[Federal Register Volume 62, Number 125 (Monday, June 30, 1997)]
[Notices]
[Pages 35181-35212]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-16935]


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

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Administration For Children and Families
[Program Announcement No. NCCAN/CB 97-10]


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

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

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

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

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

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

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

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

INTENT TO APPLY: If you are going to submit an application, call 1-800-
351-

[[Page 35182]]

 2293 within two weeks of the receipt of this announcement and give 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. If you prefer, you may send a 
postcard with the information to: attention--Nainan Thomas, National 
Center on Child Abuse and Neglect, Administration on Children, Youth 
and Families, P.O. Box 1182, Washington, D.C. 20013. This information 
will be used to determine the number of expert reviewers needed and to 
update the mailing list for future program announcements.

SUPPLEMENTARY INFORMATION: This program announcement consists of three 
parts. Part I provides general information on the National Center on 
Child Abuse and Neglect. Part II describes the review process and 
priority areas. Part III provides information and instructions for the 
development and submission of applications.
    Application forms are included in Appendix A--ACF Uniform 
Discretionary Grant Application Form (ACF/UDGAF). Please copy as 
single-sided forms and use in submitting an application under this 
announcement. No additional application forms are needed.
    Grants to be awarded under this program announcement are subject to 
the availability of funds.

Outline of Announcement

Part I: General Information
    A. Background
    B. Statutory Authority Covered Under This Announcement
Part II: The Review Process and Priority Areas
    A. Eligible Applicants
    B. Review Process and Funding Decisions
    C. Evaluation Criteria
    D. Structure of Priority Area Descriptions
    E. Available Funds
    F. Summary of Public Comments
    G. Priority Area Descriptions and Requirements
Part III: 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 Under Appendix A--
ACF Uniform Discretionary Grant Application Form (ACF/UDGAF).
    1. SF424, page 1, Application Cover Sheet
    2. SF424A, Budget Information-Non-Construction Programs
    3. Project Summary Description
    4. Program Narrative Statement
    5. Organizational Capability Statement
    6. Assurances/Certifications
    F. Checklist for a Complete Application
    G. The Application Package

Part I. General Information:

A. Background

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

B. Statutory Authority Covered Under This Announcement

    NCCAN solicits applications under the authority of the Child Abuse 
Prevention and Treatment Act (CAPTA), as amended in 1996 (42 U.S.C. 
5101 et seq.). Through the amendments of 1996, CAPTA is now 
reauthorized through September 30, 2001 (P.L. 104-235).
    Funds were appropriated under the 1997 Appropriations Act (P. L. 
104-208) through September 1997 (CFDA: 93.670).

Part II. The Review Process and Priority Areas

A. Eligible Applicants

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

B. Review Process and Funding Decisions

    Before review, each application is screened to determine whether 
the applicant organization is eligible. Applications from ineligible 
organizations will not be reviewed in the competition, and the 
applicants will be so informed. Applicants omitting essential 
components of the application

[[Page 35183]]

or failing to comply with the format specifications described in Part 
III will have their applications withdrawn from further consideration.
    Timely and complete applications from eligible applicants will be 
reviewed and scored competitively. Experts in the field (generally 
persons outside the Federal government) will use the evaluation 
criteria listed later in this section to review and score the 
applications. The result of this review is a primary factor in funding 
decisions.
    NCCAN and ACYF reserve the option to discuss applications with, or 
refer them to, other Federal or non-Federal funding sources when this 
is in the best interest of the Federal government or the applicants. 
ACYF may also solicit comments from ACF Regional Office staff, other 
Federal agencies, interested foundations, national organizations, 
specialists, experts, States and the general public. These comments, 
along with those of the expert reviewers, will be considered by ACYF in 
making funding decisions.
    In making award decisions, ACYF may give preference to applications 
that focus on: substantially innovative research strategies with the 
potential to improve theory or practice in child welfare and child 
protective services; implications for model practice or set of 
procedures that holds the potential for use by organizations that 
administer or deliver child welfare and/or child protective services; 
substantial involvement of volunteers, where appropriate; substantial 
involvement (either financial or programmatic) of the private sector; 
the potential for high benefit from low Federal investment; and/or 
substantial involvement by national or community foundations.
    To the greatest extent possible, funding decisions will reflect an 
equitable distribution of assistance among the States and geographical 
regions of the country, rural and urban areas, and ethnic populations. 
In deciding, ACYF may also take into account the need to avoid 
unnecessary duplication of effort.

C. Evaluation Criteria

    A panel of at least three reviewers (primarily experts from outside 
the Federal government) will review each application. To facilitate 
this review, applicants should address every requirement in 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 verbal 
and written comments, and assign numerical scores to each application. 
The point value following each criterion heading is the maximum score 
for that criterion.
    All research project applications will be evaluated against the 
following criteria:
(a) Objectives (5 points)
    The application pinpoints the research problem addressed; concisely 
states the specific objectives of the study; and states the question(s) 
to be answered or hypothesis(es) to be tested.
(b) Background and Significance (19 points)
    The application references theory or craft knowledge supporting the 
study, provides a thoughtful discussion about the current state of 
knowledge related to the research problem addressed by presenting a 
review of the relevant literature, including any pilot tests, in order 
to establish the need for the study as a replication to validate 
existing knowledge or a new study to fill a knowledge gap. Applicants 
also must indicate how the proposed study findings are expected to 
significantly inform policy, improve practice, and/or advance the 
science of child abuse and neglect research. Bibliographic references 
for all citations should be included.
(c) Methodology (51 points)
    The application precisely defines the terms and variables used in 
the study; identifies data sources, data collection processes and 
instruments, including the instruments' reliability and validity with 
the population proposed; and describes the data analysis plan. If the 
study proposes secondary analysis of existing data, the application 
describes access to the chosen data set, familiarity with the original 
study design, measures, reports, data file structures, variables, 
codes, and the strengths and limitations of the data.
    The application describes the characteristics of the target 
population and the rationale, strengths, and potential limitations for 
interpretations of findings due to the gender and ethnic composition of 
the proposed study sample; depicts recruitment and retention 
procedures; provides realistic estimates of attrition, and discusses 
appropriate procedures for handling attrition or interpreting the 
findings of the study in light of attrition. (This requirement is not 
applicable to priority area 2.04.)
    The proposed methodology protects human subjects; reflects 
sensitivity to ethical issues that may arise; provides for reporting 
suspected abuse and/or neglect in accordance with applicable laws and 
regulations; and describes procedures for soliciting approval from an 
institutional review board (IRB), if applicable, and protecting the 
integrity and confidentiality of data.
    The applicant(s) commits to using data processing and documentation 
practices in accordance with the needs of the National Data Archive on 
Child Abuse and Neglect and to providing study data to the Archive 
within two years of the termination of Federal funding for the project, 
as applicable. A manual describing such practices, The Preparation of 
Data Sets for Analysis and Dissemination: Technical Standards for 
Machine-Readable Data, can be obtained free of cost from the National 
Data Archive on Child Abuse and Neglect located at Cornell University, 
Family Life Development Center, G20 MVR Hall, Ithaca, New York 14853-
4401, 607-255-7794. Applicants must confirm that the final report will 
be prepared in the suggested format to ensure its readiness for 
dissemination by NCCAN and ACYF, if desired. (This requirement is not 
applicable to priority area 2.04).
    The application provides a workable plan of action; details a 
reasonable time-line and target dates; includes an adequate staffing 
plan, listing key and support staff, consultants, agency, organization, 
other key group, and/or advisory panels involved or proposed; and, if 
applicable, describes the responsibilities, activities, and/or training 
plans for each. The application explicitly identifies the role of its 
author(s) in relation to the work plan and administrative structure.
    The application proposes reasonable and appropriate project costs 
and allocates sufficient funds across component areas. This information 
also must be included in the budget narrative.
(d) Staff Background and Organizational Experience (25 points)
    The application describes the qualifications of the key staff and 
consultants alluded to in the methods section (a curriculum vitae for 
each key staff person must be included with the application); the 
geographic accessibility of the personnel proposed; and access to 
special personnel resources to be tapped, if required.
    The application describes the adequacy of the available facilities 
and organizational experience to perform the pertinent tasks of the 
proposed project effectively and efficiently. Organizational capability 
statements included with applications should be no longer than two 
pages. If collaboration is proposed, its nature and extent must

[[Page 35184]]

be described in detail and supported by letters of commitment.
    The application describes the relationship between this project and 
any other Federally financed work planned, anticipated, or underway by 
the applicant.

D. Structure of Priority Area Descriptions

    Each priority area description is composed of the following 
sections:
    Eligible Applicants: This section specifies the type of 
organizations eligible to apply under the particular priority area, 
noting specific restrictions where applicable.
    Purpose: This section presents focus and/or broad goal(s) of the 
priority area.
    Background Information: This section briefly discusses the 
legislative background and the current state-of-the-art and/or current 
state-of-practice supporting the need for the priority area activity. 
Relevant information on projects previously funded by ACYF and/or 
others are noted.
    Minimum Requirements for Project Design: This section presents the 
minimum requirements which must be addressed in response to the 
evaluation criteria. These requirements relate to the objectives, 
background and significance, methodology, staff background and 
organizational experience. Reviewers will expect the details under 
these headings to correspond to the evaluation criteria.
    Project Duration: This section specifies the maximum allowable 
project period; it refers to the amount of time for which Federal 
funding is available.
    Federal Share of Project Cost: This section specifies the maximum 
amount of Federal support for the first budget year.
    Matching Requirement: This section specifies the minimum non-
Federal contribution, either cash or in-kind match, required for the 
project. There is no matching requirement for research projects.
    Anticipated Number of Projects To Be Funded: This section specifies 
the number of projects ACYF anticipates funding under the priority 
area.
    Non-responsiveness to the section ``Minimum Requirements for the 
Project Design'' is likely to result in a low evaluation score by the 
reviewers. Experience has shown that an application which is broader 
and more general in concept than the priority area description 
invariably scores lower than a more clearly focused and directly 
responsive application.

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. Approximately two million dollars 
($2,000,000) are expected to be available for this program 
announcement. The size of the awards will vary from priority area to 
priority area.
    Each priority area description specifies the maximum Federal share 
of the project costs and the anticipated number of projects to be 
funded.
    ``Budget period'' is the interval of time (usually 12 months) into 
which a multi-year period of assistance (project period) is divided for 
budgetary and funding purposes. ``Project period'' is the total time a 
project is approved for support, including any extensions. Where 
appropriate, applicants may propose project periods shorter than the 
specified maximums.
    For multi-year projects, continued Federal funding beyond the first 
budget period depends upon satisfactory performance, availability of 
funds from future appropriations, and a determination that continued 
funding is in the best interest of the Government.

