[Federal Register Volume 60, Number 68 (Monday, April 10, 1995)]
[Notices]
[Pages 18107-18129]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-8760]



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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Adoption Opportunities Program

AGENCY: Administration on Children, Youth and Families (ACYF), 
Administration for Children and Families (ACF), Department of Health 
and Human Services (DHHS).
ACTION: Announcement of the Availability of Financial Assistance and 
Request for Applications to Carry Out Demonstration Projects Funded 
Under the Adoption Opportunities Branch in the Children's Bureau, 
Administration on Children, Youth and Families.

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SUMMARY: The Children's Bureau of the Administration on Children, Youth 
and Families announces the availability of fiscal year 1995 funds for 
grants to public or private nonprofit child welfare and adoption 
agencies, organizations and adoptive parent groups to assist in 
supporting programs directed to: (A) Increasing the placements in 
adoptive families of minority children who are in foster care and have 
the goal of adoption, with a special emphasis on the recruitment of 
minority families; (B) providing post-legal adoption services for 
families who have adopted special needs children; and, (C) increasing 
the rate of placement of children in foster care who are legally free 
for adoption. Funding for these grants is authorized under Title II of 
the Child Abuse Prevention and Treatment and Adoption Reform Act of 
1978 (P.L. 95-266, as amended).
    This announcement contains all necessary application materials.

DATES: The closing date for submission of applications is June 9, 1995.

ADDRESSES: Applications may be mailed to the Department of Health and 
Human Services, Administration for Children and Families, Division of 
Discretionary Grants, 370 L'Enfant Promenade, SW., 6th Floor East, OFM/
DDG, Washington, DC. 20447.
    Hand delivered applications are accepted during normal working 
hours of 8 a.m. to 4:30 p.m., Monday through Friday, on or prior to the 
established closing date at: Administration for Children and Families, 
Division of Discretionary Grants, 6th Floor OFM/DDG, 901 D Street, SW., 
Washington, DC. 20447.

FOR FURTHER INFORMATION CONTACT: ACYF Operations Program, Telephone: 1 
(800) 351-2293.

SUPPLEMENTARY INFORMATION: 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.
    The concerns of ACYF extend to all children from birth through 
adolescence, with particular emphasis on children who have special 
needs. Many of the programs administered by the agency focus on 
children from low-income families; children and youth in need of foster 
care, adoption or other child welfare services; preschool children, 
including children with disabilities; abused and neglected children; 
runaway and homeless youth; and children from Native American families.
    The priority areas identified in this announcement are derived from 
legislative mandates as well as Departmental goals and initiatives. The 
priorities reflect the state of current knowledge as well as emerging 
issues which come to ACYF's attention by several means including 
consultation with advocates, policymakers, and practitioners in the 
field. The priorities seek to focus attention on and to encourage 
demonstration efforts to obtain new knowledge and improvements in 
service delivery for the solution of particular problems and to promote 
the dissemination and utilization of the knowledge and model practices 
developed under these priorities.
    This program announcement consists of three parts. Part I provides 
information on the goals of the Children's Bureau (CB), the ACYF office 
which is requesting applications, and the statutory authorities for 
awarding grants. [[Page 18108]] 
    Part II describes the review process and the programmatic 
priorities under which applications are being solicited.
    Part III provides information and instructions for the development 
and submission of applications.

Part I--Introduction

A. Goals of the Children's Bureau

    Within ACYF, Children's Bureau coordinates and supports child 
welfare services programs. It administers the Foster Care and Adoption 
Assistance Program, the Child Welfare Services Program, the Child 
Welfare Research, Demonstration and Training Program, the Adoption 
Opportunities Program, the Temporary Child Care and Crisis Nurseries 
Program, Independent Living Program and the Abandoned Infants 
Assistance Program.
    The Bureau's programs are designed to promote the welfare of all 
children, including disabled, homeless, dependent or neglected children 
and their families. The programs aid in preventing and remedying the 
neglect, abuse and exploitation of children and the unnecessary 
separation of children from families.

B. The Statutory Authority Covering This Announcement is Title II of 
the Child Abuse Prevention and Treatment and Adoption Reform Act of 
1978 (Pub. L. 95-266 as Amended)

    The Adoption Opportunities Program provides financial support for 
demonstration projects to: Improve adoption practices; eliminate 
barriers to adoption; and find permanent homes for children, 
particularly children with special needs. Authorization: Child Abuse 
Prevention and Treatment and Adoption Reform Act of 1978, Title II, 
Section 203, as amended, Public Law 95-266; Pub. L. 98-457, the Child 
Abuse Prevention, Adoption and Family Services Act of 1988, as amended, 
Title II, Section 201, Pub. L. 100-294; Pub. L. 102-295; 42 U.S.C. 5111 
et seq.

Part II--Review Process and Priority Areas

A. Eligible Applicants

    Each priority area description contains information about the types 
of agencies and organizations which are eligible to apply under that 
priority area. Because eligibility varies depending on statutory 
provisions, it is critical that the ``Eligible Applicants'' section of 
each priority area be reviewed carefully.
    Before review, each application will be screened for applicant 
organization eligibility as specified under the selected priority area. 
Applications from ineligible organizations will not be considered or 
reviewed in the competition, and the applicant will be so informed.
    Only agencies and organizations, not individuals, are eligible to 
apply under this Announcement. All applications developed jointly by 
more than one agency or organization, must identify only one lead 
organization and official applicant. Participating agencies and 
organizations can be included as co-participants, subgrantees or 
subcontractors. For-profit organizations are eligible to participate as 
subgrantees or subcontractors with eligible non-profit organizations 
under all priority areas.
    Any non-profit agency which has not previously received Federal 
support must submit proof of non-profit status either by making 
reference to its listing in the Internal Revenue Service's (IRS) most 
recent list of tax-exempt organizations or by submitting a copy of its 
letter from the IRS under IRS Code Section 501(c)(3). The ACYF cannot 
fund a non-profit applicant without acceptable proof of its non-profit 
status.

B. Review Process and Funding Decisions

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

C. Evaluation Criteria

    A panel of at least three reviewers (primarily experts from outside 
the Federal government) will review the applications. To facilitate 
this review, applicants should ensure that they address each minimum 
requirement in the priority area description under the appropriate 
section of the Program Narrative Statement.
    The reviewers will determine the strengths and weaknesses of each 
application using the evaluation criteria listed below, provide 
comments and assign numerical scores. The point value following each 
criterion heading indicates the maximum numerical weight.
    All applications will be evaluated against the following criteria.
    (1). Objective and Need for Assistance (20 points). The extent to 
which the application pinpoints any relevant physical, economic, 
social, financial, institutional or other problems requiring a 
solution; demonstrates the need for the assistance; states the 
principal and subordinate objectives of the project; provides 
supporting documentation or other testimonies from concerned interests 
other than the applicant; and includes and/or footnotes relevant data 
based on the results of planning studies. The application must identify 
the precise location of the project and area to be served by the 
proposed project. Maps and other graphic aids may be attached.
    (2). Approach (35 points). The extent to which the application 
outlines a sound and workable plan of action pertaining to the scope of 
the project, and details how the proposed work will be accomplished; 
cites factors which might accelerate or decelerate the work, giving 
acceptable reasons for taking this approach as opposed to others; 
describes and supports any unusual [[Page 18109]] features of the 
project, such as design or technological innovations, reductions in 
cost or time, or extraordinary social and community involvements; and 
provides for projections of the accomplishments to be achieved. It 
lists the activities to be carried out in chronological order, showing 
a reasonable schedule of accomplishments and target dates.
    The extent to which, when appropriate, the application identifies 
the kinds of data to be collected and maintained, and discusses the 
criteria to be used to evaluate the results and successes of the 
project. The extent to which the application describes the evaluation 
methodology that will be used to determine if the needs identified and 
discussed are being met and if the results and benefits identified are 
being achieved. The application also lists each organization, agency, 
consultant, or other key individuals or groups who will work on the 
project, along with a description of the activities and nature of their 
effort or contribution.
    (3). Results or Benefits Expected (20 points). The extent to which 
the application identifies the results and benefits to be derived, the 
extent to which they are consistent with the objectives of the 
application, and the extent to which the application indicates the 
anticipated contributions to policy, practice, theory and/or research. 
The extent to which the proposed project costs are reasonable in view 
of the expected results.
    (4). Staff Background and Organization's Experience (25 points). 
The application identifies the background of the project director/
principal investigator and key project staff (including name, address, 
training, educational background and other qualifying experience) and 
the experience of the organization to demonstrate the applicant's 
ability to effectively and efficiently administer the project. The 
application describes the relationship between the proposed project and 
other work planned, anticipated or underway by the applicant with 
Federal assistance.

