[Federal Register Volume 62, Number 98 (Wednesday, May 21, 1997)]
[Notices]
[Pages 27738-27768]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-13092]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Administration for Children and Families
[Program Announcement No. ACYF-CB-93.652-97-04]


Adoption Opportunities Program; Announcement of Availability of 
Financial Assistance and Request for Applications

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

ACTION: Announcement of the Availability of Financial Assistance and 
Request for Applications to Conduct Demonstration Projects Funded Under 
the Adoption Opportunities Program in the Children's Bureau, 
Administration on Children, Youth and Families.

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SUMMARY: The Children's Bureau (CB) within the Administration on 
Children, Youth and Families (ACYF), Administration for Children and 
Families (ACF) announces the availability of fiscal year (FY) 1997 
funds from the Adoption Opportunities Program for demonstration grants 
to State child welfare agencies, public or private nonprofit child 
welfare and adoption parents' groups for projects aimed at: (a) 
Developing effective collaborations for timely adoptions; (b) 
increasing adoptive placements for children in foster care; (c) 
developing innovative practices for increasing adoptions of minority 
children; (d) developing innovations in post-legal adoption services; 
(e) increasing practice options to secure permanency for children; (f) 
allowing leaders in the adoption field to propose innovative endeavors; 
and (g) developing strategies for increasing kinship care adoption.

CLOSING DATE: The closing time and date for the receipt of applications 
under this announcement is 4:30 p.m. (Eastern Standard Time) August 19, 
1997. Applications received after 4:30 p.m. will be classified as late.

ADDRESSES: Mail applications to: 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, ATTN: ______________ (Reference announcement 
number and priority area.)
    Hand delivered, Courier or Overnight applications are accepted 
during the normal working hours of 8 a.m. to 4:30 p.m. EST, Monday 
through Friday, on or prior to the established closing date at: 
Administration for Children and Families, Division of Discretionary 
Grants, ACF Mailroom, 2nd Floor Loading Dock, Aerospace Center, 901 D 
Street, SW., Washington, DC. 20024, ATTN: ______________ (reference 
number and priority area). Applicants are cautioned that express/
overnight mail services do not always deliver as agreed.

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 the Children's Bureau for programmatic questions. You 
may also locate frequently asked questions about this program 
announcement on the ACYF Website at http://www.acf.dhhs.gov/programs/
cb.

INTENT TO APPLY: If you are going to submit an application, send a post 
card or call in the following information: 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, within 
two weeks of the receipt of this announcement 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 the program announcement is sent.

SUPPLEMENTARY INFORMATION: This program announcement consists of three 
parts. Part I provides information on the Children's Bureau 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

[[Page 27739]]

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 Covering This Announcement
C. Availability and Allocation of Funds

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. Grantee Share of Project Costs
G. Priority Areas Included in This Announcement
H. 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. Part IV--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 joint ventures with the private sector to enhance 
the lives of children and their families, and provides information and 
other assistance to parents.
    The concerns of ACYF extend to all children from birth through 
adolescence. 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 American Indian and migrant families.
    Within ACYF, the Children's Bureau plans, manages, coordinates and 
supports child welfare services programs. It administers the Foster 
Care and Adoption Assistance Program, the Child Welfare Services State 
Grants Program, the Child Welfare Services Research, Demonstration and 
Training Programs, the Independent Living Initiatives Program, the 
Adoption Opportunities Program, the Temporary Child Care for Children 
with Disabilities and Crisis Nurseries Program, the Abandoned Infants 
Assistance Program, and the Family Preservation and Support Services 
Program.
    The Federal statutory, regulatory, policy and program framework for 
adoption has emphasized overcoming numerous complexities in order to 
facilitate the completion of adoptions, creating financial incentives 
for the adoption of certain children for whom it would be difficult to 
secure an adoptive placement, requiring each State to establish a pool 
of adoptive families reflecting the ethnic and racial diversity of 
children for whom adoptive homes are needed, promoting a vision of and 
guidance for permanence, and stimulating communication and 
collaboration among foster care, adoption and court professionals.
    The Adoption Opportunities Program, originally enacted in title II 
of the Child Abuse Prevention and Treatment and Adoption Reform Act of 
1978, Public Law 95-266, and most recently amended by the Child Abuse 
Prevention and Treatment Act Amendments of 1996, Public Law 104-235, 
works to eliminate barriers to adoption and provide permanent homes for 
children who would benefit from adoption. The Adoption Opportunities 
Program facilitates the elimination of barriers to adoption by: (1) 
Promoting adoption legislation and procedures in the States and 
territories of the United States in order to eliminate jurisdictional 
and legal obstacles to adoption; (2) promoting quality standards for 
adoption services, pre-placement, post-placement, and post-legal 
adoption counseling, and standards to protect the rights of the 
children in need of adoption; and (3) demonstrating expeditious ways to 
free children for adoption for whom it has been determined that 
adoption is the appropriate plan. This discretionary program awards 
grants and contracts to public and private non-profit agencies.
    The passage of the Adoption Assistance and Child Welfare Act of 
1980, Pub. L. 96-272, resulted in the establishment of the title IV-E 
adoption assistance program. This entitlement provides funds to States 
to assist in paying costs associated with the adoption of children who 
have special needs, such as being older or disabled. The adoption 
assistance program encourages and supports permanence for children with 
special needs in adoptive homes, thereby preventing their inappropriate 
and excessive stays in foster care. To receive adoption assistance, a 
child must also be a recipient of or be eligible for Aid to Families 
with Dependent Children (AFDC), as in effect in the State on June 1, 
1995, or Supplemental Security Income (SSI) benefits.
    Another major legislative initiative in the area of adoptions, the 
Multiethnic Placement Act (MEPA), was passed in 1994 and amended in 
1996 by the Small Business Job Protection Act, Public Law 104-188. The 
purposes of MEPA are to decrease the length of time that children wait 
to be adopted and to prevent discrimination in the placement of 
children on the basis of race, color, or national origin.
    On August 20, 1996, President Clinton signed the Small Business Job 
Protection Act of 1996 which amended the Multiethnic Placement Act of 
1994 (MEPA). Section 1808 of the Small Business Job Protection Act of 
1996 is entitled ``Removal of Barriers to Interethnic Adoption.'' The 
section affirms and strengthens the prohibition against discrimination 
in adoption or foster care placements. It does this by adding to title 
IV-E of the Social Security Act a State Plan requirement and penalties 
which apply both to States and to adoption agencies. In addition, it 
repeals section 553 of the Multiethnic Placement Act (MEPA), which has 
the effect of removing from the statute the language which read 
``Permissible Consideration--An agency or entity (which receives 
federal assistance) may consider the cultural, ethnic, or racial 
background of the child and the capacity of the prospective foster or 
adoptive parents to meet the needs of a child of such background as one 
of a number of factors used to determine the best interests of a 
child.''
    The Interethnic Adoption provisions maintain a prohibition against 
delaying or denying the placement of a child for adoption or foster 
care on the basis of race, color, or national origin of the adoptive or 
foster parent, or the child involved as a civil rights issue, and 
further add a title IV-E State Plan requirement which also prohibits 
delaying and denying foster and adoptive placements on the basis of 
race, color or national origin.
    The provisions also subject States and entities receiving Federal 
funding which are not in compliance with these title

[[Page 27740]]

IV-E State plan requirements to specific graduated financial penalties 
(in cases in which a corrective action plan fails to correct the 
problem).
    The Congress has retained section 554 of MEPA, which requires that 
child welfare services programs provide for the diligent recruitment of 
potential foster and adoptive families that reflect the ethnic and 
racial diversity of children in the State for whom foster and adoptive 
homes are needed. This is the section that requires States to include a 
provision for diligent recruitment in their title IV-B State Plans.
    Set forth below is the language of the new provision. Key terms 
contained in MEPA that have been eliminated are shown in brackets.

    A person or government that is involved in adoption or foster 
care placements may not--(a) [categorically] deny to any individual 
the opportunity to become an adoptive or a foster parent, [soley] on 
the basis of the race, color, or national origin of the individual, 
or of the child involved; or (b) delay or deny the placement of a 
child for adoption or into foster care [or otherwise discriminate in 
making a placement decision, solely] on the basis of race, color, or 
national origin of the adoptive or foster parent, or the child, 
involved.

    On December 14, 1996 President Clinton directed the Secretary of 
Health and Human Services to conduct wide consultations and report to 
him with specific recommendations for strategies to move children more 
quickly from foster care to permanent homes and to meet the goal of at 
least doubling adoptions and other permanent placement over the next 
five years. The Department developed Adoption 2002 as a blueprint for 
bipartisan Federal leadership in adoption and other permanency planning 
for children in the public child welfare system. To prepare this 
report, the Department consulted with child welfare professionals, 
policy experts, advocates, and foster and adoptive parents at the 
national, State and local levels. Adoption 2002 outlines an agenda to 
overcome barriers to permanence and to accelerate the path to 
permanency for all waiting children in the public child welfare system. 
To this end, the Department commits to providing expanded technical 
assistance, rewarding States for incremental increases in adoption 
levels with per-child financial bonuses, and otherwise recognizing 
successful performance.

B. Statutory Authority Covering This Announcement

    Title II of the Child Abuse Prevention and Treatment and Adoption 
Reform Act of 1978, Public Law 95-266, as amended.

C. Availability and Allocation of Funds

    The Administration on Children, Youth and Families proposes to 
award appropriately 25 new grants in fiscal year 1997 in varying 
amounts. The total combined funding for the Priority Areas 1.01, 1.02, 
1.03, 1.04, 1.05, 1.06 and 1.07 for fiscal year 1997 competitive grants 
is approximately $6 million.

