[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: 94-9930]


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[Federal Register: May 2, 1994]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Administration for Children and Families
[Program Announcement No. 93554.942]

 

Availability of FY 1994 Funds and Request for Applications; 
Emergency Child Abuse and Neglect Prevention Services Program

AGENCY: Administration on Children, Youth and Families (ACYF), 
Administration for Children and Families (ACF), Department of Health 
and Human Services (DHHS).

ACTION: Notice of fiscal year (FY) 1994 financial assistance and 
request for applications for service demonstration projects under 
Section 107A of the Child Abuse Prevention and Treatment Act.

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SUMMARY: The National Center on Child Abuse and Neglect (NCCAN) in the 
Administration on Children, Youth and Families announces the 
availability of funds to conduct service demonstration projects to 
prevent the abuse or neglect of children whose parents or caretakers 
are substance abusers by providng family support and preservation 
services, and for interdisciplinary training programs for professionals 
who serve that population.
    In 1991, 94 projects were funded to provide comprehensive, 
interdisciplinary, coordinated services, training and public education 
to address the needs of these children and their families, under Sec. 
107A. [42 U.S.C. 5106a-1] of the Child Abuse Prevention and Treatment 
Act. Fiscal year 1994 funds are available to further develop program 
efforts in comprehensive, interdisciplinary, coordinated services and/
or training. These projects will serve as pilot service demonstrations 
for such children and their families, as States develop family 
preservation and support services under the recently enacted Family 
Preservation and Support Program. Applications must be developed 
collaboratively with the state agency responsible for the state 
planning and implementation of Family Preservation and Support Services 
(Title IV-B of the Social Security Act, Subpart 2), in order to assure 
linkages now and in the future to family support and family 
preservation State planning and service development.
    Programs will be funded in two priority areas: 1. Community-based 
service demonstration projects which provide family preservation and 
support services to families in which children are at risk of child 
abuse and neglect due to parental or caretaker substance abuse.
    2. State, multi-state or regional interdisciplinary training 
programs which address the coexisting problems of substance abuse and 
child abuse and neglect for current practitioners and administrators 
from disciplines or agencies serving abused and neglected children and 
their families, or those at risk of abuse and neglect.

DATES: The closing date for submission of applications is July 18, 
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 OFM/DDG, 
Washington, DC, 20447, Attention: Maiso Bryant.
    Hand delivered applications are accepted during the 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, Attention: Maiso Bryant.

FOR FURTHER INFORMATION CONTACT: Janice P. Shafer (202) 205-8306.

Eligibility: Eligible entities that may apply are:
    (a) State and local agencies that are responsible for administering 
child abuse or related intervention services; and
    (b) Community and mental health agencies and nonprofit youth-
serving organizations with experience in providing child abuse 
prevention services.
    In cases where applications have been reviewed and evaluated and 
are determined to be qualitatively of equal strength, priority 
consideration will be given to those entities funded in 1991 under 
Program Announcement No. 93554.911, published in the Federal Register, 
July 11, 1991, (56 FR 31782), entitled Emergency Child Abuse and 
Neglect Prevention Services Program: Availability of Funds and Request 
for Applications; Notice.

SUPPLEMENTARY INFORMATION: This announcement consists of three parts. 
Part I provides background information on the National Center on Child 
Abuse and Neglect (NCCAN) and the statutory authority for this program. 
Part II states the problem and describes the priorities under which 
NCCAN is soliciting applications for fiscal year (FY) 1994 funding of 
Emergency Child Abuse Prevention Services projects. Part III provides 
general information and requirements for preparing and submitting 
applications along with the criteria for the review and evaluation of 
applications.
    All forms and instructions necessary to submit an application are 
published as part of this announcement following Part III.

I. Agency and Statutory Background

    In 1974, the Child Abuse Prevention and Treatment Act (the Act) 
established the National Center on Child Abuse and Neglect (NCCAN) in 
the Department of Health and Human Services (DHHS). NCCAN is located 
organizationally within the Administration on Children, Youth and 
Families, Administration for Children and Families.
    NCCAN conducts activities designed to assist and enhance national, 
State and community efforts to prevent, identify and treat child abuse 
and neglect. These activities include: Conducting research and 
demonstrations; supporting service improvement projects; gathering, 
analyzing and disseminating information through a national 
clearinghouse; providing grants to eligible States for strengthening 
and improving child protective services programs; and coordinating 
Federal activities related to child abuse and neglect through an Inter-
Agency Task Force on Child Abuse and Neglect composed of Federal 
agencies.
    In 1989, the Act was amended by the addition of Section 107A as 
part of the Drug-Free Schools and Communities Act amendments (Pub. L. 
101-226), 42 U.S.C. 5106a-1. Congress authorized funding for the 
Emergency Services Program under these amendments, and in FY 1991, 
ninety-four projects were funded to provide and improve the delivery of 
services to children who are victims of or at risk of child abuse and 
whose parents or caretakers are substance abusers. Projects funded 
under this program were required to be comprehensive, coordinated with 
other public and/or private community service providers, and multi-
disciplinary in nature. They were funded in four priority areas: (1) 
Development of emergency service delivery models to provide crisis 
intervention for children and adolescents in substance abusing families 
who have been reported to protective service agencies; (2) Development 
of public education and information models to address the issue of 
substance abuse and its correlation with the maltreatment of children 
and youth; (3) Improvement of services and removal of barriers to 
treatment for substance abusing parents, families and adolescents; and 
(4) Development or expansion of short-term interdisciplinary training 
models on the inter-relationships of substance abuse and child abuse, 
for current child protection/child welfare and substance abuse 
prevention and treatment practitioners. These projects provided a broad 
range of creative, coordinated services including, but not limited to, 
respite care, reunification or permanency planning for children removed 
by protective services, prevention services to children at risk of 
removal to foster care, home visitation services, parent support 
groups, activities to strengthen the parent-child relationship, 
information and referral to related community support services, 
parenting education, and case management. In many cases, structural and 
policy changes were made within and among agencies to improve the 
delivery of services to families. The array of services developed by 
these programs are consistent with those defined as family support and 
family preservation services. A list and description of projects funded 
under the original Emergency Services Program solicitation is available 
from the Clearinghouse on Child Abuse and Neglect Information ((800) 
FYI-3366) by requesting the document Emergency Child Abuse and Neglect 
Prevention Services Program (Revised April 1993).
    In FY 1993, ACYF was given the responsibility for implementation of 
a new child welfare program. A new Subpart 2 was added to title IV-B of 
the Social Security Act by the Omnibus Budget Reconciliation Act of 
1993 (August 1993). Entitled ``Family Preservation and Family Support 
Services'', this initiative provides capped entitlement funding to 
State child welfare agencies ``for the purpose of encouraging and 
enabling each State to develop and establish, or expand, and to operate 
a program of family preservation services and community-based family 
support services.'' ``Family support services'' are described as 
community-based preventive activities designed to alleviate stress and 
promote parental competencies and behaviors that will increase the 
ability of families to successfully nurture their children; enable 
families to use other resources and opportunities available in the 
community; and create supportive networks to enhance child-rearing 
abilities of parents and help compensate for the increased social 
isolation and vulnerability of families. Examples of such services 
include respite care; early developmental screening of children; 
mentoring, tutoring, and health education for youth; and a range of 
center-based and home visiting activities. ``Family preservation 
services'' typically are services designed to help families alleviate 
crises that might lead to out of home placement of children; maintain 
the safety of children in their own homes; support families preparing 
to reunify or adopt; and assist families in obtaining services and 
other supports necessary to address their multiple needs in a 
culturally sensitive manner. Examples of such activities are intensive 
pre-placement preventive services to assist biological, foster, 
adoptive or extended families; respite care for parents and other 
caregivers (including foster parents); services to improve parenting 
skills and support child development; follow-up services to support 
adopting and reunifying families; services for youth and families at 
risk or in crisis; and intervention and advocacy services for victims 
of domestic violence. Both family support and family preservation 
services are further described in the Program Instruction for 
Implementation of New Legislation: Family Preservation and Support 
Services, Title IV-B, Subpart 2, (Appendix 1), and Section 431 of the 
statute.
    This new program offers States an extraordinary opportunity to 
assess and make changes in State and local service delivery in child 
welfare for the purpose of improving the well-being of vulnerable 
children and their families, especially those experiencing or at risk 
of abuse and neglect. States are encouraged to use the family support 
and family preservation initiative as a catalyst to assess and redesign 
categorical, fragmented service delivery systems toward establishing a 
continuum of coordinated and integrated, culturally relevant, family-
focused services for children and families. The new program will afford 
States the opportunity to offer a continuum of services, depending on a 
family's needs, and also will provide linkages to necessary ancillary 
services such as transportation, housing, employment, and health. It is 
strongly expected that States will take advantage of this opportunity 
to move the child welfare service system toward a more coordinated, 
flexible structure built on and linked to existing community services 
and supports. Funds are also available for a small number of Indian 
Tribes which qualify for funding under this legislation and submit 
similar plans.
    One critical requirement of the legislation is a strategic planning 
process that includes a wide array of State, local, and community 
agencies and institutions, parents, consumers, and other interested 
individuals whose collective work feeds into joint State-Federal 
planning activities. Ideally, the planning process will offer an 
opportunity for multiple State, local and community agencies and 
organizations and Federal agencies, as well as individuals, including 
parents, to become partners on behalf of children.
    Consultation and outreach are recommended to include the active 
involvement of major actors across the entire spectrum of the service 
delivery system for children and their families. The purposes of this 
coordination and consultation include the development of new and more 
effective service approaches for children and families, the assessment 
of family and community needs, the identification of service overlaps 
and gaps, the identification of available resources (expertise, money, 
facilities, staff) that might help to meet needs, and the 
simplification of administrative and case management procedures across 
programs.
    ACYF is actively collaborating with other Federal programs both 
within and outside the Department to obtain current information on new 
programs and explore ways to consolidate and maximize resources to 
promote the development of comprehensive, coordinated State child 
welfare systems. As part of this effort, the FY 1994 Emergency Child 
Abuse Prevention Services Program is designed to accomplish two goals:

    (1) To build upon the knowledge and experience gained from the 
initial round of funding under the Emergency Services Program, and
    (2) To integrate this foundation of knowledge and experience 
into the broader service delivery effort being undertaken by the 
States and Tribes as they plan for and implement the new Family 
Preservation and Family Support Services Program.

    Such integration is appropriate for several reasons. When substance 
abuse exists in a family, it has such a significant effect on all other 
aspects of family functioning that it must be addressed in the child 
welfare service plan in order for the plan to succeed. The projects 
funded initially by the Emergency Services Program were designed with a 
multi-disciplinary, coordinated, comprehensive focus, using a family 
centered approach. The clients served by these projects are frequently 
on caseloads for child welfare and related services, and offer profound 
challenges to those service systems. These projects have identified and 
are developing strategies to deal with the policy, practice, and 
funding barriers to delivering effective services to children and 
families affected by substance abuse. The service models that have 
emerged from these projects embrace family support and family 
preservation principles, and the strategies developed through these 
models have broader implications for State service efforts.

II. Fiscal Year 1994 Priorities for Emergency Child Abuse Prevention 
Service Projects

    This part describes the two priority areas for funding under the 
Emergency Child Abuse and Neglect Prevention Services Program. It 
contains all the information needed in order to successfully apply for 
funding. Failure to comply with the eligibility criteria and the 
deadline for submittal of applications will result in an application 
being screened out and not considered for funding. Experience has shown 
that an application which is directly responsive to the requirements 
and evaluation criteria of a specific priority area is likely to score 
higher than one which is broad and general in concept.

A. Available Funds

    Approximately $15,000,000 is available for grants in FY 1994.

B. Administrative Regulations

    For State and local governments, including Federally recognized 
Indian tribes, 45 CFR part 92 and selected parts of 45 CFR part 74 are 
applicable. For all other applicants, 45 CFR part 74 is applicable.