D. Structure of Priority Area Descriptions

    Each priority area description is composed of the following 
sections:
    Eligible Applicants: This section specifies the type of 
organization eligible to apply under the particular priority area. 
Specific restrictions are also noted, where applicable.
    Purpose: This section presents the basic focus and/or broad goal(s) 
of the priority area.
    Background Information: This section briefly discusses the 
legislative background as well as the current state-of-the-art and/or 
current state-of-practice that supports the need for the particular 
priority area activity. Relevant information on projects previously 
funded by ACYF and/or others, and State models are noted, where 
applicable.
    Minimum Requirements for Project Design: This section presents the 
basic set of issues that must be addressed in the application. 
Typically, they relate to project design, evaluation, and community 
involvement. This section also asks for specific information on the 
proposed project. Inclusion and discussion of these items is important 
since they will be used by the reviewers in evaluating the applications 
against the evaluation criteria. Project products, continuation of the 
project effort after the Federal support ceases, and dissemination/
utilization activities, if appropriate, are also addressed.
    Project Duration: This section specifies the maximum allowable 
length of time for the project period; it refers to the amount of time 
for which Federal funding is available.
    Federal Share of Project Cost: This section specifies the maximum 
amount of Federal support for the project for the first budget year.
    Matching Requirement: This section specifies the minimum non 
Federal contribution, either through cash or in-kind match, required in 
relation to the maximum Federal funds requested for the project. 
Grantees must provide at least 10 percent of the total approved cost of 
the project. The total approved cost of the project is the sum of the 
ACF share and the non-Federal share. The non-Federal share may be met 
by cash or in-kind contributions, although applicants are encouraged to 
meet their match requirements through cash contributions. Therefore, a 
project requesting $200,00 in Federal funds (based on an award of 
$100,000 per budget period) must include a match of at least $20,000 
(10 percent of the total Federal cost).
    Anticipated Number of Projects To Be Funded: This section specifies 
the number of projects that ACYF anticipates it will fund under the 
priority area.
    Please note that applications that do not comply with the specific 
priority area requirements in the section on ``Eligible Applicants'' 
will not be reviewed. Applicants should also note that non-
responsiveness to the section ``Minimum Requirements for Project 
Design'' will result in a low evaluation score by the reviewers. 
Applicants must clearly identify the specific priority area under which 
they wish to have their applications considered, and tailor their 
applications accordingly. Previous experience has shown that an 
application which is broader and more general in concept than outlined 
in the priority area description scores lower than one more clearly 
focused on, and directly responsive to, that specific priority area.

E. Available Funds

    The ACYF intends to award new grants resulting from this 
announcement during the fourth quarter of fiscal year 1995, subject to 
the availability of funds. The size of the actual awards will vary.
    Each priority area description includes information on the maximum 
Federal share of the project costs and the anticipated number of 
projects to be funded.
    The term ``budget period'' refers to the interval of time (usually 
12 months) into which a multi-year period of assistance (project 
period) is divided for budgetary and funding purposes. The term 
``project period'' refers to the total time a project is approved for 
support, including any extensions.
    Where appropriate, applicants may propose project periods which are 
shorter than the maximums specified in the various priority areas. Non-
Federal share contributions may exceed the minimums specified in the 
various priority areas when the applicant is able to do so. However, 
applicants should propose only that non-Federal share they can 
realistically provide since any unmatched Federal funds will be 
disallowed by ACF.
    For multi-year projects, continued Federal funding beyond the first 
budget period is dependent upon satisfactory performance by the 
grantee, availability of funds from future appropriations and a 
determination that continued funding is in the best interest of the 
Government.

F. Grantee Share of Project Costs

    Grantees must provide at least 10 percent of the total approved 
cost of the project. The total approved cost of the project is the sum 
of the ACF share and the non-Federal share. The non-Federal share may 
be met by cash or in-kind contributions, although applicants are 
encouraged to meet their match requirements through cash contributions. 
Therefore, a project requesting $200,000 in Federal funds (based on an 
award of $100,000 per budget period), must include a match of at least 
$20,000 (10 percent of the total Federal cost). If approved for 
funding, grantee will be held accountable for commitments of non-
Federal resources and failure to provide the required 
[[Page 18110]] amount will result in a disallowance of unmatched 
Federal funds.

G. Index of Priority Areas

    To assist potential applicants in using this announcement, a 
priority area index in numerical order, is presented below.
1.01  Synthesis of Results of Minority Adoption Recruitment Projects 
for Special Needs Adoption
1.02  Field Initiated Applications to Improve Adoption Services to 
Children With Special Needs
1.03  Improved Permanency Outcomes of Adolescents
1.04  Service Improvements in Special Needs Adoption
1.05  Adoptive Placement of Foster Care Children
1.06  Respite Care as a Service for Families Who Adopt Children With 
Special Needs