Part II. The Review Process and Priority Areas

A. Eligible Applicants

    Each priority area description contains information about the types 
of agencies and organizations which are eligible to apply under that 
priority area. Because eligibility varies depending on statutory 
provisions, it is critical that the ``Eligible Applicants'' section of 
each priority area be reviewed carefully.
    Before review, each application will be screened for applicant 
organization eligibility as specified under the selected priority area. 
Applications from ineligible organizations will not be considered or 
reviewed in the competition, and the 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 or organization, must identify only one lead 
organization and official applicant. Participating agencies and 
organizations can be included as co-participants, subgrantees or 
subcontractors. For-profit organizations are eligible to participate as 
subgrantees or subcontractors with eligible non-profit organizations 
under all priority areas.
    Any non-profit 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

    The closing time and date for the receipt of the applications is 
4:30 p.m. (Eastern Time Zone) on August 19, 1997. Applications received 
after 4:30 p.m. will be classified as late. Timely applications 
received by the deadline date which are from eligible applicants will 
be reviewed and scored competitively. Experts in the field, generally 
persons outside the Federal government, will use the appropriate 
evaluation criteria listed later in this section to review and score 
the applications. The results of this review are a primary factor in 
making funding decisions.
    The ACYF reserves the option of discussing applications with, or 
referring them to, other Federal or non-Federal funding sources when 
this is in the best interest of the Federal government or the 
applicants. ACYF may also solicit comments from ACF Regional Office 
staff, other Federal agencies, interested foundations, national 
organizations, specialists, experts, States and the general public. 
These comments, along with those of the expert reviewers, will be 
considered by ACYF in making funding decisions.
    In making decisions on awards, ACYF may give preference to 
applications which focus on or feature: Overrepresented populations of 
children in the Child Welfare system waiting to be adopted; a 
substantially innovative strategy with the potential to improve theory 
or practice in the field of human services; a model practice or set of 
procedures that holds the potential for replication by organizations 
that administer or deliver human services; substantial involvement of 
volunteers; substantial involvement (either financial or programmatic) 
of the private sector; a favorable balance between Federal and non-
Federal funds available for the proposed project; the potential for 
high benefit for low Federal investment; a programmatic focus on those 
most in need; and/or substantial involvement in the proposed project by 
national or community foundations.
    To the greatest extent possible, efforts will be made to ensure 
that funding decisions reflect an equitable distribution of assistance 
among the States and geographical regions of the country, rural and 
urban areas, and ethnic populations. In making these decisions, ACYF 
may also take into account the need to avoid unnecessary duplication of 
effort.

C. Evaluation Criteria

    A panel of reviewers (primarily experts from outside the Federal 
government) will review applications. To facilitate this review, 
applicants should ensure that they address each

[[Page 27741]]

minimum requirement in the priority area description under the 
appropriate section of the Program Narrative Statement.
    The reviewers will determine the strengths and weaknesses of each 
application using the evaluation criteria listed below, provide 
comments and assign numerical scores. The point value following each 
criterion heading indicates the maximum numerical weight.
    All applications will be evaluated against the following criteria:
    (1) Objective and Need for Assistance (20 points). The extent to 
which the application pinpoints any relevant physical, economic, 
social, financial, institutional or other problems requiring a 
solution; demonstrates the need for the assistance; states the 
principal and subordinate objectives of the project; provides 
supporting documentation or other testimonies from concerned interests 
other than the applicant; and includes and/or footnotes relevant data 
based on the results of planning studies. The application must identify 
the precise location of the project and area to be served by the 
proposed project. Maps and other graphic aids may be attached.
    (2) Approach (35 points). The extent to which the application 
outlines a sound and workable plan of action pertaining to the scope of 
the project, and details how the proposed work will be accomplished; 
cites factors which might accelerate or decelerate the work, giving 
acceptable reasons for taking this approach as opposed to others; 
describes and supports any unusual features of the project, such as 
design or technological innovations, reductions in cost or time, or 
extraordinary social and community involvements; and provides for 
projections for the accomplishments to be achieved. The Approach 
section should include a listing of the activities to be carried out in 
chronological order, showing a reasonable schedule of accomplishments 
and target dates.
    The extent to which, when appropriate, the application identifies 
the kinds of data to be collected and maintained, and discusses the 
criteria to be used to evaluate the results and successes of the 
project. The extent to which the application describes the evaluation 
methodology that will be used to determine if the needs identified and 
discussed are being met and if the results and benefits identified are 
being achieved. The application also lists each organization, agency, 
consultant, or other key individuals or groups who will work on the 
project, along with a description of the activities and nature of their 
effort or contribution.
    (3) Results or Benefits Expected (20 points). The extent to which 
the application identifies the results and benefits to be derived, the 
extent to which they are consistent with the objectives of the 
application, and the extent to which the application indicates the 
anticipated contributions to policy, practice, theory and/or research. 
The extent to which the proposed project costs are reasonable in view 
of the expected results.
    (4) Staff Background and Organization Experience (25 points). The 
application identifies the background of the project director/principal 
investigator and key project staff (including name, address, training, 
educational background and other qualifying experience) and the 
experience of the organization to demonstrate the applicant's ability 
to effectively and efficiently administer the project. The application 
describes the relationships between the proposed project and other work 
planned, anticipated or underway by the applicant with Federal 
assistance.

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 also noted, where applicable.
    Purpose: This section presents the basic focus and/or broad goal(s) 
of the priority area.
    Background Information: This section briefly discusses the 
legislative background as well as the current state-of-the-art and/or 
current state-of-practice that supports the need for the particular 
priority area activity. Relevant information on projects previously 
funded by ACYF and/or others, and State models are noted, where 
applicable.
    Minimum Requirements for Project Design: This section presents the 
basic set of issues that must be addressed in the application. 
Typically, they relate to project design, evaluation, and community 
involvement. This section also asks for specific information on the 
proposed project. Inclusion and discussion of these items is important, 
since they will be used by the reviewers in evaluating the applications 
against the evaluation criteria. Project products, continuation of the 
project effort after the Federal support ceases, and dissemination/
utilization activities, if appropriate, are also addressed.
    Project Duration: This section specifies the maximum allowable 
length of time for the project period and 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 period.
    Matching Requirements: This section specifies the minimum non-
Federal contribution, either through cash or in-kind match, required in 
relation to the maximum Federal funds requested for the project. 
Grantees must provide at least 10 percent of the total cost of the 
project. The total cost of the project is the sum of the ACF share and 
the non-Federal share. The non-Federal share may be met by cash or in-
kind contributions, although applicants are encouraged to meet the 
match requirements through cash contributions. Therefore, a project 
requesting $150,000 in Federal funds (based on an award of $150,000 per 
budget period) must include a match of at least $16,667 (10 percent of 
total project cost).
    Anticipated Number of Projects To Be Funded: This section specifies 
the number of projects that ACYF anticipates it will fund under the 
priority area.
    Catalog of Federal Domestic Assistance Number (CFDA): This section 
specifies the CFDA Number for the program.
    Please note that applications that do not comply with the specific 
priority area requirements in the section on ``Eligible Applicants'' 
will not be reviewed. Applicants should also note that non-
responsiveness to the section ``Minimum Requirements for the Project 
Design'' will result in a low evaluation score by the reviewers. 
Applicants must clearly identify the specific priority area under which 
they wish to have their applications considered, and tailor their 
applications accordingly. Previous experience has shown that an 
application which is broader and more general in concept than outlined 
in the priority area description scores lower than one more clearly 
focused on, and directly responsive to, that specific priority area.

E. Available Funds

    The ACYF intends to award new grants resulting from this 
announcement during the fourth quarter of fiscal year 1997, subject to 
the availability of funds.
    Each priority area description includes information on the maximum 
Federal share of the project costs and the anticipated number of 
projects to be funded.
    The term ``budget period'' refers to the interval of time (usually 
12 months) into which a multi-year period of assistance

[[Page 27742]]

(project period) is divided for budgetary and funding purposes. The 
term ``project period'' refers to the total time a project is approved 
for support, including any extensions.
    Where appropriate, applicants may propose project periods which are 
shorter than the maximums specified in the various priority areas. Non-
Federal share contributions may exceed the minimums specified in the 
various priority areas when the applicant is able to do so. However, if 
the proposed match exceeds the minimum requirement, the grantee must 
maintain its proposed level of match support throughout the entire 
project period. Applicants should propose only that non-Federal share 
they can realistically provide, since any unmatched Federal funds will 
be disallowed by ACF.
    For multi-year projects, continued Federal funding beyond the first 
budget period is dependent upon satisfactory performance by the 
grantee, availability of funds from future appropriations and a 
determination that continued funding is in the best interest of the 
Government.

F. Grantee Share of Project Costs

    Grantees must provide at least 10 percent of the total approved 
cost of the project. The total approved cost of the project is the sum 
of the ACF share and the non-Federal share. The non-Federal share may 
be met by cash or in-kind contributions, although applicants are 
encouraged to meet their match requirements through cash contributions. 
Therefore, a project requesting $150,000 in Federal funds (based on an 
award of $150,000 per budget period) must include a match of at least 
$16,667 (10 percent of the total project cost). If approved for funding 
the grantee will be held accountable for commitments of non-Federal 
resources, and failure to provide the required amount will result in a 
disallowance of unmatched Federal funds.

