[Federal Register Volume 59, Number 83 (Monday, May 2, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-10209]
[[Page Unknown]]
[Federal Register: May 2, 1994]
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Availability of Financial Assistance for Projects Funded Under
the Adoption, Opportunities Program
AGENCY: Administration on Children, Youth and Families (ACYF),
Administration for Children and Families (ACF), Department of Health
and Human Services (DHHS).
ACTION: Announcement of the Availability of Financial Assistance and
Request for Applications to Carry Out Demonstration Projects Funded
Under the Adoption Opportunities Branch in the Children's Bureau,
Administration on Children, Youth and Families.
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SUMMARY: The Children's Bureau of the Administration on Children, Youth
and Families announces the availability of fiscal year 1994 funds for
grants to public or private nonprofit child welfare and adoption
agencies, organizations and adoptive parent groups to assist in
supporting programs directed to: (A) Increasing the placements in
adoptive families of minority children who are in foster care and have
the goal of adoption, with a special emphasis on the recruitment of
minority families; (B) providing post-legal adoption services for
families who have adopted special needs children; and, (C) increasing
the rate of placement of children in foster care who are legally free
for adoption.
Funding for these grants is authorized under Title II of the Child
Abuse Prevention and Treatment and Adoption Reform Act of 1978 (Pub. L.
95-266, as amended).
This announcement contains all necessary application materials.
DATES: The deadline for submission of applications is July 1, 1994.
ADDRESSES: Applications may be mailed to the Department of Health and
Human Services, Administration for Children and Families, Division of
Discretionary Grants, 370 L'Enfant Promenade SW., 6th Floor East, OFM/
DDG, Washington, DC 20447.
Hand delivered applications are accepted during normal working
hours of 8:00 a.m. to 4:30 p.m., Monday through Friday, on or prior to
the established closing date at: Administration for Children and
Families, Division of Discretionary Grants, 6th Floor OFM/DDG, 901 D
Street SW., Washington, DC 20447.
FOR FURTHER INFORMATION CONTACT: ACYF Operations Program, Telephone: 1
(800) 351-2293.
SUPPLEMENTARY INFORMATION: The Administration on Children, Youth and
Families (ACYF) administers national programs for children and youth,
works with States and local communities to develop services which
support and strengthen family life, seeks out joint ventures with the
private sector to enhance the lives of children and their families, and
provides information and other assistance to parents.
The concerns of ACYF extend to all children from birth through
adolescence, with particular emphasis on children who have special
needs. Many of the programs administered by the agency focus on
children from low-income families; children and youth in need of foster
care, adoption or other child welfare services; preschool children,
including children with disabilities; abused and neglected children;
runaway and homeless youth; and children from Native American families.
The priority areas identified in this announcement are derived from
legislative mandates as well as Departmental goals and initiatives. The
priorities reflect the state of current knowledge as well as emerging
issues which come to ACYF's attention by several means including
consultation with advocates, policymakers, and practitioners in the
field.
The priorities seek to focus attention on and to encourage
demonstration efforts to obtain new knowledge and improvements in
service delivery for the solution of particular problems and to promote
the dissemination and utilization of the knowledge and model practices
developed under these priorities.
This program announcement consists of three parts. Part I provides
information on the goals of the Children's Bureau (CB), the ACYF office
which is requesting applications, and the statutory authorities for
awarding grants.
Part II describes the review process and the programmatic
priorities under which applications are being solicited.
Part III provides information and instructions for the development
and submission of applications.
Part I--Introduction
A. Goals of the Children's Bureau
Within ACYF, Children's Bureau's Division of Child Welfare plans,
manages, coordinates and supports child welfare services programs. It
administers the Foster Care and Adoption Assistance Program, the Child
Welfare Services Program, the Child Welfare Research, Demonstration and
Training Program, the Adoption Opportunities Program, the Temporary
Child Care and Crisis Nurseries Program, Independent Living Program and
the Abandoned Infants Assistance Program.
The Bureau's programs are designed to promote the welfare of all
children, including disabled, homeless, dependent or neglected children
and their families. The programs aid in preventing and remedying the
neglect, abuse and exploitation of children and the unnecessary
separation of children from families.
B. The Statutory Authority Covering this Announcement
The Adoption Opportunities Program provides financial support for
demonstration projects to: Improve adoption practices; eliminate
barriers to adoption; and find permanent homes for children,
particularly children with special needs. Authorization: Child Abuse
Prevention and Treatment and Adoption Reform Act of 1978, Title II,
Section 203, as amended, Public Law 95-266; Public Law 98-457, the
Child Abuse Prevention, Adoption and Family Services Act of 1988, as
amended, Title II, Section 201, Public Law 100-294; Public Law 102-295;
42 U.S.C. 5111 et seq.
Part II--Review Process and Priority Areas
A. Eligible Applicants
Each priority area description contains information about the types
of agencies and organizations which are eligible to apply under that
priority area. Because eligibility varies depending on statutory
provisions, it is critical that the ``Eligible Applicants'' section of
each priority area be reviewed carefully.
Before review, each application will be screened for applicant
organization eligibility as specified under the selected priority area.
Applications from ineligible organizations will not be considered or
reviewed in the competition, and the applicant will be so informed.
Only agencies and organizations, not individuals, are eligible to
apply under this Announcement. All applications developed jointly by
more than one agency or organization, must identify only one lead
organization and official applicant. Participating agencies and
organizations can be included as co-participants, subgrantees or
subcontractors. For-profit organizations are eligible to participate as
subgrantees or subcontractors with eligible non-profit organizations
under all priority areas.
Any non-profit agency which has not previously received Federal
support must submit proof of non-profit status either by making
reference to its listing in the Internal Revenue Service's (IRS) most
recent list of tax-exempt organizations or by submitting a copy of its
letter from the IRS under IRS Code Section 501(c)(3). The ACYF cannot
fund a non-profit applicant without acceptable proof of its non-profit
status.
B. Review Process and Funding Decisions
Timely applications postmarked by the deadline date which are from
eligible applicants will be reviewed and scored competitively. Experts
in the field, generally persons outside the Federal government, will
use the appropriate evaluation criteria listed later in this section to
review and score the applications. The results of this review are a
primary factor in making funding decisions.
The ACYF reserves the option of discussing applications with, or
referring them to, other Federal or non-Federal funding sources when
this is in the best interest of the Federal government or the
applicants. ACYF may also solicit comments from ACF Regional Office
staff, other Federal agencies, interested foundations, national
organizations, specialists, experts, States and the general public.
These comments, along with those of the expert reviewers, will be
considered by ACYF in making funding decisions.
In making decisions on awards, ACYF may give preference to
applications which focus on or feature: minority populations; a
substantially innovative strategy with the potential to improve theory
or practice in the field of human services; a model practice or set of
procedures that holds the potential for replication by organizations
that administer or deliver human services; substantial involvement of
volunteers; substantial involvement (either financial or programmatic)
of the private sector; a favorable balance between Federal and non-
Federal funds available for the proposed project; the potential for
high benefit for low Federal investment; a programmatic focus on those
most in need; and/or substantial involvement in the proposed project by
national or community foundations.
To the greatest extent possible, efforts will be made to ensure
that funding decisions reflect an equitable distribution of assistance
among the States and geographical regions of the country, rural and
urban areas, and ethnic populations. In making these decisions, ACYF
may also take into account the need to avoid unnecessary duplication of
effort.
C. Evaluation Criteria
A panel of 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.
The reviewers will determine the strengths and weaknesses of each
proposal using the evaluation criteria listed below, provide comments
and assign numerical scores. The point value following each criterion
heading indicates the maximum numerical weight.
All applications will be evaluated against the following criteria.
A. Objective and Need for Assistance (20 points). The extent to
which the application pinpoints any relevant physical, economic,
social, financial, institutional or other problems requiring a
solution; demonstrates the need for the assistance; states the
principal and subordinate objectives of the project; provides
supporting documentation or other testimonies from concerned interests
other than the applicant; and includes and/or footnotes relevant data
based on the results of planning studies. The application must identify
the precise location of the project and area to be served by the
proposed project. Maps and other graphic aids may be attached.
B. Approach (35 points). The extent to which the application
outlines a sound and workable plan of action pertaining to the scope of
the project, and details how the proposed work will be accomplished;
cites factors which might accelerate or decelerate the work, giving
acceptable reasons for taking this approach as opposed to others;
describes and supports any unusual features of the project, such as
design or technological innovations, reductions in cost or time, or
extraordinary social and community involvements; and provides for
projections of the accomplishments to be achieved. It lists the
activities to be carried out in chronological order, showing a
reasonable schedule of accomplishments and target dates.
The extent to which, when appropriate, the application identifies
the kinds of data to be collected and maintained, and discusses the
criteria to be used to evaluate the results and successes of the
project. The extent to which the application describes the evaluation
methodology that will be used to determine if the needs identified and
discussed are being met and if the results and benefits identified are
being achieved. The application also lists each organization, agency,
consultant, or other key individuals or groups who will work on the
project, along with a description of the activities and nature of their
effort or contribution.
C. Results or Benefits Expected (20 points). The extent to which
the application identifies the results and benefits to be derived, the
extent to which they are consistent with the objectives of the
proposal, and the extent to which the application indicates the
anticipated contributions to policy, practice, theory and/or research.
The extent to which the proposed project costs are reasonable in view
of the expected results.
D. Staff Background and Organization's Experience (25 points). The
application identifies the background of the project director/principal
investigator and key project staff (including name, address, training,
educational background and other qualifying experience) and the
experience of the organization to demonstrate the applicant's ability
to effectively and efficiently administer the project. The application
describes the relationship between the proposed project and other work
planned, anticipated or underway by the applicant with Federal
assistance.
E. Structure of Priority Area Descriptions. Each priority area
description is composed of the following sections:
Eligible Applicants: This section specifies the type of
organization eligible to apply under the particular priority area.
Specific restrictions are also noted, where applicable.
Purpose: This section presents the basic focus and/or broad goal(s)
of the priority area.
Background Information: This section briefly discusses the
legislative background as well as the current state-of-the-art and/or
current state-of-practice that supports the need for the particular
priority area activity. Relevant information on projects previously
funded by ACYF and/or others, and State models are noted, where
applicable.
Minimum Requirements for Project Design: This section presents the
basic set of issues that must be addressed in the application.
Typically, they relate to project design, evaluation, and community
involvement. This section also asks for specific information on the
proposed project. Inclusion and discussion of these items is important
since they will be used by the reviewers in evaluating the applications
against the evaluation criteria. Project products, continuation of the
project effort after the Federal support ceases, and dissemination/
utilization activities, if appropriate, are also addressed.
Project Duration: This section specifies the maximum allowable
length of time for the project period; it refers to the amount of time
for which Federal funding is available.
Federal Share of Project Cost: This section specifies the maximum
amount of Federal support for the project.
Matching Requirement: This section specifies the minimum non-
Federal contribution, either through cash or in-kind match, required in
relation to the maximum Federal funds requested for the project.
Anticipated Number of Projects To Be Funded: This section specifies
the number of projects that ACYF anticipates it will fund 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) grant application form.
Please note that applications that do not comply with the specific
priority area requirements in the section on Eligible Applicants will
not be reviewed. Applicants should also note that non-responsiveness to
the section Minimum Requirements for Project Design will result in a
low evaluation score by the reviewers. Applicants must clearly identify
the specific priority area under which they wish to have their
applications considered, and tailor their applications accordingly.