C. Statement of Problem

    According to the 1992 National Child Abuse and Neglect Data System 
(NCANDS) report, nearly one million children reported to child 
protective services systems were substantiated/indicated as abused or 
neglected in one year. This represents two children every minute 
nationally. In these troubled families, substance abuse is increasingly 
recognized as a contributing factor among a complex constellation of 
family problems.
    Recent studies indicate a very strong association between substance 
abuse and child maltreatment. Richard Famularo, et al., reviewed 190 
randomly selected records from the caseload of a large juvenile court, 
cases in which the State took legal custody of the children following a 
finding of significant child maltreatment, based on a clear and 
convincing standard of evidence. Sixty-seven percent of these cases 
involved parents who would be classified, based on the study 
definition, as substance abusers. The study revealed specific 
associations between alcohol and cocaine abuse and physical and sexual 
maltreatment. In another study (Famularo, Kinsherff, and Fenton, 1992), 
an association was found between the type of substance abused and the 
type of child maltreatment. Overall, alcohol abuse was found to be 
associated with physical abuse and cocaine with sexual abuse. Although 
the sample size for this study was small and involved only cases in 
which children had been removed from the home, it suggests the need for 
service providers to be aware of the type of substances being abused, 
the effects of those substances, and the importance of developing 
collaborative efforts to meet varying needs. Flanzer and Sturkie (1987) 
conducted a study with similar implications. In examining the 
correlation between alcohol abuse by parents and maltreatment of 
teenagers, they found alcohol abuse by the fathers to be correlated 
with physical abuse and neglect of the children. In contrast, alcohol 
abuse by the mothers was found to be correlated with emotional abuse 
and neglect. Other studies and surveys throughout the nation have 
produced similar links between substance abuse and widespread neglect 
as well as physical and sexual abuse of children. The House 
Appropriations Committee indicated that it is especially interested in 
children/youth who are the subjects of serious neglect by crack 
cocaine-abusing parents and who are not ordinarily the immediate 
concern of overburdened service agencies. The fact that the legislation 
recognizes the emergency implications inherent in drug/substance abuse 
situations provides States the opportunity to improve service programs.
    The profound effects of substance abuse on the child welfare system 
are also documented. Not only are the effects significant, but they 
have compounded existing systemic problems, such as personnel shortages 
and limited availability of foster homes, contributing to a child 
welfare system which has become burdened beyond its capacity. These 
effects have intensified existing difficulties in the broader community 
service system, which create barriers to meeting the needs of families 
effectively. Our increased awareness and knowledge of the serious 
effects of parental and caretaker substance abuse on children and youth 
exists in an environment frequently characterized by a lack of 
appropriate services, service options and isolation of child welfare 
from other community services.
    In 1993, the Child Welfare League of America (CWLA) published the 
results of a ten state survey of child protection agencies. In over 
half of these states, more than 50% of the children served were 
affected by problems associated with substance abuse in the home. 
Percentages were even higher in voluntary child welfare agencies, 
probably because of greater efforts to routinely screen for substance 
abuse problems. Staff within the child welfare system have indicated 
that problems directly attributable to substance abuse by the adult 
parent and caretaker population have increased over the last five 
years.
    The public child welfare system frequently fails to identify the 
problem of substance abuse, let alone incorporate substance abuse 
treatment into a larger service plan or coordinate ancillary services 
that might mitigate the effects of parental substance abuse on the 
children. Only 41.7% of those surveyed by the CWLA reported that they 
routinely screen for alcohol and other drug problems. There are not 
enough trained personnel in the child welfare system to deal with the 
problem, nor are there sufficient resources to address the situation 
effectively on a local level. Less than half of all full-time direct 
service practitioners surveyed by CWLA received formal training in 
substance abuse.
    Practitioners in all fields who provide services to abused and 
neglected children and their families can become isolated from the work 
of professionals in other disciplines, perpetuating the fragmentation 
of service delivery. In a 1990 study, Thompson concluded that 
individual child welfare workers tended to focus interventions on what 
they know best and ignore broader family considerations. Another 
example of professional isolation is offered by a 1992 study (Pelham 
and DeJong) which surveyed directors of graduate medical education 
programs in Obstetrics/Gynecology and Pediatrics. A key finding was 
that one-third of the respondents were unaware of their State's child 
abuse laws with respect to requirements for reporting the effects of 
prenatal cocaine abuse. Further, of those that indicated awareness of 
their State's requirements, over 50% had incorrect information about 
these requirements. These studies support the need for education and 
training programs for professionals which address the relationship 
between substance abuse and child maltreatment. They also suggest the 
need for greater collaboration among service professionals in order to 
improve services to shared clients.
    Problems related to substance abuse both lengthen and complicate 
the investigative process of child protective services agencies. The 
CWLA study reported that problems related to substance abuse are 
increasingly a factor in the initial investigative process, in reports 
of physical abuse and neglect, in reports of child sexual abuse, in the 
filing of dependency petitions, and in reports of abandoned infants.
    The problems experienced by the child welfare system become 
powerfully magnified when viewed from the vantage point of the 
individuals and families the system was designed to serve. For example, 
younger children are more at risk of death or severe injury from child 
abuse and neglect, and they, therefore, have more often been the focus 
of child protective services. Because of this, older children and 
adolescents often fail to receive services. Left with no protection and 
few options, many adolescents see running away as their only choice. In 
a compilation of interviews with 31,000 runaway and homeless youth who 
received services in youth crisis shelters across the country in 1990, 
it was learned that alcohol or other substance abuse by parents or 
caretakers was a precipitating or contributing factor in about 40% of 
the cases (Annual Report to Congress on the Runaway and Homeless Youth 
Program, Fiscal Year 1990).
    Families facing problems with substance abuse often find it 
difficult to pursue assistance and treatment before some precipitating 
crisis causes them to become a statistic of the child welfare system. 
Many drug and alcohol treatment programs are designed to address the 
problems of adult male substance abusers, and lack either the capacity 
or an appropriate family orientation to serve a population of parents, 
children, and adolescents. The illegal nature of many substances, 
causing fear of apprehension by law enforcement agencies, and the 
potential loss of children and other consequences, frequently prevent 
affected families from seeking services.
    Over the past several years, State and local governments, 
foundations, national organizations, and non-profit agencies have begun 
to develop and implement family support and family preservation 
programs and experiment with changing the way child welfare services 
are organized and delivered in coordination with other agencies and 
resources. While many of the efforts underway have begun to address 
much needed systems change, the special needs of children from 
substance abusing families require very close attention. Hence there is 
a need and opportunity to build on existing efforts to serve this 
population as Family Support and Family Preservation Services are 
developed.
    The implementation of the new Family Preservation and Support 
Services initiative represents a significant commitment on the part of 
the Federal Government to a family centered services approach in 
funding, philosophy, and policy. It is strongly expected to serve as a 
catalyst for States to create a child welfare system that is more 
flexible, coordinated, linked with existing community supports and 
services, and able to serve children and families in a more holistic 
and effective way. The Emergency Services Program provides the 
opportunity to collaborate in this effort by reaching out to a 
population that is critically challenging the child welfare system: 
unserved children and adolescents who are at risk of or suffering abuse 
and neglect as a result of living with substance abusing parents or 
other care providers, and children and families known to the child 
protective services system. It also offers the opportunity to influence 
State, Tribal and national policy as strategies and models are 
developed which effectively meet the complex needs of this population. 
Therefore, it is a priority of the FY 1994 Emergency Services Program 
to form partnerships with the agencies implementing Family Preservation 
and Support Services at the State and local levels.

D. Related Efforts

    Because of the necessity to avoid duplicating services and costs, 
the importance of coordination, and the interest of ACYF in actively 
collaborating on FY 1994 discretionary grant announcements, all 
applicants are required to demonstrate their awareness of other related 
projects at the State and local level by discussing how they will 
establish joint planning processes and provide direct collaboration for 
service delivery. The Department is currently sponsoring a large number 
of research and demonstration projects on the effects of substance 
abuse on parents and children, and on family centered service models, 
including family preservation and support programs. The following are 
examples of such programs:
    1. The Public Health Service's Substance Abuse and Mental Health 
Services Administration (SAMHSA), Center for Mental Health Services 
(CMHS):
     The CMHS Child and Adolescent Service System Program 
(CASSP)
     Center for Substance Abuse Prevention (CSAP) Demonstration 
Grants for High-Risk Populations:
     Model Projects for Pregnant and Postpartum Women and Their 
Infants
     Demonstration Grants for Youth in High-Risk Environments
     Center for Substance Abuse Treatment (CSAT):
     Residential Treatment Centers for Women with Dependent 
Children
     Community Partnership Demonstration Grants
    2. Other PHS Programs:
     Perinatal prevention of substance abuse through the 
Maternal and Child Health Block Grants
    3. Department of Housing and Urban Development:
     Family Unification Demonstration Program;
    4. Departments of Housing and Urban Development, Agriculture, and 
Health and Human Services:
     Empowerment Zones and Enterprise Communities (Target 
Cities) Grant Program
    5. Administration on Children, Youth and Families (ACYF):
     Family and Youth Services Bureau (FYSB):
     Family Resource Programs
     Drug Abuse Prevention Programs for Runaway and Homeless 
Youth
     Youth Gang Drug Prevention Programs
     Children's Bureau (CB):
     Respite Care and Crisis Nurseries
     Abandoned Infants
     Head Start Bureau (HS):
     Family Service Centers
    Further information on these programs and listings of grants 
awarded are available from the clearinghouses listed in Appendix 2 of 
this announcement. This appendix provides information on The 
Clearinghouse Consortium on Child Abuse and Neglect, which is comprised 
of seventeen Federal information clearinghouses and resource centers 
that address child maltreatment issues from differing disciplines and 
perspectives. The Consortium was established by the U.S. Interagency 
Task Force on Child Abuse and Neglect to encourage cooperation and 
information sharing among Consortium members and to support 
professionals and private citizens seeking information on all aspects 
of child maltreatment.

E. Priority Areas

1. Community-Based Service Demonstration Projects Which Provide Family 
Preservation and Support Services to Families in Which Children and 
Youth Are At Risk of Child Abuse and Neglect Due to Parental or 
Caretaker Substance Abuse
    Purpose: The purpose of this priority area is to provide family 
preservation and support services to a specific target population: 
abused or neglected children and youth or those at risk of abuse or 
neglect due to parental or caretaker substance abuse. Further, these 
service demonstrations will be developed in collaboration with the 
State or Tribal agency responsible for the State or Tribal planning and 
implementation of Family Preservation and Support Services so that they 
may serve as pilot demonstrations that may be incorporated into the 
broader service delivery system.
    Such service demonstrations should build upon those innovative, 
comprehensive, interdisciplinary service models developed under the 
original Emergency Services Program solicitation in 1991. Those 
programs emphasized two service priorities: Innovative, crisis 
intervention and treatment services, and coordinated ancillary 
services. Both of these strategies should be incorporated into the FY 
94 applications. The original programs provided or coordinated an array 
of services targeted to children, youth, and families, which alleviated 
crisis situations created by parental substance abuse and child abuse, 
and provided outreach to those at risk. These service programs also 
sought to improve and expand the delivery of services to prevent 
maltreatment and diminish the effects of abuse and neglect of children 
by substance abusing caretakers. Emphasis was placed on outreach and 
coordination of ancillary service strategies to facilitate the 
treatment of substance abusers in households with children and youth. 
Ancillary services, such as respite care, transportation, child care, 
parenting education, and job counseling, frequently make the difference 
in whether or not a substance abusing caregiver is able to take 
advantage of available treatment.
    Emphasis was also placed on meeting the unique needs of adolescents 
who are frequently not a priority for child protective services. These 
young people nonetheless suffer the effects of living in an environment 
with a substance abusing parent or caretaker. They may have experienced 
violence and disruption themselves or may have had to assume a parental 
role in the family. A recent report from the National Governors 
Association entitled Kids and Violence indicates that child abuse and 
out of home placement are risk factors for violent behavior in children 
and adolescents, and that comprehensive interventions must begin early.
    The programs were designed to provide ongoing neighborhood-based, 
barrier-free and ``user-friendly'' services, to support positive family 
functioning, and recovery from substance abuse when necessary. They 
were intended to connect families with a supportive service network 
instead of engaging them in the usual child protective service and 
court action process.
    Since the epidemic of substance abuse in families has presented the 
child welfare system with extraordinarily intense and complex 
challenges, it is imperative that planning for this priority area 
include State, Tribal, and local child welfare and social services 
agencies who all have a role to play in meeting the multiple needs of 
children and their families. It is important that entities applying for 
funds under this announcement realize the importance of coordination 
with youth service organizations, mental health agencies, family 
services agencies, public health agencies, public educational 
institutions, maternal and child health providers, and community-based 
organizations that serve substance abusing parents (including pregnant 
and post-partum females and their infants.)
    The range of services provided under this priority area should 
include a continuum of innovative, coordinated, interdisciplinary 
services which respond to substance abuse-related child abuse and 
neglect. The scope of services should include prevention, intervention, 
and treatment, tailored to family needs. The services should promote 
the development of a comprehensive, coordinated continuum of family 
support and family preservation services which meet the needs of 
children whose parents or caretakers are experiencing substance abuse 
problems. The services may include coordination with the agency 
providing permanency planning and the provision of ancillary services 
to enhance permanency planning in cases in which one or more children 
are already in foster care and other children may be at risk of 
placement. Emphasis should be placed on building on the strengths of 
existing systems to deliver an array of services which are more 
responsive to the needs of the target population. Mechanisms to 
directly serve the affected child/youth population on an emergency 
basis must be developed. Applications must emphasize programs that are 
structured to provide or be linked with other agencies to provide the 
full range of coordinated, comprehensive, multi- disciplinary services 
required. Such services might include assessment; direct and ancillary 
services such as child care, transportation, and respite care; and 
plans for the provision of effective follow-up services. Applicants 
must also indicate how they plan to overcome current obstacles such as 
waiting lists and multiple referrals for services. Children who are 
identified as in need of emergency services should be able to receive 
necessary care/treatment immediately. Also see the section of this 
announcement entitled Agency and Statutory Background for a further 
description of family support and family preservation services.
    Minimum Requirements for Program Design: In order to successfully 
compete under this priority area, the application should be responsive 
to the requirements of this part and Section 107A(c) of the Act. (See 
section III C. 1 of this announcement):
     Provide for coordination with and involvement of the State 
agency (or Tribal agency) responsible for the State planning and 
implementation of the Family Preservation and Support Program (Title 
IV-B of the Social Security Act, Subpart 2) with a description of how 
this demonstration relates to the planning process and/or the 
development of a statewide continuum of coordinated services. It is the 
intent of these demonstrations to pilot innovative service models which 
will inform State and/or Tribal policy in the provision of services to 
families in which substance abuse places children at risk. 
Documentation of this agency's participation must be provided in the 
form of an interagency agreement or letter of commitment documenting 
the joint effort to be undertaken, and how the Emergency Services 
project will be incorporated into the state's broader service delivery 
strategy. The addresses and telephone numbers of the State contacts for 
the Family Support and Family Preservation Services Program may be 
obtained from the Federal Regional Offices listed in Appendix 3.
     Describe the services that are currently available in the 
community to serve children, adolescents and their substance abusing 
families; explain how those services are currently coordinated; and 
demonstrate how the proposed project would augment and enhance current 
services in creating a continuum of family support and family 
preservation services and activities. If the application builds on a 
program currently funded under the Emergency Services program, describe 
the impact of the current project on the service delivery system and 
how the proposed project will serve as a catalyst in further improving 
the child welfare system in its family support and family preservation 
programs. Projects funded under the FY 1991 announcement should 
demonstrate how their third party evaluation was used to devise the 
service delivery model proposed. Overall, the emphasis should be on the 
comprehensive, coordinated and multi-disciplinary nature of the 
services to be provided. That is, describe primary services now 
available, such as intervention, outreach, drug counseling, housing 
assistance, job counseling, legal assistance, medical care, and follow-
up, as well as ancillary services, such as child care and 
transportation, and how they would be coordinated with other expanded 
or new services.
     Indicate how client outreach would be provided, the range 
of prevention, intervention, and treatment that would be available for 
various situations, and how the particular approach advocated by this 
proposal is innovative relative to other approaches.
     Provide for an active advisory committee which includes, 
at a minimum, a child protective services agency, a mental health 
services agency or an agency with a focus on alcohol and drug 
treatment, a youth serving agency, a public health services agency, a 
child advocacy group, public education, and parental or client 
representation. Documentation of interagency participation must be 
provided in the form of letters of commitment from represented agencies 
or constituencies. An existing group may serve as the advisory 
committee provided that it meets the purpose and requirements for 
representation.
     Clear statements of the project goals, the anticipated end 
results, and how outcomes would be measured are required of all 
applications. Applicants who are currently conducting service programs 
under the Emergency Services Program and already collecting this data 
are required to submit a plan for collecting and analyzing follow-up 
data on their current participants during the 17 month period. These 
costs are to be included in the project budget. It is suggested that 
10% of the grant award be designated for evaluation and data collection 
purposes. Any proposal with less than 10% budgeted for evaluation must 
provide a special justification. Additionally, applicants should assure 
participation in any national evaluation that ACYF may conduct.
     Provide for an evaluation of the implementation, 
effectiveness, and impact of the project, or individual service 
components on the children and families served. Each applicant is 
required to obtain an independent third party evaluation of the 
project, and to submit with the application an evaluation plan that 
clearly addresses the following areas and questions:
    1. The project's successes and problems in implementing the service 
delivery effort.

--Was the service program successfully implemented?
--Was the project, or components of the project, successful in 
recruiting and maintaining targeted participants?
--What were the problems/obstacles in implementing program services?

    This should include a discussion of start-up activities, staff 
recruitment and qualifications, service design and approach, service 
implementation, criteria for success and methods to measure each, 
participant recruitment and characteristics, and feedback sources and 
revisions. A description of problems encountered and procedures for 
resolving problems relevant to each aspect of the project effort should 
be included.
    2. The effectiveness of the service effort.

--Did the service program bring about documented changes in the 
knowledge, attitudes, and/or behavior of the participants with respect 
to the service objectives?

    3. The impact of the service effort.

--Did the service program result in a change in the policies or service 
delivery systems of the agencies involved?
--Did the service demonstration have an impact on the agency, 
organization, State, or Tribal planning and/or implementation of family 
support and family preservation services in the community?
--Did the service demonstration integrate service delivery in the 
community?