H. Priority Areas

1.01  Synthesis of Results of Minority Adoption Recruitment Projects 
for Special Needs Children
    Eligible Applicants: State or local governments, public or private 
non-profit agencies, organizations, or universities.
    Purpose: To collect, analyze, synthesize, and develop a report on 
current knowledge and results of minority recruitment services projects 
funded since 1989 by the Adoption Opportunities Program.
    Background Information: In 1989, the Adoption Opportunities statute 
authorized funds for increased minority adoption recruitment services 
for families to adopt special needs children. Approximately 81 grants 
have been awarded to public and private agencies to provide adoption 
services for minority children and families. These efforts resulted in 
some successful models and products that could be replicated. These 
include recruitment models for One Church-One Child, Homes for Black 
Children and Friends of Black Children; curricula addressing cultural 
competence; resource guides; directories; adaptable public service 
announcements; practice manuals; and handbooks to assist workers in the 
area of special needs adoption recruitment.
    The ACYF is interested in supporting an effort to review the body 
of work in the field of minority adoption recruitment services to 
determine (1) The number of projects which are now an ongoing part of 
the agencies' programs; (2) the results of the evaluations of the 
projects; (3) the number of families recruited and children placed; and 
(4) the implications for public and private child welfare agencies and 
community based organizations. Information on funded projects can be 
obtained from the National Adoption Information Clearinghouse, 11426 
Rockville Pike, Suite 410, Rockville, Maryland 20852; telephone (301) 
231-6512.
    Minimum Requirements for Project Design: In order to successfully 
compete under this priority area, the applicant should:
    <bullet> Demonstrate an understanding of the literature and of the 
issues in minority recruitment services.
    <bullet> Describe how the findings from these projects would be 
analyzed and synthesized into a report which would be useful to the 
field.
    <bullet> Provide a plan for disseminating the report nationally.
    <bullet> Provide assurances that at least one key person from the 
project will attend the annual child welfare conference in Washington, 
D.C. (The Conference is held for Adoption Opportunities and other 
Children's Bureau grantees to exchange information and address current 
child welfare trends and issues.)
    Provide an executive summary and a final report on the project 
within 90 days after the project end date.
    Project Duration: The length of the project must not exceed 17 
months.
    Federal Share of Project Costs: The maximum Federal share of the 
project is $85,000.
    Matching or Cost Sharing Requirement: Grantees must provide at 
least 10 percent of the total approved cost of the project. The total 
approved cost of the project is the sum of the ACF share and the non-
Federal share. The non-Federal share may be met by cash or in-kind 
contributions, although applicants are encouraged to meet their match 
requirements through cash contributions. Therefore, a project 
requesting $85,000 in Federal funds must include a match of at least 
$8,500 (10 percent of the total Federal cost).
    Anticipated Number of Projects to be Funded: It is anticipated that 
one project will be funded.
1.02  Field Initiated Applications to Improve Adoption Services to 
Children With Special Needs
    Eligible Applicants: State, Regional or local public child welfare 
or adoption agencies and voluntary child welfare or adoption agencies 
or organizations.
    Purpose: To improve adoption services for children with special 
needs through activities which are not addressed elsewhere in this 
announcement and have not been previously funded by the Adoption 
Opportunities Program. This priority area provides public and voluntary 
agencies and organizations involved in the adoption process with an 
opportunity to present innovative ideas for improving child welfare and 
adoption systems.
    Background Information: Public child welfare workers who provide 
adoption services are overburdened because of the shortage of staff and 
the increasing child welfare caseload. In many public agencies, 
adoption staff are expected to provide services not only to foster 
children with special needs and their potential adoptive families, but 
also to families requesting services for inter-country and other types 
of adoption. There is also a growing need to provide post-legal 
adoption services to preserve adoptive families as well as an 
increasing responsibility for search and reunion services. This places 
substantial burdens on limited adoption agency resources which are 
needed to serve the special needs population.
    At any given time, approximately 69,000 foster children have a goal 
of adoption, 20,000 of which are legally free for adoption. Minority 
children continue to be over-represented among this group. Older 
children and sibling groups also continue to present unique challenges. 
Sub-populations, such as drug-exposed or medically-fragile infants and 
foster children with HIV and AIDS, will be or are currently testing the 
capacity of adoption programs. Other areas for innovation include the 
placement of large sibling groups, the preparation of children for 
adoption, open adoption and relative adoption. Innovative efforts, 
embodying the spirit of public-private partnerships, are needed to 
provide permanent adoptive homes to all waiting children.
    Because there are so many different issues that face the public and 
voluntary sectors, ACYF is requesting field-initiated applications that 
address the most problematic areas in serving foster children with 
special needs for whom adoption is the plan. These applications must be 
innovative and cannot be responsive to other priority areas identified 
in this announcement.
    Minimum Requirements for Project Design: In order to compete 
successfully under this priority area, the applicant should:
    <bullet> Describe the agency's current adoption program and the 
specific problem(s) that would be addressed.
    <bullet> Describe the approach that would be used to alleviate the 
problem(s).
    <bullet> Document that this is a new approach that has not been 
funded before, based on a review of the literature and any other 
relevant sources. [[Page 18111]] 
    <bullet> Provide specific written commitments from cooperating or 
collaborating agencies, if appropriate.
    <bullet> Provide for an evaluation of the project and include a 
discussion of the proposed evaluation design. The evaluation should 
focus on child and family outcome measures (e.g., number of families 
recruited, number of children placed, disruption rates, etc.).
    <bullet> Describe how the agency would incorporate successful 
strategies of the project into its ongoing program.
    <bullet> Provide assurances that at least one key person from the 
project will attend the Child Welfare Conference in Washington, D.C. 
(The conference is held for Adoption Opportunities and other Children's 
Bureau grantees to exchange information and to address current child 
welfare trends and issues.)
    <bullet> Provide assurances that the project will be staffed and 
implemented within 90 days of the notification of the grant award.
    <bullet> Describe the reports and/or other products that would be 
developed under the project, including the types of information that 
would be presented and the steps that would be undertaken to 
disseminate and promote the utilization of project products and 
findings.
    Project Duration: The length of the project must not exceed 24 
months.
    Federal Share of Project Costs: The maximum Federal share of the 
project is $300,000.
    Matching or Cost Sharing Requirement: Grantee must provide at least 
10 percent of the total approved cost of the project. The total 
approved cost of the project is the sum of the ACF share and the non-
Federal share. The non-Federal share may be met by cash or in-kind 
contributions, although applicants are encouraged to meet their match 
requirements through cash contributions. Therefore, a project 
requesting $300,000 in Federal funds (based on an award of $150,000 per 
budget period) must include a match of at least $30,000 (10 percent of 
the total Federal cost).
    Anticipated Number of Projects to be Funded: It is anticipated that 
seven projects will be funded.
1.03  Improved Permanency Outcomes for Adolescents
    Eligible Applicants: State and local public agencies or private 
child welfare agencies in collaboration with a State or local public 
agency.
    Purpose: To increase permanency for children over the age of 
thirteen through adoption or other options which can include kinship 
care and legal guardianship.
    Background Information: Ideally, children in the foster care system 
should be reunited with their parents. In cases where reunification is 
not possible or in the best interest of children, adoption or other 
permanency arrangements must be expeditiously made. Some of the 
children awaiting adoptive families are listed on the National Adoption 
Exchange. The Exchange reports that 41 percent of the children 
registered on the Exchange are between the ages of 11 and 17. Fifty-
five percent are African American, 30 percent are white, 8 percent are 
Hispanic and 5 percent are bi-racial. While adoption efforts are being 
made for these children, there are still many older children in the 
child welfare system who are not being prepared for adoption and who 
are perceived as being ``unadoptable.'' In some cases not enough work 
has been done toward locating adoptive families; in other cases 
children have not been prepared for adoption; therefore, they do not 
understand what adoption means and tell workers they do not want to be 
adopted. Many of these teens are fearful of the rejection associated 
with having to wait for many years for a family to call their own.
    Child welfare agencies need to review the case plans of the 
children served in this age group, to set new goals and actively 
provide the services that will assure permanency for these adolescents. 
There must also be a re-examination of staff's attitudes with respect 
to the adoption of adolescents. Conversations with the children about 
their goals and how they view their future could lead to more 
placements and ones that are suitable and lasting. This service 
requires skilled workers who view adoption as a positive option and who 
can work intensively and effectively in planning with these 
adolescents.
    In 1993, a teenager named Charlotte who grew up in the foster care 
system was crowned Miss Teen USA at the age of 16. Charlotte had set 
the goal of adoption for herself and although she had lived with the 
same foster parents for 11 years, they did not adopt her. At her 
insistence, the State agency found a couple who adopted her when she 
was 17 years of age. Many more adolescents, like Charlotte, are waiting 
for a family and would like to have a support system or role model to 
help them make the transition from foster care to independence. If 
adoption is not possible, options such as kinship care, assisted 
guardianship, or transition to independent living should be explored.
    The focus of this priority area is to ensure permanency for 
adolescents through adoption, legal guardianship, planned long term 
foster care, or preparation for independent living.
    Information on previously funded projects dealing with the adoption 
of older children can be obtained from the National Adoption 
Information Clearinghouse, 11426 Rockville Pike, Suite 410, Rockville, 
MD 20852; telephone (301) 231-6512.
    Minimum Requirements for Project Design: In order to successfully 
compete under this priority area, the applicant should:
    <bullet> Describe existing barriers to permanency for older 
children in the area.
    <bullet> Identify and verify by race, sex and age at least 25 
adolescents to be served who are legally free for adoption.
    <bullet> Describe the approach to be used to work with the 
adolescents which build on knowledge of adolescent development, 
separation and attachment issues and permanency planning.
    <bullet> Describe a plan for using the resources of the National 
Resource Centers (Youth, Permanency Planning and Adoption) in 
implementing this project.
    <bullet> Identify the expected outcomes in terms of the number of 
adolescents to benefit by permanency.
    <bullet> Describe clearly the services to be provided, e.g. 
seminars, workshops, support services to adoptive families after 
placement or other services to meet the special needs of this age 
group.
    <bullet> Include a description of how families will be recruited 
and prepared to parent this age group of children.
    <bullet> Discuss efforts to work with foster parents to encourage 
them to adopt the adolescents in their care, i.e., availability of 
subsidy or other incentives to meet the needs of the child.
    <bullet> Provide information on any proposed collaboration and 
agreements with other organizations that will work with the project.
    <bullet> Provide assurance that the staff on the project are 
culturally diverse and competent to work with this population.
    <bullet> Describe plans to contract with a third party to conduct 
an independent evaluation of the project.
    <bullet> Provide assurance that at least one key person from the 
project will attend the annual Child Welfare Conference in Washington, 
D.C. (The Conference is held for Adoption Opportunities and other 
Children's Bureau grantees to exchange information and address current 
child welfare trends and issues).
    Project Duration: The length of the project must not exceed 36 
months. [[Page 18112]] 
    Federal Share of Project of Project Costs: The maximum Federal 
share of the project is $375,000.
    Matching or Cost Sharing Requirement: Grantees must provide at 
least 10 percent of the total approved cost of the project. The total 
approved cost of the project is the sum of the ACF share and the non-
Federal share. The non-Federal share may be met by cash or in-kind 
contributions, although applicants are encouraged to meet their match 
requirements through cash contributions. Therefore, a project 
requesting $375,000 in Federal funds (based on an award of $125,000 per 
budget period) must include a match of at least $37,500 (10 percent of 
the total Federal cost).
    Anticipated Number of Projects to be Funded: It is anticipated that 
five projects will be funded.
1.04  Service Improvements in Special Needs Adoption
    Eligible Applicants: State and local public or private non-profit 
child welfare agencies or agencies having access to the children in 
need of this service. Agencies or States which have not already 
demonstrated the models for replication described in this priority area 
will be given priority consideration.
    Purpose: To replicate Federally funded adoption models in one of 
the following categories: (a) termination of parental rights (TPR); (b) 
minority recruitment; (c) staff training or (d) post-legal adoption 
services.
    Background Information: There are currently over 500,000 children 
in the foster care system. A large number of these children will not be 
returning to their families and are in need of permanency in their 
lives. Adoption with a loving family is the plan for a number of these 
children. However, systemic barriers and inadequate service delivery 
prevent agencies from attaining permanency for these children. Service 
delivery models and training efforts have been developed through 
Federal adoption grants during the past 14 years to address some of the 
barriers. These models have: facilitated adoption placements; informed 
practice and policy; provided practical solutions to systemic problems 
in service delivery; increased public awareness of the waiting 
children; shortened the time children wait for adoption and provided 
needed services to maintain the family after the adoption has been 
legalized. However, dissemination of these models has been limited, 
which has reduced the opportunities for replication, or when models 