Previous experience has shown that an application which is broader and
more general in concept than outlined in the priority area description
scores lower than one more clearly focused on, and directly responsive
to, that specific priority area.
E. Available Funds
The ACYF intends to award new grants resulting from this
announcement during the fourth quarter of fiscal year 1994, subject to
the availability of funds. The size of the actual 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 project periods which are
shorter than the maximums specified in the various priority areas. Non-
Federal share contributions may exceed the minimums specified in the
various priority areas when the applicant is able to do so. However,
applicants should propose only that non-Federal share they can
realistically provide since any unmatched Federal funds will be
disallowed by ACF.
For multi-year projects, continued Federal funding beyond the first
budget period is dependent upon satisfactory performance by the
grantee, availability of funds from future appropriations and a
determination that continued funding is in the best interest of the
Government.
F. Grantee Share of Project Costs
Grantees must provide at least 25 percent of the total cost of the
project. The total approved cost of the project is the sum of the ACYF
share and the non-Federal share. 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
$100,000 per budget period), must include a match of at least $33,333
(25% total project cost).
G. Index of Priority Areas
To assist potential applicants in using this announcement, a
priority area index in numerical order, is presented below.
1.01 Adoptive Parent Groups as Partners in the Adoption of Children
with Special Needs
1.02 Increase Adoptive Placements of Minority Children
1.03 Adoptive Placement of Foster Care Children
1.04 Post-Legal Adoption Services
1.05 Respite Care as a Service for Families who Adopt Children with
Special Needs
1.06 Synthesis of Results of Post-Legal Adoption Projects
1.07 Regional Conferences on the Adoption of Minority Children
1.08 Developing Collaborative Efforts between Foster Care and Adoption
Staff to Improve Child Welfare Services From Intake to Permanency
1.09 Field Initiated Projects
H. Priority Areas
1.01 Adoptive Parent Groups as Partners in the Adoption of Special
Needs Children
Eligible Applicants: Voluntary or public social service agencies,
adoption exchanges or other national, regional or statewide adoption-
related organizations.
Purpose: To develop new adoptive parent groups or expand or
strengthen existing adoptive parent groups to assist and support
families adopting children, especially minority parent groups.
Background: Through the years adoptive parents have aggressively
promoted the adoption of children with special needs. As consumers of
adoption services, these parents bring to the adoption field a special
perspective both on the children to be served and the agencies that
serve them. They have advocated effectively for children and challenged
the term ``unadoptable'' by demonstrating that children with special
needs can be placed with families of their own. Often the members of
parent groups have come together out of a common need to help each
other to more effectively access the child welfare system for the
purpose of adoption. Having experienced common problems, the members of
parent groups may share information and insights and provide empathy
and support for one another through regularly scheduled social and
educational activities.
In past years, parent groups have used Federal funds to: Establish
warm-lines as resources for adoptive parents; sponsor adoption fairs
with the participation and cooperation of adoption agencies and other
groups involved in adoption; establish resource libraries; form new
support groups; conduct support group conferences; publish and
distribute newsletters; and provide adoptive parents stipends to attend
conferences.
Currently, there are more than 452,000 children in foster care in
the United States and the numbers are growing. Fifty thousand of these
children have special needs and are waiting to be adopted. Over half of
these waiting children are of minority heritage. Strong parent groups
can play an important role in promoting the adoption of these children
by sponsoring such activities as information and referral services;
recruitment and orientation for prospective adoptive parents; and
respite care and work with social service agencies to support families
following placement and legalization. The ACYF recognizes the need to
support the development of strong, effective parent groups working in
partnership with child welfare/adoption agencies to advocate for needed
services and support; to promote the adoption of children with special
needs; and to support the establishment of new adoptive parent groups
and strengthen existing groups.
Minimum Requirements: In order to compete successfully under this
priority area, the applicant should:
Document its capability to assist local or State adoptive
parent groups to work with child welfare agencies.
Describe the process to be used in developing new adoptive
parent groups, especially minority groups, and specify the number of
new groups to be developed.
Describe a plan for awarding sub-grants, not to exceed
$5,000, to incorporated non-profit local or State adoptive parent
groups to work with child welfare agencies and adoptive families,
including pre- and post-adoption services.
Describe the methods to be used to request proposals from
parent groups which focus on special needs adoption problems or issues.
Provide assurances that at least one key person from the
project would attend the annual Child Welfare Conference in Washington,
D.C. (The Conference provides the opportunity for Adoption
Opportunities and other Children's Bureau grantees to exchange
information and address current child welfare trends and issues.)
Provide assurances that the project will be fully staffed
and implemented within 90 days of the notification of the grant award.
Project Duration: The length of the project must not exceed 17
months.
Federal Share of Project Costs: The maximum Federal share of the
project is not to exceed $85,000 for the 17-month project period.
Matching Requirements: Grantees must provide at least 25 percent of
the total cost of the project.
Anticipated Number of Projects to be Funded: It is anticipated that
a minimum of three projects will be funded.
1.02 Increase Adoptive Placements of Minority Children
Eligible Applicants: States, local government entities, public or
private non-profit licensed child welfare or adoption agencies, and
adoption exchanges and community-based organizations with experience in
working with minority populations. Given limited funds, and in order to
generate and financially support the widest possible variety of issues
and approaches, priority will be given to applicants which have not
been funded under this priority area in previous fiscal years. However,
previously funded applicants under this priority area will not be
precluded from receiving grants.
Purpose: To implement programs designed to increase the adoptive
placement of minority children who are in foster care and have the goal
of adoption, with a special emphasis on the recruitment, retention and
utilization of minority families; adoptive placements for minority
children over the age of ten; and adoptive placement of sibling groups.
Background Information: The Adoption Opportunities legislation,
emphasizes the recruitment of minority families and authorizes funds
for demonstration projects for the recruitment of families to adopt
waiting minority children. It is estimated that approximately half of
the 50,000 children currently free for adoption and awaiting placement
are minority children. Many of them are older, some are in siblings
groups, some have disabilities and they may wait long periods of time
before they are placed with adoptive families.
The Packard Foundation reports that the current situation for
children of color is alarming. The proportion of these children in
foster care is three times greater than their proportion in the
population of the United States. The ACYF is aware that there must be a
continuous focus on the adoption of minority children and has funded a
number of programs designed specifically to recruit minority families
and to place minority children.
Minimum Requirements for Project Design: In order to successfully
compete under this priority area, the applicant should:
Identify and describe existing barriers to minority
adoption in the locale where the project would be implemented; the
number of families that would be recruited; and the number of children
that would be placed.
Describe the innovative methods that would be employed to
recruit and prepare minority families (including single applicants) in
a timely manner in order to retain recruited families.
Provide assurances that the program would not require
payment of fees by adoptive families.
Describe how training in cultural competence would be
provided to all relevant staff to increase their effectiveness in
serving minority children and families.
Provide for an assessment of the project's effectiveness
in achieving the desired objectives and its ability to provide services
to prospective adoptive families through the completion of the
adoption.
Document how the program would be continued beyond Federal
funding as part of the agency's ongoing program and describe the
specific steps which would be taken to accomplish this.
Private adoption agencies must provide evidence of
licensure (a copy of the license must be included with the
application).
Provide assurances that at least one key person from the
project would attend the annual Child Welfare Conference in Washington,
DC (The Conference is held for Adoption Opportunities and other
Children's Bureau grantees to exchange information and address current
child welfare trends and issues.)
Provide assurances and document that the project would be
staffed and implemented within 90 days of the notification of the grant
award.
Project Duration: The length of the project must not exceed 24
months.
Federal Share of Project Costs: The maximum Federal share is not to
exceed $100,000 per 12-month budget period.
Matching or Cost Sharing Requirement: Grantees must provide at
least 25 percent of the total cost of the project.
Anticipated Number of Projects to be Funded: It is anticipated that
15 projects will be funded.
1.03 Adoptive Placement of Foster Care Children
Eligible Applicants: Eligibility is limited to State social service
agencies. Given limited funds, and in order to generate and financially
support the widest possible variety of issues and approaches, priority
will be given to applicants which have not been funded under this
priority area in previous fiscal years. However, previously funded
applicants under this priority area will not be precluded from the
receiving grants.
Purpose: To develop programs which will assist States in their
efforts to increase the placement of foster care children legally free
for adoption according to a pre-established plan and goals for
improvement.
Background Information: The Adoption Opportunities legislation, as
amended by Public Law 100-294, authorizes the funding of grants to
States to improve adoption services for the placement of special needs
children who are legally free for adoption. Children in foster care who
are free for adoption, particularly children with special needs, do not
always move smoothly through the child welfare system into placement
with a permanent family. States have received Federal grants to make
systemic changes in their adoption programs; to provide computer
hardware, software and fees for membership in the National Adoption
Exchange's Network; and to develop a consortium of nine States with
large numbers of children in care in order to share knowledge to
improve and enhance their special needs adoption programs; and to form
a national post-legal adoption consortium of seven States to focus on
models of post legal adoption services. More than half of the States
have received grants to improve adoption services.
Increasingly, children entering foster care have more complex
problems which require more intensive services. Permanent families must
be continuously recruited and prepared to parent the growing population
of children who cannot return to their birth families. Supportive
services must be added or improved so that the children in foster care
who are legally free for adoption can move into adoptive placements in
a timely manner. This will require collaborative efforts with the court
system to terminate parental rights. Further, agencies must commit
resources for the ongoing support of adoptive families not only at
placement, but also after legalization of the adoption. Past projects
have demonstrated that greater improvements in placing these children
are achieved when permanent plans are made and carried out very early
in the placement; when there are sufficient numbers of trained and
experienced staff; and when there are available resources and
administrative commitments to adoption and to coordinated community-
based efforts.
Minimum Requirements for Project Design: In order to successfully
compete under this priority area, the applicant should:
Identify and verify the number of foster care children in
the area to be served who are legally free and waiting for adoptive
placements.
Provide and verify the rate of placement of foster care
children placed in adoption in the year preceding the application. (The
rate of placement is the number of children placed divided by the
number of children waiting for adoption.)
Describe the methods to be employed to increase the rate
of placement of foster care children into adoption and the goals for
improvement to be achieved during the period of the grant.
Propose and describe an evaluation component which would
focus on the innovations used to improve the placement of children who
are legally free for adoption and which would address the successes and
failures of the initiative.
The evaluation should include the collection and analysis of data
to determine placement rates and the types of clients served (e.g.,
waiting children, prospective adoptive families). Data should be
collected to determine the availability of adoptive families during the
program period. The evaluation should also include descriptive
information on the processes and procedures used in implementing the
project. This information should be used to assess placement rates and
the success or failure of the innovative program methodologies used.
Document how the program would be continued beyond Federal
funding or part of the agency's ongoing program, if successful, and
describe the specific steps which would be taken to accomplish this.
Provide assurances that at least one key person from the
project would attend the annual Child Welfare Conference in Washington,
DC (The Conference is held for Adoption Opportunities and other
Children's Bureau grantees to exchange information and address current
child welfare trends and issues.).
Describe the report and/or other products that would be
developed under the project, including the types of information that
would be presented, and the steps that would be undertaken to
disseminate and promote the utilization of project products and
findings.
