[Federal Register Volume 62, Number 94 (Thursday, May 15, 1997)]
[Notices]
[Pages 26856-26887]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-12686]



[[Page 26855]]

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Part II





Department of Health and Human Services





_______________________________________________________________________



Administration for Children and Families



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Announcement of the Availability of Financial Assistance and Request 
for Applications to Support Child Abuse and Neglect Demonstration 
Projects; Notice

  Federal Register / Vol. 62, No. 94 / Thursday, May 15, 1997 / 
Notices  

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Administration for Children and Families
[Program Announcement No. NCCAN/CB 97-04]


Announcement of the Availability of Financial Assistance and 
Request for Applications to Support Child Abuse and Neglect 
Demonstration Projects

AGENCY: Administration on Children, Youth and Families ACF, DHHS.

ACTION: Announcement of the availability of financial assistance and 
request for applications to support child abuse and neglect 
demonstration projects as authorized by the Child Abuse Prevention and 
Treatment Act, as amended by Pub. L. 104-235 (1996).

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SUMMARY: The National Center on Child Abuse and Neglect/Children's 
Bureau announces the availability of Fiscal Year 1997 funding for 
demonstration projects designed to prevent, assess, identify, and treat 
child abuse and neglect.

    Note: The National Center on Child Abuse and Neglect (NCCAN) was 
established in 1974 to carry out the functions of the Child Abuse 
Prevention and Treatment Act (CAPTA). Pursuant to Pub. L. 104-235, 
the Child Abuse Prevention and Treatment Act Amendments of 1996, the 
Office on Child Abuse and Neglect (OCAN) will, in the near future, 
be established by the Secretary for the purpose of coordinating the 
functions and activities of CAPTA, replacing NCCAN.

    This announcement contains forms and instructions for submitting an 
application.

DATES: The closing time and date for the receipt of applications under 
this announcement is 4:30 p.m. (Eastern Time) [July 14, 1997.] 
Applications received after 4:30 p.m. will be classified as late.

FOR FURTHER INFORMATION CONTACT: The ACYF Operations Center Technical 
Assistance Team at 1-800-351-2293 is available to answer questions 
regarding application requirements and to refer you to the appropriate 
contact person in NCCAN for programmatic questions.

INTENT TO APPLY: If you are going to submit an application, call in the 
following information within two weeks of the receipt of this 
announcement: The name, address, and telephone number of the contact 
person; the name of the organization; and the priority area(s) in which 
you may submit an application or send a postcard with the information 
to: Administration on Children, Youth and Families, Operations Center, 
3030 Clarendon Boulevard, Suite 240, Arlington, VA 22201. The telephone 
number is 1-800-351-2293. This information will be used to determine 
the number of expert reviewers needed and to update the mailing list of 
persons to whom future program announcements will be sent.

SUPPLEMENTARY INFORMATION: This program announcement consists of three 
parts. Part I provides information on the National Center on Child 
Abuse and Neglect and general information on the application 
procedures. Part II describes the review process, additional 
requirements for the grant applications, the criteria for the review 
and evaluation of applications, and the programmatic priorities for 
which applications are being solicited. Part III provides information 
and instructions for the development and submission of applications.
    The forms to be used for submitting an application are included in 
Appendix A. Please copy as single-sided forms and use in submitting an 
application under this announcement. No additional application forms 
are needed to submit an application.
    Applicants should note that grants to be awarded under this program 
announcement are subject to the availability of funds.

Outline of Announcement

Part I: General Information
    A. Background
    B. Statutory Authority Covered Under This Announcement
Part II: The Review Process and Priority Areas
    A. Eligible Applicants
    B. Review Process and Funding Decisions
    C. Evaluation Criteria
    D. Structure of Priority Area Descriptions
    E. Available Funds
    F. Priority Area Descriptions and Requirements
Part III: Information and Instructions for the Development and 
Submission of Applications
    A. Paperwork Reduction Act of 1995
    B. Availability of Forms
    C. Required Notification of the State Single Point of Contact
    D. Deadline for Submission of Applications
    E. Instructions for Preparing the Application and Completing 
Application Forms
    1. SF424, page 1, Application Cover Sheet
    2. SF424A, Budget Information-Non-Construction Programs
    3. Project Summary Description
    4. Program Narrative Statement
    5. Organizational Capability Statement
    6. Assurances/Certifications
    F. Checklist for a Complete Application
    G. The Application Package

Part I. General Information

A. Background

    The Administration on Children, Youth and Families (ACYF) 
administers national programs for children and youth, works with States 
and local communities to develop services which support and strengthen 
family life, seeks out joint ventures with the private sector to 
enhance the lives of children and their families, and provides 
information and other assistance to parents, public and private 
agencies, States and local communities, and other entities.
    The concerns of ACYF extend to all children from birth through 
adolescence. Many of the programs administered by the agency focus on 
children from low-income families; children and youth in need of foster 
care, adoption, or other child welfare services; preschool children; 
children with disabilities; abused and neglected children; runaway and 
homeless youth; and children from Native American and migrant families.
    The National Center on Child Abuse and Neglect (NCCAN) located 
organizationally within ACYF was established in 1974 to carry out the 
functions of the Child Abuse Prevention and Treatment Act (CAPTA).
    NCCAN provides Federal leadership and conducts activities designed 
to assist and enhance national, State and community efforts to prevent, 
assess, investigate and treat child abuse and neglect. These activities 
include: Supporting knowledge-building research projects and service 
improvement demonstration programs; awarding grants to eligible States 
for developing child protection systems that are comprehensive, child-
centered, family-focused, and community-based; promoting coordinated 
planning among all levels of government; developing national policies 
that prevent child abuse and neglect, protect children, and preserve 
families; providing training and technical resources necessary to 
develop and implement a successful and comprehensive child and family 
protection strategy through a National Resource Center on Child 
Maltreatment; supporting mutual support/and parent self-help programs; 
gathering, processing and housing high quality data sets through a 
National Data Archive on Child Abuse and Neglect; and gathering, 
storing and disseminating child maltreatment information through a 
National Clearinghouse on Child Abuse and Neglect Information.

B. Statutory Authority Covered Under This Announcement

    NCCAN solicits applications under the authority of the Child Abuse 
Prevention and Treatment Act (CAPTA), as amended in 1996 (42 U.S.C. 
5101 et

[[Page 26857]]

seq.). Through the amendments of 1996, CAPTA is now reauthorized 
through September 30, 2001 (Pub. L. 104-235). Funds were appropriated 
under the 1997 Appropriations Act (Pub. L. 104-208) through September 
1997 (CFDA: 93.670).

Part II. The Review Process and Priority Areas

A. Eligible Applicants

    Each priority area description contains information about the types 
of agencies and organizations eligible to apply. Because eligibility 
varies depending on statutory provisions, it is critical that the 
``Eligible Applicants'' section of each priority area be read 
carefully.
    Before review, each application will be screened for eligibility. 
Applications from ineligible organizations will not be reviewed in the 
competition, and the applicants will be so informed.
    Only agencies and organizations, not individuals, are eligible to 
apply under this Announcement. All applications developed jointly by 
more than one agency organization must identify a single lead 
organization as official applicant. Participating agencies and 
organizations can be included as co-participants, sub-grantees, or 
subcontractors. For-profit organizations are eligible to participate as 
sub-grantees or subcontractors with eligible non-profit organizations 
under all priority areas.
    Any non-profit organization submitting an application must submit 
proof of its non-profit status in its application at the time of 
submission. The non-profit agency can accomplish this by providing a 
copy of the applicant's listing in the Internal Revenue Service's (IRS) 
most recent list of tax-exempt organizations described in section 
501(c)(3) of the IRS code or by providing a copy of the currently valid 
IRS tax exemption certificate, or by providing a copy of the articles 
of incorporation bearing the seal of the State in which the corporation 
or association is domiciled.

B. Review Process and Funding Decisions

    Before applications are reviewed, each application is screened to 
determine whether the applicant organization is eligible. Applications 
from ineligible organizations will not be reviewed in the competition, 
and the applicants will be so informed. Applicants that omit essential 
components of the application or fail to comply with the format 
specifications described in Part III will have their applications 
withdrawn from further consideration.
    Timely applications from eligible applicants will be reviewed and 
scored competitively. Experts in the field, generally persons outside 
the Federal government, will use the evaluation criteria listed later 
in this section to review and score the applications. The result of 
this review is a primary factor in funding decisions.
    NCCAN and ACYF reserve the option to discuss applications with, or 
refer them to other Federal or non-Federal funding sources when this is 
in the best interest of the Federal government or the applicants. ACYF 
may also solicit comments from ACF Regional Office staff, other Federal 
agencies, interested foundations, national organizations, specialists, 
experts, States and the general public. These comments, along with 
those of the expert reviewers, will be considered by ACYF in making 
funding decisions.
    In making award decisions, ACYF may give preference to applications 
that focus on: Substantially innovative strategies with the potential 
to improve theory or practice in child welfare and child protective 
services; a model practice or set of procedures that holds the 
potential for replication by organizations that administer or deliver 
child welfare and/or child protective services; substantial involvement 
of volunteers, where appropriate; substantial involvement (either 
financial or programmatic) of the private sector; a favorable balance 
between Federal and non-Federal funds available for the proposed 
project; the potential for high benefit from low Federal investment; 
and/or substantial involvement by national or community foundations.
    To the greatest extent possible, funding decisions will reflect an 
equitable distribution of assistance among the States and geographical 
regions of the country, rural and urban areas, and ethnic populations. 
In making these decisions, ACYF may also take into account the need to 
avoid unnecessary duplication of effort.

C. Evaluation Criteria

    A panel of at least three reviewers (primarily experts from outside 
the Federal government) will review the applications. To facilitate 
this review, applicants should address each requirement in the priority 
area under the appropriate section of the Program Narrative Statement.
    The reviewers will determine the strengths and weaknesses of each 
application using the evaluation criteria listed below and provide 
verbal and written comments and assign numerical scores to each 
application. The point value following each criterion heading is the 
maximum score for that criterion.
    All demonstration project applications will be evaluated against 
the following criteria:
    (a). Objectives and Need for Assistance (20 points). The 
application states the objectives of the project; pinpoints the problem 
or issue requiring a solution and demonstrates the need for assistance; 
provides supporting documentation or other testimonies from concerned 
interests other than the applicant; identifies other successful 
research or demonstration projects that may have implications for the 
proposed demonstration (which may include a review of the relevant 
literature); identifies the conceptual or theoretical framework for 
this model; and describes whether the proposed project replicates or 
modifies previously evaluated model(s) addressing the identified 
problem or issue. The application must identify the location of the 
project and area and population to be served.
    (b). Approach (35 points). The application outlines a sound and 
workable plan of action and time-line; details how the proposed work 
will be accomplished; describes the approach in detail; points out its 
unique features; cites factors that might accelerate or delay this 
approach, giving acceptable reasons for taking this approach as opposed 
to others; describes and supports any unusual features of the project, 
such as extraordinary social and community involvement; includes an 
adequate staffing plan that lists key and support staff, consultants, 
any agency, organization, other key group, and/or advisory panels 
involved or proposed; and, describes the responsibilities, activities, 
and/or training plans for each (if applicable).
    (The application proposes reasonable project costs and allocates 
sufficient funds appropriately across activities to accomplish the 
objectives. The application describes the fiscal control and accounting 
procedures that will be used to ensure prudent use and accurate 
accounting of funds received under this program announcement.
    The application, when appropriate, identifies the kinds of data to 
be collected and maintained for evaluation purposes and discusses the 
criteria to be used to evaluate the results of the project. The 
application describes the evaluation methodology that will be used to 
determine if the needs identified were addressed, if the approach 
proposed was followed and if the benefits expected were achieved.
    (c). Results or Benefits Expected (20 points). The application 
identifies the

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results and benefits to be derived, the extent to which they are 
consistent with the objectives, their contributions to policy and 
practice, and the extent to which the proposed project costs are 
reasonable in view of the expected results.
    (d). Staff Background and Organization Experience (25 points). The 
application identifies the educational and professional background of 
the project director and key project staff and the experience of the 
organization to demonstrate the applicant's ability to administer and 
implement the project effectively and efficiently. The role of the 
author(s) of this proposal in relation to the work plan and 
administrative structure should be explicitly identified. The 
application describes the project and other Federally assisted work 
planned, anticipated or underway by the applicant. If the project 
proposed is a collaboration, the application must describe the nature 
and extent of the collaboration including the responsibilities of the 
respective agencies in carrying out the activities identified in the 
work-plan.

D. Structure of Priority Area Descriptions

    Each priority area description is composed of the following 
sections:
    Eligible Applicants: This section specifies the type of 
organization eligible to apply under the particular priority area. 
Specific restrictions are noted where applicable.
    Purpose: This section presents focus and/or broad goal(s) of the 
priority area.
    Background Information This section briefly discusses the 
legislative background and the current state-of-the-art and/or current 
state-of-practice supporting the need for the particular priority area 
activity. Relevant information of projects previously funded by ACYF 
and/or others and State models are noted.
    Minimum Requirements for Project Design: This section presents the 
minimum requirements which must be addressed in response to the 
evaluation criteria. For demonstration projects, these requirements 
relate to objectives and need for assistance, approach, results or 
benefits expected, staff background and organizational experience. 
Reviewers will expect the details under these headings to correspond to 
the evaluation criteria.
    Project Duration: This section specifies the maximum allowable 
project period; it refers to the amount of time for which Federal 
funding is available.
    Federal Share of Project Cost: This section specifies the maximum 
amount of Federal support for the project for the first budget year.
    Matching Requirement: This section specifies the minimum non-
Federal contribution, either cash or in-kind match, required in 
relation to the maximum Federal funds requested for the project.
    Anticipated Number of Projects To Be Funded: This section specifies 
the number of projects ACYF anticipates funding under the priority 
area.
    Non-responsiveness to the section ``Minimum Requirements for the 
Project Design'' is likely to result in a low evaluation score by the 
reviewers. Experience has shown that an application which is broader 
and more general in concept than the priority area description 
invariably scores lower than one more clearly focused on, and directly 
responsive to, the specific priority area.

E. Available Funds

    The ACYF intends to award new grants resulting from this 
announcement during the fourth quarter of Fiscal Year 1997, subject to 
the availability of funds. The size of the actual awards will vary from 
priority area to priority area.
    Each priority area description specifies that maximum Federal share 
of the project costs and the anticipated number of projects to be 
funded.
    ``Budget period'' is the interval of time (usually 12 months) into 
which a multi-year period of assistance (project period) is divided for 
budgetary and funding purposes. ``Project period'' is the total time a 
project is approved for support, including any extensions.
    Where appropriate, applicants may propose project periods which are 
shorter than the specified maximums. Non-Federal share contributions 
may exceed the minimums specified when the applicant is able to do so. 
However, applicants should only propose a non-Federal share they can 
realistically provide because ACF will disallow any unmatched Federal 
funds.
    For multi-year projects, continued Federal funding beyond the first 
budget period depends upon satisfactory performance by the grantee, 
availability of funds from future appropriations, and a determination 
that continued funding is in the best interest of the Government.

F. Priority Area Descriptions and Requirements

    This announcement deals with only demonstration projects. A 
separate announcement will be forthcoming on research priorities.
    The Child Abuse Prevention and Treatment Neglect Act Amendments of 
1996 gives the Secretary the discretion to award grants for several new 
and innovative demonstration projects. The priority areas included in 
this announcement are selected from a range of projects which were 
suggested in the legislation.