have been recognized as potentially useful, funding has not been 
available in public agencies to replicate the projects.
(a) Termination of Parental Rights (TPR)
    The Children's Bureau has funded demonstration grants in the past 
on termination of parental rights and reducing delays for children who 
wait. As early as 1983, a grant was awarded to the American Bar 
Association to work with five States to eliminate or minimize the legal 
barriers which impede the timely movement of children with special 
needs into adoptive families. Some of the States in the project were 
very successful in significantly reducing the time a child had to wait 
for TPR. One project in New Jersey was able to reduce the average 
length of time a child remains in the court process, once the 
termination papers were filed, from 34 weeks to six weeks. In 1988, 
four projects were funded to address specific problems or issues 
concerning TPR which act as barriers to adoption. A book entitled 
``Children Can't Wait: Reducing Delays for Children in Foster Care'' by 
Paul Johnson and Katherine Kahn is based on the experience of the four 
projects. This book provides information to assist professionals and 
agencies in addressing permanency for children in the child welfare 
system. The book may be purchased from the Child Welfare and agencies 
in addressing permanency for children in the child welfare system. The 
book may be purchased from the Child Welfare League of America, 440 
First St. N.W., Suite 310, Washington, D.C. 20001-2085.
(b) Minority Recruitment
    Minority children are overrepresented in the child welfare system 
and minority families often face insurmountable systemic barriers in 
their attempts to become adoptive parents. However, it has been 
demonstrated that minority families are available , and do adopt.
    For some agencies recruiting and maintaining families that are of 
the culture and race of the children in their care has proven to be 
difficult. There are excellent models to recruit families for minority 
children which utilize a combination of media, word-of-mouth, and 
community-based resources. Models such as One Church-One Child, and 
Friends of Black Children were developed over 10 years ago and have 
been institutionalized in some agencies and organizations. The One 
Church-One Child model has been demonstrated throughout the country and 
has proven to be successful in the recruitment and placement of 
minority children. The Friends of Black Children model has been limited 
to specific geographical areas.
    Another tool of recruiting families is through multi-media 
presentations such as: ``Wednesday's child'' segments; posters; radio 
and television public service announcements (PSA's); and billboards.
(c) Staff Training
    ACYF recognizes that curricula are developed throughout the 
adoption field. Often these curricula are specialized to meet the needs 
of workers in providing particular services to their clients. The 
National Resource Center on Special Needs Adoption has developed two 
training curricula, one on Special Needs Adoption and the other on 
Cultural Competence. The special needs adoption curriculum has been 
disseminated to State agencies but has been under-utilized.
(d) Post-Legal Adoption Services
    Post-legal adoption services are critical to the success of special 
needs adoptions. There is continuous need of these services to ensure 
that families have the support necessary to sustain themselves. Over 70 
programs across the country have been funded to provide post-legal 
adoption services. These programs provided: Training for mental health 
professionals on adoption issues; training on how to work with sexually 
abused children; services for special groups such as HIV positive 
children and their parents; counselling and information on adoption 
search issues; development of training curricula; respite care services 
and training of respite care providers. In a project of the Illinois 
Department of Children and Family Services, a survey of adoptive 
parents was conducted which revealed that adoptive families could not 
find the right services for their adopted children and that families 
felt the need for support groups and the need for more information on 
the children being placed. In addition, the survey found that 
professionals needed adoption-sensitive training. A product of this 
grant was the publication entitled ``The Role of the Public Agency 
Delivering Post Adoption Services,'' by Kenneth Watson.
    Minimum Requirements for Project Design:
    <bullet> Demonstrate an understanding of the literature and of the 
issues in the specific area of service improvement of this application 
(TPR, Staff Training, Post-Legal Services or Recruitment).
    <bullet> Describe how the project will use program components to 
reduce the caseload of waiting children or improve 
[[Page 18113]] services for children who have been adopted and their 
families .
    <bullet> Describe how the project will use other agencies and 
disciplines to implement its program.
    <bullet> Describe the model to be replicated or type of training to 
be provided.
    <bullet> Provide assurances that the project will be staffed and 
implemented within 90 days of the notification of the grant award.
    <bullet> Provide assurances that at least one key person from the 
project will attend the annual Child Welfare Conference in Washington, 
D.C. (The Conference is held for Adoption Opportunities and other 
Children's Bureau grantees to exchange information and address current 
child welfare trends and issues.)
    Subject Duration:  length of the project must not exceed 24 months.
    Federal Share of Project Cost: The maximum Federal share of the 
project is $150,000 for the Termination of Parental Rights and Post-
Legal Adoption Services and $100,000 for the minority recruitment and 
training.
    Matching or Cost Sharing Requirements: Grantee must provide at 
least 10 percent of the total approved cost of the project. The total 
approved cost of the project is the sum of the ACF share and the non-
Federal share. The non-Federal share may be met by cash or in-kind 
contributions, although applicants are encouraged to meet their match 
requirements through cash contributions. Therefore, a project 
requesting $150,000 in Federal funds (based on an award of $75,000 per 
budget period) must include a match of at least $15,000 (10 percent of 
the total Federal cost).
    Anticipated Number of Projects to be Funded: It is anticipated that 
five grants for each model will be funded.
1.05  Adoptive Placement of Foster Care Children
    Eligible Applicants: Eligibility is limited to State social service 
agencies. Given limited funds, and in order to generate and financially 
support the widest possible variety of issues and approaches, priority 
will be given to applicants which have not been funded under this 
priority area in previous fiscal years. However, previously funded 
applicants under this priority area will not be precluded from the 
receiving grants.
    Purpose: To develop programs which will assist States in their 
efforts to increase the placement of foster care children legally free 
for adoption according to a pre-established plan and goals for 
improvement.
    Background Information: The Adoption Opportunities legislation, as 
amended by Public Law 100-294, authorizes the funding of grants to 
States to improve adoption services for the placement of special needs 
children who are legally free for adoption. Children in foster care who 
are free for adoption, particularly children with special needs, do not 
always move smoothly through the child welfare system into placement 
with a permanent family.
    States have received Federal grants to make systemic changes in 
their adoption programs; to provide computer hardware, software and 
fees for membership in the National Adoption Exchange's Network; to 
develop a consortium of States with large numbers of children in care 
in order to share knowledge to improve and enhance their special needs 
adoption programs; and to form a national post-legal adoption 
consortium of States to focus on models of post-legal adoption 
services. More than half of the States have received grants in the 
above stated areas to improve adoption services.
    Increasingly, children entering foster care have more complex 
problems which require more intensive services. Permanent families must 
be continuously recruited and prepared to parent the growing population 
of children who cannot return to their birth families. Supportive 
services must be added or improved so that the children in foster care 
who are legally free for adoption can move into adoptive placements in 
a timely manner. This will require collaborative efforts with the court 
system to terminate parental rights. Further, agencies must commit 
resources for the ongoing support of adoptive families not only at 
placement, but also after legalization of the adoption. Past projects 
have demonstrated that greater improvements in placing these children 
are achieved when permanent plans are made and carried out very early 
in the placement; when there are sufficient numbers of trained and 
experienced staff; and when there are available resources and 
administrative commitments to adoption and to coordinated community-
based efforts.
    Minimum Requirements for Project Design: In order to successfully 
compete under this priority area, the applicant should:
    <bullet> Identify and verify the number of foster care children in 
the area to be served who are legally free and waiting for adoptive 
placements.
    <bullet> Provide and verify the rate of placement of foster care 
children placed in adoption in the year preceding the application. (The 
rate of placement is the number of children placed divided by the 
number of children waiting for adoption.)
    <bullet> Describe the methods to be employed to increase the rate 
of placement of foster care children into adoption and the goals for 
improvement to be achieved during the period of the grant.
    <bullet> Propose and describe an evaluation component which would 
focus on the innovations to be used to improve the placement of 
children who are legally free for adoption and which would address the 
successes and failures of the initiative.
    The evaluation should include the collection and analysis of data 
to determine placement rates and the types of clients served (e.g., 
waiting children, prospective adoptive families). Data should be 
collected to determine the availability of adoptive families during the 
program period. The evaluation should also include descriptive 
information on the processes and procedures to be used in implementing 
the project. This information should be used to assess placement rates 
and the success or failure of the innovative program methodologies 
used.
    <bullet> Document how the program would be continued beyond Federal 
funding or as part of the agency's ongoing program, if successful, and 
describe the specific steps which would be taken to accomplish this.
    <bullet> Provide assurances that at least one key person from the 
project will attend the annual Child Welfare Conference in Washington, 
D.C. (The Conference is held for Adoption Opportunities and other 
Children's Bureau grantees to exchange information and address current 
child welfare trends and issues.)
    <bullet> Describe the report and/or other products that would be 
developed under the project, including the types of information that 
would be presented, and the steps that would be undertaken to 
disseminate and promote the utilization of project products and 
findings.
    Project Duration: The length of the project must not exceed 12 
months.
    Federal Share of Project Costs: The maximum Federal share of the 
project is $100,000.
    Matching or Cost Sharing Requirement: Grantees must provide at 
least 10 percent of the total approved cost of the project. The total 
approved cost of the project is the sum of the ACF share and the non-
Federal share. The non-Federal share may be met by cash or in-kind 
contributions, although applicants are encouraged to meet their match 
requirements through cash contributions. Therefore, a project 
requesting $100,00 in Federal funds [[Page 18114]] must include a match 
of at least $10,000 (10 percent of the total Federal cost).
    Anticipated Number of Projects to be Funded: It is anticipated that 
two projects will be funded.
1.06  Respite Care as a Service for Families Who Adopt Children With 
Special Needs
    Eligible Applicants: States, local government entities, public or 
private non-profit licensed child welfare or adoption agencies, 
university affiliated programs, licensed child care or respite care 
providers or incorporated adoptive parent groups with experience in 
working with adoptive populations.
    Purpose: To develop or replicate a variety of affordable respite 
care models for adoptive parents of children with special needs, 
especially for adoptive parents of medically fragile or severely 
physically or emotionally disabled children.
    Background Information: ACYF recognizes the need for respite 
services for adoptive families in order to maintain and support the 
family unit. Respite may be needed early in the adoptive placement or 
later in the child's development. Results of research studies indicate 
that the majority of care is requested to relieve the primary caregiver 
for vacations, emergencies and planned circumstances.
    There are few specialized respite care programs for adoptive 
families that provide a period of temporary relief or rest from 
parental responsibilities despite the increasing availability of post-
legal adoption services. Such programs can be especially helpful to 
families who adopt children with special needs by providing support 
during emergencies or respite from the daily demands of a special needs 
child. Generally, such respite care is provided by skilled caregivers 
or companions; however, with proper preparation it can also be provided 
by friends and relatives in the family's home or in another location.
    In some respite programs training and reimbursement are offered to 
whomever the family designates as provider, an arrangement which is 
mutually satisfying because it allows the family to control the quality 
of care. Also, this approach may offer families living in rural areas 
the flexibility of locating their own provider since distance 
frequently limits respite resources.
    Since 1990, ACYF has awarded grants to expand and develop respite 
care services for adoptive parents of children with special needs. 
These projects have developed services such as: payment to families to 
seek their own respite services in their own homes for short periods of 
time and weekends; recruiting and training individuals to provide short 
breaks for adoptive parents and to provide supportive services to 
parents such as tutorial and recreational activities outside the home 
and sponsoring camp programs and other specialized events for the 
children and their families. The programs funded in 1990 which ended in 
September 1993 are the University of Kansas, Bureau of Child Research; 
La Hacienda Foster Care, Tucson, Arizona; University of Alabama at 
Birmingham; Mercy Respite Care Corporation, Grand Rapids, Michigan; 
Northwest Adoption Exchange, Seattle, Washington; New Haven Foster 
Family Agency, Vista, California; Department of Human Services, 
Trenton, New Jersey; Adoptive Parent Group of South Wisconsin, Inc., 
Madison, Wisconsin; Kent State University, Research and Graduate 
Studies, Kent, Ohio; Resources for Adoptive Parents, Minneapolis, 
Minnesota; Department of Human Resources, Reno, Nevada; Department of 
Human Resources, Atlanta, Georgia; and Department of Mental Health and 
Mental Retardation, Waterbury, Vermont. Information about these 
programs can be secured from the National Adoption Information 
Clearinghouse, ll426 Rockville Pike, Suite 410, Rockville, Maryland 
20852, telephone: (301) 231-6512.
    Minimum Requirements for Project Design: In order to successfully 
compete under this priority area, the applicant should:
    <bullet> Describe plans to develop or replicate respite care models 
for the adoptive parents of special needs children that include, but 
are not limited to:

--Facility-based models such as those located in churches, day care 
centers, community-based group homes, rehabilitation centers, and 
``mother's day out'' programs, weekend respite, evening respite, and 
overnight respite programs;
--In-home respite care services offered in the family's home and,
--Respite host family services offered in the provider's home.
    <bullet> Describe respite care services that would be provided for 
parents of children who are medically fragile, or who have severe 
physical or emotional problems.
    <bullet> Describe the preparation, referral, follow-up, and 
counselling services that would be provided to respite service users.
    <bullet> Describe the collaboration that would be established with 
groups such as community recreational services, churches, day care 
centers, group homes, residential treatment centers, adoptive parent 
groups, and University Affiliated Programs in the provision of the 
respite services.
    <bullet> Describe the training that would be provided to service 
providers and how specific models of respite care would be developed or 
replicated.
    <bullet> Estimate the number of special needs children and families 
that would be served and document that a sufficient volume of special 
needs adoptive families exists to support a program of the size 
proposed.
    <bullet> Provide for an evaluation of the project and include a 
discussion of the proposed evaluation design.
    <bullet> Document how the program would be continued beyond Federal 
funding as part of the agency's ongoing program and describe the 
specific steps which would be taken to accomplish this.
    <bullet> Provide assurances that at least one key person from the 
project will attend the annual Child Welfare Conference in Washington, 
DC. The Conference is held for Adoption Opportunities and other 
Children's Bureau grantees to exchange information and address current 
child welfare trends and issues.
    Project Duration: The length of the project must not exceed 36 
months.
    Federal Share of Project Cost: The maximum Federal share of the 
project is $450,000.
    Matching or Cost Sharing Requirement: Grantees must provide at 
least 10 percent of the total approved cost of the project. The total 
approved cost of the project is the sum of the ACF share and the non-
Federal share. The non-Federal share may be met by cash or in-kind 
contributions, although applicants are encouraged to meet their match 
requirements through cash contributions. Therefore, a project 
requesting $450,000 in Federal funds (based on an award of $150,000 per 
budget period) must include a match of at least $45,000 (10 percent of 
the total Federal cost).
    Anticipated Number of Projects: It is anticipated that a minimum of 
five projects 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 along with a checklist for assembling an application package. 
Please copy and use these forms in submitting an application.
    Potential applicants should read this section carefully in 
conjunction with [[Page 18115]] the information contained within the 
specific priority area under which the application is to be submitted. 
The priority area descriptions are in Part II.

A. Required Notification of the State Single Point of Contact

    The Adoption Opportunities Program is not covered under Executive 
Order 12372, Intergovernmental Review of Federal Programs. When 
comments are submitted directly to ACF, they should be addressed to:

ADDRESSES: Applications may be mailed to the Department of Health and 
Human Services, Administration for Children and Families, Division of 
Discretionary Grants, 370 L'Enfant Promenade, SW., 6th Floor East, OFM/
DDG, Washington, DC 20447.
    Hand delivered applications are accepted during normal working 
hours of 8 a.m. to 4:30 p.m., Monday through Friday, on or prior to the 
established closing date at: Administration for Children and Families, 
Division of Discretionary Grants, 6th Floor OFM/DDG, 901 D Street, 
S.W., Washington, DC 20447.

B. Deadline for Submission of Applications

    Deadline: Applications shall be considered as meeting the announced 
deadline if they are either:
    1. Received on or before the deadline date at:

ADDRESSES: Applications may be mailed to the Department of Health and 
Human Services, Administration for Children and Families, Division of 
Discretionary Grants, 370 L'Enfant Promenade, SW., 6th Floor East, OFM/
DDG, Washington, DC 20447.
    Hand delivered applications are accepted during normal working 
hours of 8 a.m. to 4:30 p.m., Monday through Friday, on or prior to the 
established closing date at: Administration for Children and Families, 
Division of Discretionary Grants, 6th Floor OFM/DDG, 901 D Street, SW., 
Washington, DC 20447.
    2. Sent on or before the deadline date and received by ACF in time 
for the independent review. Applicants are cautioned to request a 
legibly dated U.S. Postal Service postmark or to obtain a legibly dated 
receipt from a commercial carrier or U.S. Postal Service. Private 
Metered postmarks shall not be acceptable as proof of timely mailing.
    Late Applications: Applications which do not meet the criteria 
stated 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.