     Document and describe how the project anticipates becoming 
an ongoing part of the agency, organization, Tribe, or State's program 
of family support and family preservation following the termination of 
Federal funding and the steps the applicant would take to accomplish 
this. Among these steps should be the program's representation and 
expected impact on the planning process for family support and family 
preservation services. Describe how this expected impact will promote 
the development of a continuum of family support and family 
preservation services which address substance abuse and child abuse and 
neglect service needs, improve services to children and families, and 
reduce duplication of effort.
     Provide assurances that at least one key person from the 
project would attend an annual three day grantees' meeting in 
Washington, DC.
    Project Duration: The length of the project must not exceed 17 
months.
    Federal Share of Project Costs: The maximum Federal share is 
$500,000 for a 17 month budget period.
    Matching Requirements: The minimum non-Federal matching requirement 
is 20 percent of the total cost of the project. The total approved cost 
of the project is the sum of the Federal share and non-Federal share. 
Therefore, a project requesting $500,000 in Federal funds, must include 
a match of at least $125,000 for a total project cost of $625,000 per 
17 month budget period. This match constitutes 20 percent of the total 
project cost (Federal + non-Federal share). The non-Federal matching 
requirement may be met by cash or in-kind contributions, although 
applicants are encouraged to meet their match requirements through cash 
contributions.
    Successful applicants who exceed the minimum non-Federal match in 
their proposed budget will be required to provide the match amount 
proposed.
    Anticipated Number of Projects to be Funded: It is anticipated that 
26 projects will be funded.
2. Coordinated Interdisciplinary Training Models on the Coexisting 
Problems of Substance Abuse and Child Abuse and Their Impacts on and 
Relationships to Family Support and Family Preservation Efforts
    Purpose: The purpose of this priority area is to provide for the 
development or expansion of interdisciplinary training models specific 
to the co-existing problems of substance abuse and child abuse and 
neglect, and to collaborate on the implementation of this training with 
the State or Tribal child welfare agency which is responsible for 
Family Preservation and Support Services. The training should target 
current professionals and practitioners in disciplines serving abused 
or neglected children. This priority area is intended to build upon the 
knowledge and experience of those innovative, comprehensive, 
interdisciplinary training models developed under the 1991 
solicitation, by implementing training strategies that are statewide, 
multi-state, or regional in nature and address the impact and 
relationship of these problems to family support and family 
preservation services.
    At the time of the FY 91 announcement, it was recognized that when 
children who have been severely neglected or abused as a result of 
parental substance abuse come to the attention of child welfare 
agencies, a number of pivotal decisions must be made. These decisions 
range from delivery of specific services to out-of-home placement. From 
the point of the initial report, the process entails assorted 
disciplines (legal, social, health, mental health) and multiple service 
providers. Effective communication among them is essential to provide 
comprehensive care and to avoid fragmented or duplicate services. It 
was also recognized that because of the urgency of the need for 
personnel, many child welfare agencies and mental health/substance 
abuse treatment facilities may hire staff with little or no training 
specific to either child abuse and neglect and/or the relationship 
between parental substance abuse and child abuse and neglect. In 
addition, there is a need for qualified professionals from other 
fields, such as law and psychology, who serve children and families to 
become knowledgeable about issues related to substance abuse and child 
abuse and neglect.
    These conditions create two distinct but complementary training 
needs: (a) Interdisciplinary, specialized training on substance abuse 
and child abuse available to persons from a variety of fields working 
with children; and (b) interdisciplinary in-service training which 
provides specialized, immediately available information to child 
welfare practitioners, particularly those providing services to 
children of substance abusers or substance abusing parents who have or 
who are at risk of abusing their children.
    The training programs funded under the 1991 announcement have had a 
far-reaching effect upon the professionals they trained. Among the 
effects emerging is the development of interdisciplinary understanding 
among professionals who previously did not understand one another's 
roles or terminology. Other gains were increased knowledge of the 
recovery process and the specific effects of certain drugs which can 
affect a family child welfare treatment plan.
    Many interdisciplinary training and education models already exist, 
including the ones utilized by the FY 1991 grantees, that can be 
adapted to provide the desired information about substance abuse as it 
relates to child abuse and neglect, and about family support and family 
preservation service models and concepts. It is suggested that 
applicants, to the extent possible, incorporate currently available 
resources to minimize the time and resources expended on curriculum 
development and to maximize the number of professionals and para-
professionals who will benefit from the training effort during the 
project period. Information regarding existing interdisciplinary 
training programs can be obtained from the Clearinghouse on Child Abuse 
and Neglect Information, P.O. Box 1182, Washington, DC 20013, (800) 
394-3366; the National Resource Center for Family Support Programs, 200 
Michigan Avenue, suite 1520, Chicago, Illinois 60604, (800) 341-9361; 
and the National Resource Center on Family Based Services, room 112, 
North Hall, University of Iowa, Iowa City, Iowa 52242, (319) 335-2200.
    Existing curricula specific to child abuse and neglect could be 
adapted to include: (a) Community responses for providing services for 
substance abusing care providers; (b) community overviews of public 
health problems as they relate to substance abusing parents, including 
pregnant women; (c) physiological aspects of substances as they relate 
to child abuse and neglect; (d) effects of prenatal substance use on 
newborns; (e) strategies for working with drug exposed and drug 
affected infants, older children, and adolescents; (f) risk assessment 
training for identifying and intervening with substance abusing parents 
and other family members; (g) strategies for working with substance 
abusing adults/parents; (h) impacts of substance abuse and child abuse 
on family support and family preservation programs; (i) strategies for 
addressing substance abuse issues in families and the related supports 
for children when developing family support and family preservation 
case plans. Training may be developed by contract, or may be jointly 
developed by individual agencies.
    Minimum Requirements for Program Design: In order to successfully 
compete under this priority area, the application should be responsive 
to the requirements of this part and Section 107A(c) of the Act. (See 
section III C. 1 of this announcement):
     Indicate the type of training that would be targeted by 
the project (i.e., statewide, multi-state, or regional) and the network 
through which the training would be offered.
     Identify the lead agency or educational entity and other 
responsible entities that would be involved in the proposed project. 
Training development should involve, at a minimum, input from the 
medical, legal, social work, and mental health disciplines in 
coordination with local drug and alcohol counseling, youth shelter and 
public health service providers. If the application builds on a program 
currently funded under the Emergency Services program, describe how the 
evaluation of the current project will be utilized to improve training 
strategies and how the target population will be expanded under the new 
program. Documentation of interdisciplinary participation must be 
provided: e.g., copies of existing agreements or letters of commitment 
indicating the level, duration, and type of participation that would be 
provided.
     Provide for coordination with and involvement of the State 
or Tribal agency responsible for the State planning and implementation 
of Family Preservation and Support Services (Title IV-B of the Social 
Security Act, Subpart 2) with a description of how this demonstration 
relates to the planning process and/or the development of a statewide 
continuum of coordinated services. It is the intent of these 
demonstrations to pilot innovative training models which will inform 
State and/or Tribal policy in the training of professionals who provide 
family preservation and support services to families in which substance 
abuse places children at risk. Documentation of the State agency's 
participation must be provided in the form of an interagency agreement 
or letter of commitment documenting the joint effort to be undertaken.
     Describe how the proposed project would enhance or expand 
training that is already available for professionals on the problems of 
substance abuse and child abuse and neglect, and how they interrelate 
with the provision of comprehensive family preservation and support 
services. Describe the population to which the training would be 
directed. Describe the plan for targeting and recruiting training 
participants. Describe the criteria for selecting the targeted 
population.
     Describe the type of training that would be provided, type 
of staff or trainers to be used, the curriculum that would be used, the 
length of training, and the number of persons expected to benefit from 
the training during the life of the project. If the proposal builds 
upon a currently funded Emergency Services project, discuss the impact 
of the project, how the proposed effort expands upon it, and how it 
relates to the implementation of family support and family preservation 
services.
     Clear statements of the project goals, the anticipated end 
results, and how outcomes would be measured are required of all 
applications. The costs of this evaluation are to be included in the 
project budget. It is suggested that 10% of the grant award be 
designated for evaluation purposes. Additionally, applicants should 
assure participation in any national evaluation that ACYF may conduct.
     Provide for an evaluation of the implementation, 
effectiveness, and impact of the project. Each applicant is required to 
obtain an independent third party evaluation of the project, and to 
submit with the application, an evaluation plan that clearly addresses 
the following areas and questions:
    1. The project's success in implementing the training effort.

--Was the training successfully implemented?
--Was the project successful in recruiting and maintaining targeted 
participants?
--What were the obstacles/problems in implementing the training?

    This should include a discussion of start-up activities, staff 
recruitment and qualifications, training design and approach, training 
implementation, criteria for success and methods to measure each, 
participant recruitment and characteristics, and feedback sources and 
revisions. A description of problems encountered and procedures for 
resolving problems relevant to each aspect of the training effort 
should be included.
    2. The effectiveness of the training effort.

--Did the training effort bring about a change in the knowledge, 
attitudes, and/or behavior of the participants with respect to the 
training objectives?

    3. The impact of the training effort.

--Did the training result in a change in the on-the-job activities of 
participants?
--Did the training change the way participants view their agency's role 
in the community?

     Document and describe how the project would become an 
ongoing part of the agency, organization, tribe, or State's program of 
family support and family preservation following the termination of 
Federal funding and the steps the applicant would take to accomplish 
this. Among these steps should be the project's representation and 
expected impact on the planning process for family support and family 
preservation services.
     Provide assurances that at least one key person from the 
project would attend an annual three day grantees' meeting in 
Washington, D.C.
    Project Duration: The length of the projects must not exceed 17 
months.
    Federal Share of Project Costs: The maximum Federal share is 
$200,000 for a 17 month budget period.
    Matching Requirements: None
    Anticipated Number of Projects To Be Funded: It is anticipated that 
10 projects will be funded.

III. General Information and Requirements for the Application Process 
and Review

    This part contains information and instructions for submitting 
applications in response to this announcement. Application forms are 
provided at the end of this section, along with a checklist for 
assembling the application package.

A. General Information

1. Review Process and Funding Decisions
    Applications will be reviewed and scored competitively against the 
published evaluation criteria (see III D of this section) by experts in 
the field, generally persons from outside of the Federal government. 
The results of this review are a primary factor in making funding 
decisions. The Administration on Children, Youth, and Families (ACYF) 
reserves the option of discussing applications with, or referring them 
to, other Federal or non-Federal funding sources when this is 
determined to be in the best interest of the Federal government or the 
applicant. ACYF may also solicit comments from other Federal agencies, 
Central and Regional Office staff, interested foundations, national 
organizations, specialists, experts, States and the general public. 
These comments, along with those of the expert reviewers, will be 
considered by the Commissioner, Administration on Children, Youth and 
Families in making funding decisions.
2. Required Notification of the State Single Point of Contact
    All applications for research or demonstration projects submitted 
to NCCAN are covered under Executive Order (E.O.) 12372, 
Intergovernmental Review of Federal Programs, and title 45 Code of 
Federal Regulations (CFR) part 100, Intergovernmental Review of 
Department of Health and Human Services Programs and Activities. Under 
the Order, States may design their own processes for reviewing and 
commenting on proposed Federal assistance under covered programs. 
Therefore, the applicant should contact his or her State Single Point 
of Contact (SPOC) directly to determine what materials, if any, the 
SPOC requires. Contact information for each State's SPOC is found at 
the end of this Part.
    All States and territories, except Alabama, Alaska, Connecticut, 
Hawaii, Idaho, Kansas, Louisiana, Minnesota, Montana, Nebraska, 
Oklahoma, Pennsylvania, Oregon, Virginia, Washington, American Samoa 
and Palau, have elected to participate in the Executive Order process 
and have established a State Single Point of Contact (SPOC). Applicants 
from these 17 jurisdictions need take no action regarding E.O. 12372. 
Applications for projects to be administered by federally recognized 
Indian Tribes are also exempt from the requirements of E.O. 12372.
    It is imperative that the applicant submit all required materials 
to the SPOC as soon as possible and indicate the date of this submittal 
(or the date of contact, if no submittal is required) on the Standard 
Form (SF) 424, item 16a. Under 45 CFR 100.8(a)(2), SPOCs have 60 days 
from the grant application deadline to comment on applications for 
financial assistance under this program. These comments are reviewed as 
part of the award process. Failure to notify the SPOC can result in a 
delay in grant award.
    The SPOCs are encouraged to eliminate the submission of routine 
endorsements as official recommendations. Additionally, SPOCs are 
requested to clearly differentiate between mere advisory comments and 
those official State process recommendations which may trigger the 
``accommodate or explain'' rule. It is helpful in tracking SPOC 
comments if the SPOC will clearly indicate the applicant organization 
as it appears on the application SF 424. When comments are submitted 
directly to ACF, they should be addressed to the application mailing 
address located in the front section of this announcement. A list of 
Single Points of Contact for each State and territory is included in 
Appendix 5 of this announcement.
3. Paperwork Reduction Act of 1980
    Under the Paperwork Reduction Act of 1980, Public Law 96-511, the 
Department is required to submit to the Office of Management and Budget 
for review and approval any information collection involving 10 or more 
respondents.

B. Application Screening Criteria

    Applications must meet the following screening requirements or they 
will not be considered in the current competition; these requirements 
will be rigorously enforced:
1. Eligible Applicants
    (a) Any State or local agencies that are responsible for 
administering child abuse or related child abuse intervention services; 
and (b) community and mental health agencies and nonprofit youth-
serving organizations with experience in providing child abuse 
prevention services.
    In cases where applications have been reviewed and evaluated and 
are determined to be qualitatively of equal strength, priority 
consideration will be given to those entities funded in 1991 under 
Program Announcement No. 93554.911, published in the Federal Register 
on July 11, 1991, (56 FR 31782), entitled Emergency Child Abuse and 
Neglect Prevention Services Program: Availability of Funds and Request 
for Applications; Notice.
    Applications may be submitted under more than one priority area; 
however, a separate application must be submitted for each priority 
area.
2. Deadline for Submittal of Applications
    The closing date for submittal of applications is on July 18, 1994.
    (a) Deadlines. Applications shall be considered as meeting the 
deadline if they are either: (1) Received on or before the deadline 
date at the address specified above; or (2) postmarked on or before the 
deadline date and received by ACF in time to be considered during the 
competitive review and evaluation process under chapter 1-62 of the 
Health and Human Services Grants Administration Manual. (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 the U.S. 
Postal Service. Private metered postmarks shall not be acceptable as 
proof of timely mailing.)
    (b) Late applications. Applications which do not meet the criteria 
in the above paragraphs are considered late applications. The granting 
agency shall notify each late applicant that its application will not 
be considered in the current competition.
    (c) Extension of deadlines. The Administration for Children and 
Families (ACF) may extend the deadline for all applicants because of 
acts of God such as floods, hurricanes, etc., or when there is 
widespread disruption of the mails. However, if ACF does not extend the 
deadline for all applicants, it may not waive or extend the deadline 
for any applicant.

