will not be considered for funding. Private metered 
postmarks are not acceptable as proof of timely mailing.
    DHHS reserves the right to extend the deadline for all proposals 
due to acts of God, such as floods, hurricanes, or earthquakes; or if 
there is a widespread disruption of the mail; or if DHHS determines a 
deadline extension to be in the best interest of the government. 
However, DHHS will not waive or extend the deadline for any applicant 
unless the deadline is waived or extended for all applicants.

B. Initial Screening

    Applications will be initially screened for compliance with the 
timeliness, completeness, and cost-sharing requirements. If judged in 
compliance, the application then will be reviewed by government 
personnel, augmented by outside experts where appropriate. Three (3) 
copies of each application are required. Applicants are encouraged to 
send an additional three (3) copies of their application to ease 
processing, but applicants will not be penalized if these extra copies 
are not included. There is no limitation on the length of the 
narrative; however extraneous materials such as videotapes and 
brochures should not be included and will not be reviewed.

C. Review Process and Evaluation Criteria

    Applications will be evaluated by a panel of reviewers according to 
the criteria set forth below. Consequently, applicants should take care 
to ensure that all criteria are fully addressed in the application. The 
relative weights are shown in parentheses.
1. Goals, Objectives, and Need for Assistance (10 points)
    Are the goals and objectives presented in observable, measurable 
terms, and how well do they reflect the specific program requirements 
delineated in the grant announcement?
2. Project Design and Approach (30 points)
    Is the plan reasonable? Are the activities listed for each 
objective sufficiently detailed to ensure successful, timely 
implementation? Do they demonstrate an adequate level of understanding 
by the applicant of the practical problems involved in executing such a 
complex project? Is there substantive evidence that the advisory board 
and local community will be substantively involved in the project?
3. Evaluation (10 points)
    Does the applicant propose an independent evaluation of the 
implementation process? Does the applicant demonstrate an understanding 
of the practical difficulties of working with an independent evaluator 
and a resolve to successfully conduct the evaluation?
4. Organizational Capacity (20 points)
    Does the organization(s) have sufficient experience to ensure 
success? Is the collaborative decision making process described in 
terms that assure accountability to the communities and families to be 
served? Are the number and type of staff positions sufficient to 
achieve project objectives?
5. Budget (30 points)
    Is the proposed budget reasonable and sufficient to ensure 
implementation? Are the required local matching funds being provided 
and in this commitment reliable? Are funds allocated to carry out the 
evaluation?

Part V. Other Notices and Requirements

A. Legislative Authority

    The authority for this grant is contained in section 1110 of the 
Social Security Act (42 U.S.C. 1310).

B. Applicable Regulations

    1. ``Grants Programs Administered by the Office of this Assistant 
Secretary for Planning and Evaluation'' (45 CFR part 63).
    2. ``Administration of Grants'' (45 CFR part 74).

C. Eligible Applicants

    Any agency of state or local government, university or other agency 
whether organized as a for-profit or as a not-for-profit corporation. 
However for-profit organizations are advised that no grant funds may be 
paid as profit to any recipient of a grant or subgrant. Profit is any 
amount in excess of allowable direct and indirect costs of the grantee.

D. Effective Date and Duration

    1. The grants awarded pursuant to this announcement are expected to 
be made on or about June 1, 1994.
    2. Projects will be twelve months in duration with funding for the 
second through the fifth year subject to a determination that continued 
support is in the interest of the government. The grantee may be 
required to provide an updated workplan toward the end of each budget 
period prior to receiving funding for the next year.

E. Statement of Funds Availability

    1. Up to $100,000 is available for one grant to be awarded in 
Fiscal Year 1994.
    2. Nothing in this application should be construed as committing 
the Assistant Secretary to make any award.

F. Reports

    The grantee must submit annual progress reports and a final report. 
The specific format and content for these reports will be provided by 
the project officer.

G. Application Instructions and Forms

    Copies of applications should be requested from and submitted to: 
Grants Officer, Office of the Assistant Secretary for Planning and 
Evaluation, Department of Health and Human Services, 200 Independence 
Avenue, SW., room 405F, Hubert H. Humphrey Building, Washington, DC 
20201, Phone (202) 690-8794. Questions concerning the preceding 
information should be submitted to the Grants Officer at the same 
address.

H. Federal Domestic Assistance Catalog

    This program is not listed in the Catalog of Federal Domestic 
Assistance.

I. State Single Point of Contact (E.O. 12372)

    DHHS has determined that this program is not subject to Executive 
Order 12372, ``Intergovernmental Review of Federal Programs.'' because 
it is a program that is national in scope and does not directly affect 
State and local governments. Applicants are not required to seek 
intergovernmental review of their applications within the constraints 
of E.O. 12372.


    Dated: March 1, 1994.
David T. Ellwood,
Assistant Secretary for Planning and Evaluation.
[FR Doc. 94-5549 Filed 3-9-94; 8:45 am]
BILLING CODE 4110-60-M