C. Instructions for Preparing the Application and Completing 
Application Forms

    The SF 424, 424A, 424B, and certifications have been reprinted for 
your convenience in preparing the application. See 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. An application should be submitted 
under only one priority area.
    Item 1. Type of Submission--Preprinted on the form.
    Item 2. Date Submitted and Applicant Identifier--Date application 
is submitted to ACYF and applicant's own internal control number, if 
applicable.
    Item 3. Date Received By State--State use only (if applicable).
    Item 4. Date Received by Federal Agency--Leave blank.
    Item 5. Applicant Information
    Legal Name--Enter the legal name of the applicant organization. For 
applications developed jointly, enter the name of the lead organization 
only. There must be a single applicant for each application.
    Organizational Unit--Enter the name of the primary unit within the 
applicant organization which will actually carry out the project 
activity. Do not use the name of an individual as the applicant. If 
this is the same as the applicant organization, leave the 
organizational unit blank.
    Address--Enter the complete address that the organization actually 
uses to receive mail, since this is the address to which all 
correspondence will be sent. Do not include both street address and 
P.O. Box number unless both must be used in mailing.
    Name and telephone number of the person to be contacted on matters 
involving this application (give area code)--Enter the full name 
(including academic degree, if applicable) and telephone number of a 
person who can respond to questions about the application. This person 
should be accessible at the address given here and will receive all 
correspondence regarding the application.
    Item 6. Employer Identification Number (EIN)--Enter the employer 
identification number of the applicant organization, 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--Preprinted on the form.
    Item 9. Name of Federal Agency--Preprinted on the form.
    Item 10. Catalog of Federal Domestic Assistance Number and Title--
Enter the Catalog of Federal Domestic Assistance (CFDA) number assigned 
to the program under which assistance is requested and its title, as 
indicated in the relevant priority area description.
    Item 11. Descriptive Title of Applicant's Project--Enter the 
project title. The title is generally short and is descriptive of the 
project, not the priority area title.
    Item 12. Areas Affected by Project--Enter the governmental unit 
where significant and meaningful impact could be observed. List only 
the largest unit or units affected, such as State, county, or city. If 
an entire unit is affected, list it rather than subunits.
    Item 13. Proposed Project--Enter the desired start date for the 
project and projected completion date.
    Item 14. Congressional District of Applicant/Project--Enter the 
number of the Congressional district where the applicant's principal 
office is located and the number of the Congressional district(s) where 
the project will be located. If statewide, a multi-State effort, or 
nationwide, enter 00.
    Items 15. Estimated Funding Levels. In completing 15a through 15f, 
the dollar amounts entered should reflect, for a 17 month or less 
project period, the total amount requested. If the proposed project 
period exceeds 17 months, enter only those dollar amounts needed for 
the first 12 months of the proposed project.
    Item 15a. Enter the amount of Federal funds requested in accordance 
with the preceding paragraph. This amount should be no greater than the 
maximum [[Page 18116]] 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. For more information regarding funding as well as 
exceptions to these rules, see Part II, Sections E and F, and the 
specific priority area description.
    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.--Enter the date the applicant contacted the SPOC 
regarding this application. Select the appropriate SPOC from the 
listing provided at the end of Part III. The review of the application 
is at the discretion of the SPOC. The SPOC will verify the date noted 
on the application. If there is a discrepancy in dates, the SPOC may 
request that the Federal agency delay any proposed funding until 
September 1995.
    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 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 (1) the total project 
period of 17 months or less or (2) the first year budget period, if the 
proposed project period exceeds 17 months.
    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 
(1) the total project period if the proposed project period is 17 
months or less or (2) the first year budget period if the proposed 
project period exceeds 17 months. It should relate to item 15g, total 
funding, on the SF 424. Under column (5), enter the total requirements 
for funds (Federal and non-Federal) by object class category.
    A separate itemized budget justification for each line item is 
required. The types of information to be included in the justification 
are indicated under each category. For multiple year projects, it is 
desirable to provide this information for each year of the project. The 
budget justification should immediately follow the second page of the 
SF 424A.
    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 tangible, non-expendable personal 
property having a useful life of more than one year and an acquisition 
cost of $5,000 or more per unit. For all other applicants, the 
threshold for equipment is $500 or more per unit. The higher threshold 
for State and local governments became effective October 1, 1988, 
through the implementation of 45 CFR Part 92, Uniform Administrative 
Requirements for Grants and Cooperative Agreements to State and Local 
Governments.
    Justification: Equipment to be purchased with Federal funds must be 
justified. The equipment must be required to conduct the project, and 
the applicant organization or its subgrantees must not have the 
equipment or a reasonable facsimile available to the project. The 
justification also must contain plans for future use or disposal of the 
equipment after the project ends.
    Supplies--Line 6e. Enter the total costs of all tangible expendable 
personal property (supplies) other than those included on Line 6d.
    Justification: Specify general categories of supplies and their 
costs.
    Contractual--Line 6f. Enter the total costs of all contracts, 
including (1) procurement contracts (except those which belong on other 
lines such as equipment, supplies, etc.) and (2) contracts with 
secondary recipient organizations, including delegate agencies. Also 
include any contracts with organizations for the provision of technical 
assistance. Do not include payments to individuals on this line. If the 
name of the contractor, scope of work, and estimated total costs are 
not available or have not been negotiated, include on Line 6h, Other. 
[[Page 18117]] 
    Justification: Attach a list of contractors, indicating the names 
of the organizations, the purposes of the contracts, and the estimated 
dollar amounts of the awards as part of the budget justification. 
Whenever the applicant/grantee intends to delegate part or all of the 
program to another agency, the applicant/grantee must complete this 
section (Section B, Budget Categories) for each delegate agency by 
agency title, along with the supporting information. The total cost of 
all such agencies will be part of the amount shown on Line 6f. Provide 
backup documentation identifying the name of contractor, purpose of 
contract, and major cost elements. Applicants who anticipate 
procurements of $25,000 for non-governmental and governmental entities 
and are requesting an award without competition should include a sole 
source justification in the application 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 Charges--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 (except local governments) 
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 HHS 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. In 
the case of training grants to other than State or local governments 
(as defined in title 45, Code of Federal Regulations, part 74), the 
Federal reimbursement of indirect costs will be limited to the lesser 
of the negotiated (or actual) indirect cost rate or 8 percent of the 
amount allowed for direct costs, exclusive of any equipment charges, 
rental of space, tuition and fees, post-doctoral training allowances, 
contractual items, and alterations and renovations.
    For training grant applications, the entry under line 6j should be 
the total indirect costs being charged to the project. The Federal 
share of indirect costs is calculated as shown above. The applicant's 
share is calculated as follows:
    (a) Calculate total project indirect costs (a) by applying the 
applicant's approved indirect cost rate to the total project (Federal 
and non-Federal) direct costs.
    (b) Calculate the Federal share of indirect costs (b) at 8 percent 
of the amount allowed for total project (Federal and non-Federal) 
direct costs exclusive of any equipment charges, rental of space, 
tuition and fees, post-doctoral training allowances, contractual items, 
and alterations and renovations.
    (c) Subtract (b) from (a). The remainder is what the applicant can 
claim as part of its matching cost contribution.
    Justification: Enclose a copy of the indirect cost rate agreement. 
Applicants subject to the limitation on the Federal reimbursement of 
indirect costs for training grants should specify this.
    Total--Line 6k. Enter the total amounts of lines 6i and 6j.
    Program Income--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.
    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 74.2, as the value of non-cash 
contributions provided by non-Federal third parties. Their party-in 
kind contributions may be in the form of real property, equipment, 
supplies and other expendable property, and the value of goods and 
services directly benefiting and specifically identifiable to the 
project or program.
    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 17 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) are not 
applicable in most instances, since ACF funding is almost always 
limited to a three-year maximum project period. 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 17 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 [[Page 18118]] 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.
    4. Program Narrative Statement. The Program Narrative Statement is 
a very important part of an application. It should be clear, concise, 
and address the specific requirements mentioned under the priority area 
description in Part II.
    The narrative should provide information concerning how the 
application meets the evaluation criteria (see Section C, Part II), 
using the following headings:
    (a) Objectives and Need for Assistance;
    (b) Approach;
    (c) Results and Benefits Expected; and
    (d) Staff Background and Organization's Experience.
    The specific information to be included under each of these 
headings is described in Section C of Part II, Evaluation Criteria.
    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. All 
pages of the narrative (including charts, references/footnotes, tables, 
maps, exhibits, etc.) must be sequentially numbered, beginning with 
Objectives and Need for Assistance as page number one. Applicants 
should not submit reproductions of larger size paper, reduced to meet 
the size requirement.
    The length of the application, including the application forms and 
all attachments, should not exceed 60 pages. 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 60-page limit. 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 to three pages) 
background description of how the applicant organization (or the unit 
within the organization that will have responsibility for the project) 
is organized, the types and quantity of services it provides, and/or 
the research and management capabilities it possesses. This description 
should cover capabilities not included in the Program Narrative 
Statement. It may include descriptions of any current or previous 
relevant experience, or describe the competence of the project team and 
its demonstrated ability to produce a final product that is readily 
comprehensible and usable. An organization chart showing the 
relationship of the project to the current organization should be 
included.
    6. Part IV--Assurances/Certifications. Applicants are required to 
file an SF 424B, Assurances--Non-Construction Programs and the 
Certification Regarding Lobbying. Both must be signed and returned with 
the application. In addition, applicants must certify their compliance 
with: (1) Drug-Free Workplace Requirements; (2) Debarment and Other 
Responsibilities. Copies of these assurances/certifications are 
reprinted at the end of this announcement and should be reproduced, as 
necessary; and Certification Regarding Environmental Tobacco Smoke. A 
duly authorized representative of the applicant organization must 
certify that the applicant is in compliance with these assurances/
certifications. A signature on the SF 424 indicates compliance with the 
Drug-Free Workplace Requirements, and Debarment and Other 
Responsibilities certifications.
    For research projects in which human subjects may be at risk, a 
Protection of Human Subjects Assurance may be required. If there is a 
question regarding the applicability of this assurance, contact the 
Office for Research Risks of the National Institutes of Health at (301) 
496-7041.

