30748 Federal Register / Vol. 61, No. 117 / Monday, June 17, 1996 / Notices

DEPARTMENT OF HEALTH AND

HUMAN SERVICES

Administration for Children and

Families

[Program Announcement No. ACF/ACYF/

NCCAN/DP 96–1]

Fiscal Year 1996 National Center on

Child Abuse and Neglect; Availability

of Fund and Requests for Applications

AGENCY: National Center on Child

Abuse and Neglect (NCCAN),

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

requests for applications to support

child abuse and neglect research,

demonstration, and training and

technical assistance projects as

authorized by the Child Abuse

Prevention and Treatment Act, as

amended.

SUMMARY: The National Center on Child

Abuse and Neglect (NCCAN) announces

the availability of Fiscal Year 1996

funding.

Funds from NCCAN are for research

on the causes, prevention,

identification, treatment and cultural

distinctions of child abuse and neglect;

for research on appropriate, effective

and culturally-sensitive investigative,

administrative and judicial procedures

with respect to cases of child abuse; and

for demonstration or service programs

and projects designed to prevent,

identify, and treat child abuse and

neglect.

This announcement contains forms

and instructions for submitting an

application.

DATES: The closing time and date for the

receipt of applications under this

announcement is 4:30 p.m. (Eastern

Time) August 16, 1996. Applications

received after 4:30 p.m. will be

classified as late.

ADDRESSES: Mail applications to:

Department of Health and Human

Services, Administration for Children

and Families, Division of Discretionary

Grants, 370 L’Enfant Promenade, S.W.,

Mail Stop 6C–462, Washington, D.C.

20447, ATTN: lllll (Reference

announcement number and specify

Priority Area 1.01, 2.01, or 2.02).

Hand-delivered, courier or overnight

applications are accepted during the

normal working hours of 8:00 a.m. to

4:30 p.m., (Eastern time), Monday

through Friday, on or prior to the

established closing date at:

Administration for Children and

Families, Division of Discretionary

Grants, ACF Mailroom, 2nd Floor

Loading Dock, Aerospace Center, 901 D

Street, S.W., Washington, D.C. 20447,

ATTN: lllll (reference number

and specify Priority Area 1.01, 2.01, or

2.02).

FOR FURTHER INFORMATION CONTACT: The

ACYF Operations Center Technical

Assistance Team at 1–800–351–2293 is

available to answer questions regarding

application requirements and to refer

you to the appropriate contact person in

NCCAN for programmatic questions.

INTENT TO APPLY: If you are going to

submit an application, send a postcard

or call in the following information: The

name, address, and telephone number of

the contact person; the name of the

organization; and the priority area(s) in

which you may submit an application,

within two weeks of the receipt of this

announcement to: Administration on

Children, Youth and Families,

Operations Center, 3030 Clarendon

Boulevard, Suite 240, Arlington, VA

22201. The telephone number is 1–800–

351–2293. This information will be used

to determine the number of expert

reviewers needed and to update the

mailing list of persons to whom the

program announcement is sent.

SUPPLEMENTARY INFORMATION: This

program announcement consists of three

parts. Part I provides information on the

National Center on Child Abuse and

Neglect and general information on the

application procedures. Part II describes

the review process, additional

requirements for the grant applications,

the criteria for the review and

evaluation of applications, and the

programmatic priorities for which

applications are being solicited. Part III

provides information and instructions

for the development and submission of

applications.

The forms to be used for submitting

an application follow Part III. Please

copy as single-sided forms and use in

submitting an application under this

announcement. No additional

application forms are needed to submit

an application.

Applicants should note that grants to

be awarded under this program

announcement are subject to the

availability of funds.

Outline of Announcement

Part I: General Information

Part II: Review Process and Priority Areas

A. Eligible Applicants

B. Review Process and Funding Decisions

C. Evaluation Criteria

D. Structure of Priority Area Descriptions

E. Available Funds

F. Priority Area Descriptions and

Requirements

Part III: Information and Instructions for the

Development and Submission of

Applications

A. Paperwork Reduction Act of 1995

B. Availability of Forms

C. Required Notification of the State Single

Point of Contact

D. Deadline for Submission of Applications

E. Instructions for Preparing the

Application and Completing Application

Forms

1. SF424, page 1, Application Cover Sheet

2. SF424A, Budget Information-NonConstruction Programs

3. Project Summary Description

4. Program Narrative Statement

5. Assurances/Certifications

F. Checklist for a Complete Application

G. The Application Package

Part I—General Information

A. Background

The Administration on Children,

Youth and Families (ACYF) administers

national programs for children and

youth, works with States and local

communities to develop services which

support and strengthen family life, seeks

out joint ventures with the private

sector to enhance the lives of children

and their families, and provides

information and other assistance to

parents, public and private agencies,

States and local communities, and other

entities.

The concerns of ACYF extend to all

children from birth through

adolescence. Many of the programs

administered by the agency focus on

children from low-income families;

children and youth in need of foster

care, adoption, or other child welfare

services; preschool children; children

with disabilities; abused and neglected

children; runaway and homeless youth;

and children from Native American and

migrant families.

Located organizationally within

ACYF, the National Center on Child

Abuse and Neglect (NCCAN) was

established within the Department of

Health and Human Services in 1974 by

the Child Abuse Prevention and

Treatment Act (the Act).