G. Priority Areas Included in This Announcement

1.01  Effective Collaborations for Timely Adoptions
1.02  Achieving Increased Adoptive Placement of Children in Foster 
Care
1.03  Innovations to Increase Adoptive Placements of Minority 
Children
1.04  Post-Legal Adoption Services
1.05  Expanding Options for Permanency
1.06  Field Initiated Applications Advancing the State-of-the-Art in 
the Adoption Field
1.07  Kinship Care Adoption

H. Priority Area Descriptions and Requirements

1.01  Effective Collaboratives for Timely Adoptions
    Eligible Applicants: States, local government entities, courts, 
federally recognized Indian Tribes and Indian Tribal Organizations.
    Purpose: To develop a system reform project that functions as an 
extension of the State's Court Improvement activities through which 
collaborative partnerships are formed between child welfare agencies 
and the courts to reduce the time that children waiting for an adoptive 
home remain in foster care by reducing delays in terminating parental 
rights and finalizing adoptions.
    Background Information: The Adoption Assistance and Child Welfare 
Act of 1980, Public Law 96-272, charges child welfare agencies with the 
responsibility of securing a safe, permanent home for every child who 
comes into their care. This goal is often delayed by procedures for 
terminating the parental rights of birth parents for those children for 
whom adoption has been identified as the most appropriate permanent 
plan.
    Delays in completing terminations of parental rights (TPRs) can 
often be attributed to a lack of understanding, communication and 
coordination between the two systems involved with child protection: 
Child welfare and courts. Social workers often have difficulty 
gathering and presenting the necessary legal evidence to facilitate a 
TPR. Lawyers are not experts in social work practice and the clinical 
issues associated with a significant life-event like TPR and the 
subsequent execution of a plan for permanency.
    In recent years, ACF has awarded grants that focus on reforming 
child welfare agency practices and the courts. Currently, six grantees 
are testing the efficacy of non-adversarial approaches to TPR, and 48 
States are participating in the Court Improvement project. The non-
adversarial approaches being tested include mediation, concurrent 
planning and voluntary relinquishment. The Court Improvement project 
provides funding to the highest State court for the purpose of studying 
State laws and practices that impede the timely execution of child 
welfare services and permanent plans. Child welfare agencies and the 
courts are encouraged to collaborate with each other in both grant 
programs; however, the projects tend to focus primarily on their 
respective systems and do not require this type of collaboration.
    ACF intends to test the efficacy of facilitating collaborations 
between child welfare agencies and the courts to reduce the amount of 
time between initial agency involvement, the execution of a TPR where 
appropriate, and finalizing an adoption. This project must coordinate 
with the State's current court improvement efforts, targeted 
specifically to facilitate timely adoptions.
    Minimum Requirements for Project Design: In order to successfully 
compete under this priority area, the applicant should:
     Demonstrate knowledge of current issues in adoption and 
permanency for children in the public child welfare field.
     Describe experience with reform approaches, the current 
status of those initiatives, and how this initiative will build on and 
complement current reform initiatives.
     Describe specifically how this project integrates with the 
State's court improvement activities.
     Describe the collaboration including participants, 
activities, and roles and responsibilities.
     Provide documentation, such as memoranda of understanding, 
that demonstrates that all parties in the collaboration have committed 
to their respective roles and responsibilities.
     Describe how this project's reform approaches will be 
institutionalized.
     Describe the process that will be used to identify 
children and families in need of these services.
     Provide assurances that project staff know and understand 
policies, Federal regulations, laws and cultural issues that have 
impact on permanency for children.
     Describe the training/staff development components of the 
project.
     Describe an evaluation plan that will focus on the reform 
approaches and is capable of identifying the successes and failures of 
the approaches. The evaluation plan should be outcome-oriented and 
include the collection and analysis of data to ascertain the 
effectiveness of the collaboration. The evaluation should also include 
descriptive information on the processes and procedures used in 
implementing the project.
     Discuss strategies for disseminating information on the 
effective reform approaches of the project. Identify audiences who will 
benefit from receiving the information, and specify mechanisms and 
forums that will be used to convey the information, and support 
replication by other interested agencies.
     Provide assurances that at least one key person from the 
project will attend an annual three to five day Child

[[Page 27743]]

Welfare Conference in the Washington, DC metropolitan area hosted by 
the Children's Bureau. The Conference brings together child welfare 
professionals including Adoption Opportunities and other Children's 
Bureau discretionary program grantees to exchange information and 
address current child welfare issues.
     Provide assurances and document that the project will be 
staffed and implemented within 90 days of the notification of the grant 
award.
     Provide assurance that 90 days after the project end date, 
the grantee will submit a copy of the final report, evaluation report, 
and any program products to the National Adoption Information 
Clearinghouse, PO Box 1182, Washington, DC 20013. This is in addition 
to the standard requirement that the final program report and 
evaluation report must also be submitted to the Grants Management 
Specialist and the Federal Project Officer.
    Project Duration: The length of the project must not exceed 36 
months.
    Federal Share of Project Costs: The maximum Federal share of the 
project is not to exceed $250,000 per 12-month budget period.
    Matching or Cost Sharing Requirements: Grantees must provide at 
least 10 percent of the total cost of the project. The total approved 
cost of the project is the sum of the ACF share and the non-Federal 
share. Therefore, a project requesting $250,000 in Federal funds (based 
on an award of $250,000 per budget period) must include a match of at 
least $27,778 (10 percent of the total project cost of $277,778). The 
non-Federal share may be cash or in-kind contributions, although 
applicants are encouraged to meet their match requirements through cash 
contributions.
    Anticipated Number of Projects to be Funded: It is anticipated that 
5 projects will be funded.
    CFDA: 93.652 Adoption Opportunities Grants: Title II of the Child 
Abuse Prevention and Treatment Adoption Reform Act of 1978, Public Law 
95-266, as amended.
1.02  Achieving Increased Adoptive Placement of Children in Foster Care
    Eligible Applicants: Eligibility is limited to State social service 
agencies.
    Purpose: To develop demonstration projects to increase the 
placement of children who are in foster care and are legally free for 
adoption with adoptive families.
    Background Information: The President announced a new directive to 
members of his Cabinet to take new actions to move children more 
rapidly from foster care to safe, permanent homes. The goal of the 
President's ambitious new initiative is to double, by the year 2002, 
the number of children in foster care who are adopted or permanently 
placed each year. The directive focuses on securing homes for the tens 
of thousands of children in foster care who cannot return safely to 
their homes and for whom adoption is a goal.
    Children in foster care who are free for adoption, especially older 
children and those with special needs, often have difficulty attaining 
permanence through placement with an adoptive family. There are 
multiple reasons for this. Increasingly, children entering foster care 
have more complex needs, which require more intensive services. 
Permanent families must be continuously recruited and prepared to 
parent the growing population of children who cannot return to their 
birth families. Supportive services must be added or improved so that 
the children in foster care who are legally free for adoption can move 
into an adoptive placement in a timely manner. This requires 
collaborative efforts with the court system to terminate parental 
rights. In addition, agencies must commit resources for the ongoing 
support of adoptive families from recruitment through the post-legal 
phase.
    The Adoption Opportunities Program has provided demonstration 
grants to States to improve adoption services for the placement of 
children with special needs who are legally free for adoption. States 
have received awards to make systemic changes in their adoption 
programs in areas such as: acquiring computer hardware and software and 
becoming members in the National Adoption Exchange's Network; 
developing a consortium of nine States with large numbers of children 
in care in order to share knowledge to improve and enhance their 
special needs adoption programs; and forming a seven State national 
consortium on post-legal adoption services to develop and share model 
programs and promising practices of post-legal adoption services for 
the adoption community.
    These projects have demonstrated that improvements in placing 
children with adoptive families are achieved when permanent plans are 
made and carried out very early in the placement; when there are 
sufficiently trained and experienced staff; and when there are 
available resources and administrative commitments to adoption and to 
coordinated community-based efforts.
    Even though more than half of the States have received grants to 
improve adoption services, only a small number have been able to 
sustain these efforts because of limited funds and staffing problems 
and because adoption services are often not viewed as a priority.
    This priority area is designed to provide incentives for States to 
craft innovative initiatives to secure and sustain permanence for 
children who are free for adoption. A recent legislative change 
authorizes projects in this priority area to be approved for 36 months.
    Minimum Requirements for Project Design: In order to successfully 
compete under this priority area, the applicant should:
     Identify and verify the number of children in foster care 
to be served by the project who are legally free and waiting for 
adoptive placement.
     Provide and verify the proportion of placement of children 
in foster care placed in adoption in the year preceding the application 
(the proportion of placement is the number of children placed divided 
by the number of children waiting for adoption).
     Describe the measurable improvements to be achieved during 
the period of the grant and the methods to be employed to increase the 
proportion of placement of legally-free children in foster care with 
adoptive families. Improvements should be specified as goals and 
objectives which are measurable and represent an increase over previous 
years.
     Describe how the proposed improvements, if successful, 
would be continued beyond the period of Federal support under this 
grant as part of the agency's ongoing program and describe the specific 
steps which would be taken to accomplish this.
     Propose and describe an evaluation plan which will focus 
on the innovations used to improve the placement of children who are 
legally free for adoption and which is capable of identifying the 
successes and failures of the initiative. The evaluation plan should 
include the collection and analysis of data to determine placement 
rates and the types of clients served (e.g., waiting children, 
prospective adoptive families). Statistics should be collected to 
determine the availability of adoptive families during the program 
period. The evaluation should also include descriptive information on 
the processes and procedures used in implementing the project.
     Discuss plans for disseminating information on the 
strategies utilized and the outcomes achieved. Identify audiences who 
will benefit from