1.01. National Network of Mutual Support/Self-Help Programs in 
Partnership with Communities
1.02. Innovation in Responding to Reports of Child Abuse and Neglect
1.03. Innovation Approaches to Kinship (Relative) Care of Children in 
the Child Welfare System
1.04. School-Based Child Maltreatment Prevention, Identification and 
Treatment Services

    Applicants are strongly encouraged to build new projects on the 
results and findings of previously funded NCCAN grants. Information on 
prior research and demonstration projects supported by NCCAN and other 
references made in this announcement are available from the 
Clearinghouse on Child Abuse and Neglect Information, PO Box 1182, 
Washington, DC 20013, (1-800-FYI-3366). The Clearinghouse can provide 
information on the other Federal Clearinghouse and Resource Centers 
having special information and resources.
1.01. National Network of Mutual Support/Self-Help Programs in 
Partnership With Communities
    Eligible Applicants: Private non-profit organizations with the 
capacity to establish and/or maintain a national network of Mutual 
Support and Self-Help Programs as a means of strengthening families are 
eligible to apply under this priority area.
    Purpose: The primary purpose of this priority area is to build a 
national network of mutual support and self-help programs for families 
that work in close cooperation with State and community-based child 
abuse prevention and treatment programs. The network will function on 
two levels. The first level should focus on growth and capacity-
building for mutual support and self-help programs for families that 
are or will become part of a national network, i.e., the network should 
promote the establishment of new mutual support and self-help programs 
in communities where they do not now exist, increase the capacity and 
scope of existing programs, provide training for program leaders, and 
engage in public awareness activities. The second level encompasses the 
network's relationship to the community-at-large, i.e., the

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network should assure that its programs coordinate closely with 
activities under the new Community-Based Family Resource and Support 
Grants authorized in Title II of the Child Abuse Prevention and 
Treatment Act, as amended by Pub. L. 104-235. Title II grants will 
support State efforts to develop, operate, expand and enhance a network 
of community-based, prevention-focused, family resource and support 
programs that coordinate resources among all the agencies that 
currently deal with children and families, e.g., education, vocational 
rehabilitation, disability, respite care, health, mental health, job 
readiness, self-sufficiency, child and family development, community 
action, Head Start, child care, child abuse and neglect prevention, 
juvenile justice, domestic violence prevention and intervention, 
housing, and other human service organizations within the State. Title 
II grants are also to be used to enhance an understanding of diverse 
populations in order to be effective in preventing and treating child 
abuse and neglect.
    Parent self-help groups, with their emphasis on and expertise in 
shared leadership between parents and professionals, are natural 
partners with State and community-based programs such as those 
authorized under Title II. The national network established under this 
priority area should demonstrate the feasibility of developing close 
linkages with these programs, at the same time it goes about its work 
of strengthening the self-help movement in the prevention and treatment 
of child abuse and neglect.
    The following are examples of various components of the potential 
demonstration activities under this priority area:
     Strengthening the relationships between family self-help 
programs and public and private agencies that serve maltreated children 
under Title II. This would entail increasing the participation of 
families involved in self-help programs in the Community-Based Family 
Resource and Support Program established under Title II of Pub. L. 104-
235 in order to encourage consistent use of parent-self-help as part of 
a coordinated prevention and/or intervention strategy.
     Increasing the participation of fathers and other 
relatives in self-help groups by promoting and providing access to 
improved recruitment and training techniques;
     Promoting increased sensitivity in parent self-help groups 
to issues of cultural diversity as they affect child-rearing practices 
and questions of abuse and neglect;
     Increasing the participation of members of racial and 
ethnic minorities in parent self-help groups;
     Enhancing public awareness and outreach programs to at-
risk families to encourage self-referral;
     Enhancing the capacity for local chapters and State 
organizations to communicate with each other and participate in 
national leadership development and agenda-setting;
     Supporting the preparation and dissemination of written 
materials for chapter leadership and development.
    Background Information: Section 105 (a)(2) of the Child Abuse 
Prevention and Treatment Act, as amended by Pub. L. 104-235 (1996), 
authorizes the Secretary to award grants to establish or maintain a 
national network of mutual support and self-help programs as a means of 
strengthening families in partnership with their communities.
    The NCCAN has long been committed to supporting the efforts of 
parent-led groups that use self-help techniques to treat parents who 
abuse and neglect their children. These groups also serve as a 
prevention program for troubled parents who believe that without this 
assistance they might potentially harm their children. Since 1975, 
NCCAN has expended some 2.4 million dollars to support parent self-help 
groups.
    There is some evidence that self-help groups foster community 
ownership, self-reliance and relief from isolation for parents under 
stress, as well as cost-savings. In a 1988 review of the literature 
published in Contemporary Family Therapy: An International Journal 
(Volume 10, Number 4, Winter, 1988, pages 145-167), Gary Cameron notes 
that, given the social isolation of many child welfare clients, 
informal peer support networks created specifically for these groups 
may prove to be more accessible than those available within the 
community-at-large. He further states that self-help groups usually 
provide their members with a range of benefits often not available in a 
traditional professional-client setting, and these benefits can be seen 
as complementary to those provided by the mainstream service delivery 
system. These groups incorporate the ``helper-as-helped'' model, i.e., 
those who give the help are also helped. Providing help increases the 
helper's self-esteem, communication skills, and sense of connectedness 
to others, all of which can mitigate child maltreatment.
    Given this, CAPTA suggests that the next step is to encourage the 
development of a national network of mutual support/self-help programs, 
and further, for this network to reach out actively to the Community-
Based Family Resource and Support Programs around the nation, so that 
the informal helping methods or self-help programs and the formal 
interventions of the institutionalized social service delivery system 
can support and enhance each other for the benefit of children and 
their families.
    Minimum Requirements for Project Design: As part of addressing the 
evaluation criteria outlined in Part II of this announcement, each 
applicant must address the following items in the program narrative 
section of the proposal.

Objectives and Need for Assistance

     State the objectives of the project in specific, 
measurable terms.
     Pinpoint the problem or issue that needs to be addressed 
and establish the need for assistance; provide supporting documentation 
or other testimonies from concerned interests other than the applicant. 
Specifically provide evidence of the ability to establish a national 
network linked with Community-Based Family Resource and Support 
Program, using documentation such as statements that local chapters and 
other private, non-profit agencies and organizations will participate 
in the proposed demonstration activities.
     Demonstrate an awareness of current initiatives in the 
field and how the approach being proposed would build on this work.
     Identify the conceptual or theoretical framework used as 
the basis for the proposed model; provide a review of relevant 
literature and include information about similar successful 
demonstration projects that may have implications for the proposed 
demonstration project.
     Describe whether the proposed project replicates or 
modifies a previously evaluated model.
     Identify the precise location of the projects, 
communities, and populations to be served by the proposed project.

Approach

     Describe the approach in detail and point out its unique 
features including sensitivity to cultural, sociological, 
psychological, and ethnic dynamics which have affected the choice of 
approach.
     Describe a sound and workable plan of action and time-line 
which match the scope of the project and explain how the proposed work 
will be accomplished.
     Cite factors which might accelerate or delay this 
approach, giving acceptable reasons for taking this approach as opposed 
to others.

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     Include an adequate staffing plan, listing key and support 
staff, consultants, any agency, organization, other key group, and/or 
advisory panels involved or proposed; describe the responsibilities, 
activities, and/or training plans for each (if applicable). If the 
proposed project is a collaboration, the application must describe the 
nature and extent of the collaboration and the responsibilities of the 
respective agencies in carrying out the activities identified in the 
work-plan.
     Propose an evaluation plan. Discuss the methods and 
criteria to be used to evaluate the results and benefits of the project 
in terms of the stated objectives of the project. Identify the kinds of 
data to be collected and maintained for this purpose. An external 
evaluator may be hired or an internal evaluation may be designed. It is 
recommended that not less than 15% of the proposed budget be set aside 
for evaluation efforts.

Results or Benefits Expected

     Identify the results and benefits to be derived by 
clients, communities, and agencies as a result of the implementation 
and evaluation of this project. Discuss how project findings are likely 
to improve practice and inform policy.
     Justify proposed project costs in view of the expected 
results and benefits.
     Describe strategies for disseminating findings to other 
practitioners in the field.

Staff Background and Organizational Experience

     Identify the educational and professional background of 
the project director and key project staff.
     Describe the organization's ability to administer and 
implement the project effectively and efficiently.
     Identify precisely the role of the author(s) of this 
proposal in relation to the work-plan and administrative structure.
     Describe the relationships between the proposed project 
and other Federally assisted work planned, anticipated, or underway by 
the applicant.
     Provide assurance that at least one key staff person will 
attend an annual three-day meeting in Washington, D.C.
     Provide assurance that all reports will be prepared in an 
NCCAN-suggested format and copies of final reports and other products 
shall be provided to the Clearinghouse.
    Project Duration: The length of the project must not exceed a 
three-year period.
    Federal Share of Project Cost: The maximum Federal share of this 
project is not to exceed $300,00 for the first 12-month budget period 
and $200,000 each for the second and third budget periods or a maximum 
of $700,000 for a period of three years.
    Matching Requirement: Grantees must provide a non-Federal share or 
match of at least 25% of the total approved cost of the project. The 
total approved cost of the project is the sum of the Federal share and 
the non-Federal share. The non-Federal share may be met by cash or in-
kind contributions, although applicants are encouraged to meet their 
match requirements through cash contributions. Therefore, a three year 
project requesting $700,000 in Federal funds (based on an award of 
$300,000 for the first year and $200,000 each for the second and third 
years) must include a match of at least $233,333 over three years or 
$100,000 for year one and $66,667 for each of the remaining two years. 
Applicants are expected to bring in additional resources into the 
project during the second and third years in partnership with community 
based organizations.
    Anticipated Number of Projects to be Funded: It is anticipated that 
one project will be funded.
    CFDA Number: 93.670.
1.02  Innovation in Responding to Reports of Child Abuse and Neglect
    Eligible Applicants: Public and private nonprofit agencies or a 
combination of such agencies, with only one being the primary 
applicant. The State and County Child Protective Service agencies are 
encouraged to apply under this priority area in collaborative 
partnerships with community social service agencies and family support 
programs, schools, churches and synagogues, and other community 
agencies. Private nonprofit agencies applying as primary applicants 
must include letters of commitment from State or County child 
protective services agencies willing to serve as demonstration sites.
    Purpose: The intent of this priority area is the development and 
demonstration of innovative systems of differential response to reports 
of child abuse and neglect. Section 105(3)(A) of CAPTA, as amended by 
Pub. L. 104-235, authorizes the Secretary to award grants which 
``demonstrate innovation in responding to reports of child abuse and 
neglect including programs of collaborative partnerships between the 
State child protective services agency, community social service 
agencies and family support programs, schools, churches and synagogues, 
and other community agencies to allow for the establishment of a triage 
system.'' Triage in this context means a differential, multi-tiered 
approach to handling referrals of child abuse and neglect, based on the 
assessed degree of severity of the referral, the assessed needs of the 
family and the assessed risk of future harm. ``The triage system 
should: (i) Accept, screen, and assess reports to determine which 
reports require intensive intervention and which require voluntary 
referral to another agency, program, or project; (ii) provide, directly 
or through referral, a variety of community-linked services to assist 
families in preventing child abuse and neglect; and (iii) provide 
further investigation and intensive intervention where the child's 
safety is in jeopardy.''
    Applicants may either propose new approaches or replicate 
previously evaluated and promising models. Applicants are strongly 
encouraged to address in their proposal multiple problem areas 
affecting children and families, which require creative, 
interdisciplinary responses. All responses should build on the 
strengths of families and provide community-based solutions to 
protecting children through partnerships with community-based agencies. 
This priority area embraces change in the way traditional systems of 
child protection operate, and proposals should reflect how the 
innovative system will ensure the safety of children and not let them 
``fall through the cracks.'' The models should explain how legislative 
or policy-based issues have an impact on intake and assessment (e.g., 
the central registry and expungement) and how they will be addressed. A 
strong evaluation component is required. Data on the costs and 
potential cost-benefits of providing the proposed model should be 
collected for evaluation purposes.

Background Information

    According to the most recent statistical information available from 
NCANDS (National Child Abuse and Neglect Data System), almost 3 million 
children were reported to State child protective services agencies and 
more than one million children were determined to have been victims of 
child abuse and neglect in 48 states (Child Maltreatment 1995: Reports 
from the States to the National Center on Child Abuse and Neglect). 
Despite an increase in victims of almost 27 percent since 1990, more 
than half of all investigations resulted in a finding of ``not 
substantiated.'' Child protective services agencies have, 
understandably, become overwhelmed with the increased volume of reports 
and more

[[Page 26861]]

stressed by static staffing patterns. It has become increasingly 
difficult to provide timely and thorough assessments and intervention, 
but more importantly, the NCANDS data noted above raise questions 
regarding screening and the extent of agency involvement in the lives 
of reported families. Given the numbers of unsubstantiated cases at one 
end of the continuum, and the rise in serious injuries and fatalities 
at the other, the dilemma centers on some families receiving 
unwarranted public agency involvement and other families not receiving 
enough agency attention to assure the safety of the children.
    In light of this dilemma, various organizations and governmental 
agencies have begun exploring differential response systems. For 
example, in 1993, the Department of Navy Family Advocacy Program (FAP) 
began the development of a Navy-specific Risk Assessment Model. This 
``life of the case'' model was piloted in 1995, and it introduced a 
triage system whereby reports are screened upon receipt, cases not 
meeting the two eligibility criteria for Family Advocacy services are 
referred directly to the appropriate resource, cases assessed as lower 
level in severity and risk of harm are classified as ``Families in Need 
of Services'' (FINS) and diverted to the needed prevention or 
intervention service. Under this system, the FINS cases are not 
officially ``opened'' and, therefore, not included in the program's 
Central Registry.
    Another example of an organization's effort to respond to this 
dilemma is the Edna McConnell Clark Foundation ``Community 
Partnerships'' initiative. Designed to ``enhance the ability of local 
communities to keep children safe,'' the initiative has three key 
components: diversion, community-CPS partnerships, and CPS agency 
reform (The Edna McConnell Clark Foundation Program for Children 
Strategy Statement, March 1996). In 1995, the Foundation awarded grants 
to four sites to advance the efforts already underway to make 
fundamental changes in their handling of child abuse and neglect cases. 
In Jacksonville, Florida, CPS workers are out-stationed in full-service 
schools, and families deemed inappropriate for CPS response are 
referred out to a 24-hour resource and referral hotline. Through the 
use of Community Support Agreements, community volunteers contract to 
assist families reported to CPS. The Cedar Rapids, Iowa, Partnership 
project is piloting a new assessment approach, changing the way it 
responds to families reported to CPS, developing neighborhood based 
supports for families and placing CPS staff at family resource centers 
where they team with other local resources. The Neighborhood Places 
project in Louisville, Kentucky, through a collaboration of 20 public 
and private agencies, has developed community-based centers where staff 
for income support, child protection, health, employment, and other 
services are collected. At Neighborhood Place Ujima, safety strategies 
specifically developed for children under age five will be used in 
investigating and serving families whose cases involve serious injuries 
or neglect. The St. Louis, Missouri, Community Partnership supports 
State legislation which pilots a dual track system, limiting 
investigations to cases requiring police involvement and utilizing the 
family assessment method in responding to all other cases. It also 
joins the State's Division of Family Services with communities to 
develop local responses to families' needs. The partnership will hire 
Neighborhood Resource Specialists for outreach activities, as well as 
encourage neighborhood associations and other groups to become more 
involved in child safety by establishing a Community Innovation Fund.
    Several States have responded legislatively to the call for reform 
efforts in the delivery of child protective services and much of the 
legislation contains language describing aspects of differential 
response systems. For example, the State of Florida was the first to 
pass legislation to create a dual track system for assessment of lower-
risk cases. All reports are assessed (i.e., family functioning, 
circumstances and need for support are examined) rather than 
investigated (i.e., verifying whether or not an incident occurred), and 
Florida no longer maintains a central registry. Like Florida, Iowa is 
now using an assessment approach and limits the cases which go to the 
central registry to those involving greater risk or significant injury. 
Missouri also passed CPS reform legislation which limits investigations 
to cases requiring police involvement. Family assessments are conducted 
for all other situations. North Dakota only places reports on the 
central child abuse information index when services are required. The 
State of Virginia is planning to pilot a system whereby less serious 
reports are assessed and offered services through the local department 
or county without being entered into the central registry. Finally, 
Oregon has selectively adapted a family unity model first developed and 
implemented in New Zealand in 1989. There is no need to validate that a 
child has been abused or neglected under the family unity model. 
Instead, family members brainstorm options for the care and protection 
of the child.
    Under this priority area, NCCAN is interested in proposals which 
are responsive to the CAPTA legislation and continue to promote CPS 
reform efforts. Proposals should establish a triage system to help 
determine which reports require intensive intervention in order to 
ensure the safety of the child and which warrant voluntary referral to 
another community resource. The system should also include a variety of 
community-linked services to assist families in preventing child abuse 
and neglect as well as provide for further investigation and intensive 
intervention when the safety of the child is jeopardized. Applicants 
should address procedures for accepting, screening and assessing 
allegations of abuse and neglect, describe measures taken to ensure 
child safety in the decision-making process, describe a range of 
responses that can be applied differentially, and demonstrate how 
community agencies will be involved in the response system.

    Note: The examples of programs cited in this section are 
intended to stimulate thinking about new and innovative approaches. 
Interested applicants are encouraged to use this information as a 
resource in the preparation of their proposals. Citing of these 
programs is not to be considered as an endorsement of the programs 
by NCCAN. Each application will be considered on its own merit to 
the extent that it meets the expectations of this announcement.

    Minimum Requirements for Project Design: As part of addressing the 
evaluation criteria outlined in Part II of this announcement, each 
applicant must address the following items in the program narrative 
section of the proposal.

Objectives and Need for Assistance

     State the objectives of the project in specific, 
measurable terms.
     Pinpoint the problem or issue that needs to be addressed 
and establish the need for assistance; provide supporting documentation 
or other testimonies from concerned interests other than the applicant. 
Specifically, provide evidence of the ability to establish a 
collaborative partnership with community-based agencies and 
organizations who would be partners in the response system proposed 
under this project, using documentation such as statements that such 
entities will participate in the proposed demonstration activities.
     Demonstrate an awareness of current initiatives in the 
field and how

[[Page 26862]]

the approach being proposed would build on or improve this work.
     Identify the conceptual or theoretical framework used as 
the basis for the proposed model and provide a review of the relevant 
literature; include information about similar successful demonstration 
projects that may have implications for the proposed demonstration.
     Describe whether the proposed project replicates or 
modifies a previously evaluated model which addresses the identified 
need.
     Identify the precise location of the project, community, 
and population to be served by the proposed project.

Approach

     Describe the approach in detail and point out its unique 
features including sensitivity to cultural, sociological, 
psychological, and ethnic dynamics which have affected the choice of 
approach.
     Describe a sound and workable plan of action and time-line 
which match the scope of the project and explain how the proposed work 
will be accomplished.
     Cite factors which might accelerate or delay this 
approach, giving acceptable reasons for taking this approach as opposed 
to others.
     Include an adequate staffing plan, listing key and support 
staff, consultants, any agency, organization, other key group, and/or 
advisory panels involved or proposed; describe the responsibilities, 
activities, and/or training plans for each (if applicable). If the 
proposed project is a collaboration, the application must describe the 
nature and extent of the collaboration and the responsibilities of the 
respective agencies in carrying out the activities identified in the 
work-plan.
     Propose an evaluation plan. Discuss the methods and 
criteria to be used to evaluate the results and benefits of the project 
in terms of the stated objectives of the project. Identify the kinds of 
data to be collected and maintained for this purpose. An external 
evaluator may be hired or an internal evaluation may be designed. It is 
recommended that not less than 15% of the proposed budget be set aside 
for evaluation efforts.