F. Summary of Public Comments

    On February 12, 1997, the National Center on Child Abuse and 
Neglect (NCCAN) published its proposed research priority areas for 
1997-2001 in the Federal Register (Volume 62, Number 29, pages 6546-
6549.) The notice requested comments from the public on the research 
priority areas by no later than April 14, 1997.
    NCCAN received 99 written responses from a variety of sources, 
including the following: The American Bar Association (ABA) Center on 
Child and the Law; State and county departments of social welfare and 
human services; city and county health departments; child protective 
service agencies; a newsletter for abuse survivors and their 
supporters; family violence projects; State protection and advocacy 
systems; community agencies for children and families; national, State 
and local associations and non-profit organizations; universities; 
hospitals; health care corporations; children's medical centers; mental 
health services agencies; agencies serving children with disabilities; 
and national resource centers.
    The largest number of written responses (30) came from university 
representatives. The next largest number of responses (16) were from 
hospitals, health care corporations, children's medical centers and 
non-profit organizations. Counties, States, individuals and for-profit 
organizations accounted for the remainder (53) of comments.
Legislative Topics
    Eight letters commented on the proposed research topic of mandated 
reporting. Some commenters suggested that research on the nature of 
adequate training for mandated reporters would be helpful, while one 
respondent noted that the need is not for training. Others suggested a 
study of the impact of mandated reporting on domestic violence or on 
provider behavior, while another wondered whether the elimination of 
mandatory reporting might increase the involvement of the criminal 
justice system in child protection.
    Seven comments on research on unsubstantiated, unfounded and false 
reports reflected disagreement as to whether this area should be 
studied. Some cautioned that emphasis should be placed on the rights of 
the child rather than the alleged perpetrator. Questions were raised as 
to whether this is really a research priority or a matter of child 
welfare practice. Commenters feared that studies focused on false 
reports might send the wrong message to State governments and the 
research community implying that the key issue in child welfare is to 
``reduce waste'' rather than protect children.
    Four comments supported research on child abuse and neglect 
reporting in the context of family court proceedings. Commenters noted 
the need for research in effective coordination of child protection and 
family court staff who frequently work with the same families, 
especially on termination of parental rights cases. Another suggested 
that a research evaluation be done on the results of family court 
initiatives and the effects of court improvement projects on children's 
outcomes.
    Seven comments pertained to research on child abuse and neglect 
involving substitute care. Most comments support research in this area. 
One State agency urged research into the matching of potential foster 
parents with special needs children and whether the training they are 
given is adequate. Another comment spoke to the need to examine the 
quality of investigations of allegations of abuse in substitute care, 
positing that sometimes the data on these cases are inadequate or 
skewed.
    Four comments addressed research into systems and sequelae 
questions with substantiated case samples. One writer stated that 
research in this area would provide a more rational and

[[Page 35185]]

empirical foundation for shaping strategies and responses to child 
abuse and neglect. Another noted that longitudinal, epidemiological 
studies are relevant to these questions. Finally, it was noted that 
such research should occur in the context of the entire range of case 
flow and decision-making.
Other Topics
    Twelve comments addressed the priority area regarding child safety 
and child fatality. In general, commenters favored research in this 
area. Possible emphases for the research include 1) home visitation 
services and other early intervention programs; 2) assessment measures 
for child safety and Sudden Infant Death Syndrome; 3) standards for 
evaluating deaths due to neglect for child fatality review teams; 4) 
identifying cases at high risk for fatality; 5) follow up to fatality 
reviews; 6) the over-representation of minorities in known child abuse 
and neglect fatalities; 7) integrating multiple data bases; and 8) the 
effects of severe and fatal child abuse on siblings and other family 
members.
    Eight people commented on the co-occurrence of multiple family 
problems (substance abuse, domestic violence, criminal behavior) with 
child maltreatment in families. Commenters generally favored this 
priority. Several noted the clear links among domestic violence, 
substance abuse and child abuse, and called for research into 
developing a valid risk assessment instrument and best practices for 
treatment and services. A social work professor noted the paucity of 
research on co-occurrence, and the need for research that includes 
studies of families in the earliest stages of violent behavior in order 
to discern the potential for other types of violence. He also expressed 
interest in NCCAN funding research differentiating spouse abusing-only 
from child abusing-only families and taking urban and rural differences 
into account.
    Three communications suggested ``definitions'' as a research topic. 
All supported this subject, and one commenter specified the need for 
multi-site studies.
    Ten comments unanimously favored university-based doctoral or 
medical student and faculty research fellowships in child abuse and 
neglect. Only three commented on the desirability of either specified 
model: one preferred the student-only model; one preferred the faculty 
and student(s) group model; and the third commenter felt that either 
model would advance the field.
    Four commenters addressed research on outcomes. Comments were 
generally favorable. Two organizations thought research should be 
conducted on the relationship between services by professionally 
trained social workers and outcomes for children and families. The 
remaining commenters asked for some expanded focus to the section, 
noting that it would be helpful to learn what services a community 
implements to achieve a particular outcome, and whether the result is 
intended or unplanned, but nonetheless beneficial.
    Eight comments focused on over-represented and special populations. 
Three respondents expressed support for research on racial and ethnic 
groups and children with disabilities. Research ideas included: (1) 
Evaluating the importance of matching clients and service providers on 
the basis of demographic characteristics; (2) investigating treatment 
components that might be used to address cultural differences; and (3) 
determining the true distribution of child maltreatment among different 
social classes. Five respondents commented specifically on immigrant 
children and their families. Two questioned the emphasis, while three 
others applauded it.
    Six commenters addressed secondary analysis of Federally-funded 
data sets. All supported this area of research. They expressed the 
following concerns and ideas: (1) The suggested range of minimum 
funding vary among the respondents from $5,000 in direct costs to 
$20,000; (2) a limit needs to be set on how old the data sets can be, 
and (3) results from secondary analysis may be a way for NCCAN to 
prioritize among the broad range of research topics.
    There was much interest in triage as indicated by the eight 
comments received. Several commenters noted the need to examine broad 
issues encompassed by the triage concept, including privatization, 
managed care, kinship responses, cultural responsiveness and welfare 
reform. Others cited the need for improved risk assessment instruments 
as part of any research involving differentiated responses.
    Two writers commented on welfare reform and system change. Both 
felt it is an important area of inquiry, but one noted that it seems 
implausible for NCCAN/CB to study this matter independent of other 
Federal constituencies.
    Eight comments addressed the call for field-initiated research. All 
supported NCCAN'S reinstatement of the priority area, observing that 
field-initiated research encourages researchers from outside the field 
to apply knowledge and methods from their respective areas; allows the 
field to have input as to the most important issues for study; and 
permits researchers to carry on fields of study that build upon their 
past work.
    Finally, several respondents recommended additional areas of 
research including medical evaluation of suspected sexual or physical 
abuse; prevalence of children witnessing violence in the home; the 
relationship between poverty and child maltreatment; monitoring sex 
offender treatment; effectiveness of primary prevention strategies; and 
the impact of the Personal Responsibility and Work Opportunity 
Reconciliation Act of 1996 on the prevalence of child maltreatment.
    Over the next five years, NCCAN will address many of these proposed 
priorities, taking into consideration the public comments. For this 
year, funding will be available for Field-Initiated Research in Child 
Abuse and Neglect (Priority area 2.01); University-Based Doctoral or 
Medical Student and Faculty Fellowships in Child Abuse and Neglect 
(Priority Area 2.02); nd Dynamics of Unsubstantiated Reports of Child 
Abuse and Neglect (Priority Area 2.03). These three priority areas 
allow the applicants to propose projects within the scope of the 
legislatively mandated topics on which favorable comments were received 
as well as on research field initiated topics, including secondary 
analysis of existing data. In addition, the Multi-State Foster Care 
Data Archive (Priority area 2.04) from the Children's Bureau is 
included in this announcement because it closely relates to the 
research interests of those who may apply to NCCAN for research 
funding. It addresses the research needs in the broad array of child 
welfare services with an emphasis on foster care.
    Applicants are strongly encouraged to build new projects on the 
results and findings of previously funded NCCAN grants. Information on 
prior research and demonstration projects supported by NCCAN and other 
references made in this announcement are available from the 
Clearinghouse on Child Abuse and Neglect Information, P.O. Box 1182, 
Washington, DC 20013, (Phone: 1-800-FYI-3366; web page: http://
www.calib.com/nccanch). The Clearinghouse can provide information on 
the other Federal Clearinghouses and Resource Centers having special 
information and resources.

G. Priority Area Descriptions and Requirements

2.01 Field-Initiated Research on Child Abuse and Neglect
    Eligible Applicants: Public (State, Tribal or local) or private 
non-profit

[[Page 35186]]

agencies, organizations, or institutions of higher learning, including 
Historically Black Colleges and Universities (HBCUs) and Hispanic 
Serving Colleges and Universities are eligible to apply. Collaborative 
efforts and interdisciplinary applications are encouraged. However, a 
primary applicant must be identified.
    Purpose: To support research designed to carry out the legislative 
responsibilities established by the Child Abuse Prevention and 
Treatment Act (CAPTA) Amendments of 1996 (P.L. 104-235). These 
responsibilities include the conduct of research on the nature and 
scope of child abuse and neglect; the causes, prevention, assessment, 
identification, treatment, cultural and socio-economic distinctions, 
and consequences of child abuse and neglect; and appropriate, effective 
and culturally sensitive investigative, administrative, and judicial 
procedures with respect to cases of child abuse.
    Background Information: The generation of new knowledge for 
understanding critical issues in child abuse and neglect improves 
prevention, assessment, identification, and treatment for children and 
families who have experienced child abuse and neglect. Research is one 
way to generate new knowledge. Field-initiated, or investigator-
initiated, research may address any topic that will expand the current 
knowledge base, build on prior research, contribute to practice 
enhancements, inform policy, improve science, or provide insights into 
new approaches to the prevention, assessment, identification, and 
treatment of child maltreatment (i.e., physical abuse, sexual abuse, 
emotional maltreatment, and/or neglect).
    This priority area responds to legislative direction. Those seeking 
general guidance about appropriate topics are referred to the Federal 
Register (February 12, 1997; Vol. 62, No. 29, pp. 6546-6549) 
announcement of proposed research priorities which lists legislative 
and other topics of interest; the section in this announcement 
summarizing public comments to the proposed research priorities; and 
the report, including research recommendations, published by the 
National Research Council, Commission on Behavioral and Social Sciences 
and Education, Panel on Research on Child Abuse and Neglect, 
Understanding Child Abuse and Neglect (Washington D.C.: National 
Academy Press, 1993).
    Secondary analysis of existing databases, pilot tests of 
measurement tools, or validation studies may be proposed under this 
priority area. NCCAN encourages the use of existing data sets collected 
through NCCAN and other ACF-funded projects such as the National 
Incidence of Child Abuse Study (NIS), the National Study of Protective, 
Preventive and Reunification Services Delivered to Children and their 
Families, Head Start Data and other field generated data on child 
maltreatment, and data stored in the National Data Archive on Child 
Abuse and Neglect at Cornell University, Family Life Development 
Center, G20 MVR Hall, Ithaca, New York, 14853-4401; telephone: 607-255-
7794. Budgets and project lengths for these more focussed activities 
must be justifiable and appropriate to the scope of the work.
    Applicants are encouraged to plan and design, apply for funding, 
implement, and evaluate the proposed research in collaboration with a 
State IV-B agency, community-based organization (CBO), public, private, 
profit, or not-for-profit agency providing child welfare or child 
protective services.
    As with other offerings, the Administration on Children, outh and 
Families maintains an interest in research which will be especially 
informative about over-represented populations and communities, and 
special populations (i.e., racial and ethnic groups, children with 
disabilities, and children in immigrant communities).
    Minimum Requirements for Project Design: As part of addressing the 
evaluation criteria outlined in Part II of this announcement, each 
applicant must address the following items in the program narrative 
section of the proposal.

(a) Objectives

     Pinpoint the research problem being addressed.
     State the specific objectives of the study.
     State the question(s) to be answered or hypothesis(es) to 
be tested.