Project Duration: The length of the project must not exceed 12
months.
Federal Share of Project Costs: The maximum Federal share is not to
exceed $100,000.
Matching or Cost Sharing Requirement: Grantees must provide at
least 25 percent of the total cost of the project.
Anticipated Number of Projects to be Funded: It is anticipated that
two projects will be funded.
1.04 Post-Legal Adoption Services
Eligible Applicants: States, local government entities, and public
or private nonprofit licensed child welfare or adoption agencies. Given
limited funds, and in order to generate and financially support the
widest possible variety of issues and approaches, priority will be
given to applicants which have not been funded under this priority area
in previous fiscal years. However, applicants previously funded under
this priority area will not be precluded from receiving grants.
Purpose: To develop or replicate post-legal adoption projects which
will provide services to strengthen and preserve families who have
adopted children with special needs. The services provided shall
supplement, not supplant, services supported by any other funds
available to the applicant for the same general services.
Background Information: The Adoption Opportunities legislation
authorizes funds for increased post-legal adoption services.
Recognition of special issues in adoption in the past decade has led
adoption professionals to reconsider the concept that agency services
to adoptive families end with the legal consummation of the adoption.
Historically, once the adoption was legally consummated, the newly-
formed family was to be considered the same as any other family.
However, adoption is a life-long process, and service providers need to
understand the unique interpersonal dynamics of adoption in order to
provide effective post-legal adoption services (those provided after
the legalization of the adoption) to families who seek assistance.
Over the years, ACYF has funded more than 70 programs across the
country to provide post-legal adoption services for families who have
adopted children with special needs. Information on these projects can
be obtained from the National Adoption Information Clearinghouse, 11426
Rockville Pike, suite 410, Rockville, Maryland 20852; telephone: (301)
231-6512.
Funds awarded under this priority area in FY 1994 will support both
the institutionalization of post-legal adoption services in communities
where such services already exist and the development of such services
in communities where they do not yet exist. Support will also be
provided for the development of additional models of service delivery.
Services funded under this priority area shall be provided to families
who have adopted children with special needs.
Minimum Requirements for Project Design: In order to successfully
compete under this priority area, the applicant should:
Propose to provide services such as individual, group and/
or family counseling; case management; training of mental health
professionals and staff of public agencies and of private, nonprofit
child welfare and adoption agencies licensed by the State to provide
adoption services; and provide assistance to adoptive parents, adopted
children and siblings of adopted children.
Describe the models that would be developed or replicated
and the services that would be provided.
Describe the existing post-legal adoption services, if
any; the need for new services; and plans for the development,
implementation, and institutionalization of such services.
Describe how the proposed project would build upon the
existing literature and knowledge base related to post-legal adoption
services.
Provide specific written commitments from collaborating or
cooperating agencies, if any.
Document how the program would be continued beyond Federal
funding as part of the agency's ongoing program and describe the
specific steps which would be taken to accomplish this.
Provide assurances that the project would be staffed and
implemented within 90 days of the notification of the grant award.
Provide assurances that at least one key person from the
project would attend the annual Child Welfare Conference in Washington,
DC. (The Conference is held for Adoption Opportunities and other
Children's Bureau grantees to exchange information and address current
child welfare trends and issues.)
Project Duration: The length of the project must not exceed 24
months.
Federal Share of Project Costs: The maximum Federal share is not to
exceed $100,000 per 12-month budget period.
Matching or Cost Sharing Requirements: Grantees must provide at
least 25 percent of the total cost of the project.
Anticipated Number of Projects To Be Funded: It is anticipated that
15 projects will be funded.
1.05 Respite Care as a Service for Families Who Adopt Children With
Special Needs
Eligible Applicants: States, local government entities, public or
private nonprofit licensed child welfare or adoption agencies,
University Affiliated Programs, licensed child care or respite care
providers, and incorporated adoptive parent groups with experience in
working with adoptive populations.
Purpose: To develop or replicate a variety of affordable respite
care models for the adoptive parents of children with special needs,
especially for the adoptive parents of medically fragile or severely
physically or emotionally handicapped children.
Background Information: The ACYF recognizes the need for respite
services for adoptive families in order to maintain and support the
family unit. Respite may be needed early in the adoptive placement or
later in the child's development. Research indicates that the majority
of care is requested to relieve the primary caregiver for vacations,
emergencies or planned circumstances.
There are few specialized respite care programs for adoptive
families that provide temporary relief or rest from parental
responsibilities, despite the increasing availability of post-legal
adoption services. Such programs can be especially helpful to families
who adopt children with special needs by providing support during
emergencies or respite from the daily demands of a special needs child.
Generally, such respite care is provided by skilled caregivers or
companions; however, with proper preparation, it can also be provided
by friends and relatives.
In some respite care programs, training and reimbursement are
offered to whomever the family designates as provider, a mutually
satisfying arrangement that allows the family to control the quality of
care. Also, this approach may offer families living in rural areas the
flexibility of locating their own providers since distance frequently
limits respite resources.
Since 1990, ACYF has awarded grants to expand and develop respite
care services for adoptive parents of children with special needs.
These projects have developed services such as: payment to families to
obtain their own respite services to be provided in their own homes for
short periods of time and on weekends; recruitment and training of
individuals to provide short breaks for adoptive parents as well as
supportive services to parents such as tutorial and recreational
activities outside the home; sponsorship of camp programs and other
specialized events for the children and their families. Programs funded
in 1990 which will end in 1994 include the University of Kansas, Bureau
of Child Research; La Hacienda Foster Care, Tucson, Arizona; the
University of Alabama at Birmingham; the Mercy Respite Care
Corporation, Grand Rapids, Michigan; and the Northwest Adoption
Exchange, Seattle, Washington. Information about these programs can be
secured from the National Adoption Information Clearinghouse, 11426
Rockville Pike, suite 410, Rockville, Maryland 20852; telephone: (301)
231-6512.
Minimum Requirements for Project Design: In order to successfully
compete under this priority area, the applicant should:
Describe plans to develop or replicate respite care models
for the adoptive parents of special needs children that include, but
are not limited to:
--Facility-based models such as those located in churches, day care
centers, community-based group homes, rehabilitation centers, as well
as mother's day out programs, weekend respite, evening respite, and
overnight respite programs;
--In-home respite care services offered in the family's home and,
--Respite-host family services offered in the provider's home.
Describe the respite care services that would be provided
for the parents of children who are medically fragile or who have
severe physical or emotional problems.
Describe the preparation, referral, follow-up, and
counseling services that would be provided to respite service users.
Describe the collaboration that would be established with
groups such as community recreational services, churches, day care
centers, group homes, residential treatment centers, adoptive parent
groups, and University Affiliated Programs in providing respite
services.
Describe the training that would be provided to service
providers.
Estimate the number of special needs children and families
that would be served and document that a sufficient volume of special
needs adoptive families exists to support a program of the size
proposed.
Provide for an evaluation of the project and include a
discussion of the proposed evaluation design.
Provide assurances that the project would be staffed and
implemented within 90 days of the notification of the grant award.
Document how the program would be continued beyond Federal
funding as part of the agency's ongoing program and describe the
specific steps which would be taken to accomplish this.
Provide assurances that at least one key person from the
project would attend the annual Child Welfare Conference in Washington,
DC. (The Conference is held for Adoption Opportunities and other
Children's Bureau grantees to exchange information and address current
child welfare trends and issues.)
Federal Share of Project Cost: The maximum Federal share will not
exceed $150,000 per 12-month budget period.
Project Duration: The length of the project must not exceed 36
months.
Matching or Cost Sharing Requirement: Grantees must provide at
least 25 percent of the total cost of the project.
Anticipated Number of Projects: It is anticipated that a minimum of
five projects will be funded.
1.06 Synthesis of Results of Post Legal-Adoption Projects
Eligible Applicants: State or local, public or nonprofit agencies,
organizations, or universities.
Purpose: To collect, analyze, and synthesize current knowledge and
results of projects funded by the Adoption Opportunities Program
focused on post-legal adoption services since 1989.
Background Information: In 1989, the Adoption Opportunities statute
authorized funds for increased post-legal adoption services for
families who adopted special needs children. Approximately 70 grants
have been awarded to public and private agencies and adoptive parent
groups to provide post-legal adoption services. These efforts resulted
in some exemplary products that should be replicated. These include the
provision of post-legal adoption services, respite care, and the
training of mental health professionals; individual group and/or family
counseling; curriculum for adoptive families; resource guides and
directories; parent surveys of post-legal adoption services; adoption
and the sexually abused child; practice manuals for workers and
therapists; handbooks on the adoption of HIV positive children; and
diagnostic and evaluation services for adopted children. In addition, a
post-legal adoption consortium consisting of seven States funded
initially in 1991 is addressing post-legal adoption practices and laws
and is reviewing successful models in an effort to include post-legal
services in the category of services to be provided by child welfare/
adoption agencies. The consortium final report will be available in
late 1994.
The ACYF is interested in supporting efforts to review the body of
work in the field of post-legal adoption services; determining the
number of projects which have continued beyond Federal funding and
which are now an ongoing part of the agencies' programs; and determine
the impact of these programs on preserving and maintaining the adoptive
family unit.
Information on funded projects can be obtained from the National
Adoption Information Clearinghouse, 11426 Rockville Pike, suite 410,
Rockville, Maryland 20852; telephone (301) 231-6512.
Minimum Requirements for Project Design. In order to successfully
compete under this priority area, the applicant should:
Demonstrate an understanding of the literature and of the
issues in post-legal adoption services.
Describe how the findings from these projects would be
analyzed and synthesized into reports which would be useful to the
field.
Describe how this report would be developed and would be
useful to practitioners, policy makers and other related disciplines.
Provide a plan for disseminating the report nationally.
Provide assurances that the project would be staffed and
implemented within 90 days of the notification of the grant award.
Provide assurances that at least one key person from the
project would attend the annual Child Welfare Conference in Washington,
DC. (The Conference is held for Adoption Opportunities and other
Children's Bureau grantees to exchange information and address current
child welfare trends and issues.)
Project Duration: The length of the project must not exceed 17
months.
Federal Share of Project Costs: The maximum Federal share of the
project is $85,000.
Matching or Cost Sharing Requirement: Grantee must provide at least
25 percent of the total cost of the project.
Anticipated Number of Projects to be Funded: It is anticipated that
one project will be funded.
1.07 Regional Conference on the Adoption of Minority Children
Eligible Applicants: State or local, public or nonprofit agencies,
or organizations with experience in organizing a coordinated effort for
sponsoring and conducting a Conference on the Adoption of Minority
Children in one of the HHS Regions.
Purpose: To support the planning for, and conduct of, a Regional
Conference on the Adoption of Minority Children.
Background Information: For the past two years, the ACYF has
provided funds to its Regional Offices to conduct conferences in each
Region which address issues in the adoption of minority children.
Approximately 3,000 persons participated in the 2-day conferences.
Because of the benefits and effectiveness of these conferences,
participants requested that this effort be continued to build on
established linkages and address issues across the regions. Successful
applicants will work with the Regional Office to jointly plan the
conference, arrange travel for participants and select a site. These
conferences provide opportunities for agency directors, social workers,
adoptive parents, volunteers and a broad range of other professionals
to interact with adoption experts. Past conferences consisted of
plenary and workshop sessions. These sessions focused on a variety of
issues in agency practice and policies which create barriers to the
adoption of minority children.