NCCAN conducts activities designed

to assist and enhance national, State and

community efforts to prevent, identify,

and treat child abuse and neglect. These

activities include: conducting research

and demonstrations; supporting service

improvement projects; gathering,

analyzing, and disseminating

information through a national

clearinghouse; and awarding grants to

eligible States to develop, strengthen,

and carry out child abuse and neglect

prevention and treatment programs and

programs relating to the investigation
Federal Register / Vol. 61, No. 117 / Monday, June 17, 1996 / Notices 30749

and prosecution of child abuse cases. In

addition, the legislatively-mandated

Advisory Board on Child Abuse and

Neglect and the Inter-Agency Task Force

on Child Abuse and Neglect produce

periodic reports on child abuse and

neglect activities.

B. Statutory Authority Covered Under

This Announcement

NCCAN solicits applications under

the authority of the Child Abuse

Prevention and Treatment Act (42

U.S.C. 5101 et seq.) as amended. The

Act was most recently reauthorized

through September 1995 and was

further amended through the Child

Abuse, Domestic Violence, Adoption,

and Family Services Act of 1992 (Pub.

L. 102–295, 5/28/92), the Juvenile

Justice and Delinquency Act

Amendments of 1992 (Pub. L. 102–586,

11/4/92), and Title IV of the Human

Services Amendments of 1994 (Pub. L.

103–252, sec. 401). Funds were

appropriated, at a reduced level, under

the 1996 Appropriation Bill (Pub. L.

104–134) through September 1996.

(CFDA: 93.670)

Part II. The Review Process and

Priority Areas

A. Eligible Applicants

Each priority area description

contains information about the types of

agencies and organizations eligible to

apply. Because eligibility varies

depending on statutory provisions, it is

critical that the ‘‘Eligible Applicants’’

section of each priority area be read

carefully.

Before review, each application will

be screened for applicant organization

eligibility. Applications from ineligible

organizations will not be reviewed in

the competition, and the applicants will

be so informed.

Only agencies and organizations, not

individuals, are eligible to apply under

this Announcement. All applications

developed jointly by more than one

agency or organization must identify a

single lead organization and official

applicant. Participating agencies and

organizations can be included as coparticipants, subgrantees, or

subcontractors. For-profit organizations

are eligible to participate as subgrantees

or subcontractors with eligible nonprofit organizations under all priority

areas.

Any non-profit agency 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 nonprofit applicant without acceptable

proof of its non-profit status.

B. Review Process and Funding

Decisions

Before applications are reviewed,

each application is screened to

determine whether the applicant

organization is eligible. Applications

from ineligible organizations will not be

reviewed in the competition, and the

applicant will be so informed.

Applications that omit essential

components of the application or fail to

comply with format specifications

described in Part III will have their

application withdrawn from further

consideration.

Applications will be screened for

categorical appropriateness. If

applications are found to be

inappropriate for the priority area in

which they were submitted, applicants

will be contacted for verbal approval of

redirection to a more appropriate

priority area. Redirection does not affect

decision-making in the competitive

process following the initial screening.

Timely applications 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 result of this review is

a primary factor in funding decisions.

NCCAN and ACYF reserve the option

to discuss applications with, or refer

them to, other Federal or non-Federal

funding sources when this is in the best

interest of the Federal government or

the applicants. ACYF may also solicit

comments from ACF Regional Office

staff, other Federal agencies, interested

foundations, national organizations,

specialists, experts, States and the

general public. These comments, along

with those of the expert reviewers, will

be considered by ACYF in making

funding decisions.

In making decisions on awards, ACYF

may give preference to applications

which focus on: over-represented or

under-served populations; substantially

innovative strategies with the potential

to improve theory or practice in child

welfare and child protective services; a

model practice or set of procedures that

holds the potential for replication by

organizations that administer or deliver

child welfare and/or child protective

services; substantial involvement of

volunteers, where appropriate;

substantial involvement (either financial

or programmatic) of the private sector;

a favorable balance between Federal and

non-Federal funds available for the

proposed project; the potential for high

benefit from low Federal investment;

and/or substantial involvement by

national or community foundations.

To the greatest extent possible,

funding decisions will reflect an

equitable distribution of assistance

among the States and geographical

regions of the country, rural and urban

areas, and ethnic populations. In

making these decisions, ACYF may also

take into account the need to avoid

unnecessary duplication of effort.

C. Evaluation Criteria

A panel of at least three reviewers

(primarily experts from outside the

Federal government) will review the

applications. To facilitate this review,

applicants should address each

requirement in the priority area

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 and provide verbal and

written comments and assign numerical

scores to each application. The point

value following each criterion heading

is the maximum score for that criterion.

All research applications will be

evaluated against the following criteria:

(a) Objectives (5 points). The

application pinpoints the research

problem addressed; concisely states the

specific objectives of the study;

references theory or craft knowledge

supporting the study; and states the

question(s) or hypothesis(es) to be

tested.

(b) Background and Significance

(maximum of 19 points). The

application provides a thoughtful

discussion about the current state of

knowledge related to the research

problem addressed by presenting a

review of the relevant literature,

including any pilot tests, in order to

establish the need for the study as a

replication to validate existing

knowledge or a new study to fill a

knowledge gap. Applicants also must

indicate how the proposed study

findings are expected to significantly

inform policy, improve practice, and/or

advance the science of child abuse and

neglect research. Bibliographic

references for all citations should be

included.

(c) Methodology (51 points). The

application precisely defines the terms

and variables used in the study;

identifies data sources, data collection

processes and instruments, including

the instruments’ reliability and validity

with the population proposed; and

describes the data analysis plan. If the
30750 Federal Register / Vol. 61, No. 117 / Monday, June 17, 1996 / Notices

study proposes to do secondary data

analysis, the application describes

access to the data source.