C. Application Requirements

1. Responsiveness to Funding Priorities
    The application must be responsive to the priority area under which 
it is being submitted. The applicant must identify the priority area at 
the top of page one of the SF 424. In order to be considered 
responsive, the application must address each of the minimum 
requirements for an application specified in the priority area 
description and must contain the following information as specified in 
section 107A of the Child Abuse Prevention and Treatment Act:

    (a) an assurance that the applicant operates in a geographic 
area where child abuse and neglect related to parental substance 
abuse has placed substantial strains on State and local agencies and 
has resulted in substantial increases in the need for services and/
or training that cannot be met without funds available under this 
announcement (citing existing sources of data to the extent 
possible);
    (b) identify the responsible agency or agencies that will be 
involved in the use of funds provided under this announcement;
    (c) a description of emergency situations with regard to 
children of substance abusers who need services of the type 
described in this announcement;
    (d) a plan for improving the delivery of such services to 
children; and
    (e) assurances that such services or training will be provided 
in a comprehensive, multi-disciplinary and coordinated manner.
2. Application Form
    The applicant must reproduce single-sided copies of the SF 424 
(revised 1988).
3. Copies Required
    Applicants must submit an original and two copies of the complete 
application prepared in accordance with the instructions provided. A 
complete application includes: the completed SF 424, a summary 
description of the proposed project, required certifications/
assurances, and the program narrative. The full application package is 
described in III H below.
4. Signature
    The signature of the Certifying Representative must be handwritten 
(preferably in black ink) and the signer's name and title must be typed 
in Item 18a on the original SF 424.
5. Length
    All narrative sections of the application must meet the format 
specifications. Although no page limit has been established, applicants 
should seriously consider the information provided in the introduction 
to Part II, and provide narratives that are succinct, responsive to the 
priority area requirements, and are within the general recommended 
length requirements as specified in the instructions later in this 
part.

D. Evaluation Criteria

    The Program Narrative Statement of the application should 
correspond to the evaluation criteria. The description of the four 
criteria below should be used as headings in developing the program 
narrative.
    Applications will be reviewed by a panel of at least three 
individuals. These reviewers will comment on and score the 
applications, basing their comments and scoring decisions on the 
criteria below.
1. Objectives and Need for Assistance (25 Points)
    The extent to which the applicant clearly states principal 
objectives and expected outcomes of the project which reflect an 
understanding of the priority area issues; and indicates an awareness 
of related services available in the community and how those services 
will be used in relation to the proposed project. Describe the specific 
need for the project in terms of its significance for the incorporation 
of substance abuse and child abuse and neglect services into the State 
or Tribal implementation of family preservation and support services. 
Describe the problem within the context of the services now available 
and services unavailable in the community. State the services objective 
of the project and, where applicable, give a precise location of the 
projects or area(s) to be served by the project. Discuss the state-of-
the-art relative to the problem of substance abuse as it relates to 
child abuse and neglect, and their impact on family support and family 
preservation services, including a list of any relevant published work 
by the author(s) of the proposal.
2. Results or Benefits Expected (15 Points)
    The extent to which the applicant identifies and describes 
realistic and measurable service delivery components, results and 
benefits, consistent with the specific goals and objectives of the 
proposal; the manner in which actual results and benefits to be derived 
by the project would be objectively measured and substantiated to 
determine if objectives are met; and there are clearly stated, and 
significant anticipated contributions to services and practice in the 
implementation of Family Support and Family Preservation Services in 
the community, Tribe, or State.
    Describe the population or populations to be targeted and the 
number of persons in that population expected to benefit. Indicate the 
reason for targeting that particular population, e.g., previous 
regional assessments, surveys, or other existing data. Describe the 
specific benefits to the targeted population. Describe the anticipated 
impact on the State planning process for Family Support and Family 
Preservation Services.
3. Approach (40 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; presents a clear conceptual 
understanding of prevention, intervention, and treatment approaches as 
they relate to the coexisting problems of substance abuse and child 
abuse and neglect; relates the specific service needs of the target 
population (children who have been or are at risk of child abuse and 
neglect due to parental or caretaker substance abuse and their 
families) to family support and family preservation efforts; cites 
factors which might accelerate or delay the work and gives 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, use of automated management and information 
systems, reductions in cost or time, or extraordinary social and 
community involvements; provides projections of the accomplishments to 
be achieved; and presents an evaluation plan which clearly addresses 
the evaluation questions contained in the priority area description, 
including proposed measures to be used. The application lists the 
activities to be carried out in chronological order and shows a 
reasonable schedule of accomplishments and target dates. It relates 
each aspect of the workplan to the specific evaluation objectives; 
i.e., identifies the kind of data to be collected and maintained 
relevant to goals and objectives to be evaluated; discusses the 
criteria to be used to evaluate the results and impact of the project, 
both at the program level and at the individual child and family 
levels. The application explains the methodology that will be used to 
determine if the needs that have been identified and discussed are met, 
and the expected results and benefits are achieved. The application 
also lists each organization, agency, consultant, or other key 
individuals or groups with whom work on the project will be 
coordinated, and describes the nature of the interaction and the 
benefits expected to be derived from the proposed coordination of 
programs and activities.
4. Staff Background and Organization's Experience (20 Points)
    The extent to which the resumes of the program director and key 
project staff (including names, addresses, training, background and 
other qualifying experience) and the organization's experience 
demonstrate the ability to administer effectively and efficiently a 
project of this size, complexity and scope and reflect the ability to 
use and coordinate activities with other agencies for the delivery of 
comprehensive support services. The extent to which the agency is in 
the position to inform policy related to the implementation of Family 
Preservation and Support Services, and the involvement of the agency or 
agency representatives in the Family Support and Family Preservation 
planning process. The application describes the relationship between 
this project and other work planned, anticipated or underway under 
Federal assistance
    Describe the background experience, training and qualifications of 
the key staff and consultants, including any experiences working on 
child abuse and neglect, programs or services related to substance 
abuse, and/or family support and family preservation programs 
(curriculum vitae or resumes must be included with the application.) 
Describe the adequacy of available resources and organizational 
experience related to the tasks of the proposed project. An 
organizational capability statement must be included with the 
application. Describe any collaborative efforts with other 
organizations including the nature of their contribution to the 
project. Interagency agreements or letters indicating the type, extent 
and duration of commitment must be included with the application.
    Describe the staffing pattern for the proposed project, listing key 
staff and consultants, their responsibilities in conjunction with this 
project and the time they will be committing to the project.
    Identify the authors of the application, by section, and their role 
in the proposed project.

E. The Components of the Application

    A complete application consists of the following in this order:
    1. Application Face Sheet, SF 424, page 1.
    2. Budget Non-Construction, SF 424A, Budget Information: Section A 
(Budget Summary), Section B (Budget Categories), and Section E (Budget 
Estimates of Federal Funds Needed for Balance of the Project);
    3. Budget justification (approximately three pages);
    4. Project summary description with listing of key words 
(approximately 1 page);
    5. Program Narrative (approximately 40 double-spaced pages is 
suggested as a reasonable length), organized with sections addressing 
the following four areas: (1) Objectives and Need for Assistance; (2) 
Results or Benefits Expected; (3) Approach; and (4) Staff Background 
and Experience;
    6. Organizational capability statement;
    7. Letters of commitment;
    8. SF 424B Assurances-Non Construction, Debarment, and Drug Free 
Workplace; Certification Regarding Lobbying; and
    9. Appendices/attachments, may include a bibliography 
(approximately two pages single-spaced); resumes or curriculum vitae 
(approximately two pages each); and evaluation instruments/measures.
    F. Preparing the Application
1. Availability of Forms
    Agencies and organizations interested in applying for grant funds 
should submit an application(s) on the Standard Form 424 (revised April 
1988) which is included in this announcement.
    Each application must be executed by an individual authorized to 
act on behalf of the applicant agency and to assume responsibility for 
the obligations imposed by the terms and conditions of the grant award. 
Applications must be prepared in accordance with the guidance provided 
in this announcement and the instructions in the attached application 
package.
2. Application Submission and Notification
    Applications may be mailed to theDepartment of Health and Human 
Services, Administration for Children and Families, Division of 
Discretionary Grants, 370 L'Enfant Promenade SW., 6th Floor OFM/DDG, 
Washington, DC 20447, Attention: Maiso Bryant.
    Hand delivered applications are accepted during the 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, Attention: Maiso Bryant.
    The program announcement number, 93554.942, must be clearly 
identified on the application.
    Successful applicants will be notified through a Notice of 
Financial Assistance Awarded. The award will state the amount of 
Federal funds awarded, the purpose of the grant, the terms and 
conditions of the award, the effective date of the grant, the total 
project period, the budget period and the amount of the non-Federal 
matching share. Unsuccessful applicants will be notified by letter.
3. Program Narrative
    The Program Narrative is a very important part of the application. 
It should be clear, concise and specific to the priority area being 
addressed as described in Part II. The narrative should provide 
information on how the application meets the evaluation criteria. This 
narrative should be no less than 6 double-spaced pages and up to 
approximately 40 double-spaced pages. It should be typed on a single-
side of 8\1/2\'' by 11'' plain white paper with 1'' margins on both 
sides. All pages of the narrative (including charts, tables, maps, 
exhibits, etc.) must be sequentially numbered, beginning with 
``Objectives and Need for Assistance'' as page one. Applicants should 
not submit reproductions of larger size paper reduced to meet the size 
requirement.
    Applicants are required to follow the format described below in 
preparing their applications, using the four headings for the sections 
of the narrative. However, the number of specific pages for each 
section is given as a suggestion only. The specific information to be 
included under each heading was discussed previously under the 
``Evaluation Criteria.''
    The four sections are:
    (1) Objectives and Need for Assistance (nine pages double-spaced);
    (2) Results or Benefits Expected (three pages double-spaced);
    (3) Approach (twenty pages double-spaced);
    (4) Staff Background and Experience (eight pages double-spaced).
4. Organizational Capability Statement
    Applicants should provide a brief (approximately two pages double-
spaced) background description of how the applicant is organized and 
the types and quantities of services it provides or the research 
capabilities it possesses. This statement may also include descriptions 
of current work, descriptions of relevant past experience as well as 
the competence of the project team and its demonstrated ability to 
produce a final product that is comprehensive and usable.
5. Assurances and Certifications
    Applicants must file a standard form 424B, Assurances-Non-
Construction Programs, and Certifications Regarding Lobbying. Both must 
be signed and returned with the application. In addition, applicants 
must provide certification regarding: (1) Drug-Free Workplace 
Requirements; and (2) Debarment and Other Responsibilities. These two 
certifications are self-explanatory.
    Copies of these assurances/certifications are reprinted at the end 
of this announcement and should be reproduced, as necessary. A duly 
authorized representative of the applicant organization must certify 
that the applicant is in compliance with these assurances/
certifications. A signature on the SF 424 indicates compliance with the 
Drug Free Workplace Requirements and the Debarment and Other 
Responsibilities certifications.

G. The Application Package

    To expedite the processing of applications, each applicant is 
requested to adhere to the following instructions. Each application 
package must include:
    1. A copy of the Checklist for a Complete Application with all the 
items checked as being included in the application.
    2. An original and two copies of the complete application. Each 
copy should be stapled securely (front and back if necessary) in the 
upper left corner. All pages of the narrative (including charts, 
tables, maps, exhibits, etc.) must be sequentially numbered, beginning 
with ``Objectives and Need for Assistance as page one. To facilitate 
handling, please do not use covers, binders, tabs or include extraneous 
materials such as agency promotion brochures, slide, tapes, film clips, 
minutes of meetings or articles of incorporation.
    Do not include a self-addressed, stamped acknowledgment card. All 
applicants will be automatically notified of the receipt of, and the 
four digit identification number assigned to, their application. This 
number and priority area must be referred to in all subsequent 
communication with ACF concerning the application. After an 
identification number is assigned and the applicant has been notified 
of the number, applications are filed numerically by identification 
number to aid in quick retrieval. It will not be possible for ACF staff 
to provide a timely response to inquiries about a specific application 
unless the identification number and the priority area are given. 
Applicants should be advised that ACF staff cannot release information 
about the status of any application prior to the time funding decisions 
are made. Once a decision is reached, the applicant will be notified as 
soon as possible of the acceptance or rejection of the application.

H. Checklist for a Complete Application

    The Checklist below should be typed on 8\1/2\'' by 11'' plain white 
paper, completed and included in the application package.

Checklist

    I have checked my application package to ensure that it includes 
the following:
__________Checklist for a Complete Application;
__________One original application signed in black ink and dated plus 
two copies;
__________A complete SPOC certification with the date of SPOC contact 
entered in item 16 page 1 on the SF 424;
__________Each package contains the application (original and two 
copies) for one priority area.

    The original and both copies of the application include the 
following:

__________SF 424, page 1, Application Face Sheet;
__________SF 424A;
__________Budget justification;
__________Summary description and key words;
__________Program narrative;
__________Organizational Capability Statement;
__________Interagency agreements; Letters of commitment;
__________Certification Regarding Lobbying;
__________SF 424B Assurances
__________Appendices/attachments.

(Federal Catalog of Domestic Assistance Program Number 93.554 Child 
Abuse and Neglect Prevention and Treatment).

    Dated: April 13, 1994.
Olivia A. Golden,
Commissioner, Administration on Children, Youth and Families.

BILLING CODE 4184-01-P

TN02MY94.000


BILLING CODE 4184-01-C
Subject: Implementation of New Legislation: Family Preservation and 
Support Services, Title IV-B, Subpart 2.
Purpose: The purpose of this Program Instruction is to provide 
information on the Fiscal Year (FY) 1994 application requirements and 
guidance for developing the FY 1995 five-year State Plan for Family 
Preservation and Support Services. A separate Program Instruction will 
be issued for grants to Indian Tribes.
Legal and Related References: Title IV-B of the Social Security Act, 
Subpart 2, Family Preservation and Support Services; Omnibus Budget 
Reconciliation Act of 1993 (P.L. 103-66); 45 CFR Part 92.

    Public reporting burden for this collection of information is 
estimated to average 144 hours per response, including the time for 
reviewing the instructions, searching existing data sources, gathering 
and maintaining the data needed, and completing and reviewing the 
collection of information. Send comments regarding this burden estimate 
or any other aspect of this collection of information, including 
suggestions for reducing this burden, to: Reports Clearance Officer, 
Administration for Children and families, Department of Health and 
Human Services, 370 L'Enfant Promenade SW., Washington, DC 20447; and 
to: Office of Management and Budget, Paperwork Reduction Project, OMB 
control number 0980-0258 (new request), Washington, D.C. 20503.

Overview

     This new legislation aims to promote family strength and 
stability, enhance parental functioning, and protect children through 
funding a capped entitlement to States to provide family support and 
family preservation services, which the law defines broadly.
    There is widespread consensus in the child and family policy 
community that these new dollars, although relatively small, can best 
be used strategically and creatively to stimulate and encourage broader 
system reform which is already under way in many States and 
communities.
    The FY 1994 appropriation for this program is $60 million. Of this 
amount, $2 million is reserved for Federal evaluation, research, and 
training and technical assistance; $600,000 is reserved for grants to 
Indian Tribes. The balance is available for grants to States to fund 
planning and services for family support and family preservation.
    For FY 1995, the authorization increases to $150 million. Of this 
amount, $6 million is reserved for Federal evaluation, research, and 
training and technical assistance; $1.5 million is reserved for grants 
to Indian Tribes. A new program of grants to State courts will be 
initiated at a funding level of $5 million. (Information on this 
program will be forthcoming.) The balance is available for grants to 
States for services.
    Attachment A lists FY 1994 State allotments and estimated 
allotments for FYs 1995-98 based on the statutory formula. Attachment B 
contains a copy of the statute and an excerpt from the Conference 
Report regarding the definition of family support services.
    This Program Instruction is divided into five parts.
      Part I is an introductory section which contains our 
vision for this new legislation and background information on family 
support and family preservation services.
     Part II is a discussion of family support and family 
preservation services and guiding principles for these services.
     Part III is a discussion of planning activities essential 
to the development of a five-year State Plan for services beginning in 
FY 1995, including consultation, coordination, data collection, and 
joint planning.
      Part IV contains a brief outline of major provisions of 
the statute and additional fiscal and administrative information.
     Part V contains instructions for preparing the FY 1994 
application for planning funds and for services funds.