Results or Benefits Expected

     Identify the results and benefits to be derived by 
clients, community, agency, and NCCAN as a result of the implementation 
and evaluation of this project. Discuss how project findings are likely 
to improve practice and inform policy.
     Justify proposed project costs in view of the expected 
results and benefits.
     Describe strategies for disseminating findings to other 
practitioners in the field.

Staff Background and Organization Experience

     Identify the educational and professional background of 
the project director and key project staff.
     Describe the organization's ability to administer and 
implement the project effectively and efficiently.
     Identify precisely the role of the author(s) of this 
proposal in relation to the work plan and administrative structure.
     Describe the relationship between the proposed project and 
other Federally assisted work planned, anticipated, or underway by the 
applicant.
     Provide assurance that at least one key staff person will 
attend an annual three-day meeting in Washington, D.C.
     Provide assurance that all reports will be prepared in an 
NCCAN-suggested format and copies of final reports and other products 
shall be provided to the Clearinghouse.
    Project Duration: The length of the project must not exceed a 
three-year period.
    Federal Share of Project Cost: The maximum Federal share of this 
project is not to exceed $200,000 for the first 12-month budget period, 
or a maximum of $600,000 for a period of three years.
    Matching Requirement: Grantees must provide a non-Federal share or 
match of at least 25% of the total approved cost of the project. The 
total approved cost of the project is the sum of the Federal share and 
the non-Federal share. The non-Federal share may be met by cash or in-
kind contributions, although applicants are encouraged to meet their 
match requirements through cash contributions. Therefore, a three year 
project requesting $600,000 in Federal funds (based on an award of 
$200,000 per 12-month budget period) must include a match of at least 
$200,000 over three years or $66,667 per year.
    Anticipated Number of Projects To Be Funded: It is anticipated that 
up to five projects will be funded.
    CFDA Number: 93.670.
1.03  Innovative Approaches to Kinship (Relative) Care of Children in 
the Child Welfare System
    Eligible Applicants: Public (State, Tribal or local) or private 
nonprofit agencies, organizations, and institutions of higher learning 
are eligible. Collaborative applications are encouraged. However, a 
primary applicant must be identified. If the primary applicant is a 
private nonprofit agency, organization or institution of higher 
learning, a clear statement of commitment and agreements with the 
State, Tribal or local child protection or child welfare entities must 
be provided which assures access to appropriate data sources and 
individuals.
    Purpose: The purpose of this priority area is to develop innovative 
approaches for the use of kinship (relative) care for children in the 
child welfare system at the State, Tribal and local levels, to 
demonstrate the processes by which these approaches are implemented, 
and to assess the degree of success these approaches have in achieving 
desired goals. (Note: in this announcement, the terms ``kinship care'' 
and ``relative care'' are used interchangeably). These approaches are 
to focus on the following areas: (1) Policies and procedures for 
decision-making about the appropriateness of placement in kinship 
settings; (2) the licensing and certification requirements that 
facilitate the willingness and capability of relatives to care for 
children, and that support the safety and well-being of children; and 
(3) the service needs, including needs for economic support, of kinship 
care families and children, and the strategies for training, 
supervision, and service provision to meet the identified needs of such 
families and children. These approaches must be designed to meet the 
broad goals of demonstrated positive outcomes in the safety, permanency 
and well-being of the children involved. The knowledge gained from the 
demonstration, through a systematic evaluation, is to be shared with 
interested child protection and child welfare agencies nationwide and 
to be carefully analyzed for its implication for policy and practice. 
If proven successful, the models would then be suitable for replication 
elsewhere.
    Background Information: Hornby, Zeller & Karraker, (Child Welfare, 
September-October, 1996) in their analysis of the use of relatives for 
the care of children, categorize the agency goals related to the use of 
relatives in five different ways: (1) Relative care can be a diversion 
from the foster care and child welfare system; (2) relative care can 
provide short-term support within the system while an agency pursues 
the goal of returning children to their birth-parent home; (3) relative 
care can provide short-term support within the system with a goal of 
long-term discharge to relatives; (4) relative care can provide long-
term support outside the child welfare system; and (5) relative care 
can provide long-term support within the child welfare system. 
Evaluations about the nature of kinship

[[Page 26863]]

care as a service must begin, they suggest, with a consideration of 
which of these uses are being served.
    The current state of knowledge about relative care is limited 
primarily to a recognition of the variety of purposes, definitions, 
payment structures, licensing, monitoring, and guardianship policies 
employed by States, Tribes and local child protective services 
agencies. The lack of knowledge about service usage, design, intent, 
and outcomes has unknown consequences for the increasing proportion of 
children that are living in relative care (A Report from the Multistate 
Foster Care Data Archive: Foster Care Dynamics 1983-1992. Chapin Hall, 
University of Chicago, 1994). Of added importance, the 1996 Amendments 
to the Adoption Assistance and Child Welfare Act require States to 
``consider giving preference to an adult relative over a non-related 
caregiver when determining placement for a child, provided that the 
relative caregiver meets all relevant State child protection 
standards.''
    Because so little systematic information is available about the 
elements of relative care which include but are not limited to usage, 
design, policy context, and effects on children--NCCAN/CB is interested 
in a set of demonstrations, with evaluations, of specified models of 
service design and delivery that have the potential for replication.
    Demonstrations are expected to employ an evaluation paradigm which 
will determine how and if the proposed policies, procedures, or 
practices, if fully implemented, could translate into the desired 
outcomes. The applicant must provide a detailed description of the 
demonstration model used, and delineate the explicit or implicit theory 
of how and why the proposed policy, procedure, or practice should be 
expected to work. In delineating the project model (often referred to 
as a ``logic model''), the applicant must specify particular policy, 
procedure, or intervention; interim steps and accomplishments which are 
expected to occur in the implementation process; specific intended 
outcomes (e.g., safety, permanency and well-being) and outcome 
indicators; and describe the logical relationships among the various 
project components, i.e., the processes through which the program 
activities are expected to translate into outcomes for participants. 
The applicant should specify the planning assumptions (i.e., factors 
which can impact on the project, but over which the applicant may have 
no control) for the successful implementation of the model. Each 
component of the model should be specified in verifiable and measurable 
terms, and measurement strategies and sources of the data should be 
specified. This evaluation paradigm is meant to demonstrate whether or 
not a program has met the goals that it has set for itself (i.e., the 
project purpose), and to explicitly connect program components to the 
degree of success in achieving those goals, rather than to compare 
populations in one treatment against those in another.
    All projects should have the goals of protecting and promoting the 
safety, permanency, and well-being of children. Applicants should 
consider the following.
     Safety: How does the relative care program protect the 
safety of a child in a relative care placement? What are the safety 
related policies, procedures, and activities? Are the activities that 
are conducted different from those for children in other placements, 
and if so, why? Does the implementation of safety-promoting policies or 
procedures for children in relative care vary in relation to the 
particular policy context or usage of relative care as described above 
by Hornby, et al.? What is the evidence that the policies, procedures, 
and practices for safety achievement have the desired benefits on 
safety as an outcome? Likely elements in safety promotion include, but 
are not limited to, licensing, certification, monitoring policies, 
access to the child(ren) by maltreating birth-parents or others, 
standards for removal, and assessment of relative willingness and 
capacity to parent and support the child(ren).
     Permanency: How is the use of kinship care expected to 
affect the permanency of placement, including returning home, adoption 
or guardianship? How might the effects on permanency be related to the 
policy context and use of kinship care as described above by Hornby, et 
al.? How are decisions about length of stay determined? What services 
are offered to promote permanency? Likely factors affecting permanency 
include, but are not limited to, agency preference for relative 
placements, adoption, or guardianship, operational definitions of 
relatives, decision-making regarding recruitment and selection of 
relative and non-relative placements, projected length of placement, 
placement history, siblings, service and economic support systems for 
relative caregivers, and, if applicable, special planning or support 
activities for hard-to-place, special needs child(ren) or children with 
disabilities.
     Well-being: Well-being of the child(ren) must be a key 
concern in each relative placement situation, as it should for non-
relative placements. How do agencies and how will this project define 
and assess child well-being? Are activities for promoting child well-
being altered or adjusted for children placed with relatives? How do 
the intra- and inter-familial tensions between the birth-parents and 
the relative caregiver affect the child's and family's well-being? What 
steps do agencies take to mitigate the potential negative impact of 
these tensions on the child's and family's well-being? Do removal 
standards for relative placements have a relationship to child well-
being and are there reasons to expect that these standards should be 
different for relative placements versus non-relative placements? 
Likely factors related to child well-being include, but are not limited 
to psycho-social, medical, educational, and dental assessment, 
available therapeutic and support services, and placement monitoring 
and review.
    In summary, NCCAN/CB expects that the types of policies, 
procedures, and practices surrounding kinship care will have 
consequences for the achievement of the desired outcomes. NCCAN/CB is 
interested in developing and describing viable models of the use of 
kinship care for children. These models of innovative kinship care use 
should include but are not limited to (1) policies and procedures for 
decision-making about who will go into kinship care and for how long; 
(2) requirements for licensing or certification specific to kinship 
homes; and (3) patterns of training and/or supervision, patterns of 
support services, systems of economic support (including the impact of 
the Temporary Aid to Needy Families [TANF]) for kinship care, and other 
aspects of services and supports as well as the economic costs 
associated with kinship care to the agency, as these affect the safety, 
permanency and well-being of the children.
    It is the intent of NCCAN/CB to select replicable models which, 
based on the evaluations, are indicative of having the potential of 
producing desirable outcomes in terms of child safety, permanency, and 
well-being. Information about these models will be made available to 
the field and additional demonstration funds may be made available 
through a later competition for replications and a cross-site national 
evaluation.
    Minimum Requirements for Project Design: As part of addressing the 
evaluation criteria outlined in Part II of this announcement, each 
applicant for a demonstration project must address the following items 
in the program narrative section of the proposal.

[[Page 26864]]

Objectives

     State the goals and objectives of the project in specific, 
measurable terms. At a minimum, goals must address safety, permanence, 
and well-being.
     Pinpoint the problem or issue that needs to be addressed 
and establish the need for assistance; provide supporting documentation 
or other data from concerned interests other than the applicant, as 
appropriate.
     Identify the conceptual or theoretical framework used as 
the basis for the proposed approach and provide a review of the 
relevant literature and current initiatives related to kinship 
placement that supports the model selected.
     Provide an overview of existing kinship care policies, 
procedures and practices in the State, Tribe or community in which the 
proposed demonstration will operate, including how they relate to the 
use of kinship care for the safety, permanency and well-being of the 
children. Describe the regulatory, policy, administrative and 
procedural changes/innovations, if any, which are to be introduced as 
part of this demonstration.
     Define each component of the proposed project, describe 
how it relates to the other components, and articulate the theoretical 
basis or the assumptions that lead to the expectation that the proposed 
project components will result in the expected project outcomes for 
children and families.
     Identify the location(s), community and the specific 
population to be included in the proposed project. Provide assurance 
that the number of clients served in the demonstration project will be 
adequate for testing of the theoretical assumptions of the project and 
conducting the evaluation.
     Indicate the relationship of this proposed demonstration 
to any Title IV-E Waiver for Assisted Guardianship or other waivers in 
your State.

Approach

     Describe the approach in detail and point out its unique 
features including sensitivity to cultural dynamics, child and family 
outcomes, and the community setting.
     Describe the criteria and procedures to be developed and 
implemented to assure the safety, permanency and well-being of the 
children in kinship care placement in the project and detail specific 
plans for revision of State or Tribal standards, regulations, 
procedures, and existing materials as necessary.
     Make provision for clearly demonstrating the degree of 
implementation and for describing the outcomes of various policies and 
procedures for kinship care, including but not limited to requirements 
for decision-making about placement and length of stay, licensing or 
certification of kinship homes, patterns of training and/or 
supervision, patterns of support services, and/or systems of economic 
support. It should also make provision to assess the degree of success 
for kinship care arrangement in meeting goals related to the safety, 
permanency and well-being of the children as well as the economic costs 
associated with it to the agency.
     Make sure that the proposed approach is theoretically and 
conceptually sound, reflecting the current state of knowledge in this 
field, with sufficient detail on various project components 
(activities, milestones etc.), and related indicators and measures to 
allow accurate determination of its feasibility and evaluability.
     Propose an evaluation plan using the evaluation paradigm 
described in the background information section and discuss the 
criteria to be used to evaluate the success of achieving programmatic 
goals in terms of the stated objectives and approach of the project. 
Identify the kinds of data to be collected and maintained and the 
proposed methods for analysis, both for documenting the types of 
procedures and services to be implemented as well as for documenting 
the outcomes of such procedures and services. Include description of 
any planned use of data available through your State's automated child 
welfare information system.
     Outline the services, policies, or procedures which singly 
or in combination are expected to lead to positive child safety, 
permanency and well-being outcomes; and propose methods for measuring 
each component of the model.
     Provide assurance that at least 25% of the proposed 
demonstration grant budget be set aside for evaluation efforts. This 
evaluation may be conducted internally, or externally, by an 
independent evaluation unit within an agency, a university, or an 
independent evaluation contractor.
     Provide assurance that, in addition to the project-
specific evaluation, project and evaluation staff will cooperate in any 
cross-project data collection or other collaborative efforts for 
establishing common measures or data collection tools which allows for 
aggregation of results across projects. Technical assistance for common 
data collection and evaluations will be made available.
     Describe a plan of action and time-line for the project.
     Cite factors which might create barriers to the 
implementation of the project and plans for overcoming those barriers.
     Include a staffing plan, listing key and support staff, 
consultants, any agency, organization, other key group, and/or advisory 
panels or steering committee involved or proposed; describe the 
responsibilities, activities, and/or training plans for each (if 
applicable).
     Describe the nature and extent of the collaboration and 
the responsibilities of the respective agencies in carrying out the 
activities identified in the work-plan if the proposed project is a 
collaborative effort.

Results or Benefits Expected

     Identify the results and benefits to be derived by 
clients, community, agency, and NCCAN/CB as a result of the 
implementation and evaluation of this project. Discuss how project 
findings are likely to improve practice and inform policy.
     Describe strategies for disseminating findings and 
products to other practitioners in the field.
     Justify proposed project costs in view of the expected 
results and benefits.
     Provide assurance that all reports will be prepared in an 
NCCAN-suggested format and copies of final reports and other products 
shall be provided to the Clearinghouse on Child Abuse and Neglect 
Information. Also, provide assurance that grantees will make all 
necessary materials and documentation available if the model is 
selected for replication upon completion of the project.

Staff Background and Organization Experience

     Identify the educational and professional background of 
the project director and key project staff, including the individual(s) 
responsible for the evaluation (a curriculum veta for each key staff 
must be included with the application and letters of commitment as 
applicable).
     Describe the organization's ability to administer and 
implement the project effectively and efficiently. Provide letters of 
commitment from proposed collaborating organizations.
     Identify the author(s) of this proposal and the role(s) of 
the author(s) on the proposed project.
     Describe the relationships between the proposed project 
and other Federally assisted work planned,

[[Page 26865]]

anticipated, or underway by the applicant.
     Provide assurance that (1) at least one key staff person 
will attend an annual three-day grantee meeting in Washington, DC and 
(2) at least one key staff person and the evaluator will attend a two-
day annual technical assistance meeting in Washington D.C. on data 
collection and evaluation procedures.
    Project Duration: The length of the project for the demonstration 
projects must not exceed a three-year period.
    Federal Share of Project Cost: The maximum Federal share of the 
project is not to exceed $200,000 for the first 12-month budget period 
or a maximum of $600,000 for a period of three years.
    Matching Requirement: The project must provide a non-Federal share 
or match of at least 25% of the total approved cost of the project. The 
total approved cost of the project is the sum of the Federal share and 
the non-Federal share. The non-Federal share may be met by cash or in-
kind contributions, although applicants are encouraged to meet their 
match requirements through cash contributions. Therefore, a three year 
project requesting $600,000 in Federal funds (based on an award of 
$200,000 per 12-month budget period) must include a match of at least 
$200,000 over three years ($67,667 per 12-month budget period).
    Anticipated Number of Projects to be Funded: It is anticipated that 
up to nine demonstration projects will be funded.
1.04 School-Based Child Maltreatment Prevention, Identification and 
Treatment Services
    Eligible Applicants: Public or private nonproject agencies or 
organizations are eligible to apply under this priority area in 
collaboration with preschool programs, particularly Head Start and 
publicly supported early childhood development centers, elementary 
school systems and secondary school systems that mutually benefit from 
the cooperative development and delivery of services proposed under 
this project.
    Purpose: The intent of this priority area is the development and 
demonstration of service models that address the prevention, 
identification and treatment of child abuse and neglect by communities 
in cooperation with preschool, elementary and secondary school systems, 
in response to CAPTA, as amended by Pub. L. 104-235 (1996). Applicants 
may target preschool during the first year of this project and 
elementary and secondary schools during the second and third years 
respectively or all three school systems throughout the project period.
    Through the prevention aspects of this priority area, NCCAN seeks 
to promote the safety and minimize the risk of harm to preschool, 
elementary school, and secondary school children. One approach to 
focusing on preschool children is funding community partnerships and 
innovative training of staff in Head Start and other preschool programs 
in the areas of positive discipline, recognizing signs of child abuse 
and neglect, alternatives to physical punishment, and behavior 
management practices, in support of Head Start performance standards, 
as applicable. Another approach could involve use of the professional 
expertise of school social workers in the service delivery proposed. 
Expected outcomes of this project across all three target school 
systems should include effective use of protective strategies by staff 
in their interactions with students and in their training roles with 
parents, better identification and referral of child abuse and neglect 
cases, and higher sensitivity among staff to issues of cultural 
diversity as they affect child behavior management practices and 
questions of abuse and neglect.
    Addressing the intervention aspects of the legislation, 
demonstration activities under this project should include innovative 
child abuse and neglect intervention services in the form of individual 
or group counseling, therapeutic intervention groups for children who 
witness violence and/or who are victims of abuse and neglect.
    Background Information: Section 105(b)(1) of CAPTA, as amended by 
Pub. L. 104-235, authorizes the Secretary to award grants for projects 
which provide ``educational identification, prevention and treatment 
services in cooperation with preschool, elementary and secondary 
schools.'' In addition, Title II of CAPTA supports State efforts to 
develop, operate, expand and enhance a network of community-based, 
prevention-focused, family resources and support programs that 
coordinate resources among all the agencies that currently deal with 
children and families, including educational institutions.
    According to the findings of the Third National Incidence Study of 
Child Abuse and Neglect, (NIS-3), published in September 1996, schools 
are a frequent source of child abuse and neglect recognition: Thirty-
four percent of the children included in the study under the ``Harm 
Standard'' receiving a CPS investigation and 69 percent of those not 
investigated but meeting the ``Harm Standard'' were identified by 
schools. Educators account for over 15 percent of all referrals to 
Child Protective Service agencies in the latest National Child Abuse 
and Neglect Date System (NCANDS) data report (Child Maltreatment 1995: 
Reports from the States to the National Center on Child Abuse and 
Neglect).
    As noted in the August 1995 Harvard Family Research Project working 
paper, Challenges in Evaluating School-Linked Services: Toward a More 
Comprehensive Evaluation Framework.