D. 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 4-88);
--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 II, Section C);
--Organizational capability statement, including an organization chart;
--Any appendices/attachments;
--Assurances--Non-Construction Programs (Standard Form 424B, REV 4-88); 
and
--Certification Regarding Lobbying.

E. 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 eight weeks after the deadline date, please notify ACYF 
by telephone at (202) 690-8243 or 690-6297.
    The catalog of Federal Domestic Assistance (CFDA) number assigned 
to this announcement is 93.652.

    Dated: March 30, 1995.
Olivia A. Golden
Commissioner, Administration on Children, Youth and Families.

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BILLING CODE 4184-01-C
[[Page 18120]]

INSTRUCTIONS FOR THE SF 424

    This is a standard form used by applicants as a required 
facesheet for preapplications and applications submitted for Federal 
assistance. It will be used by 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 disallowances, loans and taxes.
    18. To be signed by the authorized representative of the 
applicant. A copy of the governing body's authorization for you to 
sign this application as official representative must be on file in 
the applicant's office. (Certain Federal agencies may require that 
this authorization be submitted as part of the application.)

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BILLING CODE 4184-01-C
[[Page 18123]]

INSTRUCTIONS FOR THE SF-424A

General Instructions

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

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

    For applications pertaining to a single Federal grant program 
(Federal Domestic Assistance Catalog number) and not requiring a 
functional or activity breakdown, enter on Line 1 under Column (a) 
the catalog program title and the catalog number in Column (b).
    For applications pertaining to a single program requiring budget 
amounts by multiple functions or activities, enter the name of each 
activity or function on each line in Column (a), and enter the 
catalog number in Column (b). For applications pertaining to 
multiple programs where none of the programs require a breakdown by 
function or activity, enter the catalog program title on each line 
in Column (a) and the respective catalog number on each line in 
Column (b).
    For applications pertaining to multiple programs where one or 
more programs require a breakdown by function or activity, prepare a 
separate sheet for each program required 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).

Lines 1-4, Columns (c) Through (g.) (continued)

    For continuing grant program applications, submit these forms 
before the end of each funding period as required by the grantor 
agency. Enter in Columns (c) and (d) the estimated amounts of funds 
which will remain unobligated at the end of the grant funding period 
only if the Federal grantor agency instructions provide for this. 
Otherwise, leave these columns blank. Enter in columns (e) and (f) 
the amounts of funds needed for the upcoming period. The amount(s) 
in Column (g) should be the sum of amounts in Columns (e) and (f).
    For supplemental grants and changes to existing grants, do not 
use Columns (c) and (d). Enter in Column (e) the amount of the 
increase or decrease of Federal funds and enter in Column (f) the 
amount of the increase or decrease of non-Federal funds. In Column 
(g) enter the new total budgeted amount (Federal and non-Federal) 
which includes the total previous authorized budgeted amounts plus 
or minus, as appropriate, the amounts shown in Columns (e) and (f). 
The amount(s) in Column (g) should not equal the sum of amounts in 
Columns (e) and (f).
    Line 5--Show the totals for all columns used.

Section B Budget Categories

    In the column headings (1) through (4), enter the titles of the 
same programs, functions, and activities shown on Lines 1-4, Column 
(a), Section A. When additional sheets are prepared for Section A, 
provide similar column headings on each sheet. For each program, 
function or activity, fill in the total requirements for funds (both 
Federal and non-Federal) by object class categories.
    Lines 6a-i--Show the totals of Lines 6a to 6h in each column.
    Line 6j--Show the amount of indirect cost.
    Line 6k--Enter the total of amounts on Lines 6i and 6j. For all 
applications for new grants and continuation grants the total amount 
in column (5), Line 6k, should be the same as the total amount shown 
in Section A, Column (g), Line 5. For supplemental grants and 
changes to grants, the total amount of the increase or decrease as 
shown in Columns (1)-(4), Line 6k should be the same as the sum of 
the amounts in Section A, Columns (e) and (f) on Line 5.
    Line 7--Enter the estimated amount of income, if any, expected 
to be generated from this project. Do not add or subtract this 
amount from the total project amount. Show under the program 
narrative statement the nature and source of income. The estimated 
amount of program income may be considered by the federal grantor 
agency in determining the total amount of the grant.

Section C. Non-Federal-Resources

    Lines 8-11--Enter amounts of non-Federal resources that will be 
used on the grant. If in-kind contributions are included, provide a 
brief explanation on a separate sheet.
    Column (a)--Enter the program titles identical to Column (a), 
Section A. A breakdown by function or activity is not necessary.
    Column (b)--Enter the contribution to be made by the applicant.
    Column (c)--Enter the amount of the State's cash and in-kind 
contribution if the applicant is not a State or State agency. 
Applicants which are a State or State agencies should leave this 
column blank.
    Column (d)--Enter the amount of cash and in-kind contributions 
to be made from all other sources.
    Column (e)--Enter totals of Columns (b), (c), and (d).
    Line 12--Enter the total for each of Columns (b)-(e). The amount 
in Column (e) should be equal to the amount on Line 5, Column (f), 
Section A.

Section D. Forecasted Cash Needs

    Line 13--Enter the amount of cash needed by quarter from the 
grantor agency during the first year.
    Line 14--Enter the amount of cash from all other sources needed 
by quarter during the first year.
    Line 15--Enter the totals of amounts on Lines 13 and 14.

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

    Lines 16-19--Enter in Column (a) the same grant program titles 
shown in Column (a), Section A. A breakdown by function or activity 
is not necessary. For new applications and continuation grant 
applications, enter in the proper columns amounts of Federal funds 
which will be needed to complete the program or project over the 
succeeding funding periods (usually in years). This section need not 
be completed for revisions (amendments, changes, or supplements) to 
funds for the current year of existing grants.
    If more than four lines are needed to list the program titles, 
submit additional schedules as necessary.
    Line 20--Enter the total for each of the Columns (b)-(e). When 
additional schedules are prepared for this Section, annotate 
accordingly and show the overall totals on this line.

Section F. Other Budget Information

    Line 21--Use this space to explain amounts for individual direct 
object-class cost categories that may appear to be out of the 
ordinary or to explain the details as required by the Federal 
grantor agency.
    Line 22--Enter the type of indirect rate (provisional, 
predetermined, final or fixed) that will be in effect during the 
funding period, the estimated amount of the base to which the rate 
is applied, and the total indirect expense.
    Line 23--Provide any other explanations or comments deemed 
necessary.