Minimum Requirements for Project Design: In order to successfully
compete under this priority area, the applicant should:
Describe organization and management plans for planning
the conference. Identify agencies, individuals, and organizations that
would sponsor the conference and participate in its planning and
implementation. Identify contributions expected from organizations in
regard to personnel time and other costs.
Discuss plans for identifying the conference site,
including the availability of hotels, and conference space.
Describe plans for developing the conference theme,
proposed agenda topics and the forums to address critical issues in the
field.
Discuss the materials that would be included in a program
packet/kit for the conference.
Describe the steps to be taken to involve participants
from various disciplines in the conference and the efforts that would
be made to address racial, ethnic and cultural diversity.
Describe plans for exhibits, resource tables, films and
video tape forums.
Propose a plan for evaluating the conference and describe
how it would be conducted.
Project Duration: The length of the project must not exceed 17
months.
Federal Share of Project Costs: The maximum Federal share is not to
exceed $40,000.
Matching or Cost Sharing Requirement: Grantees must provide at
least 25 percent of the total cost of the project.
Anticipated Number of Projects to be Funded: It is anticipated that
ten projects will be funded, one in each HHS region. (These grants will
be managed by the appropriate Regional Offices.)
1.08 Developing Collaborative Efforts between Foster Care and Adoption
Staff to Improve Child Welfare Services From Intake to Permanency
Eligible Applicants: Public State Child Welfare agencies in the
Department of Health and Human Services Regions II (NY, PR, NJ, VI),
III (DE, MD, VA, WV, PA, DC), IV (AL, FL, GA, KY, MS, NC, SC, TN), VII
(MO, IA, NE, KS) and IX (HI, CA, NV and AZ) (Agencies in regions I, V,
VI, VIII, and X were funded in FY 1993.) Only one agency per Federal
Region will be awarded a grant.
Purpose: To establish and improve collaboration and develop
linkages between public child welfare agency foster care and adoption
staff in order to improve practices related to one or more of the
issues addressed in the Background section. The State that receives
funding within its Region will be designated as the lead State. That
State will assume responsibility for bringing together foster care and
adoption staff in participating States within its Region to address
effective intervention approaches to deal with placement issues.
Background: It is the policy of all States to encourage adoption
opportunities for children with special needs who lack permanent
families and who could benefit from adoption. In most agencies,
children enter the child welfare system through protective services
units which determine whether the child is dependent, neglected or
abandoned. Generally, children are placed temporarily in substitute
care pending an assessment of the child's needs and the family's
situation. When children are in substitute care, agencies must develop
a case plan for each child and conduct periodic case reviews and
dispositional hearings to monitor progress under the plan and to
evaluate its appropriateness for attaining a permanent home.
One of the three major issues to be addressed by projects funded
under this priority area is the problem of many initially-temporary
foster care and/or adoptive placements which ultimately become
permanent. Over 60 percent of adopted special needs children have been
adopted by their foster parents. Therefore, workers must consider this
when selecting initial foster care placements. Consideration must be
given to whether the best interests of the child would be served if the
temporary placement becomes a permanent home. Attention must be given
particularly to matters of race, ethnicity and culture. This is
especially true for special needs children who may be older and aware
of their cultural or ethnic histories, their siblings and their
extended families.
Recently, foster parents have resorted to the courts when children
are removed from foster homes to be placed in adoptive homes that are
determined by the social services agency to be more in the child's best
interest. These cases generate a great deal of publicity and are very
damaging to the children, who may be moved to yet another temporary
placement until the court determines where the child is to permanently
reside. The child welfare system must take responsibility for all
placement decisions; therefore, better planning must be conducted to
ensure that both the initial and the permanent placements for these
children are timely and appropriate.
A second issue to be addressed involves adopted children who
require residential placements. These should be considered as interim
placements in the hopes that the child will eventually return to the
adoptive family. However, staff in residential facilities do not have
access to training on adoption issues related to the child and the
adoptive family. Consequently, staff may fail to work with families
toward the reunification of the child with the family. Coordination
needs to be effected among child welfare agencies and residential
facilities to achieve comprehensive services for these children.
A third issue which must be addressed is the organizational
separation of foster care and adoption staff. This practice hinders
communication, case planning and case management for children who move
from foster care status to adoption status. Thus, barriers to
permanency planning are created. The ACYF seeks proposals from States
for projects which address the separation of foster care and adoption
services within State agencies. States in each Federal Region will work
together on issues and strategies to improve coordination of services
to help resolve these issues through meetings, and the exchange of
information and materials. The meetings should include appropriate
agency staff who can plan and implement the necessary changes. The
State agency in each Region which is awarded a grant will assume the
leadership role of locating meeting sites, convening meetings,
developing agendas and reporting on grant requirements. These three-
year grants will result in the development of a model of coordinated
services designed and tested in each Region.
Minimum Requirements for Project Design: In order to successfully
compete under this priority area, the applicant should:
Focus on addressing one or more of the issues addressed in
the background section.
Provide letters of support for the project from a minimum
of three States in the Region (which includes the State submitting the
application) that would participate in the project.
Describe the existing organization of foster care/adoption
services in States within the Region and the need to develop and
implement a new approach for these two functions to work together more
effectively.
Identify and describe existing barriers to coordination in
practice and policy in the States that would participate in the
project.
Describe how the agencies would incorporate the results of
the project into their ongoing programs and how these efforts would be
continued beyond the period of Federal support.
Provide assurances that at least one key person from the
project would attend the annual Child Welfare Conference in Washington,
DC. (The Conference is held for Adoption Opportunities and other
Children's Bureau grantees to exchange information and address current
child welfare trends and issues.)
Provide assurance that the project would be staffed and
implemented within 90 days of the notification of the grant award.
Provide for an evaluation of the project and include a
discussion of the proposed evaluation design. The evaluation should
focus on child and family outcome measures (e.g., number of families
recruited, number of children placed, disruption rates, etc.).
Project Duration: The length of the project must not exceed 36
months.
Federal Share of Project Costs: The maximum Federal share is not to
exceed $75,000 per 12-month project period.
Matching or Cost Sharing Requirements: Grantees must provide at
least 25 percent of the total cost of the project.
Anticipated Number of Projects to be funded: It is anticipated that
five projects will be funded, one in each Region of the Department of
Health and Human Services that did not receive funding in FY 1993.
1.09 Field Initiated Proposals to Improve Adoption Services to
Children with Special Needs
Eligible Applicants: State, Regional or local public child welfare
or adoption agencies and voluntary child welfare or adoption agencies
or organizations.
Purpose: To improve adoption services for children with special
needs through activities which are not addressed elsewhere in this
announcement. This priority area provides public and voluntary agencies
and organizations involved in the adoption process with an opportunity
to present innovative ideas for improving child welfare and adoption
systems.
Background Information: Public child welfare workers who provide
adoption services are overburdened because of the shortage of staff and
the increasing child welfare caseload. In many public agencies,
adoption staff are expected to provide services not only to children
with special needs and their potential adoptive families, but also to
families requesting independent, inter-country and other types of
adoption. There is also a growing need to provide post-legal adoption
services to preserve adoptive families as well as an increasing
responsibility for search and reunion services. This places substantial
burdens on limited adoption agency resources which are needed to serve
the special needs population.
At any given time, approximately 50,000 children are legally free
for adoption. Minority children continue to be over-represented among
this group. Older children and sibling groups also continue to present
unique challenges. Other sub-populations, such as drug-exposed infants
and medically-fragile infants, will be or are currently testing the
capacity of adoption programs. Innovative efforts, embodying the spirit
of public-private partnerships, are needed to provide permanent
adoptive homes to all waiting children.
Because there are so many different issues that face the public and
voluntary sectors, ACYF is requesting field-initiated proposals that
address the most problematic areas in serving children with special
needs for whom adoption is the plan. These proposals must be
innovative; they cannot be a replication of a previous project or be
responsive to other priority areas identified in this announcement.
Minimum Requirements for Project Design: In order to compete
successfully under this priority area, the applicant should:
Describe the agency's current adoption program and the
specific problem(s) that would be addressed.
Describe the approach that would be used to alleviate the
problem(s).
Document that this is a new approach that has not been
used before, based on a review of the literature and any other relevant
sources.
Provide specific written commitments from cooperating or
collaborating agencies, if appropriate.
Provide for an evaluation of the project and include a
discussion of the proposed evaluation design. The evaluation should
focus on child and family outcome measures (e.g., number of families
recruited, number of children placed, disruption rates, etc.).
Describe how the agency would incorporate successful
results of the project into its ongoing program.
Provide assurances that at least one key person from the
project would attend the Child Welfare Conference in Washington, DC
(The conference is held for Adoption Opportunities and other Children's
Bureau grantees to exchange information and to address current child
welfare trends and issues.).
Provide assurances that the project would be staffed and
implemented within 90 days of the notification of the grant award.
Describe the reports and/or other products that would be
developed under the project, including the types of information that
would be presented and the steps that would be undertaken to
disseminate and promote the utilization of project products and
findings.
Project Duration: The length of the project must not exceed 24
months.
Federal Share of Project Costs: The maximum Federal share of the
project is not to exceed $150,000 per 12-month budget period.
Matching or Cost Sharing Requirements: Grantees must provide at
least 25 percent of the total cost of the project.
Anticipated Number of Projects to be Funded: It is anticipated that
seven projects will be funded.
Part III--Instructions for the Development and Submission of
Applications
This Part contains information and instructions for submitting
applications in response to this announcement. Application forms are
provided along with a checklist for assembling an application package.
Please copy and use these forms in submitting an application.
Potential applicants should read this section carefully in
conjunction with the information contained within the specific priority
area under which the application is to be submitted. The priority area
descriptions are in Part II.
A. Required Notification of the State Single Point of Contact
The Adoption Opportunities Program is covered under Executive Order
12372, Intergovernmental Review of Federal Programs, and 45 CFR part
100, Intergovernmental Review of Department of Health and Human
Services Program and Activities. Under the Order, States may design
their own processes for reviewing and commenting on proposed Federal
assistance under covered programs.
All States and territories, except Alabama, Alaska, Connecticut,
Hawaii, Idaho, Kansas, Louisiana, Minnesota, Montana, Nebraska,
Oklahoma, Oregon, Pennsylvania, Virginia, Washington, American Samoa
and Palau, have elected to participate in the Executive Order process
and have established State Single Point of Contact (SPOCs). Applicants
from these seventeen (17) jurisdictions need take no action regarding
E. O. 12372. Applicants for projects to be administered by Federally-
recognized Indian Tribes are also exempt from the requirements of E.O.
12372. Otherwise, applicants should contact their SPOCs as soon as
possible to alert them of the prospective applications and receive any
necessary instructions. Applicants must submit any required material to
the SPOCs as soon as possible so that the program office can obtain and
review SPOC comments as part of the award process. It is imperative
that the applicant submit all required materials, if any, to the SPOC
and indicate the date of this submittal (or the date of contact if no
submittal is required) on the Standard Form 424, item 16a.
Under 45 CFR 100.8(a)(2), a SPOC has 60 days from the application
deadline to comment on proposed new or competing continuation awards.