    School linked services have emerged as one type of program model 
intended to give children greater access to needed social services 
and community supports * * * Yet the concept of linking schools with 
social services and community resources is not new. As Tyack (1992) 
points out, schools have always been ``attractive targets for 
reformers seeking to improve the health and welfare of children * * 
* [They provide] sustained contact with children and a captive 
audience * * * '' (p. 7).

    Although this paper raises issues of resistance to schools as 
social service entities, such as distrust by a disenfranchised 
population of schools and reluctance of organizations to rework lines 
of authority to achieve collaboration, on a more basic level, 
``proponents of school-linked services maintain that delivering social 
services to children via schools makes sense because, of all public 
institutions, schools provide the most sustained and non-stigmatizing 
contact with children, and therefore the most access to them'' (Koppich 
and Kirst, 1993; Tyack, 1992).
    The Parent Partner Program, in Elmira, NY, designed to prevent 
child abuse and neglect by strengthening the connection among families, 
neighborhoods and schools, was part of the NCCAN-sponsored Community 
Lifelines project of Cornell University and the Elmira City School 
District. Its final year of Federal funding was 1994; an evaluation 
that year was generally positive (Program Manual, p. 24).
    In their 1994 article on ``The Mediating Effect of Good School 
Performance on the Maltreatment-Delinquency Relationship'' (Journal of 
Research in Crime and Delinquency 31(1):62-91, February, 1994), based 
on research funded by NCCAN, authors Zingraff, Lieter, Johnson, and 
Meyers state that ``maltreated children are at a significantly higher 
risk of delinquent involvement than the general school population''; 
however, ``with the introduction of school outcome variables, 
physically abused children are no longer at a statistically elevated 
risk of delinquency.'' Their data suggest that positive school 
experiences can mitigate the effects of physical abuse and, to a lesser 
extent, neglect. ``The potential of schools as intervention sites

[[Page 26866]]

derives from the concentration of children in them, which allows scarce 
resources to be stretched further * * *.''
    The U.S. Department of Education Office of Elementary and Secondary 
Education has recently completed a five year project, funding 18 early 
child education/violence counseling training programs directed by 
universities across the country. Thirteen of the 18 projects' 
recruitment efforts focused on current employees of Head Start, Early 
Start, and other early childhood education programs.
    The Edna McConnell Clarke Foundation is sponsoring a ``Community 
Partnerships'' CPS reform initiative in sites within 4 States, designed 
``to enhance the ability of individual communities to keep children 
safe from harm and neglect.'' The role of the school as a community 
resource is especially key to the Jefferson County, Kentucky, site. 
Under the Kentucky Education Reform Act, ``over 300 school-based Family 
Resource and Youth Service Centers have been developed which serve as 
mechanisms to identify and refer at risk families to Neighborhood Place 
centers.'' (The Edna McConnell Clark Foundation Program for Children 
Strategy Statement, March 1996). Health, mental health, child 
protective, employment and other such community services are all 
provided by the staff of the Neighborhood Place.
    ``The Rainbow House Handbook to a Violence Free Future: Choosing 
Non-Violence for Young Children'' (A. Parry, M. Walker, C. Heim, 
Rainbow House/Arco Iris, Chicago, 1991) is one example of an 
educational curriculum on abuse prevention which was developed by The 
Rainbow House Training Institute for Choosing Non-Violence in Chicago, 
Illinois. The training institute, considered to be one of the first 
programs in the United States to address violence prevention with young 
children, provides training for Head Start staff, child care providers 
and parents. Initially supported by Administration on Children, Youth 
and Family funds, the program has subsequently received positive 
evaluation and attention as an effective approach.
    Projects proposed under this priority area may either present 
innovative approaches or be replications of previously evaluated and 
promising models. In either case, proposed activities should build on 
previous research and evaluation findings. An evaluation component is 
required for each proposal submitted under this priority area. 
Applicants are referred to the National Clearinghouse on Child Abuse 
and Neglect Information for access to the literature cited herein, as 
well as access to additional background and information on school 
involvement in child maltreatment prevention and intervention 
activities.
    Minimum Requirements for Project Design: As part of addressing the 
evaluation criteria outlined in Part II of this announcement, each 
applicant must address the following items in the program narrative 
section of the proposal.

Objectives and Need for Assistance

     State the objectives of the project in specific, 
measurable terms.
     Pinpoint the problem or issue that needs to be addressed 
and establish the need for assistance; provide supporting documentation 
or other testimonies from concerned interests other than the applicant. 
Specifically, provide evidence of the ability to establish 
collaborative partnerships with related organizations and agencies, 
especially with the school systems, child care providers as well as the 
new Community-Based Family Resource and Support Grants authorized in 
Title II of Pub. L. 104-235, the Child Abuse Prevention and Treatment 
Act of 1996 (CAPTA), by attaching letters of commitment to the effect 
that such entities will participate in the proposed demonstration 
activities.
     Demonstrate an awareness of current initiatives in the 
field and how the approach being proposed would build on this work.
     Identify the theoretical framework of prevention or 
treatment used as the basis for the proposed model and provide a review 
of the relevant literature, demonstrating an awareness of the current 
status of child abuse and neglect prevention, identification and 
treatment efforts, at the State, local and community-based levels, 
particularly those which involve school-based programs and child care 
providers; include information about successful demonstration projects 
that may have implications for the proposed demonstration.
     Describe whether the proposed project replicates or 
modifies a previously evaluated model which addresses the identified 
need.
     Identify the precise location of the project, community, 
and population to be served by the proposed project.

Approach

     Describe the approach in detail and point out its unique 
features including collaboration with child care providers and other 
partners, sensitivity to cultural, sociological, psychological, and 
ethnic dynamics which have affected the choice of approach.
     Describe a sound and workable plan of action and time-line 
which match the scope of the project and explain how the proposed work 
will be accomplished.
     Cite factors which might accelerate or delay this 
approach, giving acceptable reasons for taking this approach as opposed 
to others.
     Include an adequate staffing plan, listing Program 
Director duties and qualifications as well as other key and support 
staff, consultants, any agency, organization, other key group, and/or 
advisory panels involved or proposed; describe the responsibilities, 
activities, and/or training plans for each (if applicable). If the 
proposed project is a collaboration, the application must describe the 
nature and extent of the collaboration and the responsibilities of the 
respective agencies in carrying out the activities identified in the 
work-plan.
     Propose an evaluation plan. Discuss the methods and 
criteria to be used to evaluate the results and benefits of the project 
in terms of the stated objectives of the project. Identify the kinds of 
data to be collected and maintained for this purpose. An external 
evaluator is required to carry out the evaluation. It is recommended 
that not less than 15 percent of the proposed budget be set aside for 
evaluation efforts.

Results or Benefits Expected

     Identify the results and benefits to be derived by 
clients, community, agency, and NCCAN as a result of the implementation 
and evaluation of this project. Discuss how project findings are likely 
to improve practice and inform policy.
     Justify proposed project costs in view of the expected 
results and benefits.
     Describe strategies for disseminating findings to other 
practitioners in the field.

Staff Background and Organization Experience

     Identify the educational and professional background of 
the project director and key project staff.
     Describe the organization's ability to administer and 
implement the project effectively and efficiently.
     Describe the organization's experiences in establishing 
linkages and collaborating with partners at the community level.
     Identify precisely the rule of the author(s) of this 
proposal in relation to the work plan and administrative structure.

[[Page 26867]]

     Describe the relationships between the proposed project 
and other Federally assisted work planned, anticipated, or underway by 
the applicant.
     Provide assurance that at least one key staff person will 
attend an annual three-day meeting in Washington, DC.
     Provide assurance that all reports will be prepared in an 
NCCAN-suggested format and copies of final reports and other products 
shall be provided to the Clearinghouse.
    Project Duration: The length of the project must not exceed a 
three-year period.
    Federal Share of Project Cost: The maximum Federal share of this 
project is not to exceed $100,000 for the first 12-month budget period, 
or a maximum of $300,000 for a period of three years.
    Matching Requirement: Grantees must provide a non-Federal share or 
match of at least 25 percent of the total approved cost. The non-
Federal share may be met by cash or in-kind contributions, although 
applicants are encouraged to meet their match requirements through cash 
contributions. Therefore, a three-year project requesting $300,000 in 
Federal funds (based on an award of $100,000 per 12-month budget 
period) must include a match of at least $100,000 ($33,333 per 12-month 
budget period).
    Anticipated Number of Projects to be Funded: It is anticipated that 
up to 7 projects will be funded.
    CFDA Number: 93.670.

Part III. Information and Instructions for the Development and 
Submission of Applications

    This part contains information and instructions for submitting 
applications in response to this announcement. Application forms are 
provided in Appendix A-ACF Uniform Discretionary Grant Application Form 
(ACF/UDGAF) and a checklist for assembling an application package is 
included in Section F. Please copy and use these forms in submitting an 
application.
    Potential applicants should read this section carefully in 
conjunction with the information in the specific priority area under 
which the application is to be submitted. The priority area description 
are in Part II.

A. Paperwork Reduction Act of 1995

    Under the Paperwork Reduction Act of 1995 (Pub. L. 104-13), the 
Department is required to submit to the Office of Management and Budget 
(OMB) for review and approval any reporting and record-keeping 
requirements or program announcements. This program announcement meets 
all information collection requirements approved for ACF grant 
applications under OMB Control Number 0970-0139.

B. Availability of Forms

    Eligible applicants interested in applying for funds must submit a 
complete application including the required forms at the end of this 
program announcement in Appendix A. In order to be considered for a 
grant under this announcement, an application must be submitted on the 
Standard Form 424 (approved by OMB under Control Number 0348-0043). 
Each application must be signed by an individual authorized to act for 
the applicant and to assume responsibility for the obligations imposed 
by the terms and conditions of the grant award. Applicants requesting 
financial assistance for non-construction projects must file the 
Standard Form 424B, ``Assurances: Non-Construction Programs'' (approved 
by OMB under control number 0348-0040). Applicants must sign and return 
the Standard Form 424B (approved by OMB Control Number 0348-0340) with 
their application. Applicants must provide a certification regarding 
lobbying (approved by OMB under Control Number 0348-0046). Prior to 
receiving an award in excess of $100,000, applicants shall furnish an 
executed copy of the lobbying certification (approved by OMB under 
control number 0348-0046). Applicants must sign and return the 
certification with their application.
    Applicants must make the appropriate certification of their 
compliance with the Drug-free Workplace Act of 1988. By signing and 
submitting the application, applicants are providing the certification 
and need not mail back the certification with the application.
    Application must make the appropriate certification that they are 
not presently debarred, suspended or otherwise ineligible for an award. 
By signing and submitting the application, applicants are providing the 
certification and need not mail back the certification with the 
application.
    Applicants will be held accountable for the smoking prohibition in 
Pub. L. 103-227, Part C Environmental Tobacco Smoke (also known as the 
Pro-Children's Act of 1994). By signing and submitting the application, 
applicants are providing the certification and need not mail back the 
certification with the application.

C. Required Notification of the State Single Point of Contact

    This program is covered under Executive Order 12372, 
``Intergovernmental Review of Federal Programs,'' and 45 CFR part 100, 
``Intergovernmental Review of Department of Health and Human Services 
Program and Activities.'' Under the Order, States may design and own 
processes for reviewing and commenting on proposed Federal assistance 
under covered programs.
    All States and Territories except Alabama, Alaska, Colorado, 
Connecticut, Hawaii, Idaho, Kansas, Louisiana, Massachusetts, 
Minnesota, Montana, Nebraska, New Jersey, Oklahoma, Oregon, 
Pennsylvania, South Dakota, Tennessee, Vermont, Virginia, Washington, 
American Samoa and Palau have elected to participate in the Executive 
Order process and have established Single Points of Contact (SPOCs). 
Applicants from these twenty one jurisdictions need take no action 
regarding E.O. 12372. Applicants for projects to be administered by 
Federally-recognized Indian Tribes are also exempt from the 
requirements of E.O. 12372. Otherwise, applicants should contact their 
SPOCs as soon as possible to alert them of the prospective applications 
and receive any necessary instructions. Applicants must submit any 
required material to the SPOCs as soon as possible so that the program 
office can obtain and review SPOC comments as part of the award 
process. It is imperative that the applicant submit all required 
materials, if any, to the SPOC and indicate the date of this material 
(or the date of contact if no submittal is required) on the Standard 
Form 424, item 16a.
    Under 45 CFR 100.8(a)(2), a SPOC has 60 days from the application 
deadline to comment on proposed new or competing continuation awards.
    SPOCs are encouraged to eliminate the submission of routine 
endorsements as official recommendations.
    Additionally, SPOCs are requested to clearly differentiate between 
mere advisory comments and those official State process recommendations 
which may trigger the ``accommodate or explain'' rule.
    When comments are submitted directly to ACF, they should be 
addressed to: Department of Health and Human Services, Administration 
for Children and Families, Division of Discretionary Grants, 370 
L'Enfant Promenade, SW., Washington, DC 20447.

[[Page 26868]]

    A list of the Single Points of Contact for each State and Territory 
is included as Appendix B of this announcement.

D. Deadline for Submission of Applications

    Deadline: Mailed applications shall be considered as meeting an 
announced deadline if they are received on or before the deadline time 
and date at the U.S. Department of Health and Human Services, 
Administration for Children and Families, Division of Discretionary 
Grants, 370 L'Enfant Promenade, SW., Mail Stop 6C-462, Washington, DC 
20447, Attention: Application for [insert Program Name]. Applicants are 
responsible for mailing applications well in advance, when using all 
mail services, to ensure that the applications are received on or 
before the deadline time and date.
    Applications hand carried by applicants, applicant couriers, or by 
overnight/express mail couriers shall be considered as meeting an 
announced deadline if they are received on or before the deadline date, 
between the hours of 8 a.m. and 4:30 p.m., at the U.S. Department of 
Health and Human Services, Administration for Children and Families, 
Division of Discretionary Grants, ACF Mailroom, 2nd Floor Loading Dock, 
Aerospace Center, 901 D Street, SW., Washington, DC 20024, between 
Monday and Friday (excluding weekends and Federal holidays). Any 
application received after 4:30 p.m. on the deadline date will not be 
considered for competition. Applicants using express/overnight services 
should allow for two working days prior to the deadline date for 
receipt of applications. (Applicants are cautioned that express/
overnight mail services do not always deliver as agreed.)
    ACF cannot accommodate transmission of applications by fax or 
through other electronic media. Therefore, applications transmitted to 
ACF electronically will not be accepted regardless of Date or time of 
submission and time of receipt.
    Late applications: Applications which do not meet the criteria 
above are considered late applications. ACF shall notify each late 
applicant that its application will not be considered in the current 
competition.
    Extension of deadlines: ACF may extend the deadline for all 
applicants because of acts of God such as floods, hurricanes, etc., or 
when there is a 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 applicants.