[[Page 27744]]

receiving the information and specify mechanisms and forums which will 
be used to convey the information and support replication by other 
interested agencies.
     Provide assurances and document that the project will be 
staffed and implemented within 90 days of the notification of the grant 
award.
     Describe how project will deal with non-minority 
applicants who may respond to the project.
     Provide assurance that 90 days after the project end date, 
the Grantee will submit a copy of the final report, the evaluation 
report, and any program products to the National Adoption Information 
Clearinghouse, PO Box 1182, Washington, DC 20013. This is in addition 
to the standard requirement that the final program report and 
evaluation report must also be submitted to the Grants Management 
Specialist and the Federal Project Officer.
     Provide assurances that at least one key person from the 
project will attend an annual three to five day Child Welfare 
Conference in the Washington, DC metropolitan area hosted by the 
Children's Bureau. The Conference brings together child welfare 
professionals, including Adoption Opportunities and other Children's 
Bureau discretionary program grantees, to exchange information and 
address current child welfare issues.
    Project Duration: The length of the project must not exceed 36 
months.
    Federal Share of Project Costs: The maximum Federal share of the 
project is not to exceed $150,000 per 12-month budget period.
    Matching or Cost Sharing Requirement: Grantees must provide at 
least 10 percent of the total cost of the project. The total approved 
cost of the project is the sum of the ACF share and the non-Federal 
share. Therefore, a project requesting $150,000 in Federal funds (based 
upon an award of $150,000 per budget period) must include a match of at 
least $16,667 (10 percent of the total project cost of $166,667). The 
non-Federal share may be cash or in-kind contributions, although 
applicants are encouraged to meet their match requirements through cash 
contributions.
    Anticipated Number of Projects to be Funded: It is anticipated that 
three projects will be funded.
    CFDA: 93.652 Adoption Opportunities Grants: title II of the Child 
Abuse Prevention and Treatment Adoption Reform Act of 1978 Pub. L. 95-
266, as amended.
1.03  Innovations to Increase Adoptive Placements of Minority Children
    Eligible Applicants: States, local government entities, eligible 
Indian Tribes and Indian Tribal Organizations, public or private non-
profit licensed child welfare or adoption agencies, and adoption 
exchanges with experience in working with minority populations.
    Purpose: To implement innovative programs designed to increase the 
adoptive placement of minority children who are in foster care and have 
the goal of adoption, with an emphasis on the recruitment, retention 
and utilization of minority families and adoptive placements for 
minority children who are over the age of ten and/or a part of sibling 
groups.
    Background Information: According to the Voluntary Cooperative 
Information System administered by the American Public Welfare 
Association (VCIS/APWA), in 1994 an estimated 700 children in the U.S. 
were separated from their biological parents every day and placed in an 
unfamiliar setting. VCIS also estimated the number of children with a 
permanency goal of adoption at the end of 1994 as 60,000 and this 
includes 27,000 legally free or ``waiting'' children for whom adoptive 
families are actively being sought. These are children for whom it is 
difficult to find an adoptive placement because they are not the young 
people families often seek to adopt. It is estimated that more than 40 
percent of the 27,000 children seeking an adoptive placement are 10 
years old and older, and more than 58 percent are members of a minority 
group.
    There continues to be an insufficient pool of adoptive families, 
especially for older minority children and sibling groups for whom 
adoption has been deemed the preferred means of accomplishing 
permanence. The purpose of the Adoption Opportunities Program is to 
facilitate the elimination of barriers to adoption and to provide 
permanent homes for children with special needs who are older, 
disabled, of minority heritage, or in sibling groups who should be 
placed together. In addition, the Multiethnic Placement Act (MEPA) 
passed in 1994 was, in part, designed to facilitate the identification 
and recruitment of foster and adoptive parents who can meet the needs 
of the children waiting for an adoptive family. State agencies to 
engage in diligent recruitment efforts to develop a pool of families 
that reflect the racial, ethnic or national origin of the children in 
care, and/or who can meet the needs of these children.
    Minimum Requirements for Project Design: In order to successfully 
compete under this priority area, the applicant should:
     Identify and describe existing barriers to minority 
adoption of children over 10 and children who are a part of a sibling 
group in the locale where the project would be implemented; the number 
of families who would be recruited; and the number of children over age 
10 and the number of sibling groups who would be placed.
     Describe the innovative methods that would be employed to 
recruit, retain and prepare minority families for adoption of children 
with special needs, especially older children and sibling groups, 
making sure to include individuals who are single.
     Provide assurances that the project would not require the 
payment of fees by families for the adoption process.
     If the applicant is not a child-placing agency, describe 
the relationship with the child placing agencies and document the 
contract.
     Describe how training in cultural competence would be 
provided to all relevant staff to increase their effectiveness in 
serving minority children and families.
     Present an evaluation plan for assessing the project's 
effectiveness in achieving its stated goals and objectives, and its 
ability to provide services to prospective adoptive families through 
the completion of the adoption.
     Document how the project would be continued beyond Federal 
funding as part of the agency's ongoing program and describe the 
specific steps which would be taken to accomplish this.
     If the applicant is a private non-profit adoption agency, 
it must provide evidence of licensure by submitting a copy of its 
license with the application.
     Discuss plans for disseminating information on the 
innovations utilized. Identify audiences who will benefit from 
receiving the information and specify mechanisms and forums which will 
be used to convey the information and support replication by other 
interested agencies.
     Provide assurances that at least one key person from the 
project will attend an annual three to five day Child Welfare 
Conference in the Washington, D.C. metropolitan area hosted by the 
Children's Bureau. The Conference brings together child welfare 
professionals, including Adoption Opportunities and other Children's 
Bureau discretionary program grantees, to exchange information and 
address current child welfare issues.

[[Page 27745]]

     Provide assurance that 90 days after project end date, the 
Grantee will submit a copy of the final report, the evaluation report, 
and any program products to the National Adoption Information 
Clearinghouse, P.O. Box 1182, Washington, D.C. 20013. This is in 
addition to the standard requirement that the final program report and 
evaluation report must also be submitted to the Grants Management 
Specialist and the Federal Project Officer.
     Provide assurances and document that the project will be 
staffed and implemented within 90 days of the notification of the grant 
award.
    Project Duration: The length of the project must not exceed 36 
months.
    Federal Share of Project Costs: The maximum Federal share of the 
project is not to exceed $200,000 per 12-month budget period.
    Matching or Cost Sharing Requirement: Grantees must provide at 
least 10 percent of the total cost of the project. The total approved 
cost of the project is the sum of the ACF share and the non-Federal 
share. Therefore, a project requesting $200,000 in Federal funds (based 
on an award of $200,000 per budget period) must include a match of at 
least $22,223 (10 percent of the total project cost of $222,223). The 
non-Federal share may be cash or in-kind contributions, although 
applicants are encouraged to meet their match requirements through cash 
contributions.
    Anticipated Number of Projects to be Funded: It is anticipated that 
three projects will be funded.
    CFDA: 93.652 Adoption Opportunities Grants: Title II of the Child 
Abuse Prevention and Treatment and Adoption Reform Act of 1978, Public 
Law 95-266, as amended.
1.04  Post-Legal Adoption Services
    Eligible Applicants: States, local government entities, and public 
or private nonprofit licensed child welfare or adoption agencies. Given 
limited funds, and in order to generate and financially support the 
widest possible variety of issues and approaches, priority will be 
given to applicants that have not been funded under this priority area 
in previous fiscal years. However, previously funded applicants under 
this priority area will not be precluded from receiving a grant.
    Purpose: To develop or replicate post-legal adoption projects, 
which will provide services to strengthen and preserve families who 
have adopted children with special needs. The services provided shall 
supplement, not supplant, services supported by any other funds 
available to the applicant for the same general services.
    Background Information: The Adoption Opportunities legislation, as 
amended by Public Law 100-294, authorizes funds for increased post-
legal adoption services. Recognition of special issues in adoption in 
the past decade has led adoption professionals to reconsider the 
concept that agency services to adoptive families end with the legal 
consummation of the adoption. Historically, once the adoption was 
legally consummated, the newly-formed family was to be considered the 
same as any other family. Adoption is a life-long process and service 
providers need to understand the unique interpersonal dynamics of 
adoption in order to provide effective post legal adoption services 
(those provided after the legalization of the adoption) to families 
with special needs children who seek assistance.
    Project A.S.K. (Adoption Services Knowledge): A Synthesis of Post-
Legal Adoption Projects endeavors to bring adoption professionals and 
child welfare policy makers abreast of current knowledge on post-legal 
adoption services. Approximately 70 Adoption Opportunities grants were 
reviewed in order to synthesize the knowledge gained from these efforts 
and to develop a list of resources which are available as a result of 
thse projects. A final report describing the types of activities and 
services developed through the grant projects will be available by July 
1997. This report covers services in the following categories: 
Education and support for adoptive families, training for mental health 
and other professionals, therapeutic intervention services, respite 
care, resource development and networking, and addressing the needs of 
special populations. The final report and a resource directory will be 
widely disseminated including distribution to adoption specialists in 
each state, agencies whose grants have been reviewed, the National 
Resource Center for Special Needs Adoption, and the National Adoption 
Information Clearinghouse.
    ACYF has funded over 100 programs across the country including a 
synthesis, to provide post-legal adoption services for families who 
have adopted children with special needs as well as a synthesis of 
these programs. Information on these projects can be obtained from the 
National Adoption Information Clearinghouse, PO Box 1182, Washington, 
DC 20013-1182, telephone: (703) 246-9095.
    Funds awarded under this priority area in fiscal year 1998 will 
support ongoing post-legal adoption services in communities where such 
services already exist and will support the development of such 
services in communities where they do not yet exist. Services funded 
under this priority area shall be provided to families who have adopted 
children with special needs.
    Minimum Requirements for Project Design: In order to successfully 
compete under this priority area, the applicant should:
     Propose to provide services such as individual, group and/
or family counseling; case management; training of mental health 
professionals and staff of public agencies and of private, nonprofit 
child welfare and adoption agencies licensed by the State to provide 
adoption services; and provide assistance to adoptive parents, adopted 
children and siblings of adopted children.
     Describe the models that would be developed or replicated 
and the services that would be provided.
     Describe the existing post-legal adoption services, if 
any; the need for new services; and plans for the development, 
implementation, and institutionalization of such services.
     Describe how the proposed project would build upon the 
existing literature and knowledge base related to post legal adoption 
services.
     Provide specific written commitments from collaborating or 
cooperating agencies, if any.
     Document how the program would be continued beyond Federal 
funding.
     Provide assurances that the project will be staffed and 
implemented within 90 days of the notification of the grant award.
     Provide assurance that 90 days after project end date, the 
Grantee will submit a copy of the final report, the evaluation report, 
and any program products to the National Adoption Information 
Clearinghouse, PO Box 1182, Washington, DC 20013. This is in addition 
to the standard requirement that the final program report and 
evaluation report must also be submitted to the Grants Management 
Specialist and the Federal Project Officer.
     Specify a plan to carry out an independent evaluation of 
the effectiveness of the demonstration. It is suggested that the 
applicant should identify a qualified person from a university or 
research organization who will be involved in the design of the effort 
and provide ongoing consultation to the project. This would include 
criteria for case identification, outcomes to be measured, methodology 
for data