The application describes the

characteristics of the target population

and the rationale, strengths, and

potential limitations for interpretations

of findings due to the gender and ethnic

composition of the proposed study

sample; depicts recruitment and

retention procedures; provides realistic

estimates of attrition, and discusses

appropriate procedures for handling

attrition or interpreting the findings of

the study in light of attrition.

The proposed methodology protects

human subjects; reflects sensitivity to

ethical issues that may arise and

provides for reporting suspected abuse

and/or neglect as governed by

applicable laws and regulations;

describes procedures for soliciting

approval from an institutional review

board (IRB), if applicable, and

protecting the integrity and

confidentiality of data.

The applicant(s) commits to using

data processing and documentation

practices in accordance with the needs

of the National Data Archive on Child

Abuse and Neglect and to providing

study data to the Archive at the

conclusion of the project, as applicable.

A manual describing such practices,

The Preparation of Data Sets for

Analysis and Dissemination: Technical

Standards for Machine-Readable Data,

can be obtained free of cost from the

National Data Archive on Child Abuse

and Neglect located at Cornell

University, Family Life Development

Center, G20 MVR Hall, Ithaca, New

York 14853–4401, 607–255–7794.

Applicants must confirm that the final

report will be prepared in the suggested

format to ensure its readiness for

dissemination by NCCAN and ACYF, if

desired.

The application provides a fiscally

responsible and workable plan of action;

details a reasonable time-line and target

dates; includes an adequate staffing

plan, listing key and support staff,

consultants, any agency, organization,

other key group, and/or advisory panels

involved or proposed; describes the

responsibilities, activities, and/or

training plans for each, if applicable.

The application explicitly identifies the

role of the author(s) of this proposal in

relation to the work plan and

administrative structure.

The application proposes reasonable

project costs and allocates sufficient

funds across component areas. This

information also must be included in

the budget narrative.

(d) Staff Background and

Organizational Experience (25 points).

The application describes the

qualifications of the key staff and

consultants alluded to in the methods

section (a curriculum vitae for each key

staff person must be included with the

application); the geographic

accessibility of the personnel proposed;

and access to special personnel

resources to be tapped, if required.

The application describes the

adequacy of the available facilities and

organizational experience to perform the

pertinent tasks of the proposed project

effectively and efficiently.

Organizational capability statements

included with applications should be no

longer than two pages. If collaboration

is proposed, the nature and extent of the

collaboration must be described in

detail, and supported by letters of

commitment.

The application describes the

relationship between this project and

any other Federally assisted work

planned, anticipated, or underway, by

the applicant.

All demonstration and training and

technical assistance applications will be

evaluated against the following criteria:

(a). Objectives and Need for

Assistance (20 points). The application

pinpoints the problem or issue requiring

a solution and 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; identifies other successful

demonstration projects that may have

implications for the proposed

demonstration (which may include a

review of the relevant literature);

identifies the conceptual or theoretical

framework for this model; and describes

whether the proposed project replicates

or modifies previously evaluated

model(s) addressing the identified need.

The application must pinpoint the

location of the project and area and

population to be served.

(b). Approach (35 points). The

application outlines a sound and

workable plan of action and time-line

and details how the proposed work will

be accomplished; describes the

approach in detail and points out its

unique features; cites factors which

might accelerate or delay this approach,

giving acceptable reasons for taking this

approach as opposed to others;

describes and supports any unusual

features of the project, such as

extraordinary social and community

involvements; includes an adequate

staffing plan, that lists key and support

staff, consultants, any agency,

organization, other key group, and/or

advisory panels involved or proposed;

describes the responsibilities, activities,

and/or training plans for each (if

applicable). The application proposes

reasonable project costs and allocates

sufficient funds appropriately across

activities to accomplish the objectives.

The application, when appropriate,

identifies the kinds of data to be

collected and maintained, describes

procedures for informed consent of

participants, where applicable, and

discusses the criteria to be used to

evaluate the results of the project. The

application describes the evaluation

methodology that will be used to

determine if the process proposed was

implemented, if the needs identified

were addressed, and if the benefits

expected were achieved.

(c). Results or Benefits Expected (20

points). The application identifies the

results and benefits to be derived, the

extent to which they are consistent with

the goals and objectives, and their

contributions to policy and practice.

The extent to which the proposed

project costs are reasonable in view of

the expected results.

(d). Staff Background and

Organization Experience (25 points).

The application identifies the

educational and professional

background of the project director/

principal investigator and key project

staff and the experience of the

organization to demonstrate the

applicant’s ability to administer and

implement the project effectively and

efficiently. The role of the author(s) of

this proposal in relation to the work

plan and administrative structure

should be explicitly identified. The

application describes the relationships

between the proposed project and other

Federally assisted work planned,

anticipated or underway by the

applicant. If the project proposed is a

collaboration, the application must

describe the nature and extent of the

collaboration including the

responsibilities of the respective

agencies in carrying out the activities

identified in the work-plan.

D. Structure of Priority Area

Descriptions

Each priority area description is

composed of the following sections:

Eligible Applicants: This section

specifies the type of organization

eligible to apply under the particular

priority area. Specific restrictions are

noted where applicable.

Purpose: This section presents the

basic focus and/or broad goal(s) of the

priority area.

Background Information: This section

briefly discusses the legislative

background and the current state-of-the-
Federal Register / Vol. 61, No. 117 / Monday, June 17, 1996 / Notices 30751

art and/or current state-of-practice

supporting the need for the particular

priority area activity. Relevant

information on projects previously

funded by ACYF and/or others, and

State models are noted.