(b) Background and Significance

     Describe the conceptual framework that includes 
appropriate cultural perspectives and reference theory, if any, in 
support of the study.
     Discuss the current state of knowledge related to the 
research problem, providing a review of the relevant literature, 
including any pilot tests; describe how the proposed research has 
direct application to the field of child abuse and neglect within the 
context of NCCAN's legislative responsibilities.
     Establish the need for the study as either a replication 
to validate existing knowledge or as a new study to fill a knowledge 
gap. If applicable, indicate how the proposed study is distinguished 
from other on-going research of which it is a part.
     Indicate how the proposed study findings significantly 
inform policy, improve practice, and/or advance the science of child 
abuse and neglect research.
     Include all bibliographic references.
    (c) Methodology
     Describe the proposed methodology. Define the terms, 
variables, and design to be used in the study.
     Describe the population and sampling plan, the rationale, 
strengths, and potential limitations for interpretations of findings 
due to the gender and ethnic composition of the proposed study sample.
     Describe recruitment and retention procedures; provide 
realistic estimates of attrition, and discuss appropriate procedures 
for handling attrition or interpreting the findings of the study in 
light of attrition.
     Identify data collection procedures and instruments, 
including information on reliability and validity of the instruments 
with the population proposed.
     Describe access to the data source and the chosen data set 
and demonstrate familiarity with the original study including its 
design, measures, reports, data file structures, variables, codes, and 
the strengths and limits of the data, if the study proposes secondary 
analysis of existing data.
     Provide a data analysis plan appropriate to the study. 
Applicants proposing secondary analysis of existing data may run a 
preliminary descriptive analysis on existing variables of interest to 
replicate published findings, add new variables and revise data 
analysis plans as needed.
     Provide assurance that draft reports of the findings of 
secondary analysis of existing data would be shared with the original 
investigators or other experts for comments.
     Provide assurance that a carefully prepared and thoroughly 
documented data set comprising the research data collected for the 
study would be deposited in the National Data Archive on Child Abuse 
and Neglect within two years of the termination of funding for the 
project.
     Provide Certification of Protection of Human Subjects 
Assurance as part of the application; describe procedures for 
soliciting approval from an institutional review board (IRB), if 
applicable; describe data management plan to

[[Page 35187]]

safeguard the integrity and confidentiality of data.
     Reflect sensitivity to ethical issues that may arise and 
make provision for reporting suspected abuse and/or neglect in 
accordance with applicable laws and regulations.
     Provide a workable plan of action; detail a reasonable 
time-line and target dates; include an adequate staffing plan, listing 
key and support staff, consultants, any agency, organization, other key 
group, and/or advisory panels involved or proposed; identify the role 
of the author(s) of the proposal in relation to the work-plan; describe 
the responsibilities, activities, and/or training plans for each, if 
applicable.
     Propose reasonable and appropriate project costs and 
allocate sufficient funds across component areas. This information 
should be given in the budget narrative section.
     Describe strategies for disseminating the findings in a 
manner that would be useful to other researchers and practitioners in 
the field.

(d) Staff Background and Organizational Experience

     Describe the academic qualifications of the principal 
investigator and the key project staff and consultants, if any, 
identified in the methodology section; include a brief curriculum vitae 
for each key staff person.
     Describe the adequacy of the available facilities and the 
capability of the organization to administer and implement the project 
effectively and efficiently; if the proposed project is a collaborative 
effort involving more than one agency or organization, attach letters 
of commitment documenting the nature and extent of such collaboration.
     Describe the relationship between this project and any 
other Federally-assisted work planned, anticipated, or underway, by the 
applicant.
     Provide assurances that one key staff person will attend a 
three-day annual Spring meeting of NCCAN research grantees in 
Washington, D.C. with an interim progress report of the research; 
prepare quarterly progress reports, and a final project report in an 
NCCAN-suggested format ensuring ease of dissemination and utilization.
    Project Duration: The length of the project may not exceed 36 
months. Projects involving secondary analysis of existing data may 
propose a shorter duration.
    Federal Share of Project Costs: The maximum Federal share of the 
project is not to exceed $200,000 per 12-month budget period. 
Applications for lesser amounts are expected when appropriate to work 
of a smaller scale, especially proposals involving secondary analysis 
of existing data.
    Matching Requirements: There is no matching requirement.
    Anticipated Number of Projects to be Funded: Pending the 
availability of funding in FY 1997 or FY 1998, it is anticipated that 
up to four projects will be funded at the maximum funding level or more 
than five if applications for lesser amounts are funded.
2.02  University-Based Doctoral or Medical Student and Faculty 
Fellowships in Child Abuse and Neglect
    Eligible Applicants: Institutions of higher learning, including 
medical schools, teaching hospitals, Historically Black Colleges and 
Universities (HBCUs) and Hispanic Serving Colleges and Universities on 
behalf of qualified doctoral students, medical students, residents 
(medical, surgical, pediatric, or others), house officers, or fellows 
enrolled in the institution and faculty employed by the institution. To 
be eligible to administer such a grant, the institution must be fully 
accredited by one of the regional institutional accrediting commissions 
recognized by the U.S. Secretary of Education and the Council on Post-
Secondary Accreditation, the Accreditation Council for Graduate Medical 
Education, American Association of Medical Colleges, or the Liaison 
Committee for Medical Education, as applicable. While an individual is 
considered to be the beneficiary of the grant support, awards will be 
made only to eligible institutions on behalf of their qualified 
candidates.
    Purpose: To provide support for doctoral students, medical 
students, residents, house officers, or fellows, who show promise and 
demonstrate a serious interest in and commitment to issues of child 
maltreatment, as well as for faculty who will conduct research on 
critical issues in child abuse prevention, assessment identification, 
and treatment. These fellowships serve to help cultivate the academic 
infrastructure, support the growth of university-based research 
capacity for child abuse and neglect, and encourage doctoral-level 
students and faculty to pursue careers in child abuse and neglect 
research.
    Background Information: The research community has highlighted the 
need to draw new researchers into the field of child abuse and neglect 
(Understanding Child Abuse and Neglect, Washington, D.C.: National 
Academy Press, 1993). During FYs 1991, 1992, and 1994, NCCAN funded 26 
graduate research fellowships for doctoral candidates to complete 
dissertations addressing critical issues in child abuse and neglect. 
This activity proved rewarding for NCCAN and garnered the support of 
the field.
    In FY 1996, NCCAN initiated the university-based student and 
faculty fellowships by funding four institutions (the University of 
Chicago, the University of Maryland at Baltimore, Brandeis University 
and the University of Rhode Island). Students and faculty funded in FY 
1996 are working on research issues that include topics such as:

--Child Protection Decision-Making in Cases Involving Substance-Exposed 
Infants,
--Decision-Making in Family Reunification,
--Child Maltreatment: Correlates and Outcomes
--Studies of the Impact of Criminal Justice and Child Welfare Systems' 
Involvement on Child Survivors of Abuse,
--The Process of Change Among Parents Who Abuse and Neglect Their 
Children, and
--Family Violence in Asian-American Families.

    Faculty, doctoral students, and students in medical schools, 
resident, house officers, or fellows programs are encouraged to apply 
for support through their schools and interdisciplinary programs in 
social sciences, human development, community and family development, 
human services, social work, medicine, nursing, special education, 
early childhood education, psychology, sociology, anthropology, public 
health, child study, minority studies, and criminology.
    NCCAN proposes to award funds for fellowships in blocks to eligible 
institutions. Each institutional block would contain at least two or up 
to four students and one faculty member. The students and faculty 
member may pursue their own individual research or work on coordinated 
projects on child abuse and neglect. In addition to submitting all the 
required reports to NCCAN, faculty are encouraged to publish the 
findings of the study funded. Students' work could lead to 
dissertations, publications, or fulfill the requirements of major 
research projects (e.g., independent study projects requiring a minimum 
commitment of 6 to 9 graduate credit hours).
    Institutions will be selected competitively, with attention to 
geographic distribution. Historically Black Colleges and Universities 
(HBCUs) as well as Hispanic Serving

[[Page 35188]]

Colleges and Universities are encouraged to apply in order to generate 
knowledge particularly responsive to issues of cultural context and the 
over-representation of some groups in child welfare and child 
protective services systems.
    Examples of topics to be studied for these fellowships include, but 
are not limited to, the following:
    1. The number of substantiated cases that result in a judicial 
finding of child abuse or neglect or related criminal court 
convictions;
    2. The extent to which the lack of adequate resources and lack of 
adequate training of individuals required by law to report suspected 
cases of child abuse have contributed to the inability of a State to 
respond effectively to serious cases of child abuse and neglect;
    3. The incidence and prevalence of physical abuse, sexual abuse and 
emotional neglect in substitute care;
    4. The incidence and outcomes of abuse allegations reported within 
the context of divorce, custody, or other family court proceedings, and 
the interaction between this venue and the child protective services 
system;
    5. Child abuse and neglect service intervention outcome studies;
    6. Child abuse and neglect treatment outcome studies;
    7. Studies focussing on over-represented and special populations in 
child welfare and child protective services (i.e., racial and ethnic 
groups, children with disabilities, and immigrant children) and the 
systems' understanding or lack thereof of the dynamics of these 
populations, and methods for assessment of clients in order to generate 
knowledge about these populations from appropriate cultural and 
sociological perspectives.
    8. Co-occurrence of child maltreatment and substance abuse and/or 
domestic violence and system responses to co-occurrence in terms of 
assessment, intervention, treatment and resources;
    9. Secondary analyses of existing databases, pilot tests of 
measurement tools, or validation studies;
    10. Research on new medical screening, diagnostic, or interview 
protocols, and treatment techniques.
    For topics one through eight, applicants are encouraged to collect 
data in partnership with one or more agencies and/or organization of 
the local jurisdictions (e.g., child protective services/child welfare 
agencies, juvenile, criminal and family courts, substitute care 
settings, community-based substance abuse treatment centers, service 
providing organizations, family violence intervention programs, etc.). 
For topic nine, NCCAN encourages secondary analysis of existing data 
sets collected through NCCAN and other ACF-funded projects such as the 
National Incidence Study (NIS), the National Study of Protective, 
Preventive and Reunification Services Delivered to Children and their 
Families, Head Start Data and other field generated data on child 
maltreatment, and data stored in the National Data Archives on Child 
Abuse and Neglect at Cornell University, Family Life Development 
Center, G20 MVR Hall, Ithaca, New York, 14853-4401; telephone: 607-255-
7794. Topic ten may be appropriate for study in teaching hospital 
settings with multi-disciplinary, child protection teams.
    Each applicant institution should prepare a single submission 
packet composed of (up to) five individual research proposals. Each 
individual proposal will be evaluated against the criteria for 
evaluating research projects. However, each institution will receive 
only one score which will consist of the average of the individual 
proposal scores. For this priority area only, an exception is made 
regarding the total 60-page limit described elsewhere in this 
announcement. The text of each individual proposal for this area should 
not exceed a maximum of 15 pages. The total text for the five proposals 
cannot exceed a maximum of 75 pages. Application forms and all required 
attachments can add up to 25 more pages. Thus the total length of the 
institutional submission, including text, application, and attachments 
may be up to 100 pages. Human Subjects Assurances must be completed for 
each individual proposal; however, all other assurances should be 
submitted only once, by the institutional applicant. The academic 
institution, in accepting the award, agrees to waive overhead charges 
(indirect costs) and pass the entirety of the funds on to students and 
faculty as fellowships.
    Minimum Requirements for Project Design: As part of addressing the 
evaluation criteria outlined in Part II of this announcement, each 
applicant must address the following items in the program narrative 
section of the proposal.

(a) Objectives

     Pinpoint the research problem being addressed.
     State the specific objectives of the study.
     State the question(s) to be answered or hypothesis(es) to 
be tested.

(b) Background and Significance

     Describe the conceptual framework that includes 
appropriate cultural perspectives and reference theory, if any, in 
support of the study.
     Discuss the current state of knowledge related to the 
research problem, providing a review of the relevant literature, 
including any pilot tests; describe how the proposed research has 
direct application to the field of child abuse and neglect.
     Establish the need for the study as either a replication 
to validate existing knowledge or as a new study to fill a knowledge 
gap. If applicable, indicate how the proposed study is distinguished 
from other on-going research of which it is a part.
     Indicate how the proposed study findings significantly 
inform policy, improve practice, and/or advance the science of child 
abuse and neglect research.
     Include all bibliographic references.

(c) Methodology

     Describe the proposed methodology. Define the terms, 
variables, and design to be used in the study.
     Describe the population and sampling plan, the rationale, 
strengths, and potential limitations for interpretations of findings 
due to the gender and ethnic composition of the proposed study sample.
     Describe recruitment and retention procedures; provide 
realistic estimates of attrition, and discuss appropriate procedures 
for handling attrition or interpreting the findings of the study in 
light of attrition.
     Identify data collection procedures and instruments, 
including information on reliability and validity of the instruments 
with the population proposed.
     Describe access to the data source and the chosen data set 
and demonstrate familiarity with the original study including its 
design, measures, reports, data file structures, variables, codes, and 
the strengths and limits of the data, if the study proposes secondary 
analysis of existing data.
     Provide a data analysis plan appropriate to the study. 
Applicants proposing secondary analysis of existing data may run a 
preliminary descriptive analysis on existing variables of interest to 
replicate published findings, add new variables and revise data 
analysis plans as needed.
     Provide assurance that draft reports of the findings of 
secondary analysis of existing data would be shared with the original 
investigators or other experts for comments.