SPOCs are encouraged to eliminate the submission of routine
endorsements as official recommendations.
Additionally, SPOCs are requested to clearly differentiate between
mere advisory comments and those official State process recommendations
which they intend to trigger the accommodate or explain rule.
When comments are submitted directly to ACF, they should be
addressed to:
ADDRESSES: Applications may be mailed to the Department of Health and
Human Services Administration for Children and Families, Division of
Discretionary Grants, 370 L'Enfant Promenade, SW., 6th Floor East, OFM/
DDG, Washington, DC 20447.
Hand delivered applications are accepted during normal working
hours of 8 a.m. to 4:30 p.m., Monday through Friday, on or prior to the
established closing date at: Administration for Children and Families,
Division of Discretionary Grants, 6th Floor OFM/DDG, 901 D Street, SW.,
Washington, DC 20447.
A list of the Single Points of Contact for each State and Territory
is included as Appendix B of this announcement.
B. Deadline for Submission of Applications
Deadline: Applications shall be considered as meeting the announced
deadline if they are either:
1. Received on or before the deadline date at:
ADDRESSES: Applications may be mailed to the Department of Health and
Human Services Administration for Children and Families, Division of
Discretionary Grants, 370 L'Enfant Promenade, SW., 6th Floor East, OFM/
DDG, Washington, DC 20447.
Hand delivered applications are accepted during normal working
hours of 8 a.m. to 4:30 p.m., Monday through Friday, on or prior to the
established closing date at: Administration for Children and Families,
Division of Discretionary Grants, 6th Floor OFM/DDG, 901 D Street, SW.,
Washington, DC 20447.
2. Sent on or before the deadline date and received by the granting
agency in time for the independent review under DHHS GAM Chapter 1-62.
(Applicants are cautioned to request a legibly dated U.S. Postal
Service postmark or to obtain a legibly dated receipt from a commercial
carrier or U.S. Postal Service. Private Metered postmarks shall not be
acceptable as proof of timely mailing.)
Late Applications: Applications which do not meet the criteria
stated above are considered late applications. The granting agency
shall notify each late applicant that its application will not be
considered in the current competition.
Extension of Deadlines: The granting agency may extend the deadline
for all applicants because of acts of God such as floods, hurricanes,
etc, or when there is a widespread disruption of the mails. However, if
the granting agency does not extend the deadline for all applicants, it
may not waive or extend the deadline for any applicants.
C. Instructions for Preparing the Application and Completing
Application Forms
The SF 424, 424A, 424B, and certifications have been reprinted for
your convenience in preparing the application. See Appendix A. You
should reproduce single-sided copies of these forms from the reprinted
forms in the announcement, typing your information onto the copies.
Please do not use forms directly from the Federal Register
announcement, as they are printed on both sides of the page.
Please prepare your application in accordance with the following
instructions:
1. SF 424 Page 1, Application Cover Sheet
Please read the following instructions before completing the
application cover sheet. An explanation of each item is included.
Complete only the items specified.
Top of Page. Enter the single priority area number under which the
application is being submitted. An application should be submitted
under only one priority area.
Item 1. Type of Submission--Preprinted on the form.
Item 2. Date Submitted and Applicant Identifier--Date application
is submitted to ACYF and applicant's own internal control number, if
applicable.
Item 3. Date Received By State--State use only (if applicable).
Item 4. Date Received by Federal Agency--Leave blank.
Item 5. Applicant Information
Legal Name--Enter the legal name of the applicant organization. For
applications developed jointly, enter the name of the lead organization
only. There must be a single applicant for each application.
Organizational Unit--Enter the name of the primary unit within the
applicant organization which will actually carry out the project
activity. Do not use the name of an individual as the applicant. If
this is the same as the applicant organization, leave the
organizational unit blank.
Address--Enter the complete address that the organization actually
uses to receive mail, since this is the address to which all
correspondence will be sent. Do not include both street address and
P.O. Box number unless both must be used in mailing.
Name and telephone number of the person to be contacted on matters
involving this application (give area code)--Enter the full name
(including academic degree, if applicable) and telephone number of a
person who can respond to questions about the application. This person
should be accessible at the address given here and will receive all
correspondence regarding the application.
Item 6. Employer Identification Number (EIN)--Enter the employer
identification number of the applicant organization, as assigned by the
Internal Revenue Service, including, if known, the Central Registry
System suffix.
Item 7. Type of Applicant--Self-explanatory.
Item 8. Type of Application--Preprinted on the form.
Item 9. Name of Federal Agency--Preprinted on the form.
Item 10. Catalog of Federal Domestic Assistance Number and Title--
Enter the Catalog of Federal Domestic Assistance (CFDA) number assigned
to the program under which assistance is requested and its title, as
indicated in the relevant priority area description.
Item 11. Descriptive Title of Applicant's Project--Enter the
project title. The title is generally short and is descriptive of the
project, not the priority area title.
Item 12. Areas Affected by Project--Enter the governmental unit
where significant and meaningful impact could be observed. List only
the largest unit or units affected, such as State, county, or city. If
an entire unit is affected, list it rather than subunits.
Item 13. Proposed Project--Enter the desired start date for the
project and projected completion date.
Item 14. Congressional District of Applicant/Project--Enter the
number of the Congressional district where the applicant's principal
office is located and the number of the Congressional district(s) where
the project will be located. If statewide, a multi-State effort, or
nationwide, enter 00.
Items 15. Estimated Funding Levels
In completing 15a through 15f, the dollar amounts entered should
reflect, for a 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 II, Sections E and F, and the
specific priority area description.
Item 15f. Enter the estimated amount of income, if any, expected to
be generated from the proposed project. Do not add or subtract this
amount from the total project amount entered under item 15g. Describe
the nature, source and anticipated use of this income in the Project
Narrative Statement.
Item 15g. Enter the sum of items 15a-15e.
Item 16a. Is Application Subject to Review By State Executive Order
12372 Process? Yes.--Enter the date the applicant contacted the SPOC
regarding this application. Select the appropriate SPOC from the
listing provided at the end of Part III. The review of the application
is at the discretion of the SPOC. The SPOC will verify the date noted
on the application. If there is a discrepancy in dates, the SPOC may
request that the Federal agency delay any proposed funding until
September 1993.
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 17 months or less or (2) the first year budget period, if the
proposed project period exceeds 17 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 if the proposed project period is 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 itemized budget justification for each line item is
required. The types of information to be included in the justification
are indicated under each category. For multiple year projects, it is
desirable to provide this information for each year of the project. The
budget justification should immediately follow the second page of the
SF 424A.
Personnel--Line 6a. Enter the total costs of salaries and wages of
applicant/grantee staff. Do not include the costs of consultants, which
should be included on line 6h, Other.
Justification: Identify the principal investigator or project
director, if known. Specify by title or name the percentage of time
allocated to the project, the individual annual salaries, and the cost
to the project (both Federal and non-Federal) of the organization's
staff who will be working on the project.
Fringe Benefits--Line 6b. Enter the total cost of fringe benefits,
unless treated as part of an approved indirect cost rate.
Justification: Provide a break-down of amounts and percentages that
comprise fringe benefit costs, such as health insurance, FICA,
retirement insurance, etc.
Travel--6c. Enter total costs of out-of-town travel (travel
requiring per diem) for staff of the project. Do not enter costs for
consultant's travel or local transportation, which should be included
on Line 6h, Other.
Justification: Include the name(s) of traveler(s), total number of
trips, destinations, length of stay, transportation costs and
subsistence allowances.
Equipment--Line 6d. Enter the total costs of all equipment to be
acquired by the project. Equipment is defined as non-expendable
tangible personal property having a useful life of more than one year
and an acquisition cost of $5,000 or more per unit. For all other
applicants, the threshold for equipment is $500 or more per unit. The
higher threshold for State and local governments became effective
October 1, 1988, through the implementation of 45 CFR Part 92, Uniform
Administrative Requirements for Grants and Cooperative Agreements to
State and Local Governments.
Justification: Equipment to be purchased with Federal funds must be
justified. The equipment must be required to conduct the project, and
the applicant organization or its subgrantees must not have the
equipment or a reasonable facsimile available to the project. The
justification also must contain plans for future use or disposal of the
equipment after the project ends.
Supplies--Line 6e. Enter the total costs of all tangible expendable
personal property (supplies) other than those included on Line 6d.
Justification: Specify general categories of supplies and their
costs.
Contractual--Line 6f. Enter the total costs of all contracts,
including: (1) Procurement contracts (except those which belong on
other lines such as equipment, supplies, etc.) and (2) contracts with
secondary recipient organizations, including delegate agencies. Also
include any contracts with organizations for the provision of technical
assistance. Do not include payments to individuals on this line. If the
name of the contractor, scope of work, and estimated total costs are
not available or have not been negotiated, include on Line 6h, Other.
Justification: Attach a list of contractors, indicating the names
of the organizations, the purposes of the contracts, and the estimated
dollar amounts of the awards as part of the budget justification.
Whenever the applicant/grantee intends to delegate part or all of the
program to another agency, the applicant/grantee must complete this
section (Section B, Budget Categories) for each delegate agency by
agency title, along with the supporting information. The total cost of
all such agencies will be part of the amount shown on Line 6f. Provide
backup documentation identifying the name of contractor, purpose of
contract, and major cost elements. Applicants who anticipate
procurements that will exceed $5,000 (non-governmental entities) or
$25,000 (governmental entities) and are requesting an award without
competition should include a sole source justification in the proposal
which at a minimum should include the basis for contractor's selection,
justification for lack of competition when competitive bids or offers
are not obtained and basis for award cost or price.
Note: Previous or past experience with a contractor is not
sufficient justification for sole source.)
Construction--Line 6g. Not applicable. New construction is not
allowable.
Other--Line 6h. Enter the total of all other costs. Where
applicable, such costs may include, but are not limited to: insurance;
medical and dental costs; noncontractual fees and travel paid directly
to individual consultants; local transportation (all travel which does
not require per diem is considered local travel); space and equipment
rentals; printing and publication; computer use; training costs,
including tuition and stipends; training service costs, including wage
payments to individuals and supportive service payments; and staff
development costs. Note that costs identified as miscellaneous and
honoraria are not allowable.
Justification: Specify the costs included.
Total Direct Charges--Line 6i. Enter the total of Lines 6a through
6h.
Indirect Charges--6j. Enter the total amount of indirect charges
(costs). If no indirect costs are requested, enter none. Generally,
this line should be used when the applicant (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 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 45 CFR part 74, 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. Columns (d) and (e)
would be used in the case of a 60 month project.
Section F--Other Budget Information.
Direct Charges--Line 21. Not applicable.
Indirect Charges--Line 22. Enter the type of indirect rate
(provisional, predetermined, final or fixed) that will be in effect
during the funding period, the estimated amount of the base to which
the rate is applied, and the total indirect expense.
Remarks--Line 23. If the total project period exceeds 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 Summary Description
Clearly mark this separate page with the applicant name as shown in
item 5 of the SF 424, the priority area number as shown at the top of
the SF 424, and the title of the project as shown in item 11 of the SF
424. The summary description should not exceed 300 words. These 300
words become part of the computer database on each project.