Minimum Requirements for Project

Design: This section presents the

minimum requirements which must be

addressed in response to the evaluation

criteria. For research projects, these

requirements relate to project objectives,

background and significance,

methodology, staff background and

organizational experience. For

demonstration projects, these

requirements relate to objectives and

need for assistance, approach, results or

benefits expected, and staff background

and organizational experience.

Reviewers will use the details expected

under these headings in response to

each priority area to evaluate the

applications.

Project Duration: This section

specifies the maximum allowable

project period; it refers to the amount of

time for which Federal funding is

available.

Federal Share of Project Cost: This

section specifies the maximum amount

of Federal support for the project for the

first budget year.

Matching Requirement: This section

specifies the minimum non-Federal

contribution, either cash or in-kind

match, required in relation to the

maximum Federal funds requested for

the project.

Anticipated Number of Projects To Be

Funded: This section specifies the

number of projects ACYF anticipates

funding under the priority area.

Applications that fail to comply with

the specific priority area requirements

in the section on ‘‘Eligible Applicants’’

will not be reviewed.

Non-responsiveness to the section

‘‘Minimum Requirements for the Project

Design’’ is likely to 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. Experience has shown that

an application which is broader and

more general in concept than the

priority area description calls for

invariably scores lower than one more

clearly focused on, and directly

responsive to, the specific priority area.

E. Available Funds

The ACYF intends to award new

grants resulting from this announcement

during the fourth quarter of Fiscal Year

1996, subject to the availability of funds.

The size of the actual awards will vary

from priority area to priority area.

Each priority area description

specifies the maximum Federal share of

the project costs and the anticipated

number of projects to be funded.

‘‘Budget period’’ is the interval of

time (usually 12 months) into which a

multi-year period of assistance (project

period) is divided for budgetary and

funding purposes. ‘‘Project period’’ is

the total time a project is approved for

support, including any extensions.

Where appropriate, applicants may

propose project periods which are

shorter than the specified maximums.

Non-Federal share contributions may

exceed the minimums specified when

the applicant is able to do so. However,

applicants only should propose a nonFederal share they can realistically

provide because ACF will disallow any

unmatched Federal funds.

For multi-year projects, continued

Federal funding beyond the first budget

period depends upon satisfactory

performance by the grantee, availability

of funds from future appropriations, and

a determination that continued funding

is in the best interest of the Government.

F. Priority Area Descriptions and

Requirements

1.01 University-Based Doctoral or

Medical Student and Faculty

Fellowships in Child Abuse and

Neglect

2.01 Demonstration Models on Neglect

2.02 National Resource Center on

Child Maltreatment

On October 25, 1994 (Federal Register

Vol. 59, No. 205, pp. 53652–53657)

NCCAN published, as required by the

authorizing legislation, a notice of the

proposed research and demonstration

priorities for Fiscal Years 1995 and

1996. The notice provided a 60-day

period for public comment on the

proposed areas. NCCAN received 81

written responses. A detailed

description of those responses was

included in the notice of availability of

funds and request for applications

published on May 9, 1995 (Federal

Register Vol. 60, No. 89, pp. 24700–

24732). The priority areas selected for

that announcement were chosen by

prioritizing needs, matched to available

funding levels, with due consideration

of the public comments on the proposed

priorities. This announcement is based

on the proposed priority publication

and public comments. Public responses

to those proposed priority topics which

were not presented in previous

announcements are described here.

Thirty-seven letters commented on

the proposed research topic focusing on

the impact of community-based family

support and family preservation

programs on child abuse and neglect.

Almost all concurred with the direction

of this priority. Some writers suggested

that the target populations and the target

findings needed greater clarity. By

designating four populations of interest

and four outcomes, the impression may

have been given that all four

populations and all four outcomes were

to be included in each proposal,

creating projects of scope and

complexity exceeding available funding.

Many criticisms targeted the lack of

clarity between the priority area and

ongoing Federal evaluations of family

support and family preservation

services. The proposed population

categories and outcomes described in

the previous announcement were

intended to focus applicants’ thinking

on populations and outcomes of

primary interest to NCCAN. If this topic

is pursued, applicants should feel free

to suggest (and justify) other

populations or subgroups and outcomes,

and select only those logically and

appropriately related to the outcomes,

theoretical foundation, research

methods and measures proposed.

Regardless of population and outcomes,

each applicant will be expected to

propose explorations that will inform

future prevention and intervention

strategies. With respect to the lack of

sufficient funding for large-scale

explorations of Child Protective Service

(CPS) populations and service

outcomes, this topic has been subsumed

in the list of suggested topics for

university-based doctoral or medical

student and faculty fellowship studies.

Regarding field-initiated research,

which was not included as a separate

topic in the proposed priorities, several

respondents suggested reinstating the

previously funded priority area because

it focused the innovative thinking of the

research community specifically on

issues of child maltreatment. NCCAN,

recognizing the importance of

innovative research from the field and

has taken those comments into

consideration in developing this

announcement.

Twenty-five comments addressed the

proposal to develop models for centers

of excellence in research. A number of

respondents questioned this approach

and suggested alternatives for

configuring research centers, such as

developing partnerships with for-profit

companies, universities, or other

agencies. Seventeen respondents

supported this priority area as it was

described. Many comments in both

categories supported the graduate

research and medical research

fellowships issued previously. Both
30752 Federal Register / Vol. 61, No. 117 / Monday, June 17, 1996 / Notices

topics were intended to support the

continued development of a research

infrastructure and to attract new

researchers to the field. These goals

have been combined in priority area

(1.01) for a block of fellowships for

doctoral or medical students and a

faculty member to conduct child abuse

and neglect research.