[[Page 35189]]

     Provide assurance that a carefully prepared and thoroughly 
documented data set comprising the research data collected for the 
study would be deposited in the National Data Archive on Child Abuse 
and Neglect within two years of the termination of funding for the 
project.
     Provide Certification of Protection of Human Subjects 
Assurance as part of the application; describe procedures for 
soliciting approval from an institutional review board (IRB), if 
applicable; describe data management plan to safeguard the integrity 
and confidentiality of data.
     Reflect sensitivity to ethical issues that may arise and 
make provision for reporting suspected abuse and/or neglect as governed 
by applicable laws and regulations.
     Provide a workable plan of action; detail a reasonable 
time-line and target dates; include an adequate staffing plan, listing 
key and support staff, consultants, any agency, organization, other key 
group, and/or advisory panels involved or proposed; identify the role 
of the author(s) of the proposal in relation to the work-plan; describe 
the responsibilities, activities, and/or training plans for each, if 
applicable.
     Propose reasonable and appropriate project costs and 
allocate sufficient funds across component areas. This information 
should be given in the budget narrative section.
     Describe strategies for disseminating the findings in a 
manner that would be useful to other researchers and practitioners in 
the field.

Staff Background and Organizational Experience

     Include evidence that the student candidates are enrolled 
and in good standing as doctoral or medical students, residents, house 
officers, or fellows in the sponsoring institution and verify the 
employment status of the faculty candidate.
     Document the agreement between the dean or chairperson and 
the faculty candidate indicating that the faculty candidate will be 
permitted to conduct the research project as part of his/her academic 
duties, and if needed, that a senior faculty member would be available 
to guide the project.
     Include a letter of support from a tenured faculty member, 
advisor, Dean, or Chairperson for each student seeking a fellowship, 
recommending the student's capability to undertake a research project 
of this nature.
     Describe the corporate capability of the institution to 
support a research initiative, in terms of the existing research 
infrastructure and academic climate; if the proposed project is a 
collaborative effort involving more than one agency or organization, 
attach letters of commitment documenting the nature and extent of such 
collaboration.
     Include a short resume for each candidate (limit to one 
page) including information on education and relevant experiences.
     Describe the relationship between this project and any 
other Federally-assisted work planned, anticipated, or underway, by the 
applicant institution.
     Provide assurances that each candidate will attend a 
three-day annual Spring meeting of NCCAN research grantees in 
Washington, D.C. with an interim progress report of the research; 
prepare quarterly progress reports and a final project report in an 
NCCAN-suggested format ensuring ease of dissemination and utilization.
    Project Duration: The length of the project may not exceed 17 
months.
    Federal Share of the Project Costs: The maximum Federal share of 
the project is not to exceed $75,000 per university or institution to 
fund up to four student-candidates at $13,750 each and $20,000 for the 
faculty candidate.
    Matching Requirement: There is no matching requirement.
    Anticipated Number of Projects to be Funded: It is anticipated that 
up to five sites will be funded.
2.03  Dynamics of Unsubstantiated Reports of Child Abuse and Neglect
    Eligible Applicants: Public (State, Tribal or local) or private 
non-profit agencies, organizations, and institutions of higher 
learning, including Historically Black Colleges and Universities and 
Hispanic Serving Colleges and Universities are eligible to apply. 
Collaborative efforts are encouraged; however, a primary applicant must 
be identified. If the primary applicant is a private nonprofit agency, 
organization or institution of higher learning, a clear statement of 
commitment and agreement with the State, Tribal or local Child 
Protection/child welfare entities must be provided which assures access 
to appropriate sources and individuals.
    Purpose: To support research on the dynamics of unsubstantiated 
cases of child abuse and neglect, including the factors that influence 
the decision not to substantiate, the agency resources expended in 
investigating unsubstantiated versus substantiated reports, service 
interventions provided to children and families during or as a result 
of the investigation, and outcomes of children and families who have 
been the subject of unsubstantiated reports, including their re-
referral to child protective services in future reports of alleged 
abuse and neglect.
    Background Information: In 1995, State child protective services 
agencies (CPS) received and referred for investigation nearly 2 million 
reports of alleged maltreatment, involving an estimated 3 million 
children (Child Maltreatment 1995: Reports from the States to the 
National Child Abuse and Neglect Data System, Washington, D.C., U.S. 
Government Printing Office, 1997). Over 1 million children were found 
to be victims of substantiated or indicated maltreatment.
    Due to expungement practices, administrative data on 
unsubstantiated cases is limited in many States. In fact, not all 
States are able to provide data on the number of investigated children 
for whom maltreatment was not substantiated, as well as those for whom 
maltreatment was substantiated. However, based on data from the 40 
States able to report on children with both substantiated and not 
substantiated dispositions, 34 percent of investigated children were 
found to have suffered substantiated or indicated abuse or neglect, 
while 60 percent received an investigation disposition of 
``unsubstantiated.'' Less than 2 percent of children had investigations 
resulting in either ``no finding'' or ``unknown finding,'' and about 4 
percent received a disposition categorized as ``other'' (NCANDS).
    The large number of investigations resulting in unsubstantiated 
dispositions has raised questions and concern about the nature of these 
cases and their impact both on the children and families who are the 
subject of these CPS investigations and on the functioning of CPS 
systems. The CAPTA amendments of 1996 suggest several research topics 
specifically focusing on unsubstantiated cases of child abuse and 
neglect, including, ``the extent to which the number of 
unsubstantiated, unfounded and false reported cases of child abuse or 
neglect have contributed to the inability of a State to respond 
effectively to serious cases of child abuse and neglect;'' ``the number 
of unsubstantiated, false, or unfounded reports that have resulted in a 
child being placed in substitute care, and the duration of such 
placement;'' and ``the extent to which unsubstantiated reports return 
as more serious cases of child abuse or neglect.''
    Concerns have also been raised about the potential harm to families 
that may accompany CPS investigations in cases where no maltreatment is 
present. Conversely, there is concern that significant numbers of 
children in

[[Page 35190]]

unsubstantiated cases may, in fact, have suffered harm or be at risk of 
harm due to abuse or neglect, and yet may not, because of the 
investigation disposition, receive the services necessary to ensure 
their safety and well-being.
    Available data suggest that differences in State laws and policies, 
including definitions of child abuse and neglect and investigation 
disposition classification schemes, result in children experiencing 
similar events being classified differently. In 1995, the national rate 
of child maltreatment victims (where only children in substantiated or 
indicated reports were considered ``victims'') was 15 per 1,000 
children younger than 18 in the population. However, when States were 
grouped and compared according to their system of classifying 
investigation dispositions, significant differences were seen. In 
States using a two-tier classification of dispositions (i.e., 
investigations were either substantiated or unsubstantiated) the 
average victim rate was 13 children per 1,000 in the population. In 
States using a three-tier classification of dispositions (i.e. where in 
addition to the findings of substantiated and unsubstantiated, a case 
may be classified as ``indicated,'' meaning there was reason to suspect 
maltreatment or a risk of maltreatment, although it did not rise to the 
level of evidence required by State law to substantiate), the average 
victim rate was 23 children per 1,000 in the population.
    In a recent article entitled, ``Unraveling `Unsubstantiated' '' 
Brett Drake highlights the heterogeneity within the category of 
unsubstantiated reports, and cautions against equating unsubstantiated 
reports with invalid or false reports (Drake, 1996). Drake offers a 
conceptual model for considering child maltreatment cases along a two-
dimensional continuum of harm and evidence. As Drake writes, ``the 
conceptual basis for this model is the assumption that all CPS reports 
vary along two dimensions: the level of proof available that 
maltreatment exists and the degree of harm present. It is only through 
the simultaneous consideration of both of these dimensions that 
substantiation can be understood.'' Under Drake's model, substantiated 
cases are most likely to fall in the quadrant in which both the level 
of proof and the degree of harm are relatively high. Cases in which 
there is little evidence, even if there is a high degree of harm, may 
be unsubstantiated. Drake also notes that unsubstantiated cases may, 
nonetheless, result in services being provided to families to address 
family needs and problems and prevent future maltreatment.
    Other research has compared longer-term outcomes for children 
involved in substantiated and unsubstantiated CPS reports. For 
instance, in research previously funded by NCCAN, Zingraff and Leitner 
(1995), found little or no difference in school performance or risk of 
delinquency for children in substantiated versus unsubstantiated 
reports.
    In order to gain a better understanding of unsubstantiated reports 
of child abuse and neglect, NCCAN is interested in supporting studies 
that address questions that include, but are not limited to:
     What factors influence the decision on whether or not to 
substantiate the case? How do State laws and policies relating to 
levels of evidence required to substantiate and the level of harm 
required to substantiate affect the decision? Do agency organizational 
culture issues influence the decision? To what extent do factors such 
as the source of the report, nature of maltreatment, age of the child, 
willingness of the family to cooperate with the investigation, and 
service availability influence workers' decisions on whether or not to 
substantiate?
     How often do caseworkers suspect child maltreatment or 
risk of maltreatment in cases that are not substantiated? How often are 
potential risk factors for child maltreatment, such as substance abuse 
or domestic violence, seen in unsubstantiated cases? How frequently are 
allegations of maltreatment found to be intentionally false?
     How does the expenditure of agency resources (including 
worker time) in unsubstantiated cases compare with the expenditure of 
resources in substantiated cases?
     What service interventions (including removal from home) 
did children and families receive during or as a result of the 
investigation? In States implementing CPS reform through a 
differentiated response system, does this reform affect the degree to 
which families in unsubstantiated cases receive services?
     What outcomes were seen for children and families who were 
the subjects of unsubstantiated reports? Did they return in later 
reports of either substantiated or unsubstantiated maltreatment? What 
effect do families report experiencing as a result of CPS involvement?
    Minimum Requirements for Project Design: As part of addressing the 
evaluation criteria outlined in Part II of this announcement, each 
applicant must address the following items in the program narrative 
section of the proposal.

(a) Objectives

     Pinpoint the research problem being addressed.
     State the specific objectives of the study.
     State the question(s) to be answered or hypothesis(es) to 
be tested.

(b) Background and Significance

     Describe the conceptual framework that includes 
appropriate cultural perspectives and reference theory, if any, in 
support of the study.
     Discuss the current state of knowledge related to the 
research problem, providing a review of the relevant literature, 
including previous studies on the topic or pilot tests; describe how 
the proposed research has direct application to the field of child 
abuse and neglect within the context of NCCAN's legislative 
responsibilities.
     Establish the need for the study as either a replication 
to validate existing knowledge or as a new study to fill a knowledge 
gap. If applicable, indicate how the proposed study is distinguished 
from other on-going research of which it is a part.
     Indicate how the proposed study findings significantly 
inform policy, improve practice, and/or advance the science of child 
abuse and neglect research.
     Include all bibliographic references.

(c) Methodology

     Describe the proposed methodology. Define the terms, 
variables, and design to be used in the study.
     Describe the sample selection sites, population and 
sampling plan, the rationale, strengths, and potential limitations for 
interpretations of findings due to the gender and ethnic composition of 
the proposed study sample.
     Provide realistic estimates of attrition and discuss 
appropriate procedures for handling attrition or interpreting the 
findings of the study in light of attrition.
     Identify data collection procedures and instruments, 
including information on reliability and validity of the instruments 
with the population proposed.
     Provide a data analysis plan appropriate to the study.
     Provide assurance that a carefully prepared and thoroughly 
documented data set comprising the research data collected for the 
study be deposited in the National Data Archive on Child

[[Page 35191]]

Abuse and Neglect within two years of the termination of funding for 
the project.
     Provide Certification of Protection of Human Subjects 
Assurance as part of the application; describe procedures for 
soliciting approval from an institutional review board (IRB), if 
applicable; describe data management plan to safeguard the integrity 
and confidentiality of data.
     Reflect sensitivity to ethical issues that may arise and 
make provision for reporting suspected abuse and/or neglect as governed 
by applicable laws and regulations.
     Provide a workable plan of action; detail a reasonable 
time-line and target dates; include an adequate staffing plan, listing 
key and support staff, consultants, any agency, organization, other key 
group, and/or advisory panels involved or proposed; and describe the 
responsibilities, activities, and/or training plans for each, if 
applicable.
     Propose reasonable and appropriate project costs and 
allocate sufficient funds across component areas. This information 
should be given in the budget narrative section.
     Describe strategies for disseminating the findings in a 
manner that would be useful to other researchers and practitioners in 
the field.