Care should be taken to produce a summary description which
accurately and concisely reflects the proposal. It should describe the
objectives of the project, the approaches to be used and the outcomes
expected. The description should also include a list of major products
that will result from the proposed project, such as software packages,
materials, management procedures, data collection instruments, training
packages, or videos (please note that audiovisuals should be closed
captioned). The project summary description, together with the
information on the SF 424, will constitute the project abstract. It is
the major source of information about the proposed project and is
usually the first part of the application that the reviewers read in
evaluating the application.
At the bottom of the page, following the summary description, type
up to 10 key words which best describe the proposed project, the
service(s) involved and the target population(s) to be covered. These
key words will be used for computerized information retrieval for
specific types of funded projects.
4. Program Narrative Statement
The Program Narrative Statement is a very important part of an
application. It should be clear, concise, and address the specific
requirements mentioned under the priority area description in Part II.
The narrative should provide information concerning how the
application meets the evaluation criteria (see Section C, Part II),
using the following headings:
(a) Objectives and Need for Assistance;
(b) Approach; and
(c) Results and Benefits Expected;
(d) Staff Background and Organization's Experience.
The specific information to be included under each of these
headings is described in Section C of Part II, Evaluation Criteria.
The narrative should be typed double-spaced on a single-side of an
8\1/2\'' x 11'' plain white paper, with 1'' margins on all sides. All
pages of the narrative (including charts, references/footnotes, tables,
maps, exhibits, etc.) must be sequentially numbered, beginning with
Objectives and Need for Assistance as page number one. Applicants
should not submit reproductions of larger size paper, reduced to meet
the size requirement.
The length of the application, including the application forms and
all attachments, should not exceed 60 pages. A page is a single side of
an 8\1/2\'' x 11'' sheet of paper. Applicants are requested not to send
pamphlets, brochures or other printed material along with their
application as these pose xeroxing difficulties. These materials, if
submitted, will not be included in the review process if they exceed
the 60-page limit. Each page of the application will be counted to
determine the total length.
5. Organizational Capability Statement
The Organizational Capability Statement should consist of a brief
(two to three pages) background description of how the applicant
organization (or the unit within the organization that will have
responsibility for the project) is organized, the types and quantity of
services it provides, and/or the research and management capabilities
it possesses. This description should cover capabilities not included
in the Program Narrative Statement. It may include descriptions of any
current or previous relevant experience, or describe the competence of
the project team and its demonstrated ability to produce a final
product that is readily comprehensible and usable. An organization
chart showing the relationship of the project to the current
organization should be included.
6. Part IV--Assurances/Certifications
Applicants are required to file an SF 424B, Assurances--Non-
Construction Programs and the Certification Regarding Lobbying. Both
must be signed and returned with the application. In addition,
applicants must certify their compliance with: (1) Drug-Free Workplace
Requirements; and (2) Debarment and Other Responsibilities. Copies of
these assurances/certifications are reprinted at the end of this
announcement 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.
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.
D. Checklist for a Complete Application
The checklist below is for your use to ensure that your application
package has been properly prepared.
--One original, signed and dated application, plus two copies.
Applications for different priority areas are packaged separately;
--Application is from an organization which is eligible under the
eligibility requirements defined in the priority area description
(screening requirement);
--Application length 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);
--Budget Information--Non-Construction Programs (SF 424A, Rev 4-88);
--Budget justification for Section B--Budget Categories;
--Table of Contents;
--Letter from the Internal Revenue Service to prove non-profit status,
if necessary;
--Copy of the applicant's approved indirect cost rate agreement, if
appropriate;
--Project summary description and listing of key words;
--Program Narrative Statement (See Part II, Section C);
--Organizational capability statement, including an organization chart;
--Any appendices/attachments;
--Assurances--Non-Construction Programs (Standard Form 424B, REV 4-88);
--Certification Regarding Lobbying; and
--Certification of Protection of Human Subjects, if necessary.
E. The Application Package
Each application package must include an original and two copies of
the complete application. Each copy should be stapled securely (front
and back if necessary) in the upper left-hand corner. All pages of the
narrative (including charts, tables, maps, exhibits, etc.) must be
sequentially numbered, beginning with page one. In order to facilitate
handling, please do not use covers, binders or tabs. Do not include
extraneous materials as attachments, such as agency promotion
brochures, slides, tapes, film clips, minutes of meetings, survey
instruments or articles of incorporation.
Do not include a self-addressed, stamped acknowledgment card. All
applicants will be notified automatically about the receipt of their
application. If acknowledgment of receipt of your application is not
received within eight weeks after the deadline date, please notify ACYF
by telephone at (202) 690-8243 or 690-6297.
Dated: April 18, 1994.
Olivia A. Golden,
Commissioner, Administration on Children, Youth and Families.
BILLING CODE 4184-04-P
TN02MY94.005
BILLING CODE 4184-O1-C
Instructions for the SF 424
This is a standard form used by applicants as a required
facesheet for preapplications and applications submitted for Federal
assistance. It will be used by Federal agencies to obtain applicant
certification that States which have established a review and
comment procedure in response to Executive Order 12372 and have
selected the program to be included in their process, have been
given an opportunity to review the applicant's submission.
Item and Entry
1. Self-explanatory.
2. Date application submitted to Federal agency (or State if
applicable) & applicant's control number (if applicable).
3. State use only (if applicable).
4. If this application is to continue or revise an existing
award, enter present Federal identifier number. If for a new
project, leave blank.
5. Legal name of applicant, name of primary organizational unit
which will undertake the assistance activity, complete address of
the applicant, and name and telephone number of the person to
contact on matters related to this application.
6. Enter Employer Identification Number (EIN) as assigned by the
Internal Revenue Service.
7. Enter the appropriate letter in the space provided.
8. Check appropriate box and enter appropriate letter(s) in the
space(s) provided:
--``New'' means a new assistance award.
--``Continuation'' means an extension for an additional funding/
budget period for a project with a projected completion date.
--``Revision'' means any change in the Federal Government's
financial obligation or contingent liability from an existing
obligation.
9. Name of Federal agency from which assistance is being
requested with this application.
10. Use the Catalog of Federal Domestic Assistance number and
title of the program under which assistance is requested.
11. Enter a brief descriptive title of the project. If more than
one program is involved, you should append an explanation on a
separate sheet. If appropriate (e.g., construction or real property
projects), attach a map showing project location. For
preapplications, use a separate sheet to provide a summary
description of this project.
12. List only the largest political entities affected (e.g.,
State, counties, cities).
13. Self-explanatory.
14. List the applicant's Congressional District and any
District(s) affected by the program or project.
15. Amount requested or to be contributed during the first
funding/budget period by each contributor. Value of in-kind
contributions should be included on appropriate lines as applicable.
If the action will result in a dollar change to an existing award,
indicate only the amount of the change. For decreases, enclose the
amounts in parentheses. If both basic and supplemental amounts are
included, show breakdown on an attached sheet. For multiple program
funding, use totals and show breakdown using same categories as item
15.
16. Applicants should contact the State Single Point of Contact
(SPOC) for Federal Executive Order 12372 to determine whether the
application is subject to the State intergovernmental review
process.
17. This question applies to the applicant organization, not the
person who signs as the authorized representative. Categories of
debt include delinquent audit disallowances, loans and taxes.
18. To be signed by the authorized representative of the
applicant. A copy of the governing body's authorization for your to
sign this application as official representative must be on file in
the applicant's office. (Certain Federal agencies may require that
this authorization be submitted as part of the application.)
BILLING CODE 4184-01-P
TN02MY94.006
TN02MY94.007
BILLING CODE 4184-01-C
Instructions for the SF-424A
General Instructions
This form is designed so that application can be made for funds
from one or more grant programs. In preparing the budget, adhere to
any existing Federal grantor agency guidelines which prescribe how
and whether budgeted amounts should be separately shown for
different functions or activities within the program. For some
programs, grantor agencies may require budgets to be separately
shown by function or activity. For other programs, grantor agencies
may require a breakdown by function or activity. Sections A, B, C,
and D should include budget estimates for the whole project except
when applying for assistance which requires Federal authorization in
annual or other funding period increments. In the latter case,
Sections A, B, C, and D should provide the budget for the first
budget period (usually a year) and Section E should present the need
for Federal assistance in the subsequent budget periods. All
applications should contain a breakdown by the object class
categories shown in Lines a-k of Section B.
Section A. Budget Summary Lines 1-4, Columns (a) and (b)
For applications pertaining to a single Federal grant program
(Federal Domestic Assistance Catalog number) and not requiring a
functional or activity breakdown, enter on Line 1 under Column (a)
the catalog program title and the catalog number in Column (b).
For applications pertaining to a single program requiring budget
amounts by multiple functions or activities, enter the name of each
activity or function on each line in Column (a), and enter the
catalog number in Column (b). For applications pertaining to
multiple programs where none of the programs require a breakdown by
function or activity, enter the catalog program title on each line
in Column (a) and the respective catalog number on each line in
Column (b).
For applications pertaining to multiple programs where one or
more programs require a breakdown by function or activity, prepare a
separate sheet for each program requiring the breakdown. Additional
sheets should be used when one form doe not provide adequate space
for all breakdown of data required. However, when more than one
sheet is used, the first page should provide the summary totals by
programs.
Lines 1-4, Columns (c) through (g.)
For new applications, leave Columns (c) and (d) blank. For each
line entry in Columns (a) and (b), enter in Columns (e), (f), and
(g) the appropriate amounts of funds needed to support the project
for the first funding period (usually a year).
For continuing grant program applications, submit these forms
before the end of each funding period as required by the grantor
agency. Enter in Columns (c) and (d) the estimated amounts of funds
which will remain unobligated at the end of the grant funding period
only if the Federal grantor agency instructions provide for this.
Otherwise, leave these columns blank. Enter in columns (e) and (f)
the amounts of funds needed for the upcoming period. The amount(s)
in Column (g) should be the sum of amounts in Columns (e) and (f).
For supplemental grants and changes to existing grants, do not
use Columns (c) and (d). Enter in Column (e) the amount of the
increase or decrease of Federal funds and enter in Column (f) the
amount of the increase or decrease of non-Federal funds. In Column
(g) enter the new total budgeted amount (Federal and non-Federal)
which includes the total previous authorized budgeted amounts plus
or minus, as appropriate, the amounts shown in Columns (e) and (f).
The amount(s) in Column (g) should not equal the sum of amounts in
Columns (e) and (f).
Line 5--Show the totals for all columns used.
Section B. Budget Categories
In the column headings (1) through (4), enter the titles of the
same programs, functions, and activities shown on Lines 1-4, Column
(a), Section A. When additional sheets are prepared for Section A,
provide similar column headings on each sheet. For each program,
function or activity, fill in the total requirements for funds (both
Federal and non-Federal) by object class categories.
Lines 6a-i--Show the totals of Lines 6a to 6h in each column.
Line 6j--Show the amount of indirect cost.
Line 6k--Enter the total of amounts on Lines 6i and 6j. For all
applications for new grants and continuation grants the total amount
in column (5), Line 6k, should be the same as the total amount shown
in Section A, Column (g), Line 5. For supplemental grants and
changes to grants, the total amount of the increase or decrease as
shown in Columns (1)-(4), Line 6k should be the same as the sum of
the amounts in Section A, Columns (e) and (f) on Line 5.