Submittals

 The FY 1994 Application

    We encourage States to submit the FY 1994 application to the 
appropriate Regional Office as soon as possible and no later than June 
30, 1994.

The FY 1995 State Plan

    We encourage States to submit the five-year FY 1995-99 State Plan 
as soon as possible after completing the planning process and no later 
than June 30, 1995.

 Part I: Introduction

A. Background

    Enactment of a new Subpart 2 to title IV-B of the Social Security 
Act is the first major change in this title since the amendments made 
by Public Law 96-272, the Adoption Assistance and Child Welfare Act of 
1980.
    The goals of that legislation were to:
     Prevent the unnecessary separation of children from their 
families;
     Improve the quality of care and services to children and 
their families; and
     Ensure permanency for children through reunification with 
parents, through adoption, or through another permanent living 
arrangement.
    These goals have not been fully realized. A wide variety of reasons 
have been suggested by researchers and practitioners, including:
     Social, cultural, and economic changes (increases in 
substance abuse, community violence, poverty, and homelessness, for 
example), which have affected the number of families coming to the 
attention of child welfare agencies and the severity of their problems;
     Rising rates of child abuse and neglect reports, 
particularly for child sexual abuse;
     A child welfare system unable to keep up with these 
increased demands, given constrained resources, high caseloads, and 
overburdened workers;
     Services planning that focuses most resources on crisis 
intervention and too few on prevention;
     Lack of services that fit the real needs of families; and
     The isolation of the child welfare services system from 
other services needed by vulnerable families, such as housing, 
employment, and substance abuse services.
    In response, Congress has passed, and the President has signed, 
legislation that will provide States with new Federal dollars for 
preventive services (family support services) and services to families 
at risk or in crisis (family preservation services).
    In addition to providing funds for expanding services, the new 
program offers States an extraordinary opportunity to assess and make 
changes in State and local service delivery in child welfare, broadly 
defined. The purpose of these changes is to achieve improved well-being 
for vulnerable children and their families, particularly those 
experiencing or at risk for abuse and neglect. Because the multiple 
needs of these vulnerable children and families cannot be addressed 
adequately through categorical programs and fragmented service delivery 
systems, we encourage States to use the new program as a catalyst for 
establishing a continuum of coordinated and integrated, culturally 
relevant, family-focused services for children and families.
    Among the elements that would ideally be part of the continuum, 
depending on family needs, are family support and family preservation 
services; child welfare services, including child abuse and neglect 
preventive and treatment services and foster care; services to support 
reunification, adoption, kinship care, independent living, or other 
permanent living arrangements; and linkages to services that meet other 
needs, such as housing, employment, and health.
    In passing this legislation, Congress recognized that new funding 
alone would not be sufficient to meet the goals of the legislation and 
Public Law 96-272. Because new or expanded services are just one 
element needed to improve the child welfare system, many States and 
communities may choose to carry out major changes in the ways services 
are delivered and in the systems that deliver them, in order to ensure 
that services are part of a comprehensive, coordinated service delivery 
system that draws heavily on community-based programs in its design and 
implementation.
    Therefore, we expect that a major goal of the planning process will 
be to examine the changes that are needed in each State to make 
delivery of services more responsive to the needs of individuals and 
communities and more sensitive to the context in which they are to be 
delivered.
    It is our strong expectation that States will take advantage of 
this opportunity to move the child welfare service system in these 
directions, leading to a more coordinated, flexible system, built on 
and linked to existing community services and supports, and able to 
serve children and their families in a more effective way.

B. Development of Family Preservation and Support Services

    Family support and family preservation services are not new. They 
date back to the turn of the century, e.g., Hull House and the 
settlement house movement. Recently, however, there has been increased 
interest in such programs.
    Over the last several years, State and local governments, 
foundations, national organizations, and non-profit agencies have begun 
to develop and implement family support and family preservation 
programs; push for change in child welfare programs, including reform 
of State laws and policies to support family-centered practice; and 
experiment with changing the way child welfare services are organized 
and delivered, including strengthening linkages with other agencies and 
resources and moving toward greater community direction and control of 
services.
    A few examples of such efforts include the American Public Welfare 
Association's policy on Commitment to Change, the decategorization of 
funding and collaborative planning efforts in a number of States, the 
Children's Trust Funds and Children's Cabinets, the Pew Foundation's 
Children's Initiative and support for demonstrations of improved 
planning and child welfare service delivery from the Edna McConnell 
Clark Foundation and the Annie E. Casey Foundation. Specific program 
models include the Homebuilders and the Families First programs, the 
Healthy Families America initiative, and hundreds of community-based 
family support programs nationwide including both family resource 
centers and home-based models, such as Parents as Teachers, and the 
Home Instruction Program for Preschool Youngsters (HIPPY).
    Several Federal programs or initiatives also have focused on 
prevention, family-centered practice, and a community-based approach. 
Some examples include the Head Start Bureau's Family Service and Family 
Support Projects, and Parent and Child Centers; the national 
Comprehensive Child Development Program demonstration; the National 
Center on Child Abuse and Neglect's State community-based prevention 
grants associated with Children's Trust Funds; the Family Support 
Resource Center and the Family Based Services Resource Center funded by 
the Children's Bureau; the Family and Youth Services Bureau's Family 
Resource and Support program; the Public Health Services' (PHS) Healthy 
Start program; the Office of Community Services' Family Support Centers 
(homeless families demonstration); the Department of Housing and Urban 
Development's (HUD) Family Self-Sufficiency demonstration program; and 
the PHS Child and Adolescent Services System Program (CASSP), a 
planning model for coordinated mental health services now implemented 
in all States.
    We have compiled in Attachment C reference information on family 
support and family preservation resources, programs and options; 
information on collaborative planning and needs assessment; and a 
summary of two recent Federal programs that States and communities 
should consider as they develop the family support and family 
preservation five-year plan: the community empowerment funds under the 
social services block grant and the HUD Family Unification Program.
    As one part of our implementation of this new legislation, we have 
convened a series of focus groups in both the Central and Regional 
Offices with family support and family preservation program directors, 
practitioners, and experts; State, county, and city child welfare 
administrators; State and local agencies with experience in providing 
such programs; representatives of Indian Tribes and regional and 
national Tribal organizations; national advocacy, interest group, and 
professional organizations; representatives of national organizations 
representing Governors, State legislators, and counties; and parents, 
foster parents, and consumers of child welfare services. In addition, 
we have met with or received written materials and recommendations from 
a number of other experts and practitioners in the field. The 
suggestions, guidance, and information we have received through this 
process have been invaluable to us in the development of this Program 
Instruction.
    Further, in an effort to improve Federal collaboration and 
coordination, we have met with staff of other Federal programs (both 
within and outside the Department) to obtain current information on new 
programs and explore ways to consolidate and maximize resources.
    We are actively collaborating on FY 1994 discretionary grant 
announcements with the Health Resources and Services Administration 
(HRSA) and the Substance Abuse and Mental Health Administration 
(SAMHSA) in the Public Health Service. For example, in an effort to 
strengthen coordination at the State and local level, HRSA's 
discretionary grant announcement for a new program, ``Home Visiting for 
At-Risk Families,'' will require that the application must be developed 
collaboratively by representatives of the State agency administering 
title IV-B (Child and Family Services) and title V (Maternal and Child 
Health). Information on the Home Visiting Announcement may be obtained 
by calling Geraldine J. Norris at 301-443-6600.
    Also, in the interest of coordinating service efforts at the State 
and local level, we have been working with SAMHSA which will be 
publishing a discretionary grant announcement early in FY 1994. The 
announcement will be for the development of community-based systems of 
care for children and adolescents who are experiencing a serious 
emotional disturbance and their families.
    In reviewing applications for these discretionary grants, one of 
the criteria that the Center for Mental Health Services, SAMHSA, will 
take into account is the degree to which the applicant has included 
children's mental health services in its comprehensive planning for 
coordinated services under the Family Preservation and Support Services 
program.

Part II: Family Preservation and Family Support Services and Principles

    The literature on professional practice and the discussion at the 
focus groups reflected general agreement on the goals for family 
support and family preservation services. These services should be 
directed towards:
     Enhancing parents' ability to create stable and nurturing 
home environments that promote healthy child development;
     Assisting children and families to resolve crises, connect 
with necessary and appropriate services, and remain safely together in 
their homes; and
     Avoiding unnecessary out-of-home placement of children, 
and helping children already in out-of-home care to be returned to and 
be maintained with their families or in another planned, permanent 
living arrangement.
    Family support services are primarily community-based preventive 
activities designed to alleviate stress and promote parental 
competencies and behaviors that will increase the ability of families 
to successfully nurture their children; enable families to use other 
resources and opportunities available in the community; and create 
supportive networks to enhance child-rearing abilities of parents and 
help compensate for the increased social isolation and vulnerability of 
families.
    Examples of community-based services and activities include respite 
care for parents and other caregivers; early developmental screening of 
children to assess the needs of these children and assistance in 
obtaining specific services to meet their needs; mentoring, tutoring, 
and health education for youth; and a range of center-based activities 
(informal interactions in drop-in centers, parent support groups) and 
home visiting activities. (See Section 431 of the statute and the 
Conference Report language in Attachment B.)
    Family preservation services typically are services designed to 
help families alleviate crises that might lead to out of home placement 
of children; maintain the safety of children in their own homes; 
support families preparing to reunify or adopt; and assist families in 
obtaining services and other supports necessary to address their 
multiple needs in a culturally sensitive manner. (If a child cannot be 
protected from harm without placement or the family does not have 
adequate strengths on which to build, family preservation services are 
not appropriate).
    Examples of family preservation activities and services, include 
intensive preplacement preventive services; respite care for parents 
and other caregivers (including foster parents); services to improve 
parenting skills and support child development; follow-up services to 
support adopting and reunifying families; services for youth and 
families at risk or in crisis; and intervention and advocacy services 
for victims of domestic violence. (Section 431 of the statute.)
    Currently, a number of program models, approaches, and levels of 
family preservation services are in operation. In this Program 
Instruction the term ``family preservation'' is used to include all 
such service options. ACF does not plan to require and does not endorse 
any specific program model for implementation. However, in joint 
planning activities with Federal staff, States will have an opportunity 
to discuss the basis for their selection of program models, the 
operation of specific service designs and options, and sources for 
additional information on high quality program approaches and models. 
Some activities such as respite care, home visiting, and assistance in 
obtaining services may be considered either a family support or a 
family preservation service.

Families and Children

    The statute clarifies that, in providing services, ``families'' may 
include biological, adoptive, foster, and extended families. The term 
``children'' includes youth and adolescents.

Statewideness

    We recommend that States consider: (1) targeting services in areas 
of greatest need; and (2) targeting services to support cross-cutting 
community-based strategies. Such strategies have the potential to draw 
on multiple funding streams to bring a critical mass of resources to 
bear in high-need communities.
    There is no requirement that services must be statewide by a 
specific date, although States are encouraged to move in that direction 
as they set goals in their State Plans.

Guiding Principles

    Both family support and family preservation services are based on a 
common set of principles or characteristics which help assure their 
responsiveness and effectiveness for children and their families. Focus 
group participants frequently pointed out that, while various models of 
services or programs are available for communities and States to 
consider, it is an approach based on these principles that should 
provide an organizing framework for State planning.
    Among the shared principles most often identified by practitioners 
are:
     The welfare and safety of children and of all family 
members must be maintained while strengthening and preserving the 
family whenever possible. Supporting families is seen as the best way 
of promoting children's healthy development.
     Services are focused on the family as a whole; family 
strengths are identified, enhanced, and respected, as opposed to a 
focus on family deficits or dysfunctions; and service providers work 
with families as partners in identifying and meeting individual and 
family needs.
     Services are easily accessible (often delivered in the 
home or in community-based settings, convenient to parents' schedules), 
and are delivered in a manner that respects cultural and community 
differences.
     Services are flexible and responsive to real family needs. 
Linkage to a wide variety of supports and services outside the child 
welfare system (e.g., housing, substance abuse treatment, mental 
health, health, job training, child care) are generally crucial to 
meeting families' and children's needs.
     Services are community-based and involve community 
organizations and residents (including parents) in their design and 
delivery.
     Services are intensive enough to meet family needs and 
keep children safe. The level of intensity needed to achieve these 
goals may vary greatly between preventive (family support) and crisis 
services.
    For additional information on service programs and options, see 
Attachment C.

Part III: Planning Activities

    This new legislation provides an unusual opportunity for States to 
strengthen and refocus their child and family services. The 
legislation:
     Provides additional and flexible funds for innovative 
services;
     Directs the focus of these services in new ways; and
     Provides the resources for a planning effort to ensure 
maximum results.
    Because the new focus on family-based services and community 
linkages requires changes in vision, in philosophy, and in the design 
and delivery of child welfare services, the planning period is 
especially critical. By making funds available for planning and by 
requiring the development of a long-range, five-year plan, the 
legislation recognizes this critical first step and offers each State 
an opportunity to strengthen, reform, and better coordinate and 
integrate its service delivery system.
    We strongly urge States to take advantage of this extraordinary 
opportunity. To seize that opportunity, we believe that a thoughtful, 
strategic planning process that includes a wide array of State, local, 
and community agencies and institutions, parents, consumers, and other 
interested individuals whose collective work feeds into joint State-
Federal planning activities, is necessary.
    The five-year State Plan will be the vehicle to articulate a 
State's vision and strategy for achieving that vision, set goals and 
measure progress towards those goals, and identify practical next steps 
toward a more comprehensive and integrated continuum of services that 
responds to the needs of vulnerable families within the State. To 
provide the maximum opportunity for States to strategize broadly about 
the service continuum and family needs, State Plans need to include the 
major programs serving children and their families, including child 
welfare services broadly defined, and need to consider family support 
and family preservation services not as isolated categorical programs 
but as a part of the overall continuum. Ideally, the planning process 
will offer an opportunity for multiple State, local and community 
agencies and organizations (as well as Federal agencies) to become 
partners on behalf of children.
    State planning and service development activities should be 
characterized by broad consultation and involvement, the identification 
and gathering of data needed for planning (needs assessment), and joint 
planning between Federal and State agency staff leading to the 
development of the State Plan.