(d) Staff Background and Organizational Experience

     Describe the academic qualifications of the principal 
investigator and the key project staff and consultants, if any, 
identified in the methodology section; identify the role of the 
author(s) of the proposal in relation to the work-plan; include a brief 
curriculum vitae for each key staff person.
     Describe the adequacy of the available facilities and the 
capability of the organization to administer and implement the project 
effectively and efficiently; if State or county CPS data or records are 
planned to be used, and if the applicant is not a State or county CPS 
agency, document a commitment from the relevant CPS agency to provide 
the applicant researcher access to the data or case records.
     Describe the relationship between this project and any 
other Federally-assisted work planned, anticipated, or underway, by the 
applicant.
     Provide assurances that one key staff person will attend a 
three-day annual Spring meeting of NCCAN research grantees in 
Washington, D.C. with an interim progress report of the research; 
prepare quarterly progress reports, and a final project report in an 
NCCAN-suggested format ensuring ease of dissemination and utilization.
    Project Duration: The length of the project may 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 Requirements: There is no matching requirement.
    Anticipated Number of Projects to be Funded: Pending the 
availability of funding in FY 1997 or FY 1998, it is anticipated that 
up to three projects will be funded at the maximum funding level or 
more than three if applications for lesser amounts are funded.
2.04  Multi-State Foster Care Data Archive
    Eligible Applicants: State or local, public or nonprofit, agencies, 
universities, and nonprofit organizations or institutions.
    Purpose: To support the development, refinement and implementation 
of methods to link State-level foster care administrative data to other 
data at the State level for use in policy development and research 
through the maintenance and expansion to twelve States of a multi-State 
foster care data archive.
    Background Information: For many years, concerns have been raised 
about the lack of information available on children in foster care. To 
address some of these concerns, in 1986 Congress amended title IV-E of 
the Social Security Act by adding section 479 which required the 
Federal government to institute a foster care and adoption data 
collection system. In response to this legislative mandate, the 
Administration for Children and Families (ACF) has implemented the 
Adoption and Foster Care Analysis and Reporting System (AFCARS). The 
AFCARS collects information on children in foster care and children 
adopted through the public child welfare system. The system is 
mandatory, and the failure of a State to submit reliable data will soon 
result in financial penalties.
    Although AFCARS substantially improves information available on 
children in foster care and children being adopted, it is not intended 
to, nor will it ever, provide all of the information necessary to 
develop policy at the Federal, State and local levels on this 
population of children. There are, however, other existing data sources 
that have historically been under-utilized. Primary among these are the 
statewide information and tracking systems on children in foster care 
established to meet the requirements of Public Law 96-272, the Adoption 
Assistance and Child Welfare Act of 1980 and being modified or 
developed through the use of enhanced funding for Statewide Automated 
Child Welfare Information Systems (SACWIS). Frequently these systems 
have data for long periods of time which permit longitudinal analyses. 
In addition, because they contain more detailed information than is 
reported to AFCARS, individual cases can be linked across various data 
systems at the State level.
    There are a number of administrative databases at the State level 
which relate to children in foster care. Some of these are data on 
child protective services investigations, Medicaid utilization, 
education, Temporary Assistance to Needy Families (TANF) or Child 
Support Enforcement, and data maintained by vital statistics offices. 
These and other administrative databases maintained by the States can 
be used to provide detailed information on how the foster care 
population changes over time, services being utilized and their costs, 
and comparisons of how foster care children and their families might 
differ from other children and their families in the frequency and/or 
intensity of their receipt of services or participation in various 
programs.
    The proposed project will be voluntary for the States and should 
include a wider range of information and data sources than is mandated 
by AFCARS or utilized in the National Child Abuse and Neglect Data 
System (NCANDS). Information generated by the project will be used to 
supplement information generated by AFCARS, NCANDS and other major 
research efforts supported by the Federal government and foundations.
    Prior work in this area has been conducted by the Chapin Hall 
Center for Children at the University of Chicago in collaboration with 
States and other university-based researchers under a five year grant 
from the Children's Bureau which was awarded in FY 1992. This grant 
established the Multi-State Foster Care Data Archive which includes 
foster care data from the States of Illinois, New York, Michigan, 
California, Texas, Missouri, and Florida. By the end of the grant 
period in September 1997, an additional three States are expected to be 
added bringing the total number of States to ten.
    Through this grant and other funding from the Administration on 
Children and Families, the Assistant Secretary for Planning and 
Evaluation, other Federal agencies, States and foundations, the Archive 
has produced analyses on the

[[Page 35192]]

case flow in foster care, adoption disruption, the relationship between 
child protective services and foster care, relative foster care, and 
foster care re-entry, to name a few. This new project seeks to expand 
the Archive to 12 States and to focus the analyses on linking State 
administrative data to other databases at the State level to inform 
policy and practice at the local, State and Federal levels.
    Minimum Requirements for Project Design: This is a three-year 
cooperative agreement project in which substantial Federal involvement 
is anticipated. The specific respective responsibilities of Federal 
staff and the awardee will be negotiated prior to the grant award. In 
order to compete successfully under this priority area, as part of 
addressing the evaluation criteria (a. objectives, b. background and 
significance, c. methodology, and d. staff background and 
organizational experience) outlined in Part II of this announcement, as 
appropriate to this project, each applicant must address the following 
items in the program narrative section of the proposal:
     Describe the applicant's experience in developing 
analytical files from large, complex case-specific databases; 
conducting analyses of case-specific child welfare and other related 
administrative data files; linking data through time and from different 
databases; and developing and maintaining data archives and insuring 
the confidentiality of the data. Also describe the hardware and 
software currently available to the applicant in the conduct of the 
project as well as additional hardware and/or software needed to 
conduct the project.
     Describe how the current participants in the Archive would 
be encouraged to continue in Archive activities and which activities 
would be continued or initiated which would encourage the use of the 
analyses by the State participants.
     Describe how at least two additional States would be 
identified and recruited to participate in the project. This should 
include a discussion of the applicant's experience in recruiting States 
to participate in similar activities; how State staff and university 
researchers would be identified; how access to the administrative 
databases would be achieved; how the appropriateness of administrative 
databases would be assessed; and how full participation of the States 
would be assured by the end of the project.
     Describe how technical assistance in developing analytical 
files, linking databases and conducting analyses would be delivered to 
those States which need it.
     Describe how an advisory committee for the project would 
be established and its composition. Discuss why the composition is 
appropriate.
     Describe how topic areas for exploration would be 
identified and prioritized.
     Describe activities that would be undertaken to develop, 
refine and implement methods to link State-level foster care 
administrative data to other data at the State level for use in policy 
development and research. Specifically, provide an outline of the steps 
that would be undertaken in the States to obtain access to these other 
databases and discuss some of the technical issues involved in 
conducting this type of work.
     Describe the frequency and content of briefings on 
findings for Federal, State and national organization staff that would 
be conducted under the grant and how these briefings would relate the 
research findings to policy and practice issues.
     Describe the reports, including an annual report, that 
would be developed under the project, including the types of 
information that would be presented, and the steps, including 
submission for publication to refereed journals, that would be 
undertaken to disseminate and promote the utilization of project 
findings. Also describe how information on project findings would be 
disseminated to both participating and non-participating States.
     Describe how support would be obtained from sources other 
than this cooperative agreement during the period of the project to 
enhance its work and how the project would continue with funds from 
other sources after the three-year project period has ended.
     Describe how the Archive will help inform, coordinate and 
collaborate with other major research and data collection activities 
such as AFCARS and the National Child Abuse and Neglect Data System 
(NCANDS) and other longitudinal research supported by ACF.
     Provide assurances that the principal investigator would 
attend a 2-3 day annual meeting of research grantees in Washington, 
D.C.
     Outline a plan of interaction with the Administration for 
Children and Families (ACF) for the implementation of the project under 
a cooperative agreement including, as appropriate, activities such as 
an annual briefing of Central Office staff and involving Headquarters 
and Regional Office staff in other ways in the project.
    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 $250,000 per 12-month budget period.
    Matching Requirement: There is no matching requirement
    Anticipated Number of Projects to be Funded: It is anticipated that 
one project will be funded.

Part III. Instructions for the Development and Submission of 
Applications

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

A. Paperwork Reduction Act of 1995

    In accordance with the Paperwork Reduction Act of 1995 (Pub. L. 
104-13), all information collections within this announcement are 
approved under OMB Control Number 0970-0139, the Uniform Discretionary 
Grant Application Form. 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 or cooperative agreement under this announcement, an application 
must be submitted on the Standard Form 424 (approved by OMB under 
Control Number 0348-0043). Each application must be signed by an 
individual authorized to act for the applicant and to assume 
responsibility for the obligations imposed by the terms and conditions 
of the grant award. Applicants requesting financial assistance for non-
construction projects must file the Standard Form 424B, ``Assurances: 
Non-Construction Programs'' (approved by OMB under control number 0348-
0040). Applicants must sign and return the Standard Form

[[Page 35193]]

424B (approved by OMB Control Number 0348-0340) with their application. 
Applicants must provide a certification regarding lobbying (approved by 
OMB under Control Number 0348-0046). Prior to receiving an award in 
excess of $100,000, applicants shall furnish an executed copy of the 
lobbying certification (approved by OMB under control number 0348-
0046). Applicants must sign and return the certification with their 
application.
    Applicants must make the appropriate certification of their 
compliance with the Drug-free Workplace Act of 1988. By signing and 
submitting the application, applicants are providing the certification 
and need not mail back the certification with the application.
    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 in 
Pub. L. 103-227, Part C Environmental Tobacco Smoke (also known as the 
Pro-Children's Act of 1994). By signing and submitting the application, 
applicants are providing the certification and need not mail back the 
certification with the application.
    All applicants for research projects must provide a Protection of 
Human Subjects Assurance as specified in the policy described on the 
HHS Form 596 (approved by the Office of Management and Budget under 
control number 0925-0137)in Appendix B. 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

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

D. Deadline for Submission of Applications

Deadline
    Mailed applications shall be considered as meeting an announced 
deadline if they are received on or before the deadline time and date 
at the U.S. Department of Health and Human Services, Administration for 
Children and Families, Division of Discretionary Grants, 370 L'Enfant 
Promenade, S.W., Mail Stop 6C-462, Washington, D.C. 20447, Attention: 
Application for Child Abuse and Neglect Research Project. 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 8:00 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, S.W., Washington, D.C. 20024, between 
Monday and Friday (excluding weekends and Federal holidays). Any 
application received after 4:30 p.m. on the deadline date will not be 
considered for competition. Applicants using express/overnight services 
should allow for two working days prior to the deadline date for 
receipt of applications. (Applicants are cautioned that express/
overnight mail services do not always deliver as agreed.)
    ACF cannot accommodate transmission of applications by fax or 
through other electronic media. Therefore, applications transmitted to 
ACF electronically will not be accepted regardless of Date or time of 
submission and time of receipt.
Late Applications
    Applications which do not meet the criteria above are considered 
late applications. ACF shall notify each late applicant that its 
application will not be considered in the current competition.
Extension of Deadlines
    ACF may extend the deadline for all applicants because of acts of 
God such as floods, hurricanes, etc., or when there is a widespread 
disruption of the mails. However, if ACF does not extend the deadline 
for all applicants, it may not waive or extend the deadline for any 
applicants.

