[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]
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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).
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SUMMARY: The National Center on Child Abuse and Neglect/ Children's
Bureau announces the availability of Fiscal Year 1997 funding for
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
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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
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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