A. Consultation and Coordination

    We recognize that many States have successful, cross-cutting 
planning processes underway for child and family services. We believe 
that these new title IV-B funds can be used to build on and strengthen 
current planning efforts and act as a catalyst for States at the 
beginning of this planning process.
    In isolation, family support and family preservation services 
cannot effectively address the needs of children and families. 
Therefore, consultation and coordination should include the active 
involvement of major actors across the entire spectrum of the service 
delivery system for children and their families including:
     State and local public agencies, non-profit private 
agencies, and community-based organizations with experience in 
administering programs of services for children and families (including 
family support and family preservation);
     Representatives of communities, Indian Tribes, and other 
areas where needs for family support and family preservation are high.
     Parents (especially parents who are participating in or 
who have participated in family support and/or family preservation 
programs) and other consumers, foster parents, adoptive parents, and 
families with a member with a disability.
     Representatives of professional and advocacy organizations 
(including foundations and national resource centers with the expertise 
to assist States and communities with regard to family support and 
family preservation), individual practitioners working with children 
and families, and the courts; and
     State and local agencies administering Federal and 
federally assisted programs, such as maternal and child health; the 
Early and Periodic, Screening, Diagnosis, and Treatment program; mental 
health; child abuse and neglect (e.g., the NCCAN emergency child abuse 
prevention services grants); transitional and independent living; 
substance abuse; education; developmental disabilities; juvenile 
justice; early childhood education (child care and Head Start); 
domestic violence; youth gangs; housing; income security (AFDC, JOBS, 
Child Support); nutrition (Food Stamps, WIC); the social services and 
the community services block grant; and the title IV-A Emergency 
Assistance program.
    There are many purposes of outreach and consultation, including the 
development of new and more effective service approaches for children 
and families, the assessment of family and community needs, the 
identification of service overlaps and gaps, the identification of 
available resources (expertise, money, facilities, staff) that might 
help to meet needs, and the development of strategies for blended 
financing, common application forms, or simplified case management 
procedures across programs. All of these outcomes help to improve 
service delivery to children and families.

B. Collection of Data

    An essential component of the planning process is the collection of 
information on which to base service decisions and determine future 
goals. We strongly recommend that States conduct a thorough needs 
assessment using available data whenever possible.
    The needs assessment should identify the existing array of family 
support, family preservation, and other related services currently 
being provided; resources and sources of funding; and gaps and 
deficiencies in services. It should also identify data on which to base 
target population decisions, e.g., demographic characteristics of 
children and families from census data; State legislative and city 
planning data; child abuse and neglect and infant mortality data; data 
on communities that experience high rates of foster care placements; 
and data about communities experiencing disproportionately high levels 
of poverty, homelessness, substance abuse, or teen pregnancy. A State 
might also project what the future circumstances of families and 
children in the State would be if nothing were done.

C. Joint Planning

    Joint planning is an ongoing process of discussion, consultation, 
and negotiation which takes place between the State child welfare 
agency and the Federal Regional Office representative for the purpose 
of developing a State Plan. It includes Federal technical assistance to 
the State as well.
    Through joint planning, State and Federal staff, with appropriate 
consultation and participation of other State, local and community-
based stakeholders, discuss the key strategic decisions facing the 
State (as identified from needs assessments, consultation, and data 
available to the State):
     Priorities for services and for target populations;
     Proposed goals and objectives;
     Unmet needs, services gaps, and overlaps in funding;
     Other funding resources available to provide the services 
needed;
     The State and local organizations, foundations, and 
agencies with which the child welfare agency can coordinate;
     Ongoing plans to move toward the State's goals by 
improving the service delivery system and ensuring a more efficient 
comprehensive system of care for children and families; and
     Methods for reviewing progress toward those goals.
    Finally, joint planning also includes Federal guidance and 
technical assistance after the State Plan has been developed and 
approved. This is provided through follow-up review and discussion of 
progress in accomplishing the goals identified in the plan and updating 
the plan as appropriate.

Part IV: Statutory and Fiscal Requirements

A. Brief Outline of Major Provisions of the Statute

1. Purpose
    Family Preservation and Support Services is a capped entitlement 
program. Its purpose is to encourage and enable each State ``to develop 
and establish, or expand, and to operate a program of family 
preservation services and community-based family support services.'' 
One hundred percent Federal funding is available in FY 1994 to develop 
and submit a five-year State Plan for such services in FY 1995. 
(Section 430) A copy of the statute is found in Attachment B.
2. Five-Year State Plan
    In order to receive funds in FY 1995, each State must submit a 
five-year State Plan for FYs 1995-99. The plan must at minimum:
     Set forth the goals to be accomplished by the end of the 
fifth year;
     Be updated periodically to set forth the goals to be 
accomplished by the end of each fifth fiscal year thereafter;
     Describe the methods to be used to measure progress toward 
the goals; and
     Provide for coordination of services under the plan with 
other Federal or federally assisted programs serving the same 
populations.
    As part of an ongoing planning process, the State must:
     Annually review progress toward accomplishing the goals;
     Based on the annual review, revise the goals if necessary; 
and
     At the end of the fifth year, conduct a final review and 
provide a report to the Secretary and to the public on progress toward 
accomplishing the goals; and
     Also at the end of the fifth year, amend the plan to set 
forth the goals for the next five years as developed in consultation 
with public and non-profit agencies. (Section 432 (a))
3. Joint Planning and Consultation Requirements
    The Secretary will approve a plan that meets the requirements only 
if the plan was developed:
     Jointly by the staff of the Department and the State 
(Section 432(b)(1)); and
     After consultation by the State agency with appropriate 
public and non-profit private agencies and community-based 
organizations with experience in administering programs of services for 
children and families, including family support and family preservation 
services. (Section 432(b))
4. Public Information and Reporting Activities
    Annually, the State must furnish to the Secretary, and make 
available to the public, a report which contains a description of:
     The family preservation services and the community-based 
family support services to be made available under the plan in the 
upcoming fiscal year;
     The populations each program will serve; and
     The geographic areas in the State where each service will 
be available.
    This first descriptive services report for FY 1995 and FY 1996 is 
due at the time the State submits its FY 1995 plan, and subsequent 
reports will be due by June 30 of each succeeding fiscal year for the 
upcoming fiscal year. (Section 432(a)(5))
    As noted above, at the end of each five-year plan period, the State 
must report to the Secretary and to the public on its progress in 
meeting its five-year goals and on its goals for the next five-year 
period.
5. FY 1994 Application and Special Rule Requirements
     The State must submit an application for funds for FY 
1994.
     Up to $1 million of a State's allotment may be used for 
planning purposes to develop and submit the FY 1995-99 plan.
     Funds used for planning purposes in FY 1994 are 100 
percent Federal funds, i.e., no State match is required.
     Funds not needed to develop the FY 1995-99 plan may be 
used to provide family support and family preservation services; funds 
over $1 million in a State's allotment may only be used for such 
services.
6. Fiscal and Administrative Requirements
     Funds used to provide services in FY 1994 and subsequent 
years are federally reimbursed at 75 percent. Federal funding for 
planning and services will not exceed the amount of the State's 
allotment.
     States using funds for services in FY 1994 and subsequent 
years may not use more than 10 percent of total Federal and State 
service expenditures under this program for administrative costs.
     The ten percent limitation on administrative costs does 
not apply to funds used for planning purposes in FY 1994.
     States must spend a significant portion of service dollars 
for family support and for family preservation services, respectively. 
(Section 432 (a)(4))
     The use of other Federal funds as the State's share of 
expenditures is prohibited. (Section 434)
7. Other Requirements
    The statute requires that the State will:
     Provide for the proper and efficient operation of the 
State Plan (Section 432(a)(6));
     Assure, and provide fiscal reports to the Secretary to 
demonstrate compliance with the requirement, that Federal funds under 
this program will not be used to supplant Federal or non-Federal funds 
for existing family support and family preservation services and 
activities (Section 432 (a)(7));
     Furnish other reports as required (Section 432(a)(8));
     Participate in evaluations as required (Section 
432(a)(8)); and
     Expend funds by September 30 of the fiscal year following 
the fiscal year in which the funds were awarded, i.e., the State must 
liquidate all obligations of FY 1994 funds by September 30, 1995. 
(Section 434(b)(2))
8. Definitions
    Definitions, including definitions of services, are found in 
Section 431 of the Social Security Act. The Conference Report language 
provides additional examples of family support services (see Attachment 
B).

B. Additional Fiscal and Administrative Information

1. Rate of Federal Match
    This FFP rate is the same as the rate under Subpart 1 of title IV-
B. The State's contribution may be in cash or donated funds.
    For example, a State with an allotment of $600,000 must spend at 
least $800,000 (at least $200,000 of which is non-Federal) in order to 
receive the full amount of the allotment. If the State spends less than 
$800,000 (e.g., $700,000), it will receive 75 percent of the amount it 
spends (e.g., for $700,000 in expenditures, the State will receive 
$525,000).
2. Submittals
     The FY 1994 Application. The application for FY 1994 funds 
may be submitted as a preprint or in the format of the State's choice. 
A recommended preprint is found at Attachment D. If a State uses its 
own format, the application must include all the information specified 
in the preprint.
    We encourage States to submit the FY 1994 application to the 
appropriate Regional Office as soon as possible after completing the 
application requirements and no later than June 30, 1994. Grant awards 
will be made after the application has been approved. (See Attachment F 
for a list of Regional Offices.)
     The FY 1995 State Plan. FY 1995 funds are available only 
after the State has submitted, and ACF has approved, a five-year State 
Plan for services that meets all requirements.
    ACF is considering consolidating the five-year State Plan for 
Family Preservation and Support Services with the State's title IV-B 
(Subpart 1, Child Welfare Services) State Plan, and the title IV-E 
Independent Living Program plan. Instructions for submittal of this 
proposed consolidated FY 1995 five-year State Plan will be issued in 
the future to coincide with regulations ACF expects to propose for 
family support and family preservation services.
    States are encouraged to submit the FY 1995 State Plan as soon as 
possible after completing the planning process and no later than June 
30, 1995. Grant awards will be made after the plan has been approved.
3. Other Information
     FY 1994 funds are available for expenditures from the 
beginning of the fiscal year, i.e., October 1, 1993.
     There is no reallotment provision in this new legislation.
     The SF-269 report must be submitted annually to the 
Regional Office.
     Title IV-B, subpart 2, is covered by Executive Order 12372 
for the purpose of consolidation and simplification of the State Plan 
only. Like title IV-B, subpart 1, it is excluded from the 
intergovernmental review process under the Executive Order.

Part V.--Application Instructions

A. Planning

    We expect and encourage States to take full advantage of the 
opportunity to use the 100 percent FY 1994 Federal funds, up to $1 
million, for comprehensive planning and other planning related 
activities, such as training, technical assistance, assessment, public 
information and education, and commissioning further analyses. We 
believe that such planning is critical to the development of a five-
year State Plan for services and to the effective establishment of a 
continuum of services for children and families that includes family 
support and family preservation services.
    To qualify for Federal funding for FY 1994 under title IV-B, 
Subpart 2, Family Preservation and Support Services, a State must 
submit an application to the ACF Regional Office. (See optional 
application preprint at Attachment D.)
    All applications must: 1. Provide the name of the State agency that 
will administer the program. It must be the same agency that 
administers title IV-B, part 1.
    2. Specify the estimated amount of the State's FY 1994 allotment 
that will be used for planning for family preservation and family 
support services, including development of a five-year State Plan for 
services in the context of a comprehensive child welfare services plan.
    3. Describe the proposed use of FY 1994 funds for planning 
activities, including:
     A description of the process the State will follow or the 
existing State/local planning processes it will use to ensure that 
parents, consumers, Indian Tribes, representatives of communities, and 
a variety of State, local, and non-profit agencies, community-based 
organizations and individuals having experience with services to 
vulnerable children and families, including family preservation and 
family support services, will be actively involved in the planning 
process;
     A description of how the State will coordinate the 
provision of services with representatives of other Federal and 
federally assisted programs to develop a more comprehensive and 
integrated service delivery system;
     A list of planned contacts and a description of the 
outreach activities, such as hearings or focus group meetings, that the 
State will use to ensure that interested parties in the State have an 
opportunity for active involvement in this planning process; and
     A description of how the State will inform all appropriate 
parties about this new legislation and the planning, consultation, and 
coordination provisions.
    4. Describe how the State will assess State and local needs (or 
describe a recently conducted prior planning process which assessed 
community needs and meets the requirements of this paragraph). The 
proposed approach to needs assessment should contain enough local 
detail to support State targeting decisions and include specific data 
collection strategies on service populations, service needs, available 
programs, and available resources. Examples of information that may be 
useful are local area data (including census tract data) on the number 
and types of child abuse and neglect reports and foster care 
placements, and data by community on child and family poverty, 
homelessness, substance abuse, teen pregnancy. (See Attachment C for 
reference materials on needs assessments.)
    5. Describe how the State will collect information on the nature 
and scope of existing public and privately funded family preservation 
and family support programs in the State.
    Information about these programs should be used to make informed 
decisions on investing or expanding existing services or moving in new 
directions.
    6. Describe other activities the State will carry out to develop 
the five-year State Plan and implement service system reform, including 
activities such as:
     Training and technical assistance; and
     The approach the State will take to assess the 
implementation and effectiveness of the family support and family 
preservation services within the State and their effect on the broader 
child welfare and family services system.
    7. Supply State FY 1992 summary fiscal data, as shown on the 
attached application preprint, on federally- or State-funded family 
support and family preservation programs to enable monitoring of the 
prohibition against supplantation of funds for these programs.
    8. Provide the following general assurances:
     The State will perform administrative procedures 
determined necessary by the Secretary of HHS, for the proper and 
efficient operation of the State's program.
     The State will not use Federal funds provided to the State 
under this program to supplant Federal or non- Federal funds, including 
those provided to community-based programs, for existing family 
preservation or family support services. The State will furnish 
requested reports to the Secretary of HHS, that demonstrate the State's 
compliance with the prohibition against supplantation.
     The State will furnish reports requested by the Secretary 
of HHS, including the SF-269.
     The State will participate in any national or local 
(including local third party) evaluations of the program that may be 
required by the Secretary of HHS. (A State may be asked to provide 
information about the number of children served by the new program, 
State goals on foster care caseloads, and on reports of child abuse and 
neglect.)
     The State will not expend (obligate and liquidate) any 
amount paid under this program for any fiscal year after the end of the 
immediately succeeding fiscal year.
    9. Certify that the State will meet the following certifications 
contained in the application preprint by signing the first and 
submitting the two remaining certifications. (The signature of the 
authorized State official on the application constitutes compliance 
with the drug-free workplace and the debarment certifications.)
     Anti-Lobbying and Disclosure Form;
     Drug-Free Workplace Requirements; and
     Debarment Certification.
    10. Provide the name, signature and title of the State agency 
official certifying compliance with all assurances and certifications 
associated with the receipt of funds for family preservation and family 
support services. Also, provide the name, title and telephone number of 
a State contact person responsible for the planning effort.