E. Instructions for Preparing the Application and Completing 
Application Forms

    Applications submitted for funds under this announcement are 
considered NEW APPLICATIONS, therefore, follow instructions in Appendix 
A for NEW APPLICATIONS.
    The SF 424, 424A (approved by OMB under Control Number 0348-0044), 
424B, and certifications are included in Appendix A. You should 
reproduce single-sided copies of these forms from the reprinted forms 
in the announcement, typing your information onto the copies. Please do 
not use forms directly from the Federal Register announcement, as they 
are printed on both sides of the page.
    Please prepare your application in accordance with the following 
instructions:
    1. SF 424 Page 1, Application Cover Sheet. Please read the 
following instructions before completing the application cover sheet. 
An explanation of each item is included. Complete only the items 
specified.
    Top of Page. Enter the single priority area number under which the 
application is being submitted under only one priority area.
    Item 1. Type of submission--Pre-printed on the form.
    Item 2. Date Submitted and Applicant Identifier--Date application 
is submitted to ACYF and applicant's own internal control number, if 
applicable.
    Item 3. Date Received by State--State use only (if applicable).
    Item 4. Date Received by Federal Agency--Leave blank.
    Item 5. Applicant Information Legal Name--Enter the legal name of 
the applicant organization. For applications developed jointly, enter 
the name of the lead organization only. There must be a single 
applicant for each application.
    Organizational Unit--Enter the name of the primary unit within the 
applicant organization which will actually carry out the project 
activity. Do not use the name of an individual as the applicant. If 
this is the same as the applicant organization, leave the 
organizational unit blank.
    Address--Enter the complete address that the organization actually 
uses to receive mail, since this is the address to which all 
correspondence will be sent. Do not include both street address and 
P.O. box number unless both must be used in mailing.
    Name and telephone number of the person to be contacted on matters 
involving this application (include area code)--Enter the full name 
(including academic degree, if applicable) and telephone number of a 
person who can respond to questions about the application. This person 
should be accessible at the address given here and will receive all 
correspondence regarding the application.
    Item 6. Employer Identification Number (EIN)--Enter the employer 
identification number of the applicant organization, as assigned by the 
Internal Revenue Service, including, if known, the Central Registry 
System suffix.
    Item 7. Type of Applicant--Self-explanatory.
    Item 8. Type of Application--Check new application.
    Item 9. Name of Federal Agency--ACYF/NCCAN/CB.
    Item 10. Catalog of Federal Domestic Assistance Number and Title--
Enter the Catalog of Federal Domestic Assistance (CFDA) number assigned 
to the program under which assistance is requested and its title, as 
indicated in the relevant priority area description.
    Item 11. Descriptive Title of Applicant's Project--Enter the 
project title. The title is generally short and is descriptive of the 
project, not the priority area title.
    Item 12. Areas Affected by Project--Enter the governmental unit 
where significant and meaningful impact could be observed. List only 
the largest unit or units affected, such as State, county, or city. If 
an entire unit is affected, list it rather than sub-units.
    Item 13. Proposed Project--Enter the desired start date for the 
project and projected completion date.
    Item 14. Congressional District of Applicant/Project--Enter the 
number of the Congressional District where the applicant's principal 
office is located and the number of the Congressional district(s) where 
the project will be located. If statewide, a multi-State effort, or 
nationwide, enter 00.
    Items 15. Estimated Funding Levels. In completing 15a through 15f, 
the dollar amounts entered should reflect, for a 12-month budget 
period, the total amount requested.
    Item 15a. Enter the amount of Federal funds requested in accordance 
with the preceding paragraph. This amount should be no greater than the 
maximum amount specified in the priority area description.
    Items 15b-e. Enter the amount(s) of funds from non-Federal sources 
that will be contributed to the proposed project. Items b-e are 
considered cost-sharing or matching funds. The value of third party in-
kind contributions should be included on appropriate lines as 
applicable.
    Item 15f. Enter the estimated amount of income, if any, expected to 
be

[[Page 26869]]

generated from the proposed project. Do not add or subtract this amount 
from the total project amount entered under item 15g. Describe the 
nature, source and anticipated use of this income in the Project 
Narrative Statement.
    Item 15g. Enter the sum of items 15a-15e.
    Item 16a. Is Application Subject to Review By State Executive Order 
12372 Process? Yes, except for the 23 jurisdictions listed above. Enter 
the date the applicant contacted the SPOC regarding this application. 
Select the appropriate SPOC from the listing provided at the end of 
Part III. The review of the application is at the discretion of the 
SPOC. The SPOC will verify the date noted on the application. If there 
is a discrepancy in dates, the SPOC may request that the Federal agency 
delay any proposed funding until September 1997.
    Item 16b. Is Application Subject to Review By State Executive Order 
12372 process? No.--Check the appropriate box if the application is not 
covered by E.O. 12372 or if the program has not been selected by the 
State for review.
    Item 17. Is the Applicant Delinquent on any Federal Debt?--Check 
the appropriate box. This question applies to the applicant 
organization, not the person who signs as the authorized 
representative. Categories of debt include audit disallowances, loans 
and taxes.
    Item 18. To the best of my knowledge and belief, all data in this 
application/preapplication are true and correct. The document has been 
duly authorized by the governing body of the applicant and the 
applicant will comply with the attached assurances if the assistance is 
awarded.--To be signed by the authorized representative of the 
applicant. A copy of the governing body's authorization for signature 
of this application by this individual as the official representative 
must be on file in the applicant's office, and may be requested from 
the applicant.
    Item 18a-c. Typed Name of Authorized Representative, Title, 
Telephone Number--Enter the name, title and telephone number of the 
authorized representative of the applicant organization.
    Item 18d. Signature of Authorized Representative--Signature of the 
authorized representative named in Item 18a. At least one copy of the 
application must have an original signature. Use colored ink (not 
black) so that the original signature is easily identified.
    Item 18e. Date Signed--Enter the date the application was signed by 
the authorized representative.
    1. SF 424A, Budget Information--Non-Construction Programs. This is 
a form used by many Federal agencies. For this application, Sections A, 
B, C, E and F are to be completed. Section D does not need to be 
completed.
    Sections A and B should include the Federal as well as the non-
Federal funding for the proposed project covering the first year budget 
period.
    Section A--Budget Summary. This section includes a summary of the 
budget. On line 5, enter total Federal costs in column (e) and total 
non-Federal costs, including third party in-kind contributions, but not 
program income, in column (f). Enter the total of (e) and (f) in column 
(g).
    Section B--Budget Categories. This budget, which includes the 
Federal as well as non-Federal funding for the proposed project, covers 
the first year budget period if the proposed project period exceeds 12 
months. It should relate to item 15g, total funding, on the SF 424. 
Under column (5), enter the total requirements for funds (Federal 
dollars in one column and non-Federal in the other) by object class 
category.
    A separate, itemized, budget justification for each line item is 
required. The types of information to be included in the justification 
are indicated under each category. For multiple-year projects, it is 
desirable to provide this information for each year of the project. 
Applicants should refer to the Budget and Budget Justification 
information in the Program Narrative section of the ACF/UDGAF on page 
27 (Item D) in Appendix A.
    Personnel--Line 6a. Enter the total costs of salaries and wages of 
applicant/grantee staff. Do not include the costs of consultants, which 
should be included on line 6h, Other.
    Justification: Identify the principle investigator or project 
director, if known. Specify by title or name the percentage of time 
allocated to the project, the individual annual salaries, and the cost 
to the project (both Federal and non-Federal) of the organization's 
staff who will be working on the project.
    Fringe Benefits--Line 6b. Enter the total cost of fringe benefits, 
unless treated as part of an approved indirect cost rate.
    Justification: Provide a break-down of amounts and percentages that 
comprise fringe benefit costs, such as health insurance, FICA, 
retirement insurance, etc.
    Travel--6c. Enter total costs of out-of-town travel (travel 
requiring per diem) for staff of the project. Do not enter costs for 
consultant's travel or local transportation, which should be included 
on Line 6h, Other.
    Justification: Include the name(s) of traveler(s), total number of 
trips, destinations, length of stay, transportation costs and 
subsistence allowances.
    Equipment--Line 6d. Enter the total costs of all equipment to be 
acquired by the project. Equipment is defined as non-expendable 
tangible personal property having a useful life of more than one year 
and a acquisition cost of $5,000 or more per unit.
    Justification: Equipment to be purchased with Federal funds must be 
justified. The equipment must be required to conduct the project, and 
the applicant organization or its sub-grantees must not have the 
equipment or a reasonable facsimile available to the project. The 
justification also must contain plans for future use or disposal of the 
equipment after the project ends.
    Supplies--Line 6e. Enter the total costs of all tangible expendable 
personal property (supplies) other than those included on Line 6d.
    Justification: Specify general categories of supplies and their 
costs.
    Contractual--Line 6f. Enter the total costs of all contracts, 
including (1) procurement contracts (except those which belong on other 
lines such as equipment, supplies, etc.) and (2) contracts with 
secondary recipient organizations, including delegate agencies. Also 
include any contracts with organizations for the provision of technical 
assistance. Do not include payments to individuals on this line. If the 
name of the contractor, scope of work, and estimated total costs are 
not available or have not been negotiated, include on Line 6h, other.
    Justification: Attach a list of contractors, indicating the names 
of the organizations, the purposes of the contracts, and the estimated 
dollar amounts of the awards as part of the budget justification. 
Whenever the applicant/grantee intends to delegate part or all of the 
program to another agency, the applicant/grantee must complete this 
section (Section B, Budget Categories) for each delegate agency by 
agency title, along with the supporting information. The total cost of 
all such agencies will be part of the amount shown on Line 6f. Provide 
back-up documentation identifying the name of contractor, purpose of 
contract, and major cost elements. Applicants who anticipate 
procurement that will exceed $5,000 (non-governmental entities) or 
$25,000 (governmental entities) and are requesting an award without 
competition should include a sole-source justification in the proposal 
which at a minimum should include the basis for contractor's selection,

[[Page 26870]]

justification for lack of competition when competitive bids or offers 
are not obtained and basis for award cost or price. (Note: Previous or 
past experience with a contractor is not sufficient justification for 
sole source.)
    Construction--Line 6g. Not applicable. New construction is not 
allowable.
    Other--Line 6h. Enter the total of all other costs. Where 
applicable, such costs may include, but are not limited to: insurance, 
medical and dental costs, noncontractual fees and travel paid directly 
to individual consultants, local transportation (all travel which does 
not require per diem is considered local travel), space and equipment 
rentals, printing and publication, computer use, training costs, 
including tuition and stipends, training service costs, including wage 
payments to individuals and supportive service payments, and staff 
development costs. Note that costs identified as miscellaneous and 
honoraria are not allowable.
    Justification: Specify the costs included.
    Total Direct Charge--Line 6i. Enter the total of Lines 6a through 
6h.
    Indirect Charges--6j. Enter the total amount of indirect charges 
(costs). If no indirect costs are requested, enter none. Generally, 
this line should be used when the applicant has a current indirect cost 
rate agreement approved by the Department of Health and Human Services 
or another Federal agency.
    Local and State governments should enter the amount of indirect 
costs determined in accordance with DHHS requirements. When an indirect 
cost rate is requested, these costs are included in the indirect cost 
pool and should not be charged again as direct costs to the grant.
    Justification: Enclose a copy of the indirect cost rate agreement.
    Total--Line 6k. Enter the total amounts of line 6i and 6j.
    Program Income--Line 7. Enter the estimated amount, if any, 
expected to be generated from this project. Do not add or subtract this 
amount from the total project amount.
    Justification: Describe the nature, source, and anticipated use of 
program income in the Program Narrative Statement.
    Section C--Non-Federal Resources. This section summarizes the 
amounts of non-Federal resources that will be applied to the grant. 
Enter this information on line 12 entitled Totals. In-kind 
contributions are defied in 45 CFR 74.51 and 45 CFR 92.3, as property 
or services which benefit a grant-supported project or program and 
which are contributed by non-Federal third parties without charge to 
the grantee, the sub-grantee, or a cost-type contractor under the grant 
or sub-grant.
    Justification: Describe third party in-kind contributions, if 
included.
    Section D--Forecasted Cash Needs, Not applicable.
    Section E--Budget Estimate of Federal Funds Needed For Balance of 
the Project. This section should only be completed if the total project 
period exceeds 15 months.
    Totals--Line 20. For projects that will have more than one budget 
period, enter the estimated required Federal funds for the second 
budget period (months 13 through 24) under column (b) First. If a third 
budget period will be necessary, enter the Federal funds needed for 
months 25 through 36 under (c) Second. Columns (d) and (e) would be 
used in the case of a 60 month project.
    Section F--Other Budget Information.
    Direct Charges--Line 21, Not applicable.
    Indirect Charges--Line 22, Enter the type of indirect rate 
(provisional, predetermined, final or fixed) that will be in effect 
during the funding period, the estimated amount of the base to which 
the rate is applied, and the total indirect expense.
    Remarks--Line 23. If the total project period exceeds 12 months, 
you must enter your proposed non-Federal share of the project budget 
for each of the remaining years of the project.
    3. Project Summary Description. Clearly mark this separate page 
with the applicant name as shown in item 5 of the SF 424, the priority 
area number as shown at the top of the SF 424, and the title of the 
project as shown in item 11 of the SF 424. The summary description 
should not exceed 300 words. These 300 words become part of the 
computer database on each project.
    Care should be taken to produce a summary description which 
accurately and concisely reflects the application. It should describe 
the objectives of the project, the approaches to be used and the 
outcomes expected. The description should also include a list of major 
products that will result from the proposed project, such as software 
packages, materials, management procedures, data collection 
instruments, training packages, or videos. (Please note that 
audiovisuals should be closed captioned.) The project summary 
description, together with the information on the SF 424, will 
constitute the project abstract. It is the major source of information 
about the proposed project and is usually the first part of the 
application that the reviewers read in evaluating the application.
    At the bottom of the page, following the summary description, type 
up to 10 key words which best describe the proposed project, the 
service(s) involved and the target population(s) to be covered. These 
key words will be used for computerized information retrieval for 
specific types of funded projects. Applicants should refer to the 
instructions in Appendix A under the Program Narrative section (Item 
A.1) regarding the project summary.
    4. Program Narrative Statement. The Program Narrative Statement is 
a very important part of an application. It should be clear, concise, 
and address the specific requirements mentioned under the priority area 
description in Part II.
    The narrative should provide information concerning how the 
application meets the evaluation criteria using the following headings 
for demonstration applications:
    (a) Objective and Need for Assistance
    (b) Approach
    (c) Results or Benefits Expected
    (d) Staff Background and Organization Experience
    The narrative should be typed double-spaced on a single-side of an 
8\1/2\''  x  11'' plain white paper, with 1'' margins on all sides, 
using standard type sizes or fonts (e.g., Times Roman 12 or Courier 
10). Applicants should not submit reproductions of larger size paper 
reduced to meet the size requirement. Applicants are requested not to 
send pamphlets, brochures, or other printed material along with their 
application as they pose copying difficulties. All pages of the 
narrative (including charts, references/footnotes, tables, maps, 
exhibits, etc.) must be sequentially numbered, beginning with 
``Objectives'' or ``Objectives and Need for Assistance'' as page number 
one.
    The length of the application, including the application forms and 
all attachments, should not exceed 60 pages. Anything over the limit 
will not be reproduced and distributed to reviewers. A page is a single 
side of an 8\1/2\''  x  11'' sheet of paper. Applicants are requested 
not to send pamphlets, brochures or other printed material along with 
their application as these pose xeroxing difficulties. These materials, 
if submitted, will not be included in the review process if they exceed 
the page limit criteria. Each page of the application will be counted 
to determine the total length.
    Applicants should respond to the Program Narrative instructions in 
Appendix A--Components section (Item A) as described below.
    A.2. Objectives and Need for Assistnace--This information is

[[Page 26871]]

addressed under the Objectives and Need for Assistance section (Part 
II.C.) of this announcement.
    A.3. Results and Benefits Expected--This information is addressed 
in the Results and Benefits section (Part II.C.) of this announcement.
    A.4. Approach--This information is addressed in the Approach 
section (Part II.C.) of this announcement.
    A.5. Evaluation--This information is addressed in the Approach 
section (Part II.C.) of this announcement.
    A.6. Geographic Location--This information is addressed in the 
Objectives and Need for Assistance section (Part II.C.) of this 
announcement.
    A.7. Additional Information--This information is addressed in the 
Staff Background and Organization Experience section (Part II.C.) of 
this announcement.

    Note: Item B. Noncompeting Continuation Applications and Item C. 
Supplemental Requests do not apply to this announcement.

    5. Organizational Capability Statement. The Organizational 
Capability Statement should consist of a brief (two pages is suggested) 
background description of how the applicant organization (or the unit 
within the organization that will have responsibility for the project) 
is organized, the types and quantity of services it provides, and/or 
the research and management capabilities it possesses. This description 
should cover capabilities not included in the Program Narrative 
Statement. It may include descriptions of any current or previous 
relevant experience, or describe the competence of the project team and 
its demonstrated ability to produce a final product that is readily 
comprehensible and usable. An organization chart showing the 
relationship of the project to the current organization must be 
included.
    6. Assurances/Certifications. Applicants are required to file an SF 
424B, Assurances--Non-Construction Programs and the Certification 
Regarding Lobbying. Both must be signed and returned with the 
application. In addition, applicants must certify their compliance 
with: (1) Drug-free Work-place Requirements; and (2) Debarment and 
Other Responsibilities. Copies of the 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 Work-place Requirements, and Debarment 
and Other Responsibilities certifications.
    A signature on the application constitutes an assurance that the 
applicant will comply with the pertinent Departmental regulations 
contained in 45 CFR part 74.

F. Checklist for a Complete Application

    The checklist below is for your use to ensure that your application 
package has been properly prepared.

--One original, signed and dated application, plus two copies. 
Applications for different priority areas are packaged separately;
--Application is from an organization which is eligible under the 
eligibility requirements defined in the priority area description 
(screening requirement);
--Application length does not exceed 60 pages, unless otherwise 
specified in the priority area description. A complete application 
consists of the following items in this order:
--Application for Federal Assistance (SF 424, REV 4-92);
--A completed SPOC certification with the date of SPOC contact entered 
in line 16, page 1 of the SF 424;
--Budget Information-Non-Construction Programs (SF 424A);
--Budget justification for Section B-Budget Categories;
--Table of Contents;
--Letter from the Internal Revenue Service to prove non-profit status, 
if necessary;
--Copy of the applicant's approved indirect cost rate agreement, if 
appropriate;
--Project summary description and listing of key words;
--Program Narrative Statement (See Part III, Section D);
--Organizational capability statement, including an organization chart;
--Any appendices/attachments;
--Assurances-Non-Construction Programs (Standard Form 424B);
--Certification Regarding Lobbying.