[[Page 27746]]

collection, and determining an adequate sample size at each stage of 
the demonstration, as well as analysis of data and writing of the final 
report.
     Provide assurances that at least one key person from the 
project will attend an annual three to five day Child Welfare 
Conference in Washington, D.C. metropolitan area hosted by the 
Children's Bureau. The Conference brings together child welfare 
professionals, including Adoption Opportunities and other Children's 
Bureau discretionary program grantees, to exchange information and 
address current child welfare issues.
     If the applicant is a private non-profit adoption agency, 
it must provide evidence of licensure by submitting a copy of its 
license application.
    Project Duration: The length of the project must not exceed 36 
months.
    Federal Share of Project Costs: The maximum Federal share is not to 
exceed $200,000 per 12-month budget period.
    Matching or Cost Sharing Requirements: Grantees must provide at 
least 10 percent of the total cost of the project. The total approved 
cost of the project is the sum of the ACYF share and the non-Federal 
share. Therefore, a project requesting $200,000 in Federal funds must 
include a match of at least $22,223 (10 percent of the total project 
cost of $222,223). The non-Federal share may be cash or in-kind 
contributions, although applicants are encouraged to meet their match 
requirements through cash contributions.
    Anticipated Number of Projects to be Funded: It is anticipated that 
three projects will be funded.
    CFDA: 93.652 Adoption Opportunities Grants: Title II of the Child 
Abuse Prevention and Treatment Act of 1978, Public Law 95-266, as 
amended.
1.05  Expanding Options for Permanency
    Eligible Applicants: States, local government entities, eligible 
Indian Tribes and Indian Tribal Organizations, public or private non-
profit licensed child welfare or adoption agencies that currently serve 
children in the public welfare child system.
    Purpose: To develop a reform project that incorporates or 
strengthens the practice of one or more of the following non-
adversarial options for permanency: Voluntary relinquishment, 
concurrent planning and/or mediation.
    Background Information: The Adoption Assistance and Child Welfare 
Act of 1980, Public Law 96-272, mandates securing a safe, permanent 
home for every child. The child welfare system continues to struggle 
with meeting this goal in a timely fashion. The practice base for 
achieving permanency for children is too often based on adversarial or 
involuntary methods. The major practice is to seek involuntary 
termination of parental rights (TPR) for children for whom adoption is 
considered the best permanency plan. Involuntary termination of 
parental rights can be a lengthy and expensive process which may 
involve court appeals. The procedure can also be emotionally stressful 
for birth, foster and prospective adoptive parents and the child. 
Frequently this practice is insensitive to the need of some children to 
maintain connections with their birth families. Although necessary in 
some cases, TPR and other practices of a similar tone, have failed to 
significantly reduce the large number of children in the foster care 
system waiting to be freed for adoption, to be adopted, or for other 
permanent arrangements.
    Alternatively, the child welfare system is encouraged to focus on 
approaches that set a different tone and emphasize non-adversarial 
front-end practices and procedures and strengthen the agency's capacity 
to achieve earlier and better outcomes for children and their families. 
Expanding options for permanency which encourage cooperative processes 
and early decision making among all parties involved and will promote 
achieving child, family, and system well-being.
    The demonstration projects funded under this priority area should 
be designed to inform the field about the efficacy of these non-
adversarial approaches in achieving permanency earlier, more quickly 
and more sensitively for these children. Permanency is broadly 
conceptualized to include adoption, guardianship to a relative or non-
relative and parental consent to relative or non-relative adoption. One 
or a combination of the following approaches can be included in the 
demonstration: Mediation, concurrent planning or voluntary 
relinquishment.
    Mediation is the voluntary, non-coercive process of negotiation 
with the assistance of a neutral, impartial third party. The aim of 
mediation in child welfare and permanency is to encourage birth 
parents, extended relatives and foster and/or adoptive parents to 
cooperate in making decisions that reflect the best interest of the 
child and reinforce family responsibility.
    Concurrent Planning is the process of workers developing 
alternative permanent plans for children during their initial contact 
with the child welfare system. Concurrent planning involves enacting a 
plan for family preservation or reunification with the child's birth 
family, while simultaneously engaging in planning for alternative 
permanency placements such as adoption and kinship care for children 
where return home is unlikely.
    Relinquishment is a voluntary process of transferring parental 
rights to an authorized child welfare agency. It is often used at the 
request of the parent and can be provided at any point along the child 
welfare service continuum. In recent years it has been used by child 
welfare workers, and the professional skill associated with counseling 
parents on the issues of voluntary relinquishment have eroded.
    This priority area encourages child welfare system reform by 
incorporating and/or strengthening non-adversarial approaches into 
practice to achieve permanency for children in the child welfare 
system.
    Minimum Requirements for Project Design: In order to successfully 
compete under this priority area, the applicant should:
     Demonstrate knowledge of current issues in adoption and 
permanency for children in the public child welfare field.
     Describe the project and explain why a particular system 
reform approach or set of approaches is being selected. Demonstrate 
knowledge and understanding of the reform approach or approaches 
selected. If more than one approach is selected, describe how they are 
linked.
     Describe how the approach(es) to be used in this 
demonstration differ from current agency practice and how this 
project's reform approaches will be institutionalized.
     Describe the measurable goals and objectives of the 
project to be used to determine if the approach selected led to an 
increase in achieving permanency earlier.
     Describe the process and criteria that will be used to 
identify children and families in need of these services.
     Describe how the birth families and extended families will 
be involved in the permanency planning process.
     Provide assurances that project staff are knowledgeable of 
policies, Federal regulations, laws and cultural issues that impact on 
permanency for children.
     Provide assurances and document that the project would be 
staffed and implemented within 90 days of the notification of the grant 
award.
     Describe the training/staff development components of the 
project.
     If the project involves coordination with other agencies, 
present a plan clarifying how these agencies will work

[[Page 27747]]