E. Instructions for Preparing the Application under Appendix A-ACF 
Uniform Discretionary Grant Application Form (ACF/UDGAF)

    Under the ACF/UDGAF, applications submitted for funds under this 
announcement are considered New

[[Page 35194]]

Applications, therefore, follow instructions in the UDGAF for New 
Applications.
    The SF 424, 424A (approved by OMB under Control Number 0348-0044), 
424B, and certifications are included in Appendix A. You should 
reproduce single-sided copies of these forms from the reprinted forms 
in the announcement, typing your information onto the copies. Please do 
not use forms directly from the Federal Register announcement, as they 
are printed on both sides of the page.
    Please prepare your application in accordance with the following 
instructions:
1. SF 424 Page 1, Application Cover Sheet
    Please read the following instructions before completing the 
application cover sheet. An explanation of each item is included. 
Complete only the items specified.
    Top of Page. Enter the single priority area number under which the 
application is being submitted.
    Item 1. Type of submission--Pre-printed on the form.
    Item 2. Date Submitted and Applicant Identifier--Date application 
is submitted to ACYF and applicant's own internal control number, if 
applicable.
    Item 3. Date Received By State--State use only (if applicable).
    Item 4. Date Received by Federal Agency--Leave blank.
    Item 5. Applicant Information Legal Name--Enter the legal name of 
the applicant organization. For applications developed jointly, enter 
the name of the lead organization only. There must be a single 
applicant for each application.
    Organizational Unit--Enter the name of the primary unit within the 
applicant organization which will actually carry out the project 
activity. Do not use the name of an individual as the applicant. If 
this is the same as the applicant organization, leave the 
organizational unit blank.
    Address--Enter the complete address that the organization actually 
uses to receive mail, since this is the address to which all 
correspondence will be sent. Do not include both street address and 
P.O. box number unless both must be used in mailing.
    Name and telephone number of the person to be contacted on matters 
involving this application (include area code)--Enter the full name 
(including academic degree, if applicable) and telephone number of a 
person who can respond to questions about the application. This person 
should be accessible at the address given here and will receive all 
correspondence regarding the application.
    Item 6. Employer Identification Number (EIN)--Enter the employer 
identification number of the applicant organization, as assigned by the 
Internal Revenue Service, including, if known, the Central Registry 
System suffix.
    Item 7. Type of Applicant--Self-explanatory.
    Item 8. Type of Application--Check new application.
    Item 9. Name of Federal Agency--ACYF/NCCAN/CB.
    Item 10. Catalog of Federal Domestic Assistance Number and Title--
Enter the Catalog of Federal Domestic Assistance (CFDA) number assigned 
to the program under which assistance is requested and its title, as 
indicated in the relevant priority area description.
    Item 11. Descriptive Title of Applicant's Project--Enter the 
project title. The title is generally short and is descriptive of the 
project, not the priority area title.
    Item 12. Areas Affected by Project--Enter the governmental unit 
where significant and meaningful impact could be observed. List only 
the largest unit or units affected, such as State, county, or city. If 
an entire unit is affected, list it rather than sub-units.
    Item 13. Proposed Project--Enter the desired start date for the 
project and projected completion date.
    Item 14. Congressional District of Applicant/Project--Enter the 
number of the Congressional District where the applicant's principal 
office is located and the number of the Congressional district(s) where 
the project will be located. If Statewide, a multi-State effort, or 
nationwide, enter 00.
    Item 15. Estimated Funding Levels. In completing 15a through 15f, 
the dollar amounts entered should reflect, for a 12-month budget 
period, the total amount requested.
    Item 15a. Enter the amount of Federal funds requested in accordance 
with the preceding paragraph. This amount should be no greater than the 
maximum amount specified in the priority area description.
    Items 15b-e. Enter the amount(s) of funds from non-Federal sources 
that will be contributed to the proposed project. Items b-e are 
considered cost-sharing or matching funds. The value of third party in-
kind contributions should be included on appropriate lines as 
applicable.
    Item 15f. Enter the estimated amount of income, if any, expected to 
be generated from the proposed project. Do not add or subtract this 
amount from the total project amount entered under item 15g. Describe 
the nature, source and anticipated use of this income in the Project 
Narrative Statement.
    Item 15g. Enter the sum of items 15a-15e.
    Item 16a. Is Application Subject to Review By State Executive Order 
12372 Process? Yes, except for the 23 jurisdictions provided at the end 
of Part III. Enter the date the applicant contacted the SPOC regarding 
this application. Select the appropriate SPOC from the listing provided 
in Appendix B. The review of the application is at the discretion of 
the SPOC. The SPOC will verify the date noted on the application. If 
there is a discrepancy in dates, the SPOC may request that the Federal 
agency delay any proposed funding.
    Item 16b. Is Application Subject to Review By State Executive Order 
12372 process? No.--Check the appropriate box if the application is not 
covered by E.O. 12372 or if the program has not been selected by the 
State for review.
    Item 17. Is the Applicant Delinquent on any Federal Debt?--Check 
the appropriate box. This question applies to the applicant 
organization, not the person who signs as the authorized 
representative. Categories of debt include audit disallowances, loans 
and taxes.
    Item 18. To the best of my knowledge and belief, all data in this 
application/preapplication are true and correct. The document has been 
duly authorized by the governing body of the applicant and the 
applicant will comply with the attached assurances if the assistance is 
awarded.--To be signed by the authorized representative of the 
applicant. A copy of the governing body's authorization for signature 
of this application by this individual as the official representative 
must be on file in the applicant's office, and may be requested from 
the applicant.
    Item 18a-c. Typed Name of Authorized Representative, Title, 
Telephone Number--Enter the name, title and telephone number of the 
authorized representative of the applicant organization.
    Item 18d. Signature of Authorized Representative--Signature of the 
authorized representative named in Item 18a. At least one copy of the 
application must have an original signature. Use colored ink (not 
black) so that the original signature is easily identified.
    Item 18e. Date Signed--Enter the date the application was signed by 
the authorized representative.
2. SF 424A--Budget Information--Non-Construction Programs
    This is a form used by many Federal agencies. For this application, 
Sections

[[Page 35195]]

A, B, C, E and F are to be completed. Section D does not need to be 
completed.
    Sections A and B should include the Federal as well as the non-
Federal funding for the proposed project covering the first year budget 
period.
    Section A--Budget Summary. This section includes a summary of the 
budget. On line 5, enter total Federal costs in column (e) and total 
non-Federal costs, including third party in-kind contributions, but not 
program income, in column (f). Enter the total of (e) and (f) in column 
(g).
    Section B--Budget Categories. This budget, which includes the 
Federal as well as non-Federal funding for the proposed project, covers 
the first year budget period if the proposed project period exceeds 12 
months. It should relate to item 15g, total funding, on the SF 424. 
Under column (5), enter the total requirements for funds (Federal 
dollars in one column and non-Federal in the other) by object class 
category.
    A separate, itemized, budget justification for each line item is 
required. The types of information to be included in the justification 
are indicated under each category. For multiple-year projects, it is 
desirable to provide this information for each year of the project. 
Applicants should refer to the Budget and Budget Justification 
information in the Program Narrative section of the ACF/UDGAF on page 
27 (Item D) in Appendix A.
    Personnel--Line 6a. Enter the total costs of salaries and wages of 
applicant/grantee staff. Do not include the costs of consultants, which 
should be included on line 6h, Other.
    Justification: Identify the principal investigator or project 
director, if known. Specify by title or name the percentage of time 
allocated to the project, the individual annual salaries, and the cost 
to the project (both Federal and non-Federal) of the organization's 
staff who will be working on the project.
    Fringe Benefits--Line 6b. Enter the total cost of fringe benefits, 
unless treated as part of an approved indirect cost rate.
    Justification: Provide a break-down of amounts and percentages that 
comprise fringe benefit costs, such as health insurance, FICA, 
retirement insurance, etc.
    Travel--6c. Enter total costs of out-of-town travel (travel 
requiring per diem) for staff of the project. Do not enter costs for 
consultant's travel or local transportation, which should be included 
on Line 6h, Other.
    Justification: Include the name(s) of traveler(s), total number of 
trips, destinations, length of stay, transportation costs and 
subsistence allowances.
    Equipment--Line 6d. Enter the total costs of all equipment to be 
acquired by the project. Equipment is defined as non-expendable 
tangible personal property having a useful life of more than one year 
and a acquisition cost of $5,000 or more per unit.
    Justification: Equipment to be purchased with Federal funds must be 
justified. The equipment must be required to conduct the project, and 
the applicant organization or its sub-grantees must not have the 
equipment or a reasonable facsimile available to the project. The 
justification also must contain plans for future use or disposal of the 
equipment after the project ends.
    Supplies--Line 6e. Enter the total costs of all tangible expendable 
personal property (supplies) other than those included on Line 6d.
    Justification: Specify general categories of supplies and their 
costs.
    Contractual--Line 6f. Enter the total costs of all contracts, 
including (1) procurement contracts (except those which belong on other 
lines such as equipment, supplies, etc.) and (2) contracts with 
secondary recipient organizations, including delegate agencies. Also 
include any contracts with organizations for the provision of technical 
assistance. Do not include payments to individuals on this line. If the 
name of the contractor, scope of work, and estimated total costs are 
not available or have not been negotiated, include on Line 6h, other.
    Justification: Attach a list of contractors, indicating the names 
of the organizations, the purposes of the contracts, and the estimated 
dollar amounts of the awards as part of the budget justification. 
Whenever the applicant/grantee intends to delegate part or all of the 
program to another agency, the applicant/grantee must complete this 
section (Section B, Budget Categories) for each delegate agency by 
agency title, along with the supporting information. The total cost of 
all such agencies will be part of the amount shown on Line 6f. Provide 
back-up documentation identifying the name of contractor, purpose of 
contract, and major cost elements. Applicants who anticipate 
procurement that will exceed $5,000 (non-governmental entities) or 
$25,000 (governmental entities) and are requesting an award without 
competition should include a sole-source justification in the proposal 
which at a minimum should include the basis for contractor's selection, 
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 74.51 and 45 CFR Part 92.3, 
as property or services which benefit a grant-supported project or 
program and which are contributed by non-Federal third parties without 
charge to the grantee, the sub-grantee, or a cost-type contractor under 
the grant or sub-grant.

[[Page 35196]]