G. The Application Package

    Each application package must include an original and two copies of 
the complete application. Each copy should be stapled securely (front 
and back if necessary) in the upper left-hand corner. All pages of the 
narrative (including charts, tables, maps, exhibits, etc.) must be 
sequentially numbered, beginning with page one. In order to facilitate 
handling, please do not use covers, binders or tabs. Do not include 
extraneous materials as attachments, such as agency promotion 
brochures, slides, tapes, film clips, minutes of meetings, survey 
instruments or articles of incorporation.
    Do not include a self-addressed, stamped acknowledgment card. All 
applicants will be notified automatically about the receipt of their 
application. If acknowledgment of receipt of your application is not 
received within two weeks after the deadline date, please notify the 
ACYF Operations Center by telephone at 1-800-351-2293.

    Dated: May 8, 1997.
Olivia A. Golden,
Principal Deputy Assistant Secretary for Children and Families.

BILLING CODE 4184-01-M

[[Page 26872]]

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BILLING CODE 4184-01-C

[[Page 26873]]

Instructions for the SF 424

    Public reporting burden for this collection of information is 
estimated to average 45 minutes per response, including time for 
reviewing instructions, searching existing data sources, gathering 
and maintaining the data needed, and completing and reviewing the 
collection of information. Send comments regarding the burden 
estimate or any other aspect of this collection of information, 
including suggestions for reducing this burden, to the Office of 
Management and Budget. Paperwork Reduction Project (0348-0042), 
Washington, DC 20503.
    PLEASE DO NOT RETURN YOUR COMPLETED FORM TO THE OFFICE OF 
MANAGEMENT AND BUDGET, SEND IT TO THE ADDRESS PROVIDED BY THE 
SPONSORING AGENCY.

-----------------------------------------------------------------------

    This is a standard form used by applicants as a required 
facesheet for preapplications and applications submitted for Federal 
assistance. It will be used by Federal agencies to obtain applicant 
certification that States which have established a review and 
comment procedure in response to Executive Order 12372 and have 
selected the program to be included in their process, have been 
given an opportunity to review the applicant's submission.

Item and Entry

    1. Self-explanatory.
    2. Date application submitted to Federal agency (or State, if 
applicable) & applicant's control number (if applicable).
    3. State use only (if applicable).
    4. If this application is to continue or revise an existing 
award, enter present Federal identifier number. If for a new 
project, leave blank.
    5. Legal name of applicant, name of primary organizational unit 
which will undertake the assistance activity, complete address of 
the applicant, and name and telephone number of the person to 
contact on matters related to this application.
    6. Enter Employer Identification Number (EIN) as assigned by the 
Internal Revenue Service.
    7. Enter the appropriate letter in the space provided.
    8. Check appropriate box and enter appropriate letter(s) in the 
space(s) provided:

--``New'' means a new assistance award.
--``Continuation'' means an extension for an additional funding/
budget period for a project with a projected completion date.
--``Revision'' means any change in the Federal Government's 
financial obligation or contingent liability from an existing 
obligation.

    9. Name of Federal agency from which assistance is being 
requested with this application.
    10. Use the Catalog of Federal Domestic Assistance number and 
title of the program under which assistance is requested.
    11. Enter a brief descriptive title of the project. If more than 
one program is involved, you should append an explanation on a 
separate sheet. If appropriate (e.g., construction or real property 
projects), attach a map showing project location. For 
preapplications use a separate sheet to provide a summary 
description of this project.
    12. List only the largest political entities affected (e.g., 
State, counties, cities.)
    13. Self-explanatory.
    14. List the applicant's Congressional District and any 
District(s) affected by the program or project.
    15. Amount requested or to be contributed during the first 
funding/budget period by each contributor. Value of in-kind 
contributions should be included on appropriate lines as applicable. 
If the action will result in a dollar change to an existing award, 
indicate only the amount of the change. For decreases, enclose the 
amounts in parentheses. If both basic and supplemental amounts are 
included, show breakdown on an attached sheet. For multiple program 
funding, use totals and show breakdown using same categories as item 
15.
    16. Applicants should contact the State Single Point of Contact 
(SPOC) for Federal Executive Order 12372 to determine whether the 
application is subject to the State intergovernmental review 
process.
    17. This question applies to the applicant organization, not the 
person who signs as the authorized representative. Categories of 
debt include delinquent audit allowances, 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-M

[[Page 26874]]

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[[Page 26875]]

[GRAPHIC] [TIFF OMITTED] TN15MY97.002



BILLING CODE 4184-01-C

[[Page 26876]]

Instructions for the SF 424A

    Public reporting burden for this collection of information is 
estimated to average 180 minutes per response, including time for 
reviewing instructions, searching existing data sources, gathering 
and maintaining the data needed, and completing and reviewing the 
collection of information. Send comments regarding the burden 
estimate or any other aspect of this collection of information, 
including suggestions for reducing this burden, to the Office of 
Management and Budget, Paperwork Reduction Project (0348-0043), 
Washington, DC 20503.
    PLEASE DO NOT RETURN YOUR COMPLETED FORM TO THE OFFICE OF 
MANAGEMENT AND BUDGET, SEND IT TO THE ADDRESS PROVIDED BY THE 
SPONSORING AGENCY.

-----------------------------------------------------------------------

General Instructions

    This from is designed so that application can be made for funds 
form 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, Column (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 function of 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 of 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 total 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 direct cost.
    Line 6k--Enter the total of amounts of 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 the same as the sum of the 
amounts in Section A, Columns (e) and (f) on Line 5.
    Line 7--Enter the estimated amount of income, if any, expected 
to be generated from this project. Do not add or subtract this 
amount from the total project amount. Show under the program 
narrative statement the nature and source of income. The estimated 
amount of program income may be considered by the federal grantor 
agency in determining the total amount of the grant.

Section C. Non-Federal Resources

    Lines 8-11--Enter amounts of non-Federal resources that will be 
used on the grant. If in-kind contributions are included, provide a 
brief explanation on a separate sheet.
    Column (a)--Enter the program titles identical to Column (a), 
Section A. A breakdown by function or activity is not necessary.
    Column (b)--Enter the contribution to be made by the applicant.
    Column (c)--Enter the amount of State's cash and in-kind 
contribution if the applicant is not a State or State agency. 
Applicants which are a State or State agency 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 in 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

    Public reporting burden for this collection of information is 
estimated to average 15

[[Page 26877]]

minutes per response, including time for reviewing instructions, 
searching existing data sources, gathering and maintaining the data 
needed, and completing and reviewing the collection of information. 
Send comments regarding the burden estimate or any other aspect of 
this collection of information, including suggestions for reducing 
this burden, to the Office of Management and Budget, Paperwork 
Reduction Project (0348-0043), Washington, DC 20503.
    PLEASE DO NOT RETURN YOUR COMPLETED FORM TO THE OFFICE OF 
MANAGEMENT AND BUDGET, SEND IT TO THE ADDRESS PROVIDED BY THE 
SPONSORING AGENCY.

-----------------------------------------------------------------------

    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 to 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. Sec. 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 statue(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, as applicable, with the provisions of the Hatch 
Act (5 U.S.C. Secs. 1501-1508 and 7324-7328) which limit the 
political activities of employees whose principal employment 
activities are funded in whole or in part with Federal funds.
    9. Will comply, as applicable, with the provisions of the Davis-
Bacon Act (40 U.S.C. Secs. 276a to 276a-7), the Copeland Act (40 
U.S.C. Secs. 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. 
Secs. 7401 et seq.); (g) protection of underground sources of 
drinking water under the Safe Drinking Water Act of 1974, as 
amended, (P.L. 93-523); and (h) protection of endangered species 
under the Endangered Species Act of 1973, as amended, (P.L. 93-205).
    12. Will comply with the Wild and Scenic Rivers Act of 1968 (16 
U.S.C. Secs.  1271 et seq.) related to protecting components or 
potential components of the national wild and scenic rivers system.
    13. Will assist the awarding agency in assuring compliance with 
Section 106 of the National Historic Preservation Act of 1966, as 
amended (16 U.S.C. 470), EO 11593 (identification and protection of 
historic properties), and the Archaeological and Historic 
Preservation Act of 1974 (16 U.S.C. 469a-1 et seq.).
    14. Will comply with P.L. 93-348 regarding the protection of 
human subjects involved in research development, and related 
activities supported by this award of assistance.
    15. Will comply with the laboratory Animal Welfare Act of 1966 
(P.L. 89-544, as amended, 7 U.S.C. 2131 et seq.) pertaining to the 
care, handling, and treatment of warm blooded animals held for 
research, teaching, or other activities supported by this award of 
assistance.
    16. Will comply with the Lead-Based Paint Poisoning Prevention 
Act (42 U.S.C. Secs.  4801 et seq.) which prohibits the use of lead 
based paint in construction or rehabilitation of residence 
structures.
    17. Will cause to be performed the required financial and 
compliance audits in accordance with the Single Audit Act of 1984 or 
OMB Circular No. A-133, Audits of Institutions of Higher Learning 
and other Non-profit Institutions.
    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
----------------------------------------------------------------------
Title
----------------------------------------------------------------------
Applicant Organization
----------------------------------------------------------------------
Date Submitted

Program Narrative

    This program narrative section was designed for use by many and 
varied programs. Consequently, it is not possible to provide specific 
guidance for developing a program narrative statement that would be 
appropriate in all cases. Applicants must refer the relevant program 
announcement for information on specific program requirements and any 
additional guidelines for preparing the program narrative statement. 
The following are general guidelines for preparing a program narrative 
statement.
    The program narrative provides a major means by which the 
application is evaluated and ranked to compete with other applications 
for available

[[Page 26878]]

assistance. It should be concise and complete and should address the 
activity for which Federal funds are requested. Supporting documents 
should be included where they can present information clearly and 
succinctly. Applicants are encouraged to provide information on their 
organizational structure, staff, related experience, and other 
information considered to be relevant. Awarding offices use this and 
other information to determine whether the applicant has the capability 
and resources necessary to carry out the proposed project. It is 
important, therefore, that this information be included in the 
application. However, in the narrative the applicant must distinguish 
between resources directly related to the proposed project from those 
which will not be used in support of the specific project for which 
funds are requested.
    Cross-referencing should be used rather than repetition. ACF is 
particularly interested in specific factual information and statements 
of measurable goals in quantitative terms. Narratives are evaluated on 
the basis of substance, not length. Extensive exhibits are not 
required. (Supporting information concerning activities which will not 
be directly funded by the grant or information which does not directly 
pertain to an integral part of the grant funded activity should be 
placed in an appendix.) Pages should be numbered for easy reference.
    Prepare the program narrative statement in accordance with the 
following instructions:
     Applicants submitting new applications or competing 
continuation applications should respond to Items A and D.
     Applicants submitting noncompeting continuation 
applications should respond to Item B.
     Applicants requesting supplemental assistance should 
respond to Item C.

A. Project Description--Components

1. Project Summary/Abstract
    A summary of the project description (usually a page or less) with 
reference to the funding request should be placed directly behind the 
table of contents or SF-424.
2. Objectives and Need for Assistance
    Applicants must clearly identify the physical, economic, social, 
financial, institutional, or other problem(s) requiring a solution. The 
need for assistance must be demonstrated and the principal and 
subordinate objectives of the project must be clearly stated; 
supporting documentation such as letters of support and testimonials 
from concerned interests other than the applicant may be included. Any 
relevant data based on planning studies should be included or 
referenced in the endnotes/footnotes. Incorporate demographic data and 
participant/beneficiary information, as needed. In developing the 
narrative, the applicant may volunteer or be requested to provide 
information on the total range of projects currently conducted and 
supported (or to be initiated), some of which may be outside the scope 
of the program announcement.
3. Results or Benefits Expected
    Identify results and benefits to be derived. For example, when 
applying for a grant to establish a neighborhood child care center, 
describe who will occupy the facility, who will use the facility, how 
the facility will be used, and how the facility will benefit the 
community which it will serve.
4. Approach
    Outline a plan of action which describes the scope and detail of 
how the proposed work will be accomplished. Account for all functions 
or activities identified in the application. Cite factors which might 
accelerate or decelerate the work and state your reason for taking this 
approach rather than others. Describe any unusual features of the 
project such as design or technological innovations, reductions in cost 
or time, or extraordinary social and community involvement.
    Provide quantitative monthly or quarterly projections of the 
accomplishments to be achieved for each function or activity in such 
terms as the number of people to be served and the number of microloans 
made. When accomplishments cannot be quantified by activity or 
function, list them in chronological order to show the schedule of 
accomplishments and their target dates.
    Identify the kinds of data to be collected, maintained, and/or 
disseminated. (Note that clearance from the U.S. Office of Management 
and Budget might be needed prior to an information collection.) List 
organizations, cooperating entities, consultants, or other key 
individuals who will work or the project along with a short description 
of the nature of their effort or contribution.
5. Evaluation
    Provide a narrative addressing how you will evaluate (1) the 
results of your project and (2) the conduct of your program. In 
addressing the evaluation of results, state how you will determine the 
extent to which the program has achieved its stated objectives and the 
extent to which the accomplishment of objectives can be attributed to 
the program. Discuss the criteria to be used to evaluate results; 
explain the methodology that will be used to determine if the needs 
identified and discussed are being met and if the project results and 
benefits are being achieved. With respect to the conduct of your 
program, define the procedures you will employ to determine whether the 
program is being conducted in a manner consistent with the work plan 
you presented and discuss the impact of the program's various 
activities upon the program's effectiveness.
6. Geographic Location
    Give the precise location of the project and boundaries of the area 
to be served by the proposed project. Maps or other graphic aids may be 
attached.
7. Additional Information (Include if Applicable)
    Additional information may be provided in the body of the program 
narrative or in the appendix. Refer to the program announcement and 
``General Information and Instructions'' for guidance on placement of 
application materials.
    Staff and Position Data--Provide a biographical sketch for key 
personnel appointed and a job description for each vacant key position. 
Some programs require both for all positions. Refer to the program 
announcement for guidance on presenting this information. Generally, a 
biographical sketch is require for original staff and new members as 
appointed.
    Plan for Project Continuance Beyond Grant Support--A plan for 
securing resources and continuing project activities after Federal 
assistance has ceased.
    Business Plan--When federal grant funds will be used to make an 
equity investment, provide a business plan. Refer to the program 
announcement for guidance on presenting this information.
    Organization Profiles--Information on applicant organizations and 
their cooperating partners such as organization charts, financial 
statements, audit reports or statements from CPA/Licensed Public 
Accountant, Employer Identification Numbers, names of bond carriers, 
contact persons and telephone numbers, child care licenses and other 
documentation of professional accreditation, information on compliance 
with federal/state/local government standards, documentation

[[Page 26879]]

of experience in program area, and other pertinent information. Any 
non-profit organization submitting an application must submit proof of 
its non-profit status in its application at the time of submission. The 
non-profit agency can accomplish this by providing a copy of the 
applicant's listing in the Internal Revenue Service's (IRS) most recent 
list of tax-exempt organizations described in Section 501(c)(3) of the 
IRS code or by providing a copy of the currently valid IRS tax 
exemption certificate, or by providing a copy of the articles of 
incorporation bearing the seal of the State in which the corporation or 
association is domiciled.
    Dissemination Plan--A plan for distributing reports and other 
project outputs to colleagues and the public. Applicants must provide a 
description of the kind, volume and timing of distribution.
    Third-Party Agreements--Written agreements between grantees and 
subgrantees or subcontractors or other cooperating entities. These 
agreements may detail scope of work, work schedules, remuneration, and 
other terms and conditions that structure or define the relationship.
    Waiver Request--A statement of program requirements for which 
waivers will be needed to permit the proposed project to be conducted.
    Letters of Support--Statements from community, public and 
commercial leaders which support the project proposed for funding.

B. Noncompeting Continuation Applications

    A program narrative usually will not be required for noncompeting 
continuation applications for nonconstruction programs. Noncompeting 
continuation applications shall be abbreviated unless the ACF Program 
Office administering this program has issued a notice to the grantee 
that a full application will be required.
    An abbreviated application consists of:
    1. The Standard Form 424 series (SF 424, SF 424A, SF-424B).
    2. The estimated or actual unobligated balance remaining from the 
previous budget period should be identified on an accurate SF-269 as 
well as in Section A, Columns (c) and (d) of the SF-424A.
    3. The grant budget, broken down into the object class categories 
on the 424A, and if category ``other'' is used, the specific items 
supported must be identified.
    4. Required certifications.
    A full application consists of all elements required for an 
abbreviated application plus:
    1. Program narrative information explaining significant changes to 
the original program narrative statement, a description of 
accomplishments from the prior budget period, a projection of 
accomplishments throughout the entire remaining project period, and any 
other supplemental information that ACF informs the grantee is 
necessary.
    2. A full budget proposal for the budget period under consideration 
with a full cost analysis of all budget categories.
    3. A corrective action plan, if requested by ACF, to address 
organizational performance weaknesses.

C. Supplemental Requests

    For supplemental assistance requests, explain the reason for the 
request and justify the need for additional funding. Provide a budget 
and budget justification only for those items for which additional 
funds are requested. (See Item D for guidelines on preparing a budget 
and budget justification.)