Seventeen responses addressed the

two priority areas proposing service

demonstrations on models for neglect.

Thirteen made suggestions for

improving the priority area, only one

did not support the priority. Comments

focused primarily on clarifying the

populations to be served and studied,

the service approaches to be

demonstrated, and the partnerships

required between the proposed

organization and child protection

service agencies and/or communitybased programs. Many writers suggested

additional populations meriting study

(e.g., families with substance abuse and

addiction problems, families

experiencing domestic violence, parents

with mental retardation, families of

adoption, and families with children

with special needs). Respondents

expressed the need to select clearly

defined, homogeneous populations in

order to conduct rigorous research and

have generalizable findings. With regard

to the two approaches discussed in the

announcement (ecological and

psychosocial), over half supported a

combined approach. The remainder

stressed the importance of matching the

approach to client needs, available

resources, and selection of outcome

variables and measures. Those

comments have been incorporated into

the priority appearing in this

announcement. Based on comments, the

project length will be expanded to five

years.

Ongoing infrastructure support

activities, such as resource centers and

training and technical assistance

activities, also received support for

continuation.

Other respondents indicated the need

to acknowledge the role parental

substance abuse and domestic violence

may play in preventing and treating

child abuse and neglect regardless of

topic focus. NCCAN supports including

these issues, as appropriate, and will

reiterate in the priority area descriptions

the need to focus on parental substance

abuse and domestic violence as

important issues, as research study

variables, and as co-occurring problems

in demonstration projects.

NCCAN encourages applications from

applicants who bring a special

understanding of the dynamics of

communities over-represented in the

child protective service and child

welfare systems. There is a compelling

need to generate knowledge about these

populations through research based

upon conceptual frameworks that

include appropriate cultural and

sociological perspectives. Researchers

with experience or the potential to

examine over-represented and/or underserved populations can make significant

and unique contributions to knowledge

about child abuse and neglect, diversity,

and over-representation. Applications

from Historically Black Colleges and

Universities may receive special

consideration, in concurrence with

Departmental precedent.

Applicants are strongly encouraged to

build new studies on the findings of

previously funded NCCAN grants.

Information on prior research and

demonstration projects supported by

NCCAN and other studies on child

maltreatment are available from the

Clearinghouse on Child Abuse and

Neglect Information, P.O. Box 1182,

Washington, DC 20013, (1–800–FYI–

3366). The Clearinghouse (a member of

the Consortium of Clearinghouses) can

provide information on the other

Clearinghouses and Resource Centers

having special information resources on

substance abuse and domestic violence.

1.01 University-Based Doctoral or

Medical Student and Faculty

Fellowships in Child Abuse and Neglect

Eligible Applicants: Institutions of

higher education, including medical

schools, teaching hospitals, and

Historically Black Colleges and

Universities on behalf of qualified

doctoral students, medical students,

residents (medical, surgical, pediatric,

or others), house officers, or fellows

enrolled in the institution and faculty

employed by the institution. To be

eligible to administer such a grant, the

institution must be fully accredited by

one of the regional institutional

accrediting commissions recognized by

the U.S. Secretary of Education and the

Council on Post-Secondary

Accreditation, the Accreditation

Council for Graduate Medical

Education, American Association of

Medical Colleges, or the Liaison

Committee for Medical Education, as

applicable. While an individual is

considered to be the beneficiary of the

grant support, awards will be made only

to eligible institutions on behalf of their

qualified candidates.

Purpose: To provide support for

doctoral students, medical students,

residents, house officers, or fellows,

who show promise and demonstrate

serious interest and commitment to

issues of child maltreatment and faculty

to conduct research on critical issues in

child abuse prevention, identification,

and treatment in order to cultivate the

academic infrastructure, support the

growth of the university-based research

capacity for child abuse and neglect,

and encourage doctoral-level students

and faculty to pursue careers in child

abuse and neglect research.

Background Information: The

research community has highlighted the

need to draw new researchers into the

field of child abuse and neglect

(Understanding Child Abuse and

Neglect, National Research Council,

Washington, D.C.: 1993). During FYs

1991, 1992, and 1994, NCCAN funded

26 graduate research fellowships for

doctoral candidates to complete

dissertations addressing critical issues

in child abuse and neglect. This activity

proved rewarding for NCCAN and

garnered the support of the field.

NCCAN is expanding this effort to

include doctoral students, medical

students, residents, or fellows, and

faculty interested in pursuing child

abuse and neglect research projects.

Faculty, doctoral students, and students

in medical schools, resident or fellows

programs are encouraged to apply for

support through their schools and

interdisciplinary programs in social

sciences, human development,

community and family development,

human services, social work, medicine,

nursing, special education, early

childhood education, psychology,

sociology, anthropology, public health,

child study, minority studies, and

criminology.

NCCAN proposes to award funds for

fellowships in blocks to eligible

institutions. Each institutional block

would contain up to four students and

one faculty member. The students and

faculty member may pursue their own

individual research or work on

coordinated projects on child abuse and

neglect. In addition to submitting all the

required reports to NCCAN, the faculty

member’s work may lead to publications

and the students’ work may lead to their

doctoral dissertations or fulfill the

requirements of a major research project

(e.g., independent study projects

requiring a minimum commitment of 6

to 9 graduate credit hours).