    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) and (e) would be 
used in the case of a 60 month project.
    Section F--Other Budget Information
    Direct Charges--Line 21, Not applicable.
    Indirect Charges--Line 22, Enter the type of indirect rate 
(provisional, predetermined, final or fixed) that will be in effect 
during the funding period, the estimated amount of the base to which 
the rate is applied, and the total indirect expense.
    Remarks--Line 23. If the total project period exceeds 12 months, 
you must enter your proposed non-Federal share of the project budget 
for each of the remaining years of the project.
3. Project Summary Description
    Clearly mark this separate page with the applicant name as shown in 
item 5 of the SF 424, the priority area number as shown at the top of 
the SF 424, and the title of the project as shown in item 11 of the SF 
424. The summary description should not exceed 300 words. These 300 
words become part of the computer database on each project.
    Care should be taken to produce a summary description which 
accurately and concisely reflects the application. It should describe 
the objectives of the project, the approaches to be used and the 
outcomes expected. The description should also include a list of major 
products that will result from the proposed project, such as software 
packages, materials, management procedures, data collection 
instruments, training packages, or videos. (Please note that 
audiovisuals should be closed captioned.) The project summary 
description, together with the information on the SF 424, will 
constitute the project abstract. It is the major source of information 
about the proposed project and is usually the first part of the 
application that the reviewers read in evaluating the application.
    At the bottom of the page, following the summary description, type 
up to 10 key words which best describe the proposed project, the 
service(s) involved and the target population(s) to be covered. These 
key words will be used for computerized information retrieval for 
specific types of funded projects. Applicants should refer to the 
instructions in Appendix A under the Program Narrative section on page 
23 (Item A.1) regarding the project summary.
4. Program Narrative Statement
    The Program Narrative Statement is a very important part of an 
application. It should be clear, concise, and address the specific 
requirements mentioned under the priority area description in Part II.
    The narrative should provide information c Background and 
Significance.
    (c) Methodology. The narrative should be typed double-spaced on a 
single-side of an 8\1/2\'' x 11'' plain white paper, with 1'' margins 
on all sides, using standard type sizes or fonts (e.g., Times Roman 12 
or Courier 10). Applicants should not submit reproductions of larger 
size paper reduced to meet the size requirement. Applicants are 
requested not to send pamphlets, brochures, or other printed material 
along with their application as they pose copying difficulties. All 
pages of the narrative (including charts, references/footnotes, tables, 
maps, exhibits, etc.) must be sequentially numbered, beginning with 
``Objectives'' as page number one.
    The length of the application, including the application forms and 
all attachments, should not exceed 60 pages, except for applications 
for priority area 2.02 which has different page limits as described in 
that section of the announcement. Anything over the limit will not be 
reproduced and distributed to reviewers. Applicants should understand 
that except for priority area 2.02, only the first 60 pages of material 
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.
5. Organizational Capability Statement
    The Organizational Capability Statement should consist of a brief 
(two pages is suggested) background description of how the applicant 
organization (or the unit within the organization that will have 
responsibility for the project) is organized, the types and quantity of 
services it provides, and/or the research and management capabilities 
it possesses. This description should cover capabilities not included 
in the Program Narrative Statement. It may include descriptions of any 
current or previous relevant experience, or describe the competence of 
the project team and its demonstrated ability to produce a final 
product that is readily comprehensible and usable. An organization 
chart showing the relationship of the project to the current 
organization must be included.
6. Assurances/Certifications
    Applicants are required to file an SF 424B, Assurances--Non-
Construction Programs and the Certification Regarding Lobbying. Both 
must be signed and returned with the application. In addition, 
applicants must certify their compliance with: (1) Drug-free Work-place 
Requirements; and (2) Debarment and Other Responsibilities. Copies of 
the assurances/certifications are reprinted at the end of this 
announcement and should be reproduced, as necessary. A duly authorized 
representative of the applicant organization must certify that the 
applicant is in compliance with these assurances/certifications. A 
signature on the SF 424 indicates compliance with the Drug-free Work-
place Requirements, and Debarment and Other Responsibilities 
certifications.
    A signature on the application constitutes an assurance that the 
applicant will comply with the pertinent Departmental regulations 
contained in 45 CFR part 74.

F. Checklist for a Complete Application

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

--One original, signed and dated application, plus two copies. 
Applications for different priority areas are packaged separately;
--Application is from an organization which is eligible under the 
eligibility requirements defined in the priority area description 
(screening requirement);
--Application length does not exceed 60 pages, unless otherwise 
specified in the priority area description. A complete application 
consists of the following items in this order:
--Application for Federal Assistance (SF 424, REV 4-92);
--A completed SPOC certification with the date of SPOC contact entered 
in line 16, page 1 of the SF 424;

[[Page 35197]]

--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 D);
--Organizational capability statement, including an organization chart;
--Any appendices/attachments;
--Assurances-Non-Construction Programs (Standard Form 424B, REV 4-88);
--Certification Regarding Lobbying; and
--Certification of Protection of Human Subjects, if necessary.

G. The Application Package

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

    Dated: June 19, 1997.
James A. Harrell,
Acting Commissioner, Administration on Children, Youth and Families.

BILLING CODE 4184-01-P

[[Page 35198]]

[GRAPHIC] [TIFF OMITTED] TN30JN97.000



BILLING CODE 4184-01-C

[[Page 35199]]

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) & 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

[[Page 35200]]

[GRAPHIC] [TIFF OMITTED] TN30JN97.001



BILLING CODE 4184-01-C

[[Page 35201]]

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.
    Lines 6a-i--Show the totals of Lines 6a to 6h in each column.
    Line 6j--Show the amount of indirect cost.
    Line 6k--Enter the total of amounts on Lines 6i and 6j. For all 
applications for new grants and continuation grants the total amount 
in column (5), Line 6k, should be the same as the total amount shown 
in Section A, Column (g), Line 5. For supplemental grants and 
changes to grants, the total amount of the increase or decrease as 
shown in Columns (1)-(4), Line 6k, should be the same as the sum of 
the amounts in Section A, Columns (e) and (f) on Line 5.
    Line 7--Enter the estimated amount of income, if any, expected 
to be generated from this project. Do not add or subtract this 
amount from the total project amount. Show under the program 
narrative statement the nature and source of income. The estimated 
amount of program income may be considered by the federal grantor 
agency in determining the total amount of the grant.

Section C. Non-Federal Resources

    Lines 8-11 Enter amounts of non-Federal resources that will be 
used on the grant. If in-kind contributions are included, provide a 
brief explanation on a separate sheet.
    Column (a)--Enter the program titles identical to Column (a), 
Section A. A breakdown by function or activity is not necessary.
    Column (b)--Enter the contributions 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

    Line 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 35202]]

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 CFR 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 nondiscrimination 
in the sale, rental or financing of housing; (i) any other 
nondiscrimination provisions in the specific statute(s) under which 
application for Federal assistance is being made; and (j) the 
requirements of any other nondiscrimination statute(s) which may 
apply to the application.
    7. Will comply, or has already complied, with the requirements 
of Titles II and III of the Uniform Relocation Assistance and Real 
Property Acquisition Policies Act of 1970 (P.L. 91-646) which 
provide for fair and equitable treatment of persons displaced or 
whose property is acquired as a result of Federal or federally 
assisted programs. These requirements apply to all interests in real 
property acquired for project purposes regardless of Federal 
participation in purchases.
    8. Will comply, as applicable, with the provisions of the Hatch 
Act (5 U.S.C. Secs. 1501-1508 and 7324-7328) which limit the 
political activities of employees whose principal employment 
activities are funded in whole or in part with Federal funds.
    9. Will comply, as applicable, with the provisions of the Davis-
Bacon Act (40 U.S.C. Secs. 276a to 276a-7), the Copeland Act (40 
U.S.C. Secs. 276c and 18 U.S.C. Secs. 874), and the Contract Work 
Hours and Safety Standards Act (40 U.S.C. Secs. 327-333), regarding 
labor standards for federally assisted construction subagreements.
    10. Will comply, if applicable, with flood insurance purchase 
requirements of Section 102(a) of the Flood Disaster Protection Act 
of 1973 (P.L. 93-234) which requires recipients in a special flood 
hazard area to participate in the program and to purchase flood 
insurance if the total cost of insurable construction and 
acquisition is $10,000 or more.
    11. Will comply with environmental standards which may be 
prescribed pursuant to the following: (a) institution of 
environmental quality control measures under the National 
Environmental Policy Act of 1969 (P.L. 91-190) and Executive Order 
(EO) 11514; (b) notification of violating facilities pursuant to EO 
11738; (c) protection of wetlands pursuant to EO 11990; (d) 
evaluation of flood hazards in floodplains in accordance with EO 
11988; (e) assurance of project consistency with the approved State 
management program developed under the Coastal Zone Management Act 
of 1972 (16 U.S.C. Secs. 1451 et seq.); (f) conformity of Federal 
actions to State (Clear Air) Implementation Plans under Section 
176(c) of the Clear Air Act of 1955, as amended (42 U.S.C. 
Secs. 7401 et seq.); (g) protection of underground sources of 
drinking water under the Safe Drinking Water Act of 1974, as 
amended, (P.L. 93-523); and (h) protection of endangered species 
under the Endangered Species Act of 1973, as amended, (P.L. 93-205).
    12. Will comply with the Wild and Scenic Rivers Act of 1968 (16 
U.S.C. Secs. 1271 et seq.) related to protecting components or 
potential components of the national wild and scenic rivers system.
    13. Will assist the awarding agency in assuring compliance with 
Section 106 of the National Historic Preservation Act of 1966, as 
amended (16 U.S.C. 470), EO 11593 (identification and protection of 
historic properties), and the Archaeological and Historic 
Preservation Act of 1974 (16 U.S.C. 469a-1 et seq.).
    14. Will comply with P.L. 93-348 regarding the protection of 
human subjects involved in research, development, and related 
activities supported by this award of assistance.
    15. Will comply with the Laboratory Animal Welfare Act of 1966 
(P.L. 89-544, as amended, 7 U.S.C. 2131 et seq.) pertaining to the 
care, handling, and treatment of warm blooded animals held for 
research, teaching, or other activities supported by this award of 
assistance.
    16. Will comply with the Lead-Based Paint Poisoning Prevention 
Act (42 U.S.C. Secs. 4801 et seq.) which prohibits the use of lead 
based paint in construction or rehabilitation of residence 
structures.
    17. Will cause to be performed the required financial and 
compliance audits in accordance with the Single Audit Act of 1984 or 
OMB Circular No. A-133, Audits of Institutions of Higher Learning 
and other Non-profit Institutions.
    18. Will comply with all applicable requirements of all other 
Federal laws, executive orders, regulations and policies governing 
this program.

----------------------------------------------------------------------
Signature of Authorized Certifying Official

----------------------------------------------------------------------
Applicant Organization

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

----------------------------------------------------------------------
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 35203]]

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

A. Project Description--Components

1. Project Summary/Abstract

    A summary of the project description (usually a page or less) 
with reference to the funding request should be placed directly 
behind the table of contents or SF-424.

2. Objectives and Need for Assistance

    Applicants must clearly identify the physical, economic, social, 
financial, institutional, or other problem(s) requiring a solution. 
The need for assistance must be demonstrated and the principal and 
subordinate objectives of the project must be clearly stated; 
supporting documentation such as letters of support and testimonials 
from concerned interests other than the applicant may be included. 
Any relevant data based on planning studies should be included or 
referenced in the endnotes/footnotes. Incorporated 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 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 governments 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 
projects 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 schedule, 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.

[[Page 35204]]

    3. The grant budget, broken down into the object class 
categories on the 424A, and if category ``other'' is used, the 
specific items supported must be identified.
    4. Required certifications.
    A full application consists of all elements required for an 
abbreviated application plus:
    1. Program narrative information explaining significant changes 
to the original program narrative statement, a description of 
accomplishments from the prior budget period, a projection of 
accomplishments throughout the entire remaining project period, and 
any other supplemental information that ACF informs the grantee is 
necessary.
    2. A full budget proposal for the budget period under 
consideration with a full cost analysis of all budget categories.
    3. A corrective action plan, if requested by ACF, to address 
organizational performance weaknesses.

C. Supplemental Requests

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

D. Budget and Budget Justification

    Provide line item detail and detailed calculations for each 
budget object class identified on the Budget Information form. 
Detailed calculations must include estimation methods, quantities, 
unit costs, and other similar quantitative detail sufficient for the 
calculation to be duplicated. The detailed budget must also include 
a breakout by the funding sources identified in Block 15 of the SF-
424.
    Provide a narrative budget justification which describes how the 
categorical costs are derived. Discuss the necessity, 
reasonableness, and allocability of the proposed costs.
    The following guidelines are for preparing the budget and budget 
justification. Both federal and non-federal resources should be 
detailed and justified in the budget and narrative justification. 
For purposes of preparing the program narrative, ``federal 
resources'' refers only to the ACF grant for which you are applying. 
Non-Federal resources are all other federal and nonfederal 
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) 
$5000.
    Justification: For each type of equipment requested, provide a 
description of the equipment, cost per unit, number of units, total 
cost, and a plan for use on the project, as well as use or disposal 
of the equipment after the project ends.
    Supplies. Costs of all tangible personal property (supplies) 
other than that included under the Equipment category.
    Justification: Specify general categories of supplies and their 
costs. Show computations and provide other information which 
supports the amount requested.
    Contractual. Costs of all contracts for services and goods 
except for those which belong under other categories such as 
equipment, supplies, construction, etc. Third-party evaluation 
contracts (if applicable) and contracts with secondary recipient 
organizations including delegate agencies and specific project(s) of 
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 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 or 
renegotiating rate, it should immediately upon notification that an 
award will be made, develop a tentative indirect cost rate proposal 
based on its most recently completed fiscal year in accordance with 
the principles set forth in the pertinent DHHS Guide for 
Establishing Indirect Cost Rates and submit it to the appropriate 
DHHS Regional Office. Applicants awaiting approval of their indirect 
cost proposals may also request indirect costs. It should be noted 
that when an indirect cost rate is requested, those costs included 
in the indirect cost pool should not be also charged as direct costs 
to the grant. Also, if the applicant is requesting a rate which is 
less than what is allowed under this program announcement, the 
authorized representative of your organization needs to submit a 
signed acknowledgement that the applicant is accepting a lower rate 
than allowed.
    Program Income. The estimated amount of income, if any, expected 
to be generated from this project. Separately show expected program 
income generated from program support and income generated from 
other mobilized funds. Do not add or subtract this amount from the 
budget total. Show the nature and source of income in the program 
narrative statement.
    Justification: Describe the nature, source and anticipated use 
of program income in the

[[Page 35205]]

budget or reference pages in the program narrative statement which 
contain this information.
    Non-Federal Resources. Amounts of non-Federal resources that 
will be used to support the project as identified in Block 15 of the 
SF-424.
    Justification: The firm commitment of these resources must be 
documented and submitted with the application in order to be given 
credit in the review process.
    Total Direct Charges, Total Indirect Charges, Total Project 
Costs. (self explanatory)
    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 point is: Division of Grants 
Management and Oversight, Office of Management and Acquisition, 
Department of Health and Human Services, Room 517-D, 200 
Independence Avenue, SW., Washington, DC 20201.