D. Budget and Budget Justification

    Provide line item detail and detailed calculations for each budget 
object class identified on the Budget Information form. Detailed 
calculations must include estimation methods, quantities, unit costs, 
and other similar quantitative detail sufficient for the calculation to 
be duplicated. The detailed budget must also include a breakout by the 
funding sources identified in Block 15 of the SF-424.
    Provide a narrative budget justification which describes how the 
categorical costs are derived. Discuss the necessity, reasonableness, 
and allocability of the proposed costs.
    The following guidelines are for preparing the budget and budget 
justification. Both federal and non-federal resources should be 
detailed and justified in the budget and narrative justification. For 
purposes of preparing the program narrative, ``federal resources'' 
refers only to the ACF grant for which you are applying. Non-Federal 
resources are all other federal and non-federal resources. It is 
suggested that for the budget, applicants use a column format: Column 
1, object class categories; Column 2, federal budget amounts; Column 3, 
non-federal budget amounts, and Column 4, total amounts. The budget 
justification should be a narrative.
    Personnel. Cost of employee salaries and wages.
    Justification: Identify the project director or principal 
investigator, if known. For each staff person, show name/title, time 
commitment to the project (in months), time commitment to the project 
(as a percentage or full-time equivalent), annual salary, grant salary, 
wage rates, etc. Do not include costs of consultants or personnel costs 
of delegate agencies or of specific project(s) or businesses to be 
financed by the applicant.
    Fringe Benefits. Costs of employee fringe benefits unless treated 
as part of an approved indirect cost rate.
    Justification: Provide a breakdown of amounts and percentages that 
comprise fringe benefit costs, such as health insurance, FICA, 
retirement insurance, taxes, etc.
    Travel. Costs of project related travel by employees of the 
applicant organization (does not include cost of consultant travel).
    Justificaiton: For each trip, show the total number of traveler(s), 
travel destination, duration of trip, per diem, mileage allowances, if 
privately owned vehicles will be used, and other transportation costs 
and subsistence allowances. Travel costs for key staff to attend ACF 
sponsored workshops as specified in this program announcement should be 
detailed in the budget.
    Equipment. Costs of all non-expendable, tangible personal property 
to be acquired by the project where each article has a useful life of 
more than one year and an acquisition cost which equals the lesser of 
(a) the capitalization level established by the applicant organization 
for financial statement purposes, or (b) $5000.
    Justification: For each type of equipment requested, provide a 
description of the equipment, cost per unit, number of units, total 
cost, and a plan for use on the project, as well as use or disposal of 
the equipment after the project ends.
    Supplies. Costs of all tangible personal property (supplies) other 
than that included under the Equipment category.
    Justification: Specify general categories of supplies and their 
costs. Show computations and provide other information which supports 
the amount requested.
    Contractual. Costs of all contracts for services and goods except 
for those which belong under other categories such as equipment, 
supplies, construction, etc. Third-party evaluation contracts (if 
applicable) and contracts with secondary recipient organizations 
including delegate agencies and specific project(s) or businesses to be 
financed by the applicant should be included under this category.

[[Page 26880]]

    Justification: All procurement transactions shall be conducted in a 
manner to provide, to the maximum extent practical, open and free 
competition. If procurement competitions were held or if a sole source 
procurement is being proposed, attach a list of proposed contractors, 
indicating the names of the organizations, the purposes of the 
contracts, the estimated dollar amounts, and the award selection 
process. Also provide back-up documentation where necessary to support 
selection process.

    Note: Whenever the applicant/grantee intends to delegate part of 
the program to another agency, the applicant/grantee must provide a 
detailed budget and budget narrative for each delegate agency by 
agency title, along with the required supporting information 
referenced in these instructions.

    Applicants must identify and justify any anticipated procurement 
that is expected to exceed the simplified purchase threshold (currently 
set at $100,000) and to be awarded without competition. Recipients are 
required to make available to ACF pre-award review and procurement 
documents, such as request for proposals or invitations for bids, 
independent cost estimates, etc. under the conditions identified at 45 
CFR Part 74.44(e).
    Construction. Costs of construction by applicant or contractor.
    Justification: Provide detailed budget and narrative in accordance 
with instructions for other object class categories. Identify which 
construction activity/costs will be contractual and which will be 
assumed by the applicant.
    Other. Enter the total of all other costs. Such costs, where 
applicable and appropriate, may include but are not limited to 
insurance, food, medical and dental costs (noncontractual), fees and 
travel paid directly to individual consultants, space and equipment 
rentals, printing and publication, computer use, training costs, 
including tuition and stipends, training service costs including wage 
payments to individuals and supportive service payments, and staff 
development costs.
    Indirect Charges. Total amount of indirect costs. This category 
should be used only when the applicant currently has an indirect cost 
rate approved by the Department of Health and Human Services or another 
cognizant Federal agency.
    Justification: With the exception of most local government 
agencies, an applicant which will charge indirect costs to the grant 
must enclose a copy of the current rate agreement if the agreement was 
negotiated with a cognizant Federal agency other than the Department of 
Health and Human Services (DHHS). If the rate agreement was negotiated 
with the Department of Health and Human Services, the applicant should 
state this in the budget justification. If the applicant organization 
is in the process of initially developing or renegotiating a rate, it 
should immediately upon notification that an award will be made, 
develop a tentative indirect cost rate proposal based on its most 
recently completed fiscal year in accordance with the principles set 
forth in the pertinent DHHS Guide for Establishing Indirect Cost Rates, 
and submit it to the appropriate DHHS Regional Office. Applicants 
awaiting approval of their indirect cost proposals may also request 
indirect costs. It should be noted that when an indirect cost rate is 
requested, those costs included in the indirect cost pool should not be 
also charged as direct costs to the grant. Also, if the applicant is 
requesting a rate which is less than what is allowed under this program 
announcement, the authorized representative of your organization needs 
to submit a signed acknowledgement that the applicant is accepting a 
lower rate than allowed.
    Program Income. The estimated amount of income, if any, expected to 
be generated from this project. Separately show expected program income 
generated from program support and income generated from other 
mobilized funds. Do not add or subtract this amount from the budget 
total. Show the nature and source of income in the program narrative 
statement.
    Justification: Describe the nature, source and anticipated use of 
program income in the budget or reference pages in the program 
narrative statement which contain this information.
    Non-Federal Resources. Amounts of non-Federal resources that will 
be used to support the project as identified in Block 15 of the SF-424.
    Justification: The firm commitment of these resources must be 
documented and submitted with the application in order to be given 
credit in the review process.
    Total Direct Charges, Total Indirect Charges, Total Project Costs. 
(self explanatory)

Certification Regarding Debarment, Suspension, and Other Responsibility 
Matters--Primary Covered Transactions

Instructions for Certification

    1. By signing and submitting this proposal, the prospective primary 
participant is providing the certification set out below.
    2. The inability of a person to provide the certification required 
below will not necessarily result in denial of participation in this 
covered transaction. The prospective participant shall submit an 
explanation of why it cannot provide the certification set out below. 
The certification or explanation will be considered in connection with 
the department or agency's 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.
    3. The certification in this clause is a material representation of 
fact upon which reliance was placed when the department or agency 
determined to enter into this transaction. If it is later determined 
that the prospective primary participant knowingly rendered an 
erroneous certification, in addition to other remedies available to the 
Federal Government, the department or agency may terminate this 
transaction for cause or default.
    4. The prospective primary participant shall provide immediate 
written notice to the department or agency to which this proposal is 
submitted if at any time the prospective primary participant learns 
that its certification was erroneous when submitted or has become 
erroneous by reason by changed circumstances.
    5. The terms covered transaction, debarred, suspended, ineligible, 
lower tier covered transaction, participant, person, primary covered 
transaction, principal, proposal, and voluntarily excluded, as used in 
this clause, have the meanings set out in the Definitions and Coverage 
sections of the rules implementing Executive Order 12549. You may 
contact the department or agency to which this proposal is being 
submitted for assistance in obtaining a copy of those regulations.
    6. The prospective primary participant agrees by submitting this 
proposal that, should the proposed covered transaction be entered into, 
it shall not knowingly enter into any lower tier covered transaction 
with a person who is proposed for debarment under 48 CFR part 9, 
subpart 9.4, debarred, suspended, declared ineligible, or voluntarily 
excluded from participation in this covered transaction, unless 
authorized by the department or agency entering into this transaction.
    7. The prospective primary participant further agrees by submitting 
this proposal that it will include the clause titled ``Certification 
Regarding Debarment, Suspension, Ineligibility

[[Page 26881]]

and Voluntary Exclusion-Lower Tier Covered Transaction,'' provided by 
the department or agency entering into this covered transaction, 
without modification, in all lower tier covered transactions and in all 
solicitations for lower tier covered transactions.
    8. A participant in a covered transaction may rely upon a 
certification of a prospective participant in a lower tier covered 
transaction that it is not proposed for debarment under 48 CFR part 9, 
subpart 9.4, debarred, suspended, ineligible, or voluntarily excluded 
from the covered transaction, unless it knows that the certification is 
erroneous. A participant may decide the method and frequency by which 
it determines the eligibility of its principals. Each participant may, 
but is not required to, check the List of Parties Excluded from Federal 
Procurement and Nonprocurement Programs.
    9. Nothing contained in the foregoing shall be construed to require 
establishment of a system of records in order to render in good faith 
the certification required by this clause. The knowledge and 
information of a participant is not required to exceed that which is 
normally possessed by a prudent person in the ordinary course of 
business dealings.
    10. Except for transactions authorized under paragraph 6 of these 
instructions, if a participant in a covered transaction knowingly 
enters into a lower tier covered transaction with a person who is 
proposed to debarment under 48 CFR part 9, subpart 9.4, suspended, 
debarred, ineligible, or voluntarily excluded from participation in 
this transaction, in addition to other remedies available to the 
Federal Government, the department or agency may terminate this 
transaction for cause of default.

Certification Regarding Debarment, Suspension, and Other Responsibility 
Matters--Primary Covered Transactions

    (1) The prospective primary participant 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 by any Federal department 
or agency;
    (b) Have not within a three-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 for 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 three-year period preceding this application/
proposal had one or more public transactions (Federal, State or local) 
terminated for cause or default.
    (2) Where the prospective primary participant is unable to certify 
to any of the statements in this certification, such prospective 
participant shall attach an explanation to this proposal.

Certification Regarding Debarment, Suspension, Ineligibility and 
Voluntary Exclusion--Lower Tier Covered Transactions

Instructions for Certification

    1. By signing and submitting this proposal, the prospective lower 
tier participant is providing the certification set out below.
    2. The certification in this clause is a material representation of 
fact upon which reliance was placed when this transaction was entered 
into. If it is later determined that the prospective lower tier 
participant knowingly rendered an erroneous certification, in addition 
to other remedies available to the Federal Government the department or 
agency with which this transaction originated may pursue available 
remedies, including suspension and/or debarment.
    3. The prospective lower tier participant shall provide immediate 
written notice to the person to which this proposal is submitted if at 
any time the prospective lower tier participant learns that its 
certification was erroneous when submitted or had become erroneous by 
reason of changed circumstances.
    4. The terms covered transaction, debarred, suspended, ineligible, 
lower tier covered transaction, participant, person, primary covered 
transaction, principal, proposal, and voluntarily excluded, as used in 
this clause, have the meaning set out in the Definitions and Coverage 
sections of rules implementing Executive Order 12549. You may contact 
the person to which this proposal is submitted for assistance in 
obtaining a copy of those regulations.
    5. The prospective lower tier participant agrees by submitting this 
proposal that, [[Page 33043]] should the proposed covered transaction 
be entered into, it shall not knowingly enter into any lower tier 
covered transaction with a person who is proposed for debarment under 
48 CFR part 9, subpart 9.4, debarred, suspended, declared ineligible, 
or voluntarily excluded from participation in this covered transaction, 
unless authorized by the department or agency with which this 
transaction originated.
    6. The prospective lower tier participant further agrees by 
submitting this proposal that it will include this clause titled 
``Certification Regarding Debarment, Suspension, Ineligibility and 
Voluntary Exclusion-Lower Tier Covered Transaction,'' without 
modification, in all lower tier covered transactions and in all 
solicitions for lower tier covered transactions.
    7. A participant in a covered transaction may rely upon a 
certification of a prospective participant in a lower tier covered 
transaction that it is not proposed for debarment under 48 CFR part 9, 
subpart 9.4, debarred, suspended, ineligible, or voluntarily excluded 
from covered transaction, unless it knows that the certification is 
erroneous. A participant may decide the method and frequency by which 
it determines the eligibility of its principals. Each participant may, 
but is not required to, check the List of Parties Excluded from Federal 
Procurement and Nonprocurement Programs.
    8. Nothing contained in the foregoing shall be construed to require 
establishment of a system of records in order to render in good faith 
the certification required by this clause. The knowledge and 
information of a participant is not required to exceed that which is 
normally possessed by a prudent person in the ordinary course of 
business dealings.
    9. Except for transactions authorized under paragraph 5 of these 
instructions, if a participant in a covered transaction knowingly 
enters into a lower tier covered transaction with a person who is 
proposed for debarment under 48 CFR part 9, subpart 9.4, suspended, 
debarred, ineligible, or voluntarily excluded from participation in 
this transaction, in addition to other remedies available to the 
Federal Government, the department or agency with which this 
transaction originated may pursue available remedies, including 
suspension and/or debarment.

[[Page 26882]]

Certification Regarding Debarment, Suspension, Ineligibility and 
Voluntary Exclusion--Lower Tier Covered Transactions

    (1) The prospective lower tier participant certifies, by submission 
of this proposal, that neither it nor its principals is presently 
debarred, suspended, proposed for debarment, declared ineligible, or 
voluntarily excluded from participation in this transaction by any 
Federal department or agency.
    (2) Where the prospective lower tier participant is unable to 
certify to any of the statements in this certification, such 
prospective participant shall attach an explanation to this proposal.
    This certification is required by the regulations implementing 
the Drug-Free Workplace Act of 1988: 45 CFR Part 76, Subpart, F. 
Sections 76.630 (c) and (d)(2) and 76.645 (a)(1) and (b) provide 
that a Federal agency may designate a central receipt point for 
STATE-WIDE AND AGENCY-WIDE certifications, and for notification of 
criminal drug convictions. For the Department of Health and Human 
Services, the central 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, SW., 
Washington, DC 20201.

-----------------------------------------------------------------------

Certification Regarding Drug-Free Workplace Requirements 
(Instructions for Certification)

    1. By signing and/or submitting this application or grant 
agreement, the grantee is providing the certification set out below.
    2. The certification set out below is a material representation 
of fact upon which reliance is placed when the agency awards 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, the agency, in addition to any other 
remedies available to the Federal Government, may take action 
authorized under the Drug-Free Workplace Act.
    3. For grantees other than individuals, Alternate I applies.
    4. For grantees who are individuals, Alternate II applies.
    5. 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 identify 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.
    6. 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).
    7. If the workplace identified to the agency 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 paragraph five).
    8. Definitions of terms in the Nonprocurement Suspension and 
Debarment common rule and Drug-Free Workplace common rule apply to 
this certification. Grantee's 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 U.S.C. 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 manufacturer, 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).

Certification Regarding Drug-Free Workplace Requirements

Alternate 1. (Grantees Others Than Individuals)

    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 paragraph (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 paragraph (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).
    (B) The grantee may insert in the space provided below the site(s) 
for the performance of work done in connection with the specific grant:

Place of Performance (Street address, city, county, state, zip code)
----------------------------------------------------------------------
----------------------------------------------------------------------
Check {time}  if there are workplaces on file that are not 
identified here.

[[Page 26883]]

Alternate II. (Grantees Who Are Individuals)

    (a) The grantee certifies that, as a condition of the grant, he or 
she will not engage in the unlawful manufacture, distribution, 
dispensing, possession, or use of a controlled substance in conducting 
any activity with the grant;
    (b) If convicted of a criminal drug offense resulting from a 
violation occurring during the conduct of any grant activity, he or she 
will report the conviction, in writing, within 10 calendar days of the 
conviction, to every grant officer or other designee, unless the 
Federal agency designates a central point for the receipt of such 
notices. When notice is made to such a central point, it shall include 
the identification number(s) of each affected grant.

[55 FR 21690, 21702, May 25, 1990]

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 an 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.

Statement for Loan Guarantees and Loan Insurance

    The undersigned states, to the best of his or her knowledge and 
belief, that:
    If any funds have been paid or will be paid to any person for 
influencing or attempting to influence an officer or employee of any 
agency, a Member of Congress, an officer or employee of Congress, or an 
employee of a Member of Congress in connection with this commitment 
providing for the United States to insure or guarantee a loan, the 
undersigned shall complete and submit Standard Form--LLL, ``Disclosure 
Form to Report Lobbying,'' in accordance with its instructions. 
Submission of this statement is a prerequisite for making or entering 
into this transaction imposed by section 1352, title 31, U.S. Code. Any 
person who fails to file the required statement shall be subject to a 
civil penalty of not less than $10,000 and not more than $100,000 for 
each such failure.
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BILLING CODE 4184-01-M

[[Page 26884]]

[GRAPHIC] [TIFF OMITTED] TN15MY97.003



BILLING CODE 4184-01-C

[[Page 26885]]

Certification Regarding Environmental Tobacco Smoke

    Public Law 103-227, Part C--Environmental Tobacco Smoke, also known 
as the Pro-Children Act of 1994 (Act), requires that smoking not be 
permitted in any portion of any indoor routinely owned or leased or 
contracted for by an entity and used routinely or regularly for 
provision of health, day care, education, or library services to 
children under the age of 18, if the services are funded by Federal 
programs either directly or through State or local governments, by 
Federal grant, contract, loan, or loan guarantee. The law does not 
apply to children's services provided in private residences, facilities 
funded solely by Medicare or Medicaid funds, and portions of facilities 
used for inpatient drug or alcohol treatment. Failure to comply with 
the provisions of the law may result in the imposition of a civil 
monetary penalty of up to $1000 per day and/or the imposition of an 
administrative compliance order on the responsible entity.
    By signing and submitting this application the applicant/grantee 
certifies that it will comply with the requirements of the Act. The 
applicant/grantee further agrees that it will require the language of 
this certification be included in any subawards which contain 
provisions for the children's services and that all subgrantees shall 
certify accordingly.