Institutions will be selected

competitively, with attention to

geographic distribution, and with at

least one grant to Historically Black

Colleges and Universities (HBCU) in

order to generate research and

researchers particularly responsive to

issues of cultural context and the overrepresentation of some groups in child

protective systems.
Federal Register / Vol. 61, No. 117 / Monday, June 17, 1996 / Notices 30753

Examples of the proposed topics to be

addressed and issues to be studied for

these fellowships include, but are not

limited to, the following topics: (1)

Prevention effectiveness studies; (2) CPS

service interventions and outcomes

studies; (3) treatment outcome studies;

(4) studies focusing on over-represented

and/or under-served populations in the

child welfare and child protective

services; (5) studies of the impact of

managed care on child maltreatment

prevention and treatment programs; and

(6) secondary analysis of existing data

sets. Medical students, residents, and

fellows are also encouraged to consider

research on new medical screening,

diagnostic, or interview protocol

techniques or treatments for child abuse

and neglect.

NCCAN has a general interest in

research conducted in cooperation/

partnership with State or local Child

Protective Services/child welfare

systems, prevention-oriented and/or

service-providing community-based

organizations and/or systems, and

teaching hospitals with

multidisciplinary child protection

teams.

(1) Prevention effectiveness study

topics might include tests of

effectiveness for various models of

developmentally appropriate,

comprehensive prevention services in

various settings; effectiveness of

parenting education and peer-support

parent programs; studies of how

interactions between fathers and

children promote or reduce the risk of

child maltreatment; studies of the

relationship of parental discipline

practices and child maltreatment; or

other topics related to prevention

effectiveness as proposed by applicants.

(2) Research studies on CPS service

interventions and outcomes with

particular interest on families: (a)

Referred to CPS, whose cases were

unsubstantiated or unfounded, but were

found to need services, and were

referred for, or provided services, whose

cases are now open or closed; (b) followup studies with families whose child

abuse or neglect cases were

substantiated or indicated, who received

services that might have included shortterm placement and reunification, and

whose cases are now closed; and (c)

families whose child abuse or neglect

cases have been substantiated or

indicated, who are receiving services

which might include short-term

placement and reunification, and whose

cases are currently open. We are also

interested in system responses to cases

involving multiple forms of abuse.

NCCAN encourages studies on the

combination of neglect and physical

abuse; cases involving substance abuse

and/or domestic violence are also of

interest. Type of services and

moderating variables that impact the

outcomes of service should be carefully

defined. Family and child outcome

variables might include service impacts

on: (a) Child health and development,

child and family functioning,

recidivism, and frequency and duration

of removals from these families, if any;

(b) costs/cost effectiveness of service

delivery approaches; (c) other issues

related to these three populations as

proposed by applicants.

(3) Treatment outcome study topics of

interest include studies of the

effectiveness of various approaches to

the treatment of: (a) Children subjected

to multiple forms of maltreatment; (b)

child abuse and domestic violence; and

(c) child abuse and substance abuse; or

other subtopics related to these three

areas, as proposed by applicants.

(4) Studies exploring the unique

cultural dynamics of communities overrepresented in the child protective

service and child welfare systems;

studies generating knowledge about the

conceptual frameworks, sociological,

psychological, and cultural perspectives

which can inform interventions

operating in these communities;

examinations of over-represented and/or

under-served populations; or other

topics related to cultural dynamics as

proposed by applicants.

(5) Studies of the impact of managed

care on the delivery of child

maltreatment prevention and treatment

programs.

(6) Secondary analysis of existing

data. NCCAN encourages the use of NIS,

NCANDS, data-sets collected through

other ACF-funded awards, and data

stored at the National Data Archives on

Child Abuse and Neglect located at

Cornell University, Family Life

Development Center, G20 MVR Hall,

Ithaca, New York 14853–4401;

telephone: 607–255–7794.

Each applicant institution should

prepare a single submission packet

composed of (up to) five individual

research proposals. Each individual

proposal will be evaluated against the

criteria for evaluating research projects.

For this priority area only, an exception

is made regarding the 60-page limit

described elsewhere in this

announcement. However, the text of

each individual proposal should not

exceed a maximum of 15 pages. The

total text for the five proposals cannot

exceed a maximum of 75 pages.

Application forms and all required

attachments can add up to 25 more

pages. Thus the total length of the

institutional submission, including text,

application, and attachments may be up

to 100 pages. Human Subjects

Assurances must be completed for each

individual proposal; however, all other

assurances should be submitted only

once, by the institutional applicant. The

academic institution, in accepting the

award, agrees to waive overhead charges

(indirect costs) and pass the entirety of

the funds on to students and faculty as

fellowships.

Minimum Requirements for Project

Design: As part of addressing the

evaluation criteria outlined in Part II of

this announcement, each applicant must

address the following items in the

program narrative section of the

proposal.

Objectives

• Pinpoint the research problem

being addressed.

• State the specific objectives of the

study.

• State the question(s) or

hypothesis(es) to be tested.

Background and Significance

• Discuss the current state of

knowledge related to the research

problem.

• Provide a review of the relevant

literature, including any pilot tests.

• Demonstrate a conceptual

framework that includes appropriate

cultural perspectives and references

theory or craft knowledge in support of

the study.

• Establish the need for the study as

either a replication to validate existing

knowledge or as a new study to fill a

knowledge gap. If applicable, indicate

how the proposed study is

distinguished from other on-going

research of which it is a part.

• Indicate how the proposed study

findings significantly inform policy,

improve practice, and/or advance the

science of child abuse and neglect

research.

• Include all bibliographic references.

Methodology

• Describe the proposed

methodology. Define the terms,

variables, and design to be used in the

study.

• Describe the population and

sampling plan, the rationale, strengths,

and potential limitations for

interpretations of findings due to the

gender and ethnic composition of the

proposed study sample.