with the applicant to accomplish project goals and objectives.
     Describe an evaluation plan which will focus on the reform 
approaches and which is capable of identifying the successes and 
failures of the approaches.
    The evaluation plan should be outcome oriented and include the 
collection and analysis of data to ascertain the effectiveness of the 
non-adversarial options for permanency. The evaluation should also 
include descriptive information on the processes and procedures used in 
implementing the project.
     Discuss strategies for disseminating information on the 
reform approaches utilized. Identify audiences who will benefit from 
receiving the information and specify mechanisms and forums which will 
be used to convey the information and support replication by other 
interested agencies.
     If the applicant is a non-profit private agency, it must 
provide assurance that the children to be served through this 
demonstration are public agency children.
     Provide assurance that 90 days after project end date, the 
Grantee will submit a copy of the final report, the evaluation report, 
and any program products to the National Adoption Information 
Clearinghouse, PO Box 1182, Washington, DC 20013. This is in addition 
to the standard requirement that the final program report and 
evaluation report must also be submitted to the Grants Management 
Specialist and the Federal Project Officer.
     Provide assurances that at least one key person from the 
project will attend an annual three to five day Child Welfare 
Conference in the Washington, D.C. metropolitan area hosted by the 
Children's Bureau. The Conference brings together child welfare 
professionals, including Adoption Opportunities and other Children's 
Bureau discretionary program grantees to exchange information and 
address current child welfare issues.
    Project Duration: The length of the project must not exceed 36 
months.
    Project Share of Project Costs: The maximum Federal share of the 
project is not to exceed $200,000 per 12-month budget period.
    Matching Requirement: Grantees must provide at least 10 percent of 
the total approved cost of the project. The total approved cost of the 
project is the sum of the ACF share and the non-Federal share. 
Therefore, a project requesting $200,000 in Federal funds (based upon 
an award of $200,000 per budget period) must include a match of at 
least $22,223 (10 percent of the total project cost of $222,223). The 
non-Federal share may be cash or in-kind contributions, although 
applicants are encouraged to meet their match requirements through cash 
contributions.
    Anticipated Number of Projects to be Funded: It is anticipated that 
four projects will be funded.
    CFDA: 93.652 Adoption Opportunities Grants: Title II of the Child 
Abuse Prevention and Treatment and Adoption Reform Act of 1978, Pub. L. 
95-266, as amended.
1.06  Field Initiated Applications Advancing the State-of-the-Art in 
the Adoption Field
    Eligible Applicants: State, regional or local public child welfare 
or adoption agencies and voluntary child welfare or adoption agencies 
or organizations. Voluntary agencies that apply should coordinate their 
applications with relevant public agencies.
    Purpose: To improve adoption services to children with special 
needs through activities which are not addressed elsewhere in this 
announcement. This priority area provides public and voluntary agencies 
and organizations involved in the adoption process with an opportunity 
to present innovative ideas for improving child welfare and adoption 
systems that are consistent with the President's Directive on Adoption.
    Background Information: Public child welfare workers who provide 
adoption services are often overburdened because of a shortage of staff 
and an increasing child welfare caseload. In many public agencies, the 
adoption staff are expected to provide services not only to children 
with special needs and their potential adoptive families, but also to 
families requesting independent, intercountry and other types of 
adoption services. There is also a rising need to provide post legal 
adoption services to prevent the disruption and/or dissolution of 
adoptive placements and preserve adoptive families. Furthermore, 
agencies are also faced with an increasing responsibility for search 
and reunion services. This places substantial burdens on the limited 
adoption agency resources which are needed to serve the children with 
special needs.
    President Clinton has initiated and is committed to efforts to 
increase the number of children who achieve permanency from the public 
child welfare system. In December 1996, the President issued a 
directive on adoption to bring the Federal government into a partership 
with States and communities to increase the number of children securing 
permanency goals in the public child welfare system. The Department has 
submitted a report that includes policy and programmatic proposals to 
double the number of children who achieve permanency over the next five 
years.
    At any given time, approximately 27,000 children are legally free 
for adoption. Minority children continue to languish in foster care. 
Older children and sibling groups also continue to present unique 
challenges. Other sub-populations, such as drug exposed infants and 
medically fragile infants, will be or are currently testing the 
capacity of adoption programs. Innovative efforts, such as those 
embodying the spirit of public-private partnerships, are needed to 
provide permanent adoptive homes to all waiting children.
    There are so many complex and challenging issues that face the 
public sector in providing permanent homes for children who have 
special needs. Therefore, ACYF is requesting field initiated proposals 
with a preference given to those that address areas outlined in the 
Directive in serving children with special needs for whom adoption is 
the plan. These proposals must be innovative and cannot be a 
replication of a previous project or be responsive to other priority 
areas in this announcement.
    Minimum Requirements for Project Design: In order to compete 
successfully under this priority area, the applicant should:
     Describe the agency's current adoption program and the 
specific problem(s) that would be addressed.
     Describe the approach that would be used to alleviate the 
problem(s).
     Provide specific written commitments from cooperating or 
collaborating agencies, if any.
     Provide for an evaluation of the project and include a 
discussion of the proposed evaluation design. The evaluation should 
focus on child and family outcome measures (e.g. number of families 
recruited, number of children placed, disruption rates, etc).
     Describe how the agency would incorporate successful 
results of the project into its ongoing program.
     Provide assurances that at least one person from the 
project would attend an annual three to five day Child Welfare 
Conference in Washington, DC metropolitan area hosted by the Children's 
Bureau. The Conference brings together child welfare professionals, 
including Adoption Opportunities and other Children's Bureau 
discretionary program grantees to exchange information and address 
current child welfare issues.

[[Page 27748]]

     Provide assurance that 90 days after project end date, the 
Grantee will submit a copy of the final report, the evaluation report, 
and any program products to the National Adoption Information 
Clearinghouse, PO Box 1182, Washington, DC 20013. This is in addition 
to the standard requirement that the final program report and 
evaluation report must also be submitted to the Grants Management 
Specialist and the Federal Project Officer.
     Provide assurances that the project would be staffed and 
implemented within 90 days of the notification of the grant award.
     Describe the reports and/or other products that would be 
developed under the project, including the types of information that 
would be presented and the steps that would be undertaken to 
disseminate and promote the utilization of project products and 
findings.
    Project Duration: The length of the project must not exceed 36 
months.
    Federal Share of Project Costs: The maximum Federal share of the 
project is not to exceed $200,000 per 12-month budget period.
    Matching or Cost Sharing Requirements: Grantees must provide at 
least 10 percent of the total cost of the project. The total approved 
cost of the project is the sum of the ACYF share and the non-Federal 
share. Therefore, a project requesting $200,000 in Federal funds (based 
upon an award of $200,000 per budget period) must include a match of at 
least $22,223 (10 percent of the total project cost of $222,223). The 
non-Federal share may be cash or in-kind contributions, although 
applicants are encouraged to meet their match requirements through cash 
contributions.
    Anticipated Number of Projects to be Funded: It is anticipated that 
six projects will be funded.
    CDFA: 93.652 Adoption Opportunities Grants: Title II of the Child 
Abuse Prevention and Treatment Act of 1978, Pub. L. 95-266, as amended.
1.07  Kinship Care Adoption
    Eligible Applicants: Public child welfare agencies in cooperation 
with private foster care and adoption agencies and/or university and 
social service organizations in cooperation with public and private 
foster care and adoption agencies.
    Purpose: To increase the adoption of children in relative foster 
care and to remove the barriers to such adoptions within the child 
welfare system.
    Background Information: Relative foster care, also called kinship 
foster care, has become increasingly common. Although we are learning 
more about these types of placements, information about these 
placements is sparse. There is general agreement that children placed 
with relatives are not returned to their parents or placed in permanent 
homes as quickly as children in non-relative homes. Some argue that 
relative placements are more stable than non-related placements. In 
addition to the limited use of adoption for relatives, agencies are 
concerned about the appropriate level of supervision, the appropriate 
certification standards for the relative's home, the permanency goals 
for the children, and the disparity between cash assistance support 
payments available to relatives and those allowed under foster care and 
adoption assistance.
    Minimum Requirements for Project Design: In order to compete 
successfully under this priority area, the applicant should:
     Demonstrate access to an adequate number of children (more 
than 100) who have already been placed with relatives for more than one 
year.
     Provide letters of commitment in the application from both 
foster care and adoption agencies or divisions of these agencies 
indicating that they would actively participate in the review of cases 
and assist in the development of criteria for the selection of 
demonstration cases.
     Specify a plan for the review of cases and the criteria 
that would be employed in determining the appropriateness of moving to 
adoption, including the requirement that children selected must be 
those for whom reunification with birth parents is not possible.
     Propose to develop and test effective methods for moving 
the case toward an alternative permanent goal, e.g. adoption by 
relatives currently acting as foster parents; adoption within the 
kinship group, that is, by other appropriate family members; non-
federally subsidized legal guardianship to a relative; or adoption by 
non-relatives.
     Identify existing barriers within the system which prevent 
or inhibit the increase of adoptions, or other permanent arrangements 
as specified above. Barriers may include, but are not limited to, 
agency and court practices; regulations and policies at the State and 
Federal level; lack of appropriate knowledge concerning the orientation 
of relatives to the values of legal adoption; and attitudes, beliefs 
and values of agency staff, as well as the values, economic status and 
other circumstances of relatives which may inhibit or delay the 
movemnent of children into permanent adoptive homes or other permanent 
arrangements.
     Specify a plan to carry out an independent evaluation of 
the effectiveness of the demonstration. It is suggested that the 
applicant should identify a qualified person who will provide ongoing 
consultation to the project. The evaluation plan should be outcome 
oriented and include the collection of and analysis of data to 
ascertain the barriers to relative adoptions.
     Provide assurances that at least one key person from the 
project will attend an annual three to five day Child Welfare 
Conference in the Washington, DC metropolitan area hosted by the 
Children's Bureau. The Conference brings together child welfare 
professionals, including Adoption Opportunities and other Children's 
Bureau discretionary program grantees to exchange information and 
address current child welfare issues.
     Describe the reports and/or other products that would be 
developed under the project, including the types of information that 
would be presented and the steps that would be undertaken to 
disseminate and promote the utilization of project products and 
findings.
     Provide assurance that 90 days after project end date, the 
Grantee will submit a copy of the final report, the evaluation report, 
and any program products to the National Adoption Information 
Clearinghouse, PO Box 1182, Washington, DC 20013. This is in addition 
to the standard requirement that the final program report and 
evaluation report must also be submitted to the Grants Management 
Specialist and the Federal Project Officer.
     Provide assurances that the project would be staffed and 
implemented within 90 days of the notification of the grant award.
    Project Duration: The length of the project must not exceed 36 
months.
    Federal Share of Project Costs: The maximum Federal share of the 
project is not to exceed $200,000 per 12-month budget period.
    Matching or Cost Sharing Requirements: Grantees must provide at 
least 10 percent of the total cost of the project. The total approved 
cost of the project is the sum of the ACF share and the non-Federal 
share. Therefore, a project requesting $200,000 in Federal funds (based 
on an award of $200,000 per budget period) must include a

[[Page 27749]]

match of at least $22,223 (10 percent of the total project cost of 
$222,223). The non-Federal share may be cash or in-kind contributions, 
although applicants are encouraged to meet their match requirements 
through cash contributions.
    Anticipated Number of Projects to be Funded: It is anticipated that 
four projects will be funded.
    CFDA: 93.652 Adoption Opportunities Grants: Title II of the Child 
Abuse Prevention and Treatment and Adoption Reform Act of 1978, Pub. L. 
95-266, as amended.

Part III. Instructions for the Development and Submission of 
Applications

    This part contains information and instructions for submitting 
applications in response to this announcement. Application forms are 
provided, along with a checklist, for assembling an application 
package. Please copy and use these forms in submitting an application.
    Potential applicants should read this section carefully in 
conjunction with the information contained within the specific priority 
area under which the application is to be submitted. The priority area 
descriptions are in Part II.