ASSURANCES--NON-CONSTRUCTION PROGRAMS

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

    As the duly authorized representative of the applicant I certify 
that the applicant:
    1. Has the legal authority to apply for Federal assistance, and 
the institutional, managerial and financial capability (including 
funds sufficient to pay the non-Federal share of project costs) to 
ensure proper planning, management and completion of the project 
described in this application.
    2. Will give the awarding agency, the Comptroller General of the 
United States, and if appropriate, the State, through any authorized 
representative, access to and the right to examine all records, 
books, papers, or documents related to the award; and will 
[[Page 18124]] establish a proper accounting system in accordance 
with generally accepted accounting standards or agency directives.
    3. Will establish safeguards to prohibit employees from using 
their positions for a purpose that constitutes or presents the 
appearance of personal or organizational conflict of interest, or 
personal gain.
    4. Will initiate and complete the work within the applicable 
time frame after receipt of approval of the awarding agency.
    5. Will comply with the Intergovernmental Personnel Act of 1970 
(42 U.S.C. Secs. 4728-4763) relating to prescribed standards for 
merit systems for programs funded under one of the nineteen statutes 
or regulations specified in Appendix A of OPM's Standards for a 
Merit System of Personnel Administration (5 C.F.R. 900, Subpart F).
    6. Will comply with all Federal statutes relating to 
nondiscrimination. These include but are not limited to: (a) Title 
VI of the Civil Rights Act of 1964 (P.L. 88-352) which prohibits 
discrimination on the basis of race, color or national origin; (b) 
Title IX of the Education Amendments of 1972, as amended (20 U.S.C. 
Secs. 1681-1683, and 1685-1686), which prohibits discrimination on 
the basis of sex; (c) Section 504 of the Rehabilitation Act of 1973, 
as amended (29 U.S.C. Sec. 794), which prohibits discrimination on 
the basis of handicaps; (d) the Age Discrimination Act of 1975, as 
amended (42 U.S.C. Secs. 6101-6107), which prohibits discrimination 
on the basis of age; (e) the Drug Abuse Office and Treatment Act of 
1972 (P.L. 92-255), as amended, relating to nondiscrimination on the 
basis of drug abuse; (f) the Comprehensive Alcohol Abuse and 
Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 
(P.L. 91-616), as amended, relating to nondiscrimination on the 
basis of alcohol abuse or alcoholism; (g) Secs. 523 and 527 of the 
Public Health Service Act of 1912 (42 U.S.C. 290 dd-3 and 290 ee-3), 
as amended, relating to confidentiality of alcohol and drug abuse 
patient records; (h) Title VIII of the Civil Rights Act of 1968 (42 
U.S.C. Sec. 3601 et seq.), as amended, relating to 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 to all interests in real 
property acquired for project purposes regardless of Federal 
participation in purchases.
    8. Will comply with the provisions of the Hatch Act (5 U.S.C. 
Secs. 1501-1508 and 7324-7328) which limit the political activities 
of employees whose principal employment activities are funded in 
whole or in part with Federal funds.
    9. Will comply, as applicable, with the provisions of the Davis-
Bacon Act (40 U.S.C. Secs. 276a to 276a-7), the Copeland Act (40 
U.S.C. Sec. 276c and 18 U.S.C. Secs. 874), and the Contract Work 
Hours and Safety Standards Act (40 U.S.C. Secs. 327-333), regarding 
labor standards for federally assisted construction subagreements.
    10. Will comply, if applicable, with flood insurance purchase 
requirements of Section 102(a) of the Flood Disaster Protection Act 
of 1973 (P.L. 93-234) which requires recipients in a special flood 
hazard area to participate in the program and to purchase flood 
insurance if the total cost of insurable construction and 
acquisition is $10,000 or more.
    11. Will comply with environmental standards which may be 
prescribed pursuant to the following: (a) Institution of 
environmental quality control measures under the National 
Environmental Policy Act of 1969 (P.L. 91-190) and Executive Order 
(EO) 11514; (b) notification of violating facilities pursuant to EO 
11738; (c) protection of wetlands pursuant to EO 11990; (d) 
evaluation of flood hazards in floodplains in accordance with EO 
11988; (e) assurance of project consistency with the approved State 
management program developed under the Coastal Zone Management Act 
of 1972 (16 U.S.C. Secs. 1451 et seq.); (f) conformity of Federal 
actions to State (Clean Air) Implementation Plans under Section 
176(c) of the Clear Air Act of 1955, as amended (42 U.S.C. Sec. 7401 
et seq.); (g) protection of underground sources of drinking water 
under the Safe Drinking Water Act of 1974, as amended, (P.L. 93-
523); and (h) protection of endangered species under the Endangered 
Species Act of 1973, as amended, (P.L. 93-205).
    12. Will comply with the Wild and Scenic Rivers Act of 1968 (16 
U.S.C. Secs. 1271 et seq.) related to protecting components or 
potential components of the national wild and scenic rivers system.
    13. Will assist the awarding agency in assuring compliance with 
Section 106 of the National Historic Preservation Act of 1966, as 
amended (16 U.S.C. 470), EO 11593 (identification and protection of 
historic properties), and the Archaeological and Historic 
Preservation Act of 1974 (16 U.S.C. 469a-1 et seq.).
    14. Will comply with P.L. 93-348 regarding the protection of 
human subjects involved in research, development, and related 
activities supported by this award of assistance.
    15. Will comply with the Laboratory Animal Welfare Act of 1966 
(P.L. 89-544, as amended, 7 U.S.C. 2131 et seq.) pertaining to the 
care, handling, and treatment of warm blooded animals held for 
research, teaching, or other activities supported by this award of 
assistance.
    16. Will comply with the Lead-Based Paint Poisoning Prevention 
Act (42 U.S.C. Secs. 4801 et seq.) with 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.
    18. Will comply with all applicable requirements of all other 
Federal laws, executive orders, regulations and policies governing 
this program.
----------------------------------------------------------------------

Signature of authorized certifying official
----------------------------------------------------------------------

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

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

Date Submitted

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BILLING CODE 4184-01-C
[[Page 18127]]

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

    By signing and submitting this proposal, the applicant, defined 
as the primary participant in accordance with 45 CFR Part 6, 
certifies to the best of its knowledge and belief that it and its 
principals:
    (a) are not presently debarred, suspended, proposed for 
debarment, declared ineligible, or voluntarily excluded from covered 
transactions by any Federal Department or agency;
    (b) have not within a 3-year period preceding this proposal been 
convicted of or had a civil judgment rendered against them for 
commission of fraud or a criminal offense in connection with 
obtaining, attempting to obtain, or performing a public (Federal, 
State, or local) transaction or contract under a public transaction; 
violation of Federal or State antitrust statutes or commission of 
embezzlement, theft, forgery, bribery, falsification or destruction 
of records, making false statements, or receiving stolen property;
    (c) are not presently indicted or otherwise criminally or 
civilly charged by a governmental entity (Federal, State, or local) 
with commission of any of the offenses enumerated in paragraph 
(1)(b) of this certification; and
    (d) have not within a 3-year period preceding this application/
proposal had one or more public transactions (Federal, State, or 
local) terminated for cause or default.
    The inability of a person to provide the certification required 
above will not necessarily result in denial of participation in this 
covered transaction. If necessary, the prospective participant shall 
submit an explanation of why it cannot provide the certification. 
The certification or explanation will be considered in connection 
with the Department of Health and Human Services (HHS) determination 
whether to enter into this transaction. However, failure of the 
prospective primary participant to furnish a certification or an 
explanation shall disqualify such person from participation in this 
transaction.
    The prospective primary participant agrees that by submitting 
this proposal, it will include the clause entitled ``Certification 
Regarding Debarment, Suspension, Ineligibility, and Voluntary 
Exclusion--Lower Tier Covered Transactions'' provided below without 
modification in all lower tier covered transactions and in all 
solicitations for lower tier covered transactions.

Certification Regarding Debarment, Suspension, Ineligibility, and 
Voluntary Exclusion--Lower Tier Covered Transactions (To Be 
Supplied to Lower Tier Participants)

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

Certification Regarding Lobbying

Certification for Contracts, Grants, Loans, and Cooperative 
Agreements

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

State for Loan Guarantee and Loan Insurance

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

                                                 BILLING CODE 4184-01-P
[[Page 18128]]

[GRAPHIC][TIFF OMITTED]TN10AP95.017


BILLING CODE 4184-01-C [[Page 18129]] 

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

[FR Doc. 95-8760 Filed 4-7-95; 8:45 am]
BILLING CODE 4184-01-P