B. Services

    A State may apply to use FY 1994 funds for services in the 
following circumstances:
    a. Any funds over $1 million used by the State must be used for 
services.
    b. If, after reviewing the FY 1994 application requirements for 
planning and the preliminary issues for possible regulatory action for 
the FY 1995 State Plan (see Attachment E), the State believes it can 
demonstrate that it has met or is in the process of meeting most of 
these requirements and will have funds from its allotment not needed 
for planning or developing the FY 1995 State Plan, it may apply to use 
these funds for services.
    Before authorizing the expenditure of FY 1994 funds for services, 
we will want to be satisfied, for example, that the State expects to 
meet the requirements for consultation with community-based 
organizations, parents, and others in its design and funding of family 
support programs; that it has completed or expects to complete a needs 
assessment and obtain both State and local data necessary for services 
planning and/or expansion; and that it has coordinated with other State 
agencies and Federal and federally assisted programs in order to 
develop collaborative arrangements to improve service delivery to 
vulnerable families. The State also must be able to show how the family 
preservation and support services to be provided in FY 1994 are related 
to the State's current title IV-B Services Plan.
    We urge States to consult with Regional Office staff as they 
prepare their FY 1994 application for planning/services. Regional 
Office staff will clarify requirements, review materials submitted as 
part of the application, and provide further guidance.
    In order to receive funding for services in FY 1994, a State's 
application must include the following information:
    1. Specify the estimated amount of the State's allotment that will 
be used for services, and the amount the State will contribute (at 
least 25 percent of the total, i.e., 33 percent of the Federal 
contribution). Include total estimates of the amounts to be used for 
training, technical assistance, and administrative costs.
    2. Include the findings of a needs assessment or prior planning 
processes that led to the decision to spend FY 1994 funds for services 
and to the selection of the type of services, the populations to be 
served, and the geographic areas for each type of service. Include a 
description of the needs assessment/planning process and a list of the 
organizations and individuals that participated.
    3. Describe how representatives from Indian Tribes, cities and 
communities, groups identified as having expertise in the field of 
family preservation and family support, parents, consumers, and others 
participated in the development of the application for FY 1994 services 
funds.
    4. Identify the State's goals for services to vulnerable children 
and families in FY 1994 and indicate how the funds obtained under this 
program will assist in meeting these goals. Specifically, describe how 
these funds will be used to develop or expand family support and family 
preservation services and strengthen service delivery in the existing 
child welfare system.
    Describe how these funds will link to other services (such as 
social, educational, juvenile justice, substance abuse, and health and 
mental health services) to improve the likelihood that children and 
families will receive care appropriate to meet their multiple needs.
    5. Describe separately the family support services and the family 
preservation services that will be provided using FY 1994 funds. 
Include a description of the populations to which each type of service 
will be directed and the geographic areas where each type of service 
will be provided.
    Describe the nature and scope of existing public and privately 
funded family preservation and family support services in the State.
    6. Indicate the specific percentage of FY 1994 funds that the State 
will expend for community-based family support and for family 
preservation services, respectively, and the rationale for that choice. 
Include an explanation of how this distribution was reached and why it 
meets the requirement that a ``significant portion'' of the service 
funds must be spent for each service. Examples of important 
considerations might include the nature of the planning efforts that 
led to the decision, the level of existing State effort in each area, 
and the resulting need for new or expanded services. While there is no 
minimum percentage that defines significant, States should be aware 
that the rationale will need to be especially strong if the request for 
either allocation is below 25 percent.
    7. Estimate the amount of family support funds which the State will 
provide to community-based organizations and how organizations will be 
selected to receive these funds.
    8. Specify the following information:
     Describe the types of activities that will be claimed as 
administrative costs. These typically are the overhead costs associated 
with personnel, such as State agency rent, utilities, supplies, and so 
on.
     Describe the types of training and technical assistance 
activities that will be carried out. (Costs directly associated with 
the provision of services are not considered administrative costs, 
e.g., training for individuals to administer or deliver family support 
or family preservation services.)
    9. Provide the following assurances:
     The State will not spend more than ten percent of family 
support and family preservation service funds on administrative costs.
     The State will spend a significant portion of funds for 
family preservation and for family support services, respectively.
     The State will not use Federal funds to meet the State's 
share of costs of services not covered by the amount received under 
this law.

    Note: The State will meet the general assurances in the law (see 
p. 23) by submitting the signed planning section of this 
application.

    10. Provide the name, signature and title of the State agency 
official certifying compliance with all assurances and certifications 
associated with the receipt of funds for family preservation and family 
support. Also, provide the name, title and telephone number of a State 
contact person for family support and family preservation services.
    Inquiries to: ACF Regional Administrators--Olivia A. Golden, 
Commissioner, Administration on Children, Youth and Families.
    For the purpose of this Federal Register Announcement, only the 
body of the Program Instruction has been included as the most pertinent 
information for prospective applicants. Attachments A through F have 
not been included because they repeat information, or have been 
determined to be less relevant to this announcement.
    However, the Program Instruction, complete with all attachments may 
be obtained from the Clearinghouse on Child Abuse and Neglect 
Information, (800) 394-3366 or (703) 385-7565.

Appendix 2--Clearinghouses and Resource Centers

Clearinghouse on Child Abuse and Neglect Information, P.O. Box 1182, 
Washington, DC 20013, (703) 385-7565, (800) FYI-3366, (703) 385-3206 
FAX
National Adoption Information Clearinghouse (NAIC), 11426 Rockville 
Pike, Suite 410, Rockville, MD 20852-3007, (301) 231-6512, (301) 
984-8527 FAX
Center for Substance Abuse Prevention (CSAP), National Clearinghouse 
for Alcohol and Drug Information (NACADI), P.O. Box 2345, Rockville, 
MD 20847-2345, (800) 729-6686, (301) 468-2600, (301) 468-6433 FAX, 
(301) 230-2687 TDD
National Information Clearinghouse (NIC) for Infants with 
Disabilities and Life-Threatening Conditions, Center for 
Developmental Disabilities/USC, Benson Building, 1st Floor, 
Columbia, SC 29208, (800) 922-9234 ext. 201, (800) 922-1107 (in SC), 
(803) 777-4435, (803) 777-6058 FAX
Juvenile Justice Clearinghouse, Box 6000, Rockville, MD 20850, (800) 
638-8736, (310) 251-5212 FAX
National Center for Education in Maternal and Child Health (NCEMCH), 
2000 15th Street, North, Suite 701, Arlington, VA 22201-2617, (703) 
524-7802, (703) 524-9335 FAX
National Center for Missing and Exploited Children (NCMEC), 2101 
Wilson Boulevard, Suite 550, Arlington, VA 22201-3052, (703) 235-
3900, (800) 843-5678 Hotline, (800) 826-7653 TDD Hotline, (703) 235-
4067 FAX
Center for Substance Abuse Prevention, National Resource Center for 
the Prevention of Perinatal Abuse of Alcohol and Other Drugs, 9300 
Lee Highway, Fairfax, VA 22031, (703) 218-5600, (800) 354-8824, 
(703) 218-5701 FAX
National Clearinghouse on Runaway and Homeless Youth (NCRHY), P.O. 
Box 13505, Silver Spring, MD 20911-3505, (301) 608-8098, (301) 587-
4352 FAX
National Victims Resource Center (NVRC), P.O. Box 6000, Rockville, 
MD 20850-6000, (800) 627-6872, (301) 251-5121
Work and Family Clearinghouse, Women's Bureau, U.S. Department of 
Labor, 200 Constitution Avenue, Washington, DC 20201-0002, (800) 
827-5335, (202) 523-4486, (202) 523-1529

Appendix 3--Administration for Children and Families--Regional Offices

Program Managers, Child Care, Child Welfare and Developmental 
Disabilities, OFSS

Region I

Tina Janey-Burrell, Program Manager, OFSS/OSP, Administration for 
Children and Families, Department of Health and Human Services, JFK 
Federal Building, Room 600, 6th Floor (Temp), Boston, MA 02203, 
Phone: 617-565-3296, Fax: 617-565-2493

Region II

Salvatore Milano, Program Manager, OFSS/OSP, Administration for 
Children and Families, Department of Health and Human Services, 
Federal Building, Room 4048, 26 Federal Plaza, New York, NY 10278, 
Phone: 212-264-2975, Fax: 212-264-4881

Region III

Richard Gilbert, Program Manager, OFSS/OSP, Administration for 
Children and Families, Department of Health and Human Services, 3535 
Market Street, Room 5450, Philadelphia, PA 19101, Phone: 215-596-
0293, Fax: 215-596-5028

Region IV

William Behm, Program Manager, OFSS/OSP, Administration for Children 
and Families, Department of Health and Human Services, 101 Marietta 
Tower, Suite 821, Atlanta, GA 30323, Phone: 404-331-2398, Fax: 404-
331-1776

Region V

Kathleen Penak, Program Manager, OFSS/OSP, Administration for 
Children and Families, Department of Health and Human Services, 105 
West Adams Street, 20th Floor, Chicago, IL 60603, Phone: 312-353-
6503, Fax: 312-353-2204

Region VI

Manuel Soto, Program Manager, OFSS/OSP, Administration for Children 
and Families, Department of Health and Human Services, 1200 Main 
Tower Building, Suite 1700, Dallas, TX 75202, Phone: 214-767-6596, 
Fax: 214-767-3743

Region VII

Robert Reed, Program Manager, OFSS/OSP, Administration for Children 
and Families, Department of Health and Human Services, 601 E. 12th 
Street, Room 384, Kansas City, MO 64106, Phone: 816-426-5211, Fax: 
816-426-2888

Region VIII

Charles Graham, Program Manager, OFSS/OSP, Administration for 
Children and Families, Department of Health and Human Services, 
Federal Office Building, 1961 Stout Street, Room 1185, Denver, CO 
80294-3538, Phone: 303-844-4890, Fax: 303-844-3642

Region IX

John McGee, Program Manager, OFSS/OSP, Administration for Children 
and Families, Department of Health and Human Services, 50 United 
Nations Plaza, Room 450, San Francisco, CA 94102, Phone: 415-556-
6153, Fax: 415-556-3046

Region X

Richard McConnell, Program Manager, OFSS/OSP, Administration for 
Children and Families, Department of Health and Human Services, 
Blanchard Plaza, 2201 Sixth Avenue, Room 610-M/S RX-70, Seattle, WA 
98121, Phone: 206-615-2558 ext. 3102, Fax: 206-615-2575

BILLING CODE 4184-01-P

TN02MY94.001


BILLING CODE 4184-01-C

Instructions for the SF 424

    This is a standard form used by applicants as a required 
facesheet for preapplications and applications submitted for Federal 
assistance. It will be used by the 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 Entrv

    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 
contract on matter 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. Checks 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 of 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 and 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 contract the State Single Point of Contact 
(SPOC) for Federal Executive Order 12372 to determine whether the 
application is subject to the State intergovernmental review 
process.
    17. This question applies to the applicant organization, not the 
person who signs as the authorized representative. Categories of 
debt include delinquent audit disallowances, loans and taxes.
    18. To be signed by the authorized representative of the 
applicant. A copy of the governing body's authorization for you to 
sign this application as official representative must be on file in 
the applicant's office. (Certain Federal agencies may require that 
this authorization be submitted as part of the application.)

BILLING CODE 4184-01-P

TN02MY94.002


TN02MY94.003


BILLING CODE 4184-01-C

Instructions for the SF-424A

General Instructions

    This form is designed so that application can be made for funds 
from one or more grant programs. In preparing the budget, adhere to 
any existing Federal grantor agency guidelines which prescribe how 
and whether budgeted amounts should be separately shown for 
different functions or activities within the program. For some 
programs, grantor agencies may require budgets to be separately 
shown by function or activity. For other programs, grantor agencies 
may require a breakdown by function or activity. Sections A, B, C, 
and D should include budget estimates for the whole project except 
when applying for assistance which requires Federal authorization in 
annual or other funding period increments. In the latter case, 
Sections A, B, C, and D should provide the budget for the first 
budget period (usually a year) and Section E should present the need 
for Federal assistance in the subsequent budget periods. All 
applications should contain a breakdown by the object class 
categories shown in Lines a-k of Section B.

Section A.--Budget Summary

Lines 1-4, Columns (a) and (b)

    For applications pertaining to a single Federal grant program 
(Federal Domestic Assistance Catalog number) and not requiring a 
functional or activity breakdown, enter on Line 1 under Column (a) 
the catalog program title and the catalog number in Column (b).
    For applications pertaining to a single program requiring budget 
amounts by multiple functions or activities, enter the name of each 
activity or function on each line in Column (a), and enter the 
catalog number in Column (b). For applications pertaining to 
multiple programs where none of the programs require a breakdown by 
function or activity, enter the catalog program title on each line 
in Column (a) and the respective catalog number on each line in 
Column (b).
    For applications pertaining to multiple programs where one or 
more programs require a breakdown by function or activity, prepare a 
separate sheet for each program requiring the breakdown. Additional 
sheets should be used when one form does not provide adequate space 
for all breakdown of data required. However, when more than one 
sheet is used, the first page should provide the summary totals by 
programs.

Lines 1-4, Columns (c) through (g)

    For new applications, leave Columns (c) and (d) blank. For each 
line entry in Columns (a) and (b), enter in Columns (e), (f), and 
(g) the appropriate amounts of funds needed to support the project 
for the first funding period (usually a year).
    For continuing grant program applications, submit these forms 
before the end of each funding period as required by the grantor 
agency. Enter in Columns (c) and (d) the estimated amounts of funds 
which will remain unobligated at the end of the grant funding period 
only if the Federal grantor agency instructions provide for this. 
Otherwise, leave these columns blank. Enter in columns (e) and (f) 
the amounts of funds needed for the upcoming period. The amount(s) 
in Column (g) should be the sum of amounts in Columns (e) and (f).
    For supplemental grants and changes to existing grants, do not 
use Columns (c) and (d). Enter in Column (e) the amount of the 
increase or decrease of Federal funds and enter in Column (f) the 
amount of the increase or decrease of non-Federal funds. In Column 
(g) enter the new total budgeted amount (Federal and non-Federal) 
which includes the total previous authorized budgeted amounts plus 
or minus, as appropriate, the amounts shown in Columns (e) and (f). 
The amount(s) in Column (g) should not equal the sum of amounts in 
Columns (e) and (f).

Line 5

    Show the totals for all columns used.

Section B.--Budget Categories

    In the column headings (1) through (4), enter the titles of the 
same programs, functions, and activities shown on Lines 1-4, Column 
(a), Section A. When additional sheets are prepared for Section A, 
provide similar column headings on each sheet. For each program, 
function or activity, fill in the total requirements for funds (both 
Federal and non-Federal) by object class categories.

Lines 6a-i

    Show the totals of Lines 6a to 6h in each column.

Line 6j

    Show the amount of indirect cost.

Line 6k

    Enter the total of amounts on Lines 6i and 6j. For all 
applications for new grants and continuation grants the total amount 
in Column (5), Line 6k, should be the same as the total amount shown 
in Section A, Column (g), Line 5. For supplemental grants and 
changes to grants, the total amount of the increase or decrease as 
shown in Columns (1)-(4), Line 6k should be the same as the sum of 
the amounts in Section A, Columns (e) and (f) on Line 5.

Instructions for the SF-424A (continued)

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

Line 8-11

    Enter amounts of non-Federal resources that will be used on the 
grant. If in-kind contributions are included, provide a brief 
explanation on a separate sheet.
    Column (a)--Enter the program titles identical to Column (a), 
Section A. A breakdown by function or activity is not necessary.
    Column (b)--Enter the contribution to be made by the applicant.
    Column (c)--Enter the amount of the State's cash and in-kind 
contribution if the applicant is not a State or State agency. 
Applicants which are a State or State agencies should leave this 
column blank.
    Column (d)--Enter the amount of cash and in-kind contributions 
to be made from all other sources.
    Column (e)--Enter totals of Columns (b), (c), and (d).

Line 12

    Enter the total for each of Columns (b)-(e). The amount in 
Column (e) should be equal to the amount on Line 5. Column (f), 
Section A.