• Describe recruitment and retention

procedures; provide realistic estimates

of attrition, and discuss appropriate

procedures for handling attrition or

interpreting the findings of the study in

light of attrition.
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• Identify data sources, data

collection procedures, and instruments,

including information on reliability and

validity of the instruments with the

population proposed. If the study

proposes secondary data analysis,

describe access to the data source.

Describe data management to safeguard

the integrity and confidentiality of data.

• Describe the plan to prepare study

data according to sound data processing

and documentation practices in

accordance with the needs of the

National Data Archive on Child Abuse

and Neglect.

• Provide a data analysis plan.

• Assure protections for human

subjects; describe procedures for

soliciting approval from an institutional

review board (IRB), if applicable.

• Reflect sensitivity to ethical issues

that may arise and make provision for

reporting suspected abuse and/or

neglect as governed by applicable laws

and regulations.

• Provide a fiscally responsible and

workable plan of action; detail a

reasonable time-line and target dates;

include an adequate staffing plan,

listing key and support staff,

consultants, any agency, organization,

other key group, and/or advisory panels

involved or proposed; describe the

responsibilities, activities, and/or

training plans for each, if applicable.

• Describe strategies for

disseminating the findings in a manner

that would be useful to other

researchers and practitioners in the

field.

Staff Background and Organizational

Experience

• Include evidence that the student

candidates are enrolled and in good

standing as doctoral or medical

students, residents, or fellows in the

sponsoring institution and verify the

employment status of the faculty

candidate.

• Document the agreement between

the dean or chairperson and the faculty

candidate indicating that the faculty

candidate will be permitted to conduct

the research project as part of his/her

academic duties, and if needed, that a

senior faculty member would be

available to guide the project.

• Include a letter of support from a

tenured faculty member, advisor, Dean,

or Chairperson for each student seeking

a fellowship, recommending the

student’s capability to undertake a

research project of this nature.

• Describe the corporate capability of

the institution to support a research

initiative, in terms of the existing

research infrastructure and academic

climate.

• Include a short resume for each

candidate (limit to one page) including

information on education and relevant

experiences.

• Describe the relationship between

this project and any other Federallyassisted work planned, anticipated, or

underway, by the applicant.

• Provide assurances that each

candidate will attend a three-day annual

spring meeting of NCCAN research

grantees in Washington, D.C.; prepare a

pre-meeting abstract of the research,

quarterly progress reports, and a final

project report in an NCCAN-suggested

format ensuring ease of dissemination

and utilization; prepare and submit at

the conclusion of each individual study,

the data in accordance with the needs

of the National Data Archive on Child

Abuse and Neglect, as described.

Project Duration: The length of the

project may not exceed 17 months.

Federal Share of the Project Costs:

The maximum Federal share of the

project is not to exceed $75,000 per

university or institution to fund up to

four student-candidates at $13,750 each

and $20,000 for the faculty candidate.

Matching Requirement: There is no

matching requirement.

Anticipated Number of Projects to be

Funded: It is anticipated that 3 sites will

be funded.

2.01 Demonstration Models on Neglect

Eligible Applicants: Public or private

nonprofit agencies, organizations, and

institutions of higher learning. Forprofit organizations are eligible to

participate as subgrantees or

subcontractors of eligible non-profit

organizations.

Purpose: The intent of this priority

area is to fund service models that

address the prevention, intervention,

and treatment needs of neglected

children and their families. These

models should provide for (a) early

identification of families at risk of

neglect, (b) identification of chronically

neglectful families, and (c) neglected

children (in placements or reunified)

who may be in need of special services.

Projects may either present innovative

approaches or be replications of

previously evaluated and promising

models. In either case, proposed models

should build on previous research

findings and NCCAN-sponsored

symposium findings; they should also

incorporate mental health, substance

abuse, parenting education, and family

support services. They should collect

data on the costs and potential cost

benefits of providing the proposed

services. A strong evaluation component

will be essential.

Background Information: Child

neglect is the most common form of

child maltreatment today. According to

the latest NCANDS data available (Child

Maltreatment 1994: Reports from the

States to the National Center on Child

Abuse and Neglect), 52.9% of all cases

substantiated by child protection service

agencies are neglect cases. Since

NCANDS began tracking cases, neglect

has been the predominant type of

maltreatment. This is also true of the

NIS data. Yet, efforts to focus attention

on neglect have lagged significantly

behind other forms of maltreatment.

Research indicates that the

consequences for children who are

neglected have a long-term negative

impact. Child victims of neglect fail to

develop secure psychological

attachments as infants, and this

seriously hinders their subsequent

development. Neglected preschool

children demonstrate a lack of readiness

for learning, behavior problems, and

less active interaction with peers.

School-aged neglected children do

poorly in school. The connection

between delinquency and neglect is less

clear, although according to some

preliminary data from the U.S.

Department of Justice’s National

Institute of Justice (Research Preview,

February 1996), adolescents neglected

as children were equally likely to be

arrested for violent crimes as physically

abused children. Neglected children

under age 3 are at high risk for child

fatalities. Parents of neglected children

are also more likely to: have limited

intellectual functioning; experience

depression; abuse alcohol and drugs;

and have limited education (Gaudin,

Polansky, Kilpatrick and Shilton.

‘‘Loneliness, Depression, Stress and

Social Supports in Neglectful Families,’’

October 1993, American Journal of

Orthopsychiatry, Vol. 63, No. 4, pp.

597–605).