OMB State Single Point of Contact Listing

Arizona

Joni Saad, Arizona State Clearinghouse, 3800 N. Central Avenue, 
Fourteenth Floor, Phoenix, Arizona 85012, Telephone (602) 280-1315, 
FAX: (602) 280-8144

Arkansas

Mr. Tracy L. Copeland, Manager, State Clearinghouse, Office of 
Intergovernmental Services, Department of Finance and Administration, 
1515 W. 7th St., Room 412, Little Rock, Arkansas 72203, Telephone: 
(501) 682-1074, FAX: (501) 682-5206

California

Grants Coordinator, Office of Planning & Research, 1400 Tenth Street, 
Room 121, Sacramento, California 95814, Telephone (916) 323-7480, FAX: 
(916) 323-3018

Delaware

Francine Booth, State Single Point of Contact Executive Department, 
Thomas Collins Building, P.O. Box 1401, Dover, Delaware 19903, 
Telephone: (302) 739-3226, FAX: (302) 739-5661

District of Columbia

Charles Nichols, State Single Point of Contact, Office of Grants Mgmt. 
& Dev., 717 14th Street, N.W.--Suite 500, Washington, D.C. 20005, 
Telephone: (202) 727-6554, FAX: (202) 727-1617

Florida

Florida State Clearinghouse, Department of Community Affairs, 2740 
Centerview Drive, Tallahassee, Florida 32399-2100, Telephone: (904) 
922-5438, FAX: (904) 487-2899

Georgia

Tom L. Reid, III, Administrator, Georgia State Clearinghouse, 254 
Washington Street, S.W.--Room 401J, Atlanta, Georgia 30334, Telephone: 
(404) 656-3855 or (404) 656-3829, FAX: (404) 656-7938

Illinois

Virginia Bova, State Single Point of Contact, Department of Commerce 
and Community Affairs, James R. Thompson Center, 100 West Randolph, 
Suite 3-400, Chicago, Illinois 60601, Telephone: (312) 814-6028, FAX: 
(312) 814-1800

Indiana

Frances Williams, State Budget Agency, 212 State House, Indianapolis, 
Indiana 46204-2796, Telephone: (317) 232-5619, FAX: (317) 233-3323

Iowa

Steven R. McCann, Division for Community Assistance, Iowa Department of 
Economic Development, 200 East Grand Avenue, Des Moines, Iowa 50309, 
Telephone: (515) 242-4719, FAX: (515) 242-4859

Kentucky

Ronald W. Cook, Office of the Governor, Department of Local Government, 
1024 Capitol Center Drive, Frankfort, Kentucky 40601-8204, Telephone: 
(502) 573-2382, FAX: (502) 573-2512

Maine

Joyce Benson, State Planning Office, State House Station #38, Augusta, 
Maine 04333, Telephone: (207) 287-3261, FAX: (207) 287-6489

Maryland

William G. Carroll, Manager, State Clearinghouse for Intergovernmental 
Assistance, Maryland Office of Planning, 301 W. Preston Street--Room 
1104, Baltimore, Maryland 21201-2365, Staff Contact: Linda Janey, 
Telephone: (410) 225-4490, FAX: (410) 225-4480

Michigan

Richard Pfaff, Southeast Michigan Council of Governments, 1900 Edison 
Plaza, 660 Plaza Drive, Detroit, Michigan 48226, Telephone: (313) 961-
4266, FAX: (313) 961-4869

Mississippi

Cathy Malette, Clearinghouse Officer, Department of Finance and 
Administration, 455 North Lamar Street, Jackson, Mississippi 39202-
3087, Telephone: (601) 359-6762, FAX: (601) 359-6764

Missouri

Lois Pohl, Federal Assistance Clearinghouse, Office of Administration, 
P.O. Box 809, Room 760, Truman Building, Jefferson City, Missouri 
65102, Telephone: (314) 751-4834, FAX: (314) 751-7819

Nevada

Department of Administration, State Clearinghouse, Capitol Complex, 
Carson City, Nevada 89710, Telephone: (702) 687-4065, FAX: (702) 687-
3983

New Hampshire

Jeffrey H. Taylor, Director, New Hampshire Office of State Planning, 
Attn: Intergovernmental Review Process, Mike Blake, 2\1/2\ Beacon 
Street, Concord, New Hampshire 03301, Telephone: (603) 271-2155, FAX: 
(603) 271-1728

New Mexico

Robert Peters, State Budget Division, Room 190 Bataan Memorial 
Building, Santa Fe, New Mexico 87503, Telephone: (505) 827-3640

New York

New York State Clearinghouse, Division of the Budget, State Capitol, 
Albany, New York 12224, Telephone: (518) 474-1605, FAX: (518) 486-5617

North Carolina

Chrys Baggett, Director, N.C. State Clearinghouse, Office of the 
Secretary of Admin., 116 West Jones Street, Raleigh, North Carolina 
27603-8003, Telephone: (919) 733-7232, FAX: (919) 733-9571

North Dakota

North Dakota Single Point of Contact, Office of Intergovernmental 
Assistance, 600 East Boulevard Avenue, Bismarck, North Dakota 58505-
0170, Telephone: (701) 224-2094, FAX: (701) 224-2308

[[Page 26886]]

Ohio

Larry Weaver, State Single Point of Contact, State Clearinghouse, 
Office of Budget and Management, 30 East Broad Street, 34th Floor, 
Columbus, Ohio 43266-0411

    Please direct correspondence and questions about intergovernmental 
review to: Linda Wise, Telephone: (614) 466-0698, FAX: (614) 466-5400.

Rhode Island

Kevin Nelson, Review Coordinator, Department of Administration, 
Division of Planning, One Capitol Hill, 4th Floor, Providence, Rhode 
Island 02908-5870, Telephone: (401) 277-2656, FAX: (401) 277-2083

    Please direct correspondence and questions to: Review Coordinator, 
Office of Strategic Planning.

South Carolina

Rodney, Grizzle, State Single Point of Contact, Grant Services, Office 
of the Governor, 1205 Pendleton Street--Room 331, Columbia, South 
Carolina 29201, Telephone: (803) 734-0356, FAX: (803) 734-0356

Texas

Tom Adams, Governors Office, Director, Intergovernmental Coordination, 
P.O. Box 12428, Austin, Texas 78711, Telephone: (512) 463-1771, FAX: 
(512) 463-1888

Utah

Carolyn Wright, Utah State Clearinghouse, Office of Planning and 
Budget, Room 116, State Capitol, Salt Lake City, Utah 84114, Telephone: 
(801) 538-1535, FAX: (801) 538-1547

West Virginia

Fred Cutlip, Director, Community Development Division, W. Virginia 
Development Office, Building #6, Room 553, Charleston, West Virginia 
25305, Telephone: (304) 558-4010, FAX: (304) 558-3248

Wisconsin

Jeff Smith, Section Chief, State/Federal Relations, Wisconsin 
Department of Administration, 101 East Wilson Street--6th Floor, P.O. 
Box 7868, Madison, Wisconsin 53707, Telephone: (608) 266-0267, FAX: 
(608) 267-6931

Wyoming

Matthew Jones, State Single Point of Contact, Office of the Governor, 
200 West 24th Street, State Capital, Room 124, Cheyenne, Wyoming 82002, 
Telephone: (307) 777-7446, FAX: (307) 632-3909

Territories

Guam

Mr. Giovanni T. Sgambelluri, Director, Bureau of Budget and Management 
Research, Office of the Governor, P.O. Box 2930, Agana, Guam 96910, 
Telephone: 011-671-472-2285, FAX: 011-671-472-2825

Puerto Rico

Norma Burgos/Jose E. Caro, Chairwoman/Director, Puerto Rico Planning 
Board, Federal Proposals Review Office, Minillas Government Center, 
P.O. Box 41119, San Juan, Puerto Rico 00940-1119, Telephone: (809) 727-
4444, (809) 723-6190, FAX: (809) 724-3270, (809) 724-3103

North Mariana Islands

Mr. Alvaro A. Santos, Executive Officer, State Single Point of Contact, 
Office of Management and Budget, Office of the Governor, Saipan, MP, 
Telephone: (670) 664-2256, FAX: (670) 644-2272,
Contact Person: Ms. Jacoba T. Seaman, Federal Programs Coordinator, 
Telephone: (670) 644-2289, FAX: (670) 644-2272

Virgin Islands

Nelson Bowry, Director, Office of Management and Budget, #41 Norregade 
Emancipation Garden Station, Second Floor, Saint Thomas, Virgin Islands 
00802

    Please direct all questions and correspondence about 
intergovernmental review to: Linda Clarke, Telephone: (809) 774-0750, 
FAX: (809) 776-0069.

OMB State Single Point of Contact Listing

Arizona

Joni Saad, Arizona State Clearinghouse, 3800 N. Central Avenue, 
Fourteenth Floor, Phoenix, Arizona 85012, Telephone (602) 280-1315, 
FAX: (602) 280-8144

Arkansas

Mr. Tracy L. Copeland, Manager, State Clearinghouse, Office of 
Intergovernmental Services, Department of Finance and Administration, 
1515 W. 7th St., Room 412, Little Rock, Arkansas 72203, Telephone: 
(501) 682-1074, FAX: (501) 682-5206

California

Grants Coordinator, Office of Planning & Research, 1400 Tenth Street, 
Room 121, Sacramento, California 95814, Telephone (916) 323-7480, FAX 
(916) 323-3018

Delaware

Francine Booth, State Single Point of Contact Executive Department, 
Thomas Collins Building, P.O. Box 1401, Dover, Delaware 19903, 
Telephone: (302) 739-3326, FAX: (302) 739-5661

District of Columbia

Charles Nichols, State Single Point of Contact, Office of Grants Mgmt. 
& Dev., 717 14th Street, N.W.--Suite 500, Washington, D.C. 20005, 
Telephone: (202) 727-6554, FAX: (202) 727-1617

Florida

Florida State Clearinghouse, Department of Community Affairs, 2740 
Centerview Drive, Tallahassee, Florida 32399-2100, Telephone: (904) 
922-5438, FAX: (904) 487-2899

Georgia

Tom L. Reid, III, Administrator, Georgia State Clearinghouse, 254 
Washington Street, S.W.--Room 401J, Atlanta, Georgia 30334, Telephone: 
(404) 656-3855 or (404) 656-3829, FAX: (404) 656-7938

Illinois

Virginia Bova, State Single Point of Contact, Department of Commerce 
and Community Affairs, James R. Thompson Center, 100 West Randolph, 
Suite 3-400, Chicago, Illinois 60601, Telephone: (312) 814-6028, FAX: 
(312) 814-1800

Indiana

Frances Williams, State Budget Agency, 212 State House, Indianapolis, 
Indiana 46204-2796, Telephone: (317) 232-5619, FAX: (317) 233-3323

Iowa

Steven R. McCann, Division for Community Assistance, Iowa Department of 
Economic Development, 200 East Grand Avenue, Des Moines, Iowa 50309, 
Telephone: (515) 242-4719, FAX: (515) 242-4859

Kentucky

Ronald W. Cook, Office of the Governor, Department of Local Government, 
1024 Capitol Center Drive, Frankfort, Kentucky 40601-8204, Telephone: 
(502) 573-2382, FAX: (502) 573-2512

Maine

Joyce Benson, State Planning Office, State House Station #38, Augusta, 
Maine 04333, Telephone: (207) 287-3261, FAX: (207) 287-6489

[[Page 26887]]

Maryland

William G. Carroll, Manager, State Clearinghouse for Intergovernmental 
Assistance, Maryland Office of Planning, 301 W. Preston Street--Room 
1104, Baltimore, Maryland 21201-2365, Staff Contact: Linda Janey, 
Telephone: (410) 225-4490, FAX: (410) 225-4480

Michigan

Richard Pfaff, Southeast Michigan Council of Governments, 1900 Edison 
Plaza, 660 Plaza Drive, Detroit, Michigan 48226, Telephone: (313) 961-
4266, FAX: (313) 961-4869

Mississippi

Cathy Malette, Clearinghouse Officer, Department of Finance and 
Administration, 455 North Lamar Street, Jackson, Mississippi 39202-
3087, Telephone: (601) 359-6762, FAX: (601) 359-6764

Missouri

Lois Pohl, Federal Assistance Clearinghouse, Office of Administration, 
P.O. Box 809, Room 760, Truman Building, Jefferson City, Missouri 
65102, Telephone: (314) 751-4834, FAX: (314) 751-7819

Nevada

Department of Administration, State Clearinghouse, Capitol Complex, 
Carson City, Nevada 89710, Telephone: (702) 687-4065, FAX: (702) 687-
3983

New Hampshire

Jeffrey H. Taylor, Director, New Hampshire Office of State Planning, 
Attn: Intergovernmental Review Process, Mike Blake, 2\1/2\ Beacon 
Street, Concord, New Hampshire 03301, Telephone: (603) 271-2155, FAX: 
(603) 271-1728

New Mexico

Robert Peters, State Budget Division, Room 190, Bataan Memorial 
Building, Santa Fe, New Mexico 87503, Telephone: (505) 827-3640

New York

New York State Clearinghouse, Division of the Budget, State Capitol, 
Albany, New York 12224, Telephone: (518) 474-1605, FAX: (518) 486-5617

North Carolina

Chrys Baggett, Director, N.C. State Clearinghouse, Office of the 
Secretary of Admin., 116 West Jones Street, Raleigh, North Carolina 
27603-8003, Telephone: (919) 733-7232, FAX: (919) 733-9571

North Dakota

North Dakota Single Point of Contact, Office of Intergovernmental 
Assistance, 600 East Boulevard Avenue, Bismarck, North Dakota 58505-
0170, Telephone: (701) 224-2094, FAX: (701) 224-2308

Ohio

Larry Weaver, State Single Point of Contact, State Clearinghouse, 
Office of Budget and Management, 30 East Broad Street, 34th Floor, 
Columbus, Ohio 43266-0411

    Please direct correspondence and questions about intergovernmental 
review to: Linda Wise, Telephone: (614) 466-0698, FAX: (614) 466-5400.

Rhode Island

Kevin Nelson, Review Coordinator, Department of Administration, 
Division of Planning, One Capitol Hill, 4th Floor, Providence, Rhode 
Island 02908-5870, Telephone: (401) 277-2656, FAX: (401) 277-2083

    Please direct correspondence and questions to: Review Coordinator, 
Office of Strategic Planning.

South Carolina

Rodney Grizzle, State Single Point of Contact, Grant Services, Office 
of the Governor, 1205 Pendleton Street--Room 331, Columbia, South 
Carolina 29201, Telephone: (803) 734-0494, FAX: (803) 734-0356

Texas

Tom Adams, Governors Office, Director, Intergovernmental Coordination, 
P.O. Box 12428, Austin, Texas 78711, Telephone: (512) 463-1771, FAX: 
(512) 463-1888

Utah

Carolyn Wright, Utah State Clearinghouse, Office of Planning and 
Budget, Room 116, State Capitol, Salt Lake City, Utah 84114, Telephone: 
(801) 538-1535, FAX: (801) 538-1547

West Virginia

Fred Cutlip, Director, Community Development Division, W. Virginia 
Development Office, Building #6, Room 553, Charleston, West Virginia 
25305, Telephone: (304) 558-4010, FAX: (304) 558-3248

Wisconsin

Jeff Smith, Section Chief, State/Federal Relations, Wisconsin 
Department of Administration, 101 East Wilson Street--6th Floor, P.O. 
Box 7868, Madison, Wisconsin 53707, Telephone: (608) 266-0267, FAX: 
(608) 267-6931

Wyoming

Matthew Jones, State Single Point of Contact, Office of the Governor, 
200 West 24th Street, State Capital, Room 124, Cheyenne, Wyoming 82002, 
Telephone: (307) 777-7446, FAX: (307) 632-3909

Territories

Guam

Mr. Giovanni T. Sgambelluri, Director, Bureau of Budget and Management 
Research Office of the Governor, P.O. Box 2950, Agana, Guam 96910, 
Telephone: 011-671-472-2285, FAX: 011-671-472-2825

Puerto Rico

Norma Burgos/Jose E. Caro, Chairwoman/Director, Puerto Rico Planning 
Board, Federal Proposals Review Office, Minillas Government Center, 
P.O. Box 41119, San Juan, Puerto Rico 00940-1119, Telephone: (809) 727-
4444, (809) 723-6190, FAX: (809) 724-3270, (809) 724-3103

North Mariana Islands

Mr. Alvaro A. Santos, Executive Officer, State Single Point of Contact, 
Office of Management and Budget, Office of the Governor, Saipan, MP, 
Telephone: (670) 664-2256, FAX: (670) 664-2272

    Contact Person: Ms. Jacoba T. Seman, Federal Programs Coordinator, 
Telephone: (670) 644-2289, FAX: (670) 644-2272.

Virgin Islands

Nelson Bowry, Director, Office of Management and Budget, #41 Norregade 
Emancipation Garden Station, Second Floor, Saint Thomas, Virgin Islands 
00802

    Please direct all questions and correspondence about 
intergovernmental review to: Linda Clarke, Telephone: (809) 774-0750, 
FAX: (809) 776-0069.

[FR Doc. 97-12686 Filed 5-14-97; 8:45 am]
BILLING CODE 4181-01-M