Section D.--Forecasted Cash Needs

Line 13

    Enter the amount of cash needed by quarter from the grantor 
agency during the first year.

Line 14

    Enter the amount of cash from all other sources needed by 
quarter during the first year.

Line 15

    Enter the totals of amounts on Lines 13 and 14.

Section E.--Budget Estimates of Federal Funds Needed for Balance of 
the Project

Lines 16-19

    Enter in Column (a) the same grant program titles shown in 
Column (a), Section A. A breakdown by function or activity is not 
necessary. For new applications and continuation grant applications, 
enter in the proper columns amounts of Federal funds which will be 
needed to complete the program or project over the succeeding 
funding periods (usually in years). This section need not be 
completed for revisions (amendments, changes, or supplements) to 
funds for the current year of existing grants.
    If more than four lines are needed to list the program titles, 
submit additional schedules as necessary.

Line 20

    Enter the total for each of the Columns (b)-(e). When additional 
schedules are prepared for this Section, annotate accordingly and 
show the overall totals on this line.

Section F.--Other Budget Information

Line 21

    Use this space to explain amounts for individual direct object-
class cost categories that may appear to be out of the ordinary or 
to explain the details as required by the Federal grantor agency.

Line 22

    Enter the type of indirect rate (provisional, predetermined, 
final or fixed) that will be in effect during the funding period, 
the estimated amount of the base to which the rate is applied, and 
the total indirect expense.

Line 23

    Provide any other explanations or comments deemed necessary.

Assurances--Non-Construction Programs

    Note: Certain of these assurances may not be applicable to your 
project or program. If you have questions, please contact the 
awarding agency. Further, certain Federal awarding agencies may 
require applicants to certify to additional assurances. If such is 
the case, you will be notified.

    As the duly authorized representative of the applicant I certify 
that the applicant:
    1. Has the legal authority to apply for Federal assistance, and 
the institutional, managerial and financial capability (including 
funds sufficient to pay the non-Federal share of project costs) to 
ensure proper planning, management and completion of the project 
described in this application.
    2. Will give the awarding agency, the Comptroller General of the 
United States, and if appropriate, the State, through any authorized 
representative, access to and the right to examine all records, 
books, papers, or documents related to the award; and will 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 non-discrimination 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. Sec. Sec. 276a to 276a-7), the Copeland Act (40 
U.S.C. Sec. 276c and 18 U.S.C. Secs. 874), and the Contract Work 
Hours and Safety Standards Act (40 U.S.C. Secs. 327-333), regarding 
labor standards for federally assisted construction subagreements.
    10. Will comply, if applicable, with flood insurance purchase 
requirements of Section 102(a) of the Flood Disaster Protection Act 
of 1973 (P.L. 93-234) which requires recipients in a special flood 
hazard area to participate in the program and to purchase flood 
insurance if the total cost of insurable construction and 
acquisition is $10,000 or more.
    11. Will comply with environmental standards which may be 
prescribed pursuant to the following: (a) institution of 
environmental quality control measures under the National 
Environmental Policy Act of 1969 (P.L. 91-190) and Executive Order 
(EO) 11514; (b) notification of violating facilities pursuant to EO 
11738; (c) protection of wetlands pursuant to EO 11990; (d) 
evaluation of flood hazards in floodplains in accordance with EO 
11988; (e) assurance of project consistency with the approved State 
management program developed under the Coastal Zone Management Act 
of 1972 (16 U.S.C. Secs. 1451 et seq.); (f) conformity of Federal 
actions to State (Clear Air) Implementation Plans under Section 
176(c) of the Clear Air Act of 1955, as amended (42 U.S.C. Sec. 7401 
et seq.); (g) protection of underground sources of drinking water 
under the Safe Drinking Water Act of 1974, as amended (P.L. 93-523); 
and (h) protection of endangered species under the Endangered 
Species Act of 1973, as amended (P.L. 93-205).
    12. Will comply with the Wild and Scenic Rivers Act of 1968 (16 
U.S.C. Secs. 1271 et seq.) related to protecting components or 
potential components of the national wild and scenic rivers system.
    13. Will assist the awarding agency in assuring compliance with 
Section 106 of the National Historic Preservation Act of 1966, as 
amended (16 U.S.C. 470), EO 11593 (identification and protection of 
historic properties), and the Archaeological and Historic 
Preservation Act of 1974 (16 U.S.C. 469a-1 et seq.).
    14. Will comply with P.L. 93-348 regarding the protection of 
human subjects involved in research, development, and related 
activities supported by this award of assistance.
    15. Will comply with the Laboratory Animal Welfare Act of 1966 
(P.L. 89-544, as amended, 7 U.S.C. 2131 et seq.) pertaining to the 
care, handling, and treatment of warm blooded animals held for 
research, teaching, or other activities supported by this award of 
assistance.
    16. Will comply with the Lead-Based Paint Poisoning Prevention 
Act (42 U.S.C. Secs. 4801 et seq.) which prohibits the use of lead 
based paint in construction or rehabilitation or 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.

Signature of Authorized Certifying Official:

Applicant Organization:

Title:

Date Submitted:

Appendix 5--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

Flordia 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

    Pleae 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

Geroge 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 or Contact, Planning and Budget Office, Office of 
the Governor, Saipan, CM, Northern Mariana Islands 96950

Puerto Rico

Norma Burgos/Jose H. Caro, Chairman/Director, Puerto Rico Planning 
Board, Minillas Government Center, P.O. Box 41119, San Juan, Puerto 
Rico 00940-9985, Telephone (809) 727-4444

Virgin Islands

Jose L. George, Director, Office of Management and Budget, #41 
Norregade Emancipation Garden Station, Second Floor, Saint Thomas, 
Virgin Islands 00802

    Please direct correspondence to: Linda Clarke, Telephone (809) 
774-0750.

U.S. Department of Health and Human Services Certification Regarding 
Drug-Free Workplace Requirements Grantees Other Than Individuals

    By signing and/or submitting this application or grant 
agreement, the grantee is providing the certification set out below.
    This certification is required by regulations implementing the 
Drug-Free Workplace Act of 1988, 45 CFR Part 76, Subpart F. The 
regulations, published in the May 25, 1990 Federal Register, require 
certification by grantees that they will maintain a drug-free 
workplace. The certification set out below is a material 
representation of fact upon which reliance will be placed when the 
Department of Health and Human Services (HHS) determines to award 
the grant. If it is later determined that the grantee knowingly 
rendered a false certification, or otherwise violates the 
requirements of the Drug-Free Workplace Act, HHS, in addition to any 
other remedies available to the Federal Government, may take action 
authorized under the Drug-Free Workplace Act. False certification or 
violation of the certification shall be grounds for suspension of 
payments, suspension or termination of grants, or governmentwide 
suspension or debarment.
    Workplaces under grants, for grantees other than individuals, 
need not be identified on the certification. If known, they may be 
identified in the grant application. If the grantee does not 
identify the workplaces at the time of application, or upon award, 
if there is no application, the grantee must keep the identity of 
the workplace(s) on file in its office and make the information 
available for Federal inspection. Failure to identify all known 
workplaces constitutes a violation of the grantee's drug-free 
workplace requirements.
    Workplace identifications must include the actual address of 
buildings (or parts of buildings) or other sites where work under 
the grant takes place. Categorical descriptions may be used (e.g., 
all vehicles of a mass transit authority or State highway department 
while in operation, State employees in each local unemployment 
office, performers in concert halls or radio studios.)
    If the workplace identified to HHS changes during the 
performance of the grant, the grantee shall inform the agency of the 
change(s), if it previously identified the workplaces in question 
(see above).
    Definitions of terms in the Nonprocurement Suspension and 
Debarment common rule and Drug-Free Workplace common rule apply to 
this certification. Grantees' attention is called, in particular, to 
the following definitions from these rules:
    ``Controlled substance'' means a controlled substance in 
Schedules I through V of the Controlled Substances Act (21 USC 812) 
and as further defined by regulation (21 CFR 1308.11 through 
1308.15).
    ``Conviction'' means a finding of guilt (including a plea of 
nolo contendere) or imposition of sentence, or both, by any judicial 
body charged with the responsibility to determine violations of the 
Federal or State criminal drug statutes;
    ``Criminal drug statute'' means a Federal or non-Federal 
criminal statute involving the manufacture, distribution, 
dispensing, use, or possession of any controlled substance;
    ``Employee'' means the employee of a grantee directly engaged in 
the performance of work under a grant, including: (i) All ``direct 
charge'' employees; (ii) all ``indirect charge'' employees unless 
their impact or involvement is insignificant to the performance of 
the grant; and, (iii) temporary personnel and consultants who are 
directly engaged in the performance of work under the grant and who 
are on the grantee's payroll. This definition does not include 
workers not on the payroll of the grantee (e.g., volunteers, even if 
used to meet a matching requirement; consultants or independent 
contractors not on the grantee's payroll; or employees of 
subrecipients or subcontractors in covered workplaces).
    The grantee certifies that it will or will continue to provide a 
drug-free workplace by:
    (a) Publishing a statement notifying employees that the unlawful 
manufacture, distribution, dispensing, possession or use of a 
controlled substance is prohibited in the grantee's workplace and 
specifying the actions that will be taken against employees for 
violation of such prohibition;
    (b) Establishing an ongoing drug-free awareness program to 
inform employees about:
    (1) The dangers of drug abuse in the workplace;
    (2) The grantee's policy of maintaining a drug-free workplace;
    (3) Any available drug counseling, rehabilitation, and employee 
assistance programs; and
    (4) The penalties that may be imposed upon employees for drug 
abuse violations occurring in the workplace;
    (c) Making it a requirement that each employee to be engaged in 
the performance of the grant be given a copy of the statement 
required by paragraph (a);
    (d) Notifying the employee in the statement required by 
paragraph (a) that, as a condition of employment under the grant, 
the employee will:
    (1) Abide by the terms of the statement; and
    (2) Notify the employer in writing of his or her conviction for 
a violation of a criminal drug statute occurring in the workplace no 
later than five calendar days after such conviction;
    (e) Notifying the agency in writing, within ten calendar days 
after receiving notice under subparagraph (d)(2) from an employee or 
otherwise receiving actual notice of such conviction. Employers of 
convicted employees must provide notice, including position title, 
to every grant officer or other designee on whose grant activity the 
convicted employee was working, unless the Federal agency has 
designated a central point for the receipt of such notices. Notice 
shall include the identification number(s) of each affected grant;
    (f) Taking one of the following actions, within 30 calendar days 
of receiving notice under subparagraph (d)(2), with respect to any 
employee who is so convicted:
    (1) Taking appropriate personnel action against such an 
employee, up to and including termination, consistent with the 
requirements of the Rehabilitation Act of 1973, as amended; or,
    (2) Requiring such employee to participate satisfactorily in a 
drug abuse assistance or rehabilitation program approved for such 
purposes by a Federal, State, or local health, law enforcement, or 
other appropriate agency;
    (g) Making a good faith effort to continue to maintain a drug-
free workplace through implementation of paragraphs (a), (b), (c), 
(d), (e) and (f).
    The grantee may insert in the space provided below the site(s) 
for the performance of work done in connection with the specific 
grant (use attachments, if needed):

Place of Performance (Street Address, City, County, State, ZIP 
Code):

Check __ if there are workplaces on file that are not identified 
here.

    Sections 76.630(c) and (d)(2) and 76.635(a)(1) and (b) provide 
that a Federal agency may designate a central receipt point for 
STATE-WIDE AND STATE AGENCY-WIDE certifications, and for 
notification of criminal drug convictions. For the Department of 
Health and Human Services, the central receipt point is: Division of 
Grants Management and Oversight, Office of Management and 
Acquisition, Department of Health and Human Services, Room 517-D, 
200 Independence Avenue, S.W., Washington, D.C. 20201.

Appendix 7--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 Tier Participants)

    By signing and submitting this lower tier proposal, the 
prospective lower tier participant, as defined in 45 CFR part 76, 
certifies to the best of its knowledge and belief that it and its 
principals:
    (a) Are not presently debarred, suspended, proposed for 
debarment, declared ineligible, or voluntarily excluded from 
participation in this transaction by any federal department or 
agency.
    (b) Where the prospective lower tier participant is unable to 
certify to any of the above, such prospective participant shall 
attach an explanation to this proposal.
    The prospective lower tier participant further agrees by 
submitting this proposal that it will include this clause entitled 
``Certification Regarding Debarment, Suspension, Ineligibility, and 
Voluntary Exclusion--Lower Tier Covered Transactions'' without 
modification in all lower tier covered transactions and in all 
solicitations for lower tier covered transactions.

Appendix 8--Certification Regarding Lobbying

Certification for Contracts, Grants, Loans, and Cooperative 
Agreements

    The undersigned certifies, to the best of his or her knowledge 
and belief, that:
    (1) No Federal appropriated funds have been paid or will be 
paid, by or on behalf of the undersigned, to any person for 
influencing or attempting to influence an officer or employee of any 
agency, a Member of Congress, an officer or employee of Congress, or 
an employee of a Member of Congress in connection with the awarding 
of any Federal contract, the making of any Federal grant, the making 
of any Federal loan, the entering into of any cooperative agreement, 
and the extension, continuation, renewal, amendment, or modification 
of any Federal contract, grant, loan, or cooperative agreement.
    (2) If any funds other than Federal appropriated funds have been 
paid or will be paid to any person for influencing or attempting to 
influence an officer or employee of any agency, a Member of 
Congress, an officer or employee of Congress, or an employee of a 
Member of Congress in connection with this Federal contract, grant, 
loan or cooperative agreement, the undersigned shall complete and 
submit Standard Form-LLL, ``Disclosure Form to Report Lobbying,'' in 
accordance with its instructions.
    (3) The undersigned shall require that the language of this 
certification be included in the award documents for all subawards 
at all tiers (including subcontracts, subgrants, and contracts under 
grants, loans, and cooperative agreements) and that all 
subrecipients shall certify and disclose accordingly.
    This certification is a material representation of fact upon 
which reliance was placed when this transaction was made or entered 
into. Submission of this certification is a prerequisite for making 
or entering into this transaction imposed by section 1352, title 31, 
U.S. Code. Any person who fails to file the required certification 
shall be subject to a civil penalty of not less than $10,000 and not 
more than $100,000 for each such failure.

State for Loan Guarantee and Loan Insurance

    The undersigned states, to the best of his or her knowledge and 
belief, that:
    If any funds have been paid or will be paid to any person for 
influencing or attempting to influence an officer or employee of any 
agency, a Member of Congress, an officer or employee of Congress, or 
an employee of a Member of Congress in connection with this 
commitment providing for the United States to insure or guarantee a 
loan, the undersigned shall complete and submit Standard Form-lLL 
``Disclosure Form to Report Lobbying,'' in accordance with its 
instructions.
    Submission of this statement is a prerequisite for making or 
entering into this transaction imposed by section 1352, title 31, 
U.S. Code. Any person who fails to file the require statement shall 
be subject to a civil penalty of not less than $10,000 and not more 
than $100,000 for each such failure.

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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Signature

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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Title

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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Organization

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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Date

BILLING CODE 4184-01-P

TN02MY94.004


[FR Doc. 94-9930 Filed 4-29-94; 8:45 am]
BILLING CODE 4184-01-C