Certification Regarding Drug-Free Workplace Requirements

(Instructions for Certification)

    1. By signing and/or submitting this application or grant 
agreement, the grantee is providing the certification set out below.
    2. The certification set out below is a material representation 
of fact upon which reliance is placed when the agency awards the 
grant. If it is later determined that the grantee knowingly rendered 
a false certification, or otherwise violates the requirements of the 
Drug-Free Workplace Act, the agency, in addition to any other 
remedies available to the Federal Government, may take action 
authorized under the Drug-Free Workplace Act.
    3. For grantees other than individuals, Alternate I applies.
    4. For grantees who are individuals, Alternate II applies.
    5. Workplaces under grants, for grantees other than individuals, 
need not be identified on the certification. If known, they may be 
identified in the grant application. If the grantee does not 
identify the workplaces at the time of application, or upon award, 
if there is no application, the grantee must keep the identity of 
the workplace(s) on file in its office and make the information 
available for Federal inspection. Failure to identify all known 
workplaces constitutes a violation of the grantee's drug-free 
workplace requirements.
    6. Workplace identifications must include the actual address of 
buildings (or parts of buildings) or other sites where work under 
the grant takes place. Categorical descriptions may be used (e.g., 
all vehicles of a mass transit authority or State highway department 
while in operation, State employees in each local unemployment 
office, performers in concert halls or radio studios).
    7. If the workplace identified to the agency changes during the 
performance of the grant, the grantee shall inform the agency of the 
change(s), if it previously identified the workplaces in question 
(see paragraph five).
    8. Definitions of terms in the Nonprocurement Suspension and 
Debarment common rule and Drug-Free Workplace common rule apply to 
this certification. Grantees' attention is called, in particular, to 
the following definitions from these rules:
    Controlled substance means a controlled substance in Schedules I 
through V of the Controlled Substances Act (21 U.S.C. 812) and as 
further defined by regulation (21 CFR 1308.11 through 1308.15);
    Conviction means a finding of guilt (including a plea of nolo 
contendere) or imposition of sentence, or both, by any judicial body 
charged with the responsibility to determine violations of the 
Federal or State criminal drug statutes;
    Criminal drug statute means a Federal or non-Federal criminal 
statute involving the manufacture, distribution, dispensing, use, or 
possession of any controlled substance;
    Employee means the employee of a grantee directly engaged in the 
performance of work under a grant, including: (i) All direct charge 
employees; (ii) All indirect charge employees unless their impact or 
involvement is insignificant to the performance of the grant; and, 
(iii) Temporary personnel and consultants who are directly engaged 
in the performance of work under the grant and who are on the 
grantee's payroll. This definition does not include workers not on 
the payroll of the grantee (e.g., volunteers, even if used to meet a 
matching requirement; consultants or independent contractors not on 
the grantee's payroll; or employees of subrecipients or 
subcontractors in covered workplaces).

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 an ongoing drug-free awareness program to 
inform employees about--
    (1) The dangers of drug abuse in the workplace;
    (2) The grantee's policy of maintaining a drug-free workplace;
    (3) Any available drug counseling, rehabilitation, and employee 
assistance programs; and
    (4) The penalties that may be imposed upon employees for drug 
abuse violations occurring in the workplace;
    (c) Making it a requirement that each employee to be engaged in 
the performance of the grant be given a copy of the statement 
required by paragraph (a);
    (d) Notifying the employee in the statement required by 
paragraph (a) that, as a condition of employment under the grant, 
the employee will--
    (1) Abide by the terms of the statement; and
    (2) Notify the employer in writing of his or her conviction for 
a violation of a criminal drug statute occurring in the workplace no 
later than five calendar days after such conviction;
    (e) Notifying the agency in writing, within ten calendar days 
after receiving notice under paragraph (d)(2) from an employee or 
otherwise receiving actual notice of such conviction. Employers of 
convicted employees must provide notice, including position title, 
to every grant officer or other designee on whose grant activity the 
convicted employee was working, unless the Federal agency has 
designated a central point for the receipt of such notices. Notice 
shall include the identification number(s) of each affected grant;
    (f) Taking one of the following actions, within 30 calendar days 
of receiving notice under paragraph (d)(2), with respect to any 
employee who is so convicted--
    (1) Taking appropriate personnel action against such an 
employee, up to and including termination, consistent with the 
requirements of the Rehabilitation Act of 1973, as amended; or
    (2) Requiring such employee to participate satisfactorily in a 
drug abuse assistance or rehabilitation program approved for such 
purposes by a Federal, State, or local health, law enforcement, or 
other appropriate agency;
    (g) Making a good faith effort to continue to maintain a drug-
free workplace through implementation of paragraphs (a), (b), (c), 
(d), (e) and (f).
    (B) The grantee may insert in the space provided below the 
site(s) for the performance of work done in connection with the 
specific grant:

Place of Performance (Street address, city, county, state, zip code) 


----------------------------------------------------------------------

----------------------------------------------------------------------

    Check {time}  if there are workplaces on file that are not 
identified here.

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.

[[Page 35206]]

[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 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.
    (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.

[[Page 35207]]

    (1) The prospective primary participant certifies to the best of 
its knowledge and belief, that it and its principals:
    (a) Are not presently debarred, suspended, proposed for 
debarment, declared ineligible, or voluntarily excluded by any 
Federal department or agency;
    (b) Have not within a three-year period preceding this proposal 
been convicted of or had a civil judgment rendered against them for 
commission of fraud or a criminal offense in connection with 
obtaining, attempting to obtain, or performing a public (Federal, 
State or local) transaction or contract under a public transaction; 
violation of Federal or State antitrust statutes or commission of 
embezzlement, theft, forgery, bribery, falsification or destruction 
of records, making false statements, or receiving stolen property;
    (c) Are not presently indicted for or otherwise criminally or 
civilly charged by a governmental entity (Federal, State or local) 
with commission of any of the offenses enumerated in paragraph 
(1)(b) of this certification; and
    (d) Have not within a three-year period preceding this 
application/proposal had one or more public transactions (Federal, 
State or local) terminated for cause or default.
    (2) Where the prospective primary participant is unable to 
certify to any of the statements in this certification, such 
prospective participant shall attach an explanation to this 
proposal.

BILLING CODE 4184-01-P

[[Page 35208]]

[GRAPHIC] [TIFF OMITTED] TN30JN97.009



BILLING CODE 4184-01-C

[[Page 35209]]

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 funded 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 office 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, of modification 
of any Federal contract, grant, loan or cooperative agreement.
    (2) If any funds other than Federal appropriated funds have been 
paid or will be paid to any person for influencing or attempting to 
influence an officer or employee of any agency, a Member of 
Congress, an officer or employee of Congress, or an employee of a 
Member of Congress in connection with this Federal contract, grant, 
loan, or cooperative agreement, the undersigned shall complete and 
submit Standard Form--LLL, ``Disclosure Form to Report Lobbying,'' 
in accordance with its instructions.
    (3) the undersigned shall require that the language of this 
certification be included in the award documents for all subawards 
at all tiers (including subcontracts, subgrants, and contracts under 
grants, loans, and cooperative agreements) and that all 
subrecipients shall certify and disclose accordingly.
    This certification is a material representation of fact upon 
which reliance was placed when this transaction was made or entered 
into. Submission of this certification is a prerequisite for making 
or entering into this transaction imposed by section 1352, title 31, 
U.S. Code. Any person who fails to file the required certification 
shall be subject to a civil penalty of not less than $10,000 and not 
more than $100,000 for each such failure.

Statement for Loan Guarantees and Loan Insurance

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

BILLING CODE 4184-01-P

[[Page 35210]]

[GRAPHIC] [TIFF OMITTED] TN30JN97.010



BILLING CODE 4184-01-C

[[Page 35211]]

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 grants, 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 $100 
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.

Appendix B

OMB State Single Point of Contact Listing

Arizona

Joni Saad, Arizona State Clearinghouse, 3800 N. Central Avenue, 
Fourteenth Floor, Phoenix, Arizona 85012; Telephone (602) 280-1315, 
FAX: (602) 280-1305.

Arkansas

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

California

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

Delaware

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

District of Columbia

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

Florida

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

Georgia

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

Illinois

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

Indiana

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

Iowa

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

Kentucky

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

Maine

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

Maryland

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

Michigan

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

Mississippi

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

Missouri

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

Nevada

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

New Hampshire

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

New Mexico

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

New York

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

North Carolina

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

North Dakota

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

Ohio

Larry Weaver, State Single Point of Contact, State Clearinghouse, 
Office of Budget and Management, 30 East Broad Street, 34th Floor, 
Columbus, Ohio 43266-0411.
Please direct correspondence and questions about intergovernmental 
review to: Linda Wise, Telephone: (614) 466-0698, FAX: (614) 466-
5400

Rhode Island

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

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

South Carolina

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

Texas

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

Utah

Carolyn Wright, Utah State Clearinghouse, Office of Planning and 
Budget, Room 116 State Capitol, Salt Lake City, Utah 84114; 
Telephone: (801) 538--1535, FAX: (801) 528-1547

West Virginia

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

[[Page 35212]]

Wisconsin

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

Wyoming

Matthew Jones, State Single Point of Contact, Office of the 
Governor, 200 West 24th Street, State Capitol, Room 124, Cheyenne, 
Wyoming 82002; Telephone: (307) 777-7446, FAX: (307) 631-3909

Territories

Guam

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

Puerto Rico

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

North Mariana Islands

Mr. Alvaro A. Santos, Executive Officer, State Single Point of 
Contact, Office of Management and Budget, Office of the Governor, 
Saipan, MP, Northern Mariana Islands 96950; Telephone: (670) 664-
2289, FAX: (670) 644-2272

Virgin Islands

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

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

    In accordance with Executive Order #12372, ``Intergovernmental 
Review of Federal Programs,'' this listing represents the designated 
State Single Points of Contact. The jurisdictions not listed no 
longer participate in the process but grant applicants are still 
eligible to apply for the grant even if your state, territory, 
commonwealth, etc. does not have a ``State single point of 
contact.'' States without ``State single point of contact'' include: 
Alabama, Alaska, American Samoa, Colorado, Connecticut, Kansas, 
Hawaii, Idaho, Louisiana, Massachusetts, Palau, Minnesota, Montana, 
Nebraska, New Jersey, Oklahoma, Oregon, Pennsylvania, South Dakota, 
Tennessee, Vermont, Virginia, and Washington. This list is based on 
the most current information provided by the States. Information on 
any changes or apparent errors should be provided to the Office of 
Management and Budget and the State in question. Changes to the list 
will only be made upon formal question. Changes to the list will 
only be made upon formal notification by the State. Also, this 
listing is published biannually in the Catalogue of Federal Domestic 
Assistance.

[FR Doc. 97-16935 Filed 6-27-97; 8:45 am]
BILLING CODE 4184-01-P