Line 7--Enter the estimated amount of income, if any, expected
to be generated from this project. Do not add or subtract this
amount from the total project amount. Show under the program
narrative statement the nature and source of income. The estimated
amount of program income may be considered by the federal grantor
agency in determining the total amount of the grant.
Section C. Non-Federal-Resources
Lines 8-11--Enter amounts of non-Federal resources that will be
used on the grant. If in-kind contributions are included, provide a
brief explanation on a separate sheet.
Column (a)--Enter the program titles identical to Column (a),
Section A. A breakdown by function or activity is not necessary.
Columb (b)--Enter the contribution to be made by the applicant.
Column (c)--Enter the amount of the State's cash and in-kind
contribution if the applicant is not a State or State agency.
Applicants which are a State or State agencies should leave this
column blank.
Column (d)--Enter the amount of cash and inkind contributions to
be made from all other sources.
Column (e)--Enter totals of Columns (b), (c), and (d).
Line 12--Enter the total for each of Columns (b)-(e). The amount
in Column (e) should be equal to the amount on Line 5, Column (f),
Section A.
Section D. Forecasted Cash Needs
Line 13--Enter the amount of cash needed by quarter from the
grantor agency during the first year.
Line 14--Enter the amount of cash from all other sources needed
by quarter during the first year.
Line 15--Enter the totals of amounts on Line 13 and 14.
Section E. Budget Estimates of Federal Funds Needed for Balance of the
Project
Lines 16-19--Enter in Column (a) the same grant program titles
shown in Column (a), Section A. A breakdown by function or activity
is not necessary. For new applications and continuation grant
applications, enter in the proper columns amounts of Federal funds
which will be needed to complete the program or project over the
succeeding funding periods (usually in years). This section need not
be completed for revisions (amendments, changes, or supplements) to
funds for the current year of existing grants.
If more than four lines are needed to list the program titles,
submit additional schedules as necessary.
Line 20--Enter the total for each of the Columns (b)-(e). When
additional schedules are prepared for this Section, annotate
accordingly and show the overall totals on this line.
Section F. Other Budget Information
Line 21--Use this space to explain amounts for individual direct
object-class cost categories that may appear to be out of the
ordinary or to explain the details as required by the Federal
grantor agency.
Line 22--Enter the type of indirect rate (provisional,
predetermined, final or fixed) that will be in effect during the
funding period, the estimated amount of the base to which the rate
is applied, and the total indirect expense.
Line 23--Provide any other explanations or comments deemed
necessary.
Assurances--Non-Construction Programs
Note: Certain of these assurances may not be applicable to your
project or program. If you have questions, please contact the
awarding agency. Further, certain Federal awarding agencies may
require applicants to certify to additional assurances. If such is
the case, you will be notified.
As the duly authorized representative of the applicant I certify
that the applicant:
1. Has the legal authority to apply for Federal assistance, and
the institutional, managerial and financial capability (including
funds sufficient to pay the non-Federal share of project costs) to
ensure proper planning, management and completion of the project
described in this application.
2. Will give the awarding agency, the Comptroller General of the
United States, and if appropriate, the State, through any authorized
representative, access to and the right to examine all records,
books, papers, or documents related to the award; and will establish
a proper accounting system in accordance with generally accepted
accounting standards or agency directives.
3. Will establish safeguards to prohibit employees from using
their positions for a purpose that constitutes or presents the
appearance of personal or organizational conflict of interest, or
personal gain.
4. Will initiate and complete the work within the applicable
time frame after receipt of approval of the awarding agency.
5. Will comply with the Intergovernmental Personnel Act of 1970
(42 U.S.C. Secs. 4728-4763) relating to prescribed standards for
merit systems for programs funded under one of the nineteen statutes
or regulations specified in Appendix A of OPM's Standards for a
Merit System of Personnel Administration (5 C.F.R. 900, Subpart F).
6. Will comply with all Federal statutes relating to
nondiscrimination. These include but are not limited to: (a) Title
VI of the Civil Rights Act of 1964 (P.L. 88-352) which prohibits
discrimination on the basis of race, color or national origin; (b)
Title IX of the Education Amendments of 1972, as amended (20 U.S.C.
Secs. 1681-1683, and 1685-1686), which prohibits discrimination on
the basis of sex; (c) Section 504 of the Rehabilitation Act of 1973,
as amended (29 U.S.C. Sec. 794), which prohibits discrimination on
the basis of handicaps; (d) the Age Discrimination Act of 1975, as
amended (42 U.S.C. Secs. 6101-6107), which prohibits discrimination
on the basis of age; (e) the Drug Abuse Office and Treatment Act of
1972 (P.L. 92-255), as amended, relating to nondiscrimination on the
basis of drug abuse; (f) the Comprehensive Alcohol Abuse and
Alcoholism Prevention, Treatment and Rehabilitation Act of 1970
(P.L. 91-616), as amended, relating to nondiscrimination on the
basis of alcohol abuse or alcoholism; (g) Secs. 523 and 527 of the
Public Health Service Act of 1912 (42 U.S.C. 290 dd-3 and 290 ee-3),
as amended, relating to confidentiality of alcohol and drug abuse
patient records; (h) Title VIII of the Civil Rights Act of 1968 (42
U.S.C. Sec. 3601 et seq.), as amended, relating to nondiscrimination
in the sale, rental or financing of housing; (i) any other
nondiscrimination provisions in the specific statute(s) under which
application for Federal assistance is being made; and (j) the
requirements of any other nondiscrimination statute(s) which may
apply to the application.
7. Will comply, or has already complied, with the requirements
of Titles II and III of the Uniform Relocation Assistance and Real
Property Acquisition Policies Act of 1970 (P.L. 91-646) which
provide for fair and equitable treatment of persons displaced or
whose property is acquired as a result of Federal or federally
assisted programs. These requirements apply to all interests in real
property acquired for project purposes regardless of Federal
participation in purchases.
8. Will comply with the provisions of the Hatch Act (5 U.S.C.
Secs. 1501-1508 and 7324-7328) which limit the political activities
of employees whose principal employment activities are funded in
whole or in part with Federal funds.
9. Will comply, as applicable, with the provisions of the Davis-
Bacon Act (40 U.S.C. Secs. 276a to 276a-7), the Copeland Act (40
U.S.C. Sec. 276c and 18 U.S.C. Secs. 874), and the Contract Work
Hours and Safety Standards Act (40 U.S.C. Secs. 327-333), regarding
labor standards for federally assisted construction subagreements.
10. Will comply, if applicable, with flood insurance purchase
requirements of Section 102(a) of the Flood Disaster Protection Act
of 1973 (P.L. 93-234) which requires recipients in a special flood
hazard area to participate in the program and to purchase flood
insurance if the total cost of insurable construction and
acquisition is $10,000 or more.
11. Will comply with environmental standards which may be
prescribed pursuant to the following: (a) institution of
environmental quality control measures under the National
Environmental Policy Act of 1969 (P.L. 91-190) and Executive Order
(EO) 11514; (b) notification of violating facilities pursuant to EO
11738; (c) protection of wetlands pursuant to EO 11990; (d)
evaluation of flood hazards in floodplains in accordance with EO
11988; (e) assurance of project conspiracy with the approved State
management program developed under the Coastal Zone Management Act
of 1972 (16 U.S.C. Secs. 1451 et seq.); (f) conformity of Federal
actions to State (Clear Air) Implementation Plans under Section
176(c) of the Clear Air Act of 1955, as amended (42 U.S.C. Sec. 7401
et seq.); (g) protection of underground sources of drinking water
under the Safe Drinking Water Act of 1974, as amended, (P.L. 93-
523); and (h) protection of endangered species under the Endangered
Species Act of 1973, as amended, (P.L. 93-205).
12. Will comply with the Wild and Scenic Rivers Act of 1968 (16
U.S.C. Secs. 1271 et seq.) related to protecting components or
potential components of the national wild and scenic rivers system.
13. Will assist the awarding agency in assuring compliance with
Section 106 of the National Historic Preservation Act of 1966, as
amended (16 U.S.C. 470), EO 11593 (identification and protection of
historic properties), and the Archaeological and Historic
Preservation Act of 1974 (16 U.S.C. 469a-1 et seq.).
14. Will comply with P.L. 93-348 regarding the protection of
human subjects involved in research, development, and related
activities supported by this award of assistance.
15. Will comply with the Laboratory Animal Welfare Act of 1966
(P.L. 89-544, as amended, 7 U.S.C. 2131 et seq.) pertaining to the
care, handling, and treatment of warm blooded animals held for
research, teaching, or other activities supported by this award of
assistance.
16. Will comply with the Lead-Based Paint Poisoning Prevention
Act (42 U.S.C. Secs. 4801 et seq.) which prohibits the use of lead
based paint in construction or rehabilitation of residence
structures.
17. Will cause to be performed the required financial and
compliance audits in accordance with the Single Audit Act of 1984.
18. Will comply with all applicable requirements of all other
Federal laws, executive orders, regulations and policies governing
this program.
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Signature of Authorized Certifying Official
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Title
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Applicant Organization
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Date Submitted
Appendix B
Executive Order 12372--State Single Points of Contact
Arizona
Mrs. Janice Dunn, ATTN: Arizona State Clearinghouse, 3800 N. Central
Avenue, 14th Floor, Phoenix, Arizona 85012, Telephone (602) 280-1315
Arkansas
Tracie L. Copeland, Manager, State Clearinghouse, Office of
Intergovernmental Services, Department of Finance and
Administration, P.O. Box 3278, Little Rock, Arkansas 72203,
Telephone (501) 682-1074
California
Glenn Stober, Grants Coordinator, Office of Planning and Research,
1400 Tenth Street, Sacramento, California 95814, Telephone (916)
323-7480
Colorado
State Single Point of Contact, State Clearinghouse, Division of
Local Government, 1313 Sherman Street, Room 520, Denver, Colorado
80203, Telephone (303) 866-2156
Delaware
Ms. Francine Booth, State Single Point of Contact, Executive
Department, Thomas Collins Building, Dover, Delaware 19903,
Telephone (302) 736-3326
District of Columbia
Rodney T. Hallman, State Single Point of Contact, Office of Grants
Management and Development, 717 14th Street, N.W., Suite 500,
Washington, D.C. 20005, Telephone (202) 727-6551
Florida
Florida State Clearinghouse, Intergovernmental Affairs Policy Unit,
Executive Office of the Governor, Office of Planning and Budgeting,
The Capitol, Tallahassee, Florida 32399-0001, Telephone (904) 488-
8441
Georgia
Mr. Charles H. Badger, Administrator, Georgia State Clearinghouse,
254 Washington Street, S.W., Atlanta, Georgia 30334, Telephone (404)
656-3855
Illinois
Steve Klokkenga, State Single Point of Contact, Office of the
Governor, 107 Stratton Building, Springfield, Illinois 62706,
Telephone (217) 782-1671
Indiana
Jean S. Blackwell, Budget Director, State Budget Agency, 212 State
House, Indianapolis, Indiana 46204, Telephone (317) 232-5610
Iowa
Mr. Steven R. McCann, Division of Community Progress, Iowa
Department of Economic Development, 200 East Grand Avenue, Des
Moines, Iowa 50309, Telephone (515) 281-3725
Kentucky
Ronald W. Cook, Office of the Governor, Department of Local
Government, 1024 Capitol Center Drive, Frankfort, Kentucky 40601,
Telephone (502) 564-2382
Maine
Ms. Joyce Benson, State Planning Office, State House Station #38,
Augusta, Maine 04333, Telephone (207) 289-3261
Maryland
Ms. Mary Abrams, Chief, Maryland State Clearinghouse, Department of
State Planning, 301 West Preston Street, Baltimore, Maryland 21201-
2365, Telephone (301) 225-4490
Massachusetts
Karen Arone, State Clearinghouse, Executive Office of Communities
and Development, 100 Cambridge Street, Room 1803, Boston,
Massachusetts 02202, Telephone (617) 727-7001
Michigan
Richard S. Pastula, Director, Michigan Department of Commerce,
Lansing, Michigan 48909, Telephone (517) 373-7356
Mississippi
Ms. Cathy Mallette, Clearinghouse Officer, Office of Federal Grant
Management and Reporting, 301 West Pearl Street, Jackson,
Mississippi 39203, Telephone (601) 960-2174
Missouri
Ms. Lois Pohl, Federal Assistance Clearinghouse, Office of
Administration, P.O. Box 809, Room 430, Truman Building, Jefferson
City, Missouri 65102, Telephone (314) 751-4834
Nevada
Department of Administration, State Clearinghouse, Capitol Complex,
Carson City, Nevada 89710, Telephone (702) 687-4065, Attention: Ron
Sparks, Clearinghouse Coordinator
New Hampshire
Mr. Jeffrey H. Taylor, Director, New Hampshire Office of State
Planning, Attn: Intergovernmental Review, Process/James E. Bieber,
2\1/2\ Beacon Street, Concord, New Hampshire 03301, Telephone (603)
271-2155
New Jersey
Gregory W. Adkins, Acting Director, Division of Community Resources,
N.J. Department of Community Affairs, Trenton, New Jersey 08625-
0803, Telephone (609) 292-6613
Please direct correspondence and questions to: Andrew J.