A. Paperwork Reduction Act of 1995

    Under the Paperwork Reduction Act of 1995 (Pub. L. 104-13), the 
Department is required to submit to 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. 
An agency may not conduct or sponsor, and a person is not required to 
respond to, a collection of information unless it displays a currently 
valid OMB control number.

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 the Office of Management and Budget 
under Control Number 0348-0043). A copy has been provided. 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 the Office of Management and Budget under control number 0348-0040). 
Applicants must sign and return the Standard Form 424B with their 
application. Applicants must provide a certification regarding lobbying 
(approved by the Office of Management and Budget 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 the Office of Management and Budget 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.
    Applicants 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 
included within Public Law 103-227, Part C Environmental Tobacco Smoke 
(also known as the Pro-Children's Act of 1994). A copy of the Federal 
Register notice which implements the smoking prohibition is included 
with the forms. By signing and submitting the application, applicants 
are providing the certification and need not mail back the 
certification with the application.
    All applicants for research projects must provide a Protection of 
Human Subjects Assurance as specified in Appendix A. If there is a 
question regarding the applicability of this assurance, contact the 
Office of Protection from Research Risks of the National Institutes of 
Health at (301) 496-7041. Those applying for or currently conducting 
research projects are further advised of the availability of a 
Certificate of Confidentiality through the National Institute of Mental 
Health of the Department of Health and Human Services. To obtain more 
information and to apply for a Certificate of Confidentiality, contact 
the Division of Extramural Activities of the National Institute of 
Mental Health at (301) 443-4673.

C. Required Notification of the State Single Point of Contact

    The Adoption Opportunities Program is not covered under Executive 
Order 12372, Intergovernmental Review of Federal Programs. Therefore, 
notification of the State Single Point of Contact is unnecessary.

D. Deadline for Submission of Applications

    The closing time and date for the receipt of applications under 
this announcement is 4:30 p.m. (Eastern Time Zone) on August 19, 1997. 
Applications received after 4:30 p.m. will be classified as late.
    Deadline: Mailed applications shall be considered as meeting an 
announced deadline if they are received on or before the deadline time 
and date at the U.S. Department of Health and Human Services, 
Administration for Children and Families, Division of Discretionary 
Grants, 370 L'Enfant Promenade SW, Mail Stop 6C-462, Washington, DC 
20447 (Reference Announcement Number and Priority Area). 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 
Federal Holidays). 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 faxed to ACF 
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.

[[Page 27750]]

However, if the granting agency 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

    Applicants are required to use the Standard Forms, Certifications, 
Disclosures and Assurances provided under Appendix A.
    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--Preprinted on the form.
    Item 2. Date Submitted and Applicant Identifier--Date application 
is submitted to ACYF and applicant's own internal control number, if 
applicable.
    Item 3. Date Received By State--State use only (if applicable).
    Item 4. Date Received by Federal Agency--Leave blank.
    Item 5. Applicant Information Legal Name--Enter the legal name of 
the applicant organization. For applications developed jointly, enter 
the name of the lead organization only. There must be a single 
applicant for each application.
    Organizational Unit--Enter the name of the primary unit within the 
applicant organization which will actually carry out the project 
activity. Do not use the name of an individual as the applicant. If 
this is the same as the applicant organization, leave the 
organizational unit blank.
    Address--Enter the complete address that the organization actually 
uses to receive mail, since this is the address to which all 
correspondence will be sent. Do not include both street address and 
P.O. box number unless both must be used in mailing.
    Name and telephone number of the person to be contacted on matters 
involving this application (give area code)--Enter the full name 
(including academic degree, if applicable) and telephone number of a 
person who can respond to questions about the application. This person 
should be accessible at the address given here and will receive all 
correspondence regarding the application.
    Item 6. Employer Identification Number (EIN)--Enter the employer 
identification number of the applicant organization, only provide the 
prefix and suffix assigned by the DHHS Central Registry System.
    Item 7. Type of Applicant--Self-explanatory.
    Item 8. Type of Application--Preprinted on the form.
    Item 9. Name of Federal Agency--Preprinted on the form.
    Item 10. Catalog of Federal Domestic Assistance Number and Title--
Enter the Catalog of Federal Domestic Assistance (CFDA) number assigned 
to the program under which assistance is requested and its title, as 
indicated in the relevant priority area description.
    Item 11. Descriptive Title of Applicant's Project--Enter the 
project title. The title is generally short and is descriptive of the 
project, not the priority area title. Place the priority area number in 
parenthesis after the main program title.
    Item 12. Areas Affected by Project--Enter the governmental unit 
where significant and meaningful impact could be observed. List only 
the largest unit or units affected, such as State, county, or city. If 
an entire unit is affected, list it rather than subunits.
    Item 13. Proposed Project--Enter the desired start date for the 
project and projected completion date.
    Item 14. Congressional District of Applicant/Project--Enter the 
number of the Congressional District where the applicant's principal 
office is located and the number of the Congressional district(s) where 
the project will be located. If statewide, a multi-State effort, or 
nationwide, enter 00.
    Items 15. Estimated Funding Levels: In completing 15a through 15f, 
the dollar amounts entered should reflect, for a 12 month budget 
period, the total amount requested. If the proposed project period 
exceeds 17 months, enter only those dollar amounts needed for the first 
12 months of the proposed project.
    Item 15a. Enter the amount of ACF funds requested in accordance 
with the preceding paragraph. This amount should be no greater than the 
maximum amount specified in the priority area description.
    Item 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.
    Items 15f. Enter the estimated amount of income, if any, expected 
to be generated from the proposed project. Do not add or subtract this 
amount from the total project amount entered under item 15g. Describe 
the nature, source and anticipated use of this income in the Project 
Narrative Statement.
    Item 15g. Enter the sum of items 15a-15e.
    Item 16a. Is Application Subject to Review By State Executive Order 
12372 Process? This item does not apply to this Announcement and no 
entry is to be made in this box.
    Item 16b. Is Application Subject to Review By State Executive Order 
12372 process? No.--Place a check in this box.
    Item 17. Is the Applicant Delinquent on any Federal Debt?-- Check 
the appropriate box. This question applies to the applicant 
organization, not the person who signs as the authorized 
representative. Categories of debt include audit disallowances, loans 
and taxes.
    Item 18. To the best of my knowledge and belief, all data in this 
application/preapplication are true and correct. The document has been 
duly authorized by the governing body of the applicant and the 
applicant will comply with the attached assurances if the assistance is 
awarded.--To be signed by the authorized representative of the 
applicant. A copy of the governing body's authorization for signature 
of this application by this individual as the official representative 
must be on file in the applicant's office, and may be requested from 
the applicant.
    Item 18a-c. Typed Name of Authorized Representative, Title, 
Telephone Number--Enter the name, title and telephone number of the 
authorized representative of the applicant organization.
    Item 18d. Signature of Authorized Representative--Signature of the 
authorized representative named in Item 18a. At least one copy of the 
application must have an original signature. Use colored ink (not 
black) so that the original signature is easily identified.
    Item 18e. Date Signed--Enter the date the application was signed by 
the authorized representative.
    2. SF 424A--Budget Information--Non-Construction Programs. This is 
a form used by many Federal agencies. For this application, Sections A, 
B, C, E

[[Page 27751]]

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 and 
non-Federal) by object class category.
    A separate itemized budget justification for each line item is 
required. The types of information to be included in the justification 
are indicated under each category. For multiple year projects, it is 
desirable to provide this information for each year of the project.
    Applicants should refer to the Budget and Budget Justification 
information in the Program Narrative section 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 principal investigator or project 
director, if known. Specify by title or name the percentage of time 
allocated to the project, the individual annual salaries, and the cost 
to the project (both Federal and non-Federal) of the organization's 
staff who will be working on the project.
    Fringe Benefits--Line 6b. Enter the total cost of fringe benefits, 
unless treated as part of an approved indirect cost rate.
    Justification: Provide a break-down of amounts and percentages that 
comprise fringe benefit costs, such as health insurance, FICA, 
retirement insurance, etc.
    Travel--6c. Enter total costs of out-of-town travel (travel 
requiring per diem) for staff of the project. Do not enter costs for 
consultant's travel or local transportation, which should be included 
on Line 6h, Other.
    Justification: Include the name(s) of traveler(s), total number of 
trips, destinations, length of stay, transportation costs and 
subsistence allowances.
    Equipment--Line 6d. Enter the total costs of all equipment to be 
acquired by the project. Equipment means an article as non-expendable, 
tangible personal property having a useful life of more than one year 
and an acquisition cost which equals or exceeds the lesser of (a) the 
capitalization level established by the organization for the financial 
statement purposes, or (b) $5,000.
    Justification: Equipment to be purchased with Federal funds must be 
justified. The equipment must be required to conduct the project, and 
the applicant organization or its subgrantees must not have the 
equipment or a reasonable facsimile available to the project. The 
justification also must contain plans for future use or disposal of the 
equipment after the project ends.
    Supplies--Line 6e. Enter the total costs of all tangible expendable 
personal property (supplies) other than those included on Line 6d.
    Justification: Specify general categories of supplies and their 
costs.
    Contractual--Line 6f. Enter the total costs of all contracts, 
including (1) Procurement contracts (except those which belong on other 
lines such as equipment, supplies, etc.) and (2) contracts with 
secondary recipient organizations, including delegate agencies. Also 
include any contracts with organizations for the provision of technical 
assistance. Do not include payments to individuals on this line. If the 
name of the contractor, scope of work, and estimated total costs are 
not available or have not been negotiated, include on Line 6h, other.
    Justification: Attach a list of contractors, indicating the names 
of the organizations, the purposes of the contracts, and the estimated 
dollar amounts of the awards as part of the budget justification. 
Whenever the applicant/grantee intends to delegate part or all of the 
program to another agency, the applicant/grantee must complete this 
section (Section B, Budget Categories) for each delegate agency by 
agency title, along with the supporting information. The total cost of 
all such agencies will be part of the amount shown on Line 6f. Provide 
backup documentation identifying the name of contractor, purpose of 
contract, and major cost elements. Applicants who anticipate 
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, 
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 lines 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 defined in 45 CFR, part 74 and 45 CFR part 92.

[[Page 27752]]

    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 12 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) would be 
used in the case of a 48 month project period. Column (e) would not 
apply.
    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 
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:
    (a) Objective and Need for Assistance;
    (b) Results and Benefits Expected;
    (c) Approach; and
    (d) Staff Background and Organization's 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 
``Objective 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 page 
limit will not be reproduced and distributed to reviewers. Applicants 
should understand that the first 60 pages of the application will be 
reviewed. 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, under the Project Description.
    A.2. Objectives and Need for Assistance--This information is 
addressed under the Objective 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 under 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 
Objective 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 to three pages) 
background description of how the applicant organization (or the unit 
within the organization that will have responsibility for the project) 
is organized, the types and quantity of services it provides, and/or 
the research and management capabilities it possesses. This description 
should cover capabilities not included in the Program Narrative 
Statement. It may include descriptions of any current or previous 
relevant experience, or describe the competence of the project team and 
its demonstrated ability to produce a final product that is readily 
comprehensible and usable. An organization chart showing the 
relationship of the project to the current organization should be 
included.
    6. Part IV--Assurances/Certifications. Applicants are required to 
file an SF 424B, Assurances--Non-Construction Programs and the 
Certification Regarding Lobbying. Both must be signed and returned with 
the application. In addition, applicants must certify their compliance 
with: (1) Drug-Free Workplace Requirements; (2) Debarment and Other 
Responsibilities; and (3) Pro-Children Act of 1994. Copies of the 
assurances/certifications are reprinted in Appendix A 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

[[Page 27753]]

Workplace Requirements, Debarment and Other Responsibilities and the 
Pro-Children Act. A signature on the application constitutes an 
assurance that the applicant will comply with the pertinent 
Departmental regulations contained in 45 CFR part 74 or part 92.

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 complete 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. A complete application 
consists of the following items in order:
--Application for Federal Assistance (SF 424, REV 4-92);
--Budget Information-Non-Construction Programs (SF 424A, REV 4-88);
--Budget justification for Section B-Budget Categories;
--Table of Contents
--Letter from the Internal Revenue Service to prove non-profit status, 
if necessary;
--Copy of the applicant's approved indirect cost rate agreement, if 
appropriate;
--Project summary description and listing of key words;
--Program Narrative Statement (See Part III, Section C);
--Organizational capability statement, including an organization chart;
--Any appendices/attachments;
--Assurances-Non-Construction Programs (Standard Form 424B,); and
--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. Applicants are advised that 
the copies of the application submitted, not the original, will be 
reproduced by the Federal government for review.
    Do not include a self-addressed, stamped acknowledgment card. All 
applicants will be notified automatically about the receipt of their 
application. If acknowledgment of receipt of your application is not 
received within eight weeks after the deadlines date, please notify the 
ACYF Operations Center by telephone at 1-800-351-2293.

    Dated: May 1, 1997.
James A. Harrell,
Acting Commissioner, Administration on Children, Youth and Families.

BILLING CODE 4184-01-P

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BILLING CODE 4184-01-C

[[Page 27755]]

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 (0348-0043), 
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.
    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,) and 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-P

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BILLING CODE 4184-01-C

[[Page 27758]]

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

Section A. Budget Summary Lines 1-4, Columns (a) and (b)

    For applications pertaining to a single Federal grant program 
(Federal Domestic Assistance Catalog number) and not requiring a 
functional or activity breakdown, enter on Line 1 under Column (a) 
the catalog program title and the catalog number in Column (b).
    For applications pertaining to a single program requiring budget 
amounts by multiple function or activities, enter the name of each 
activity or function on each line in Column (a), and enter the 
catalog number in Column (b). For applications pertaining to 
multiple programs where none of the programs require a breakdown by 
function or activity, enter the catalog program title on each line 
in Column (a) and the respective catalog number 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.
    Line 6a-i--Show the totals of Lines 6a to 6h in each column.
    Line 6j--Show the amount of indirect cost.
    Line 6k--Enter the total of amounts on Lines 6i and 6j. For all 
applications for new grants and continuation grants the total amount 
in column (5), Line 6k, should be the same as the total amount shown 
in Section A, Column (g), Line 5. For supplemental grants and 
changes to grants, the total amount of the increase or decrease as 
shown in Columns (1)-(4), Line 6k, should be the same as the sum of 
the amounts in Section A, Columns (e) and (f) on Line 5.
    Line 7--Enter the estimated amount of income, if any, expected 
to be generated from this project. Do not add or subtract this 
amount from the total project amount. Show under the program 
narrative statement the nature and source of income. The estimated 
amount of program income may be considered by the federal grantor 
agency in determining the total amount of the grant.

Section C. Non-Federal Resources

    Lines 8-11--Enter amounts of non-Federal resources that will be 
used on the grant. If in-kind contributions are included, provide a 
brief explanation on a separate sheet.
    Column (a)--Enter the program titles identical to Column (a), 
Section A. A breakdown by function or activity is not necessary.
    Column (b)--Enter the contribution to be made by the applicant.
    Column (c)--Enter the amount of the State's cash and in-kind 
contribution if the applicant is not a State or State agency. 
Applicants which are a State or State agencies should leave this 
column blank.
    Column (d)--Enter the amount of cash and in-kind contributions 
to be made from all other sources.
    Column (e)--Enter totals 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 minutes per response, including time for 
reviewing instructions, searching existing data sources, gathering 
and maintaining the data needed, and completing and reviewing

[[Page 27759]]

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 
United States, and if appropriate, the State, through any authorized 
representative, access to and the right to examine all records, 
books, papers, or documents related to the award; and will establish 
a proper accounting system in accordance with generally accepted 
accounting standards or agency directives.
    3. Will establish safeguards to prohibit employees from using 
their positions for a purpose that constitutes or presents the 
appearance of personal or organizational conflict of interest, or 
personal gain.
    4. Will initiate and complete the work within the applicable 
time frame after receipt of approval of the awarding agency.
    5. Will comply with the Intergovernmental Personnel Act of 1970 
(42 U.S.C. Secs. 4728-4763) relating to prescribed standards for 
merit systems for programs funded under one of the nineteen statutes 
or regulations specified in Appendix A of OPM's Standards for a 
Merit System of Personnel Administration (5 C.F.R. 900, Subpart F).
    6. Will comply with all Federal statutes relating to 
nondiscrimination. These include but are not limited to: (a) Title 
VI of the Civil Rights Act of 1964 (P.L. 88-352) which prohibits 
discrimination on the basis of race, color or national origin; (b) 
Title IX of the Education Amendments of 1972, as amended (20 U.S.C. 
Secs. 1681-1683, and 1685-1686), which prohibits discrimination on 
the basis of sex; (c) Section 504 of the Rehabilitation Act of 1973, 
as amended (29 U.S.C. Sec. 794), which prohibits discrimination on 
the basis of handicaps; (d) the Age Discrimination Act of 1975, as 
amended (42 U.S.C. 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 statute(s) which may 
apply to the application.
    7. Will comply, or has already complied, with the requirements 
of Titles II and III of the Uniform Relocation Assistance and Real 
Property Acquisition Policies Act of 1970 (P.L. 91-646) which 
provide for fair and equitable treatment of persons displaced or 
whose property is acquired as a result of Federal or federally 
assisted programs. These requirements apply to all interests in real 
property acquired for project purposes regardless of Federal 
participation in purchases.
    8. Will comply, 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. Sec. 276c and 18 U.S.C. Sec. 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 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

[[Page 27760]]

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 on 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, 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 required 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 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

[[Page 27761]]

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. Costs 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 costs of consultant 
travel).
    Justification: 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) 
$5,000.
    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.
    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 costs 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.

[[Page 27762]]

    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).
    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 STATE AGENCY-WIDE certifications, and for notification of 
criminal drug convictions. For the Department of Health and Human 
Services, the central pint 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, 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 workplace 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. Grantees' attention is called, in particular, to 
the following definitions form 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 
cotendere) or imposition of sentence, or both, by any judicial body 
charged with the responsibility to determine violation of the 
Federal or State criminal drug statutes;
    Criminal drug statute means a Federal or non-Federal criminal 
statute involving the manufacture, distribution, dispensing, sue, 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 I. (Grantees Other 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 on ongoing drug-free awareness program to 
inform employees about--
    (1) The dangers of drug abuse in the workplace:
    (20 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.

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 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

[[Page 27763]]

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 
solicitations 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 transactions, 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.
* * * * *

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.

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 of 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 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 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 may 
terminate this transaction for cause or 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,

[[Page 27764]]

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 indicated 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.

BILLING CODE 4284-01-P

[[Page 27765]]

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[[Page 27766]]


BILLING CODE 4184-01-C

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--LL, 
``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 $100,00 for each such failure.

----------------------------------------------------------------------
Signature

----------------------------------------------------------------------
Title

----------------------------------------------------------------------
Organization

----------------------------------------------------------------------
Date

BILLING CODE 4184-01-P

[[Page 27767]]

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BILLING CODE 4184-01-C

[[Page 27768]]

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 $1,000 
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.

[FR Doc. 97-13092 Filed 5-20-97; 8:45 am]
BILLING CODE 4184-01-P