Jaskolka, State Review Process, Division of Community Resources, CN
814, Room 609, Trenton, New Jersey 08625-0803, Telephone (609) 292-
9025.
New Mexico
George Elliott, Deputy Director, State Budget Division, Room 190,
Bataan Memorial Building, Santa Fe, New Mexico 87503, Telephone
(505) 827-3640, FAX (505) 827-3006
New York
New York State Clearinghouse, Division of the Budget, State Capitol,
Albany, New York 12224, Telephone (518) 474-1605
North Carolina
Mrs. Chrys Baggett, Director, Office of the Secretary of Admin.,
N.C. State Clearinghouse, 116 W. Jones Street, Raleigh, North
Carolina 27603-8003, Telephone (919) 733-7232
North Dakota
N.D. Single Point of Contact, Office of Intergovernmental
Assistance, Office of Management and Budget, 600 East Boulevard
Avenue, Bismarck, North Dakota 58505-0170, Telephone (701) 224-2094
Ohio
Larry Weaver, State Single Point of Contact, State/Federal Funds
Coordinator, State Clearinghouse, Office of Budget and Management,
30 East Broad Street, 34th Floor, Columbus, Ohio 43266-0411,
Telephone (614) 466-0698
Rhode Island
Mr. Daniel W. Varin, Associate Director, Statewide Planning Program,
Department of Administration, Division of Planning, 265 Melrose
Street, Providence, Rhode Island 02907, Telephone (401) 277-2656
Please direct correspondence and questions to: Review
Coordinator, Office of Strategic Planning.
South Carolina
Omeagia Burgess, State Single Point of Contact, Grant Services,
Office of the Governor, 1205 Pendleton Street, Room 477, Columbia,
South Carolina 29201, Telephone (803) 734-0494
South Dakota
Ms. Susan Comer, State Clearinghouse Coordinator, Office of the
Governor, 500 East Capitol, Pierre, South Dakota 57501, Telephone
(605) 773-3212
Tennessee
Mr. Charles Brown, State Single Point of Contact, State Planning
Office, 500 Charlotte Avenue, 309 John Sevier Building, Nashville,
Tennessee 37219, Telephone (615) 741-1676
Texas
Mr. Thomas Adams, Governor's Office of Budget and Planning, P.O. Box
12428, Austin, Texas 78711, Telephone (512) 463-1778
Utah
Utah State Clearinghouse, Office of Planning and Budget, ATTN:
Carolyn Wright, Room 116 State Capitol, Salt Lake City, Utah 84114,
Telephone (801) 538-1535
Vermont
Mr. Bernard D. Johnson, Assistant Director, Office of Policy
Research & Coordination, Pavilion Office Building, 109 State Street,
Montpelier, Vermont 05602, Telephone (802) 828-3326
West Virginia
Mr. Fred Cutlip, Director, Community Development Division, West
Virginia Development Office, Building #6, Room 553, Charleston, West
Virginia 25305, Telephone (304) 348-4010
Wisconsin
Mr. William C. Carey, Federal/State Relations, Wisconsin Department
of Administration, 101 South Webster Street, P.O. Box 7864, Madison,
Wisconsin 53707, Telephone (608) 266-0267
Wyoming
Sheryl Jeffries, State Single Point of Contact, Herschler Building,
4th Floor, East Wing, Cheyenne, Wyoming 82002, Telephone (307) 777-
7574
Guam
Mr. Michael J. Reidy, Director, Bureau of Budget and Management
Research, Office of the Governor, P.O. Box 2950, Agana, Guam 96910,
Telephone (671) 472-2285
Northern Mariana Islands
State Single Point of Contact, Planning and Budget Office, Office of
the Governor, Saipan, CM, Northern Mariana Islands 96950
Puerto Rico
Norma Burgos/Jose H. Caro, Chairman/Director, Puerto Rico Planning
Board, Minillas Government Center, P.O. Box 41119, San Juan, Puerto
Rico 00940-9985, Telephone (809) 727-4444
Virgin Islands
Jose L. George, Director, Office of Management and Budget, #41
Norregade Emanicipation Garden Station, Second Floor, Saint Thomas,
Virgin Islands 00802
Please direct correspondence to: Linda Clarke, Telephone (809)
774-0750
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TN02MY94.009
BILLING CODE 4184-01-C
Appendix D
Certification Regarding Debarment, Suspension, and Other
Responsibility Matters--Primary Covered Transactions
By signing and submitting this proposal, the applicant, defined
as the primary participant in accordance with 45 CFR Part 76,
certifies to the best of its knowledge and believe that it and its
principals:
(a) are not presently debarred, suspended, proposed for
debarment, declared ineligible, or voluntarily excluded from covered
transactions by any Federal Department or agency;
(b) have not within a 3-year period preceding this proposal been
convicted of or had a civil judgment rendered against them for
commission of fraud or a criminal offense in connection with
obtaining, attempting to obtain, or performing a public (Federal,
State, or local) transaction or contract under a public transaction;
violation of Federal or State antitrust statutes or commission of
embezzlement, theft, forgery, bribery, falsification or destruction
of records, making false statements, or receiving stolen property;
(c) are not presently indicted or otherwise criminally or
civilly charged by a governmental entity (Federal, State or local)
with commission of any of the offenses enumerated in paragraph (1)
(b) of this certification; and
(d) have not within a 3-year period preceding this application/
proposal had one or more public transactions (Federal, State, or
local) terminated for cause or default.
The inability of a person to provide the certification required
above will not necessarily result in denial of participation in this
covered transaction. If necessary, the prospective participant shall
submit an explanation of why it cannot provide the certification.
The certification or explanation will be considered in connection
with the Department of Health and Human Services (HHS) determination
whether to enter into this transaction. However, failure of the
prospective primary participant to furnish a certification or an
explanation shall disqualify such person from participation in this
transaction.
The prospective primary participant agrees that by submitting
this proposal, it will include the clause entitled ``Certification
Regarding Debarment, Suspension, Ineligibility, and Voluntary
Exclusion--Lower Tier Covered Transaction.'' provided below without
modification in all lower tier covered transactions and in all
solicitations for lower tier covered transactions.
Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion--Lower Tier Covered Transactions
(To Be Supplied to Lower Tire Participants)
By signing and submitting this lower tier proposal, the
prospective lower tier participant, as defined in 45 CFR Part 76,
certifies to the best of its knowledge and belief that it and its
principals:
(a) are not presently debarred, suspended, proposed for
debarment, declared ineligible, or voluntarily excluded from
participation in this transaction by any federal department or
agency.
(b) where the prospective lower tier participant is unable to
certify to any of the above, such prospective participant shall
attach an explanation to this proposal.
The prospective lower tier participant further agrees by
submitting this proposal that it will include this clause entitled
``certification Regarding Debarment, Suspension, Ineligibility, and
Voluntary Exclusion--Lower Tier Covered Transactions. ``Without
modification in all lower tier covered transactions and in all
solicitations for lower tier covered transactions.
Appendix E--Certification Regarding Lobbying
Certification for Contracts, Grants, Loans, and Cooperative
Agreements
The undersigned certifies, to the best of his or her knowledge
and belief, that:
(1) No Federal appropriated funds have been paid or will be
paid, by or on behalf of the undersigned, to any person for
influencing or attempting to influence an officer or employee of any
agency, a Member of Congress, an officer or employee of Congress, or
an employee of a Member of Congress in connection with the awarding
of any Federal contract, the making of any Federal grant, the making
of any Federal loan, the entering into of any cooperative agreement,
and the extension, continuation, renewal, amendment, or modification
of any Federal contract, grant, loan, or cooperative agreement.
(2) If any funds other than Federal appropriated funds have been
paid or will be paid to any person for influencing or attempting to
influence an officer or employee of any agency, a Member of
Congress, an officer or employee of Congress, or an employee of a
Member of Congress in connection with this Federal contract, grant,
loan or cooperative agreement, the undersigned shall complete and
submit Standard Form-LLL, ``Disclosure Form to Report Lobbying,'' in
accordance with its instructions.
(3) The undersigned shall require that the language of this
certification be included in the award documents for all subawards
at all tiers (including subcontracts, subgrants, and contracts under
grants, loans, and cooperative agreements) and that all
subrecipients shall certify and disclose accordingly.
This certification is a material representation of fact upon
which reliance was placed when this transaction was made or entered
into. Submission of this certification is a prerequisite for making
or entering into this transaction imposed by section 1352, title 31,
U.S. Code. Any person who fails to file the required certification
shall be subject to a civil penalty of not less than $10,000 and not
more than $100,000 for each such failure.
State for Loan Guarantee and Loan Insurance
The undersigned states, to the best of his or her knowledge and
belief, that:
If any funds have been paid or will be paid to any person for
influencing or attempting to influence an officer or employee of any
agency, a Member of Congress, an officer or employee of Congress, or
an employee of a Member of Congress in connection with this
commitment providing for the United States to insure or guarantee a
loan, the undersigned shall complete and submit Standard Form-LLL
``Disclosure Form to Report Lobbying,'' in accordance with its
instructions.
Submission of this statement is a prerequisite for making or
entering into this transaction imposed by section 1352, title 31,
U.S. Code. Any person who fails to file the required statement shall
be subject to a civil penalty of not less than $10,000 and not more
than $100,000 for each such failure.
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Signature
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Title
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Organization
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Date
BILLING CODE 4184-01-P
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[FR Doc. 94-10209 Filed 4-29-94; 8:45 am]
BILLING CODE 4184-01-C