To address one aspect of this problem,

NCCAN convened a symposium on

chronic neglect in June 1993. Building

upon lessons learned from previous

demonstration models on neglect, the

symposium addressed consensusbuilding on definitions, strategies for

change through empowerment, research,

treatment and policy topics. The

Chronic Neglect Symposium

Proceedings (1993) are available from

the NCCAN Clearinghouse (800–394–

3366). A number of studies referred to

in the Proceedings suggest that

programs for neglectful families based

on building interpersonal strengths,

fostering individual empowerment, and

ensuring the provision of basic human

needs in a safe environment were most

likely to improve parenting, self-esteem
Federal Register / Vol. 61, No. 117 / Monday, June 17, 1996 / Notices 30755

and coping ability among the neglectful

population.

Designing services for families that

neglect children is a challenge. Both

ecological and psycho-social factors

influence the manifestation of neglect.

The many differences among neglectful

families, including cultural and

sociological distinctions, dictate a

service model based on careful

assessment of the family and services

designed specifically for them.

Projects may be based on either an

ecological, i.e., a neighborhood model,

or the psycho-social model. If a project

chooses the ecological model, it must be

aggressive in its outreach to the

community; conversely, if a project

chooses to follow the psycho-social

model, it must include home-based/

family support services, parenting

education, substance abuse and mental

health services in its approach to

addressing neglect.

The U.S. Advisory Board on Child

Abuse and Neglect focuses on the

ecological aspects in their report,

Neighbors Helping Neighbors (1993).

The report recommends several

strategies for strengthening

neighborhoods and improving the

quality of support available to families

within their own communities, as a

national strategy for the protection of

children. Recommendations include:

• Involving residents as participants,

planners and managers of neighborhood

services,

• Encouragement of foster

grandparent programs,

• Empowerment through home

ownership,

• Implementing prevention zones by

public/private partnerships, and

• Funding more family resource

centers.

The importance of neighborhoods in

combatting neglect is also emphasized

in the 1994 Kids Count Data Book (The

Annie E. Casey Foundation, pp. 4–7).

The report issued by the National

Research Council (NRC, 1993, pp. 50–

52) also highlights the ecological

aspects. That report states that

‘‘dysfunctional families are often part of

a dysfunctional environment’’ (p. 60).

Its recommendations for intervention

programs include: home-based

approaches, improving socio-economic

conditions and reversing social

isolation.

Other research focuses on the psychosocial foundations of neglect.

DiLeonardi (‘‘Families in Poverty and

Chronic Neglect of Children,’’

November 1993, Families in Society,

Vol. 74, No. 9, pp. 557–562), reported

that ‘‘family empowerment, the use of

groups to develop social support

networks, and the assistance of

volunteers or paraprofessionals as home

visitors or parent aides, appear to be

beneficial’’ to families reported for

neglect. The study concluded that

families were able to reverse their

neglectful child-rearing patterns with

this model of service. DePanfilis

(‘‘Social Isolation of Neglectful Families:

A Review of Social Support, Assessment

and Intervention Models,’’ February

1993, Child Maltreatment, Vol. 1, Issue

1, pp. 37–52) also has suggested that

programs that address the social

isolation of neglectful parents by

teaching them social and interactional

skills work well.

Gaudin, et al., also found that family

dynamics explains a significant portion

of the variance in quality of parenting

and neglect. Depression and substance

abuse, for example, have been suggested

as powerful forces in family dynamics

and mediators of neglect.

Recent work by the Kansas

Cooperative Extension Service (Smith,

C.A., Cudaback, D., Goddard, H.W., &

Myers-Walls, J., 1994, National

Extension Parent Education Model) may

provide a useful guide for designing the

parent education component of a

comprehensive psycho-social model.

Parent education can help parents in

many ways including: learning to care

for themselves, managing personal

stress, managing family resources;

providing children with

developmentally appropriate

opportunities and learning appropriate

disciplinary techniques; maintaining

developmentally appropriate

expectations of children; improving

communication skills, building social

support systems; and learning to access

community, social service, and family

support resources.

Structurally, these projects are

intended to function cooperatively as a

cluster. NCCAN proposes funding a

minimum of four demonstration

projects on neglect. Participation in a

cluster affords the grantees the greatest

opportunities to cooperate and

collaborate. NCCAN will assist this

cooperation by providing assistance

through a technical assistance contract,

encouraging meetings to develop

common evaluation criteria, data

elements, and measures to maximize

comparability of evaluation findings.

Evaluations will be required of each

demonstration project. Priority will be

give to those who provide evidence of

partnership between CPS/IV-B agencies

which provide Family Preservation/

Family Support services and

community-based mental health/family

resource centers.

NCCAN is especially interested in

examinations of core services and

studies of essential elements in

treatment, and outcome studies. Projects

which address issues related to family

preservation and family support are

encouraged as are demonstrations

related to treatment outcomes and

practitioner evaluations.

Minimum Requirements for Project

Design: As part of addressing the

evaluation criteria outlined in Part II of

this announcement, each applicant must

address the following items in the

program narrative section of the

proposal.

Objectives and Need for Assistance

• Pinpoint the child neglect-related

problem or issue that needs to be

addressed and establish the need for

assistance; state the principal and

subordinate objectives of the project.

State goals and objectives in specific,

measurable form for evaluation

purposes.

• Identify the conceptual framework

used as the basis for the proposed model

and provide a review of the relevant

literature; include information about

similar successful demonstration

projects that may have implications for

the proposed demonstration; and

provide supporting documentation or

other testimonies from concerned

interests other than the applicant.

• Demonstrate an awareness of

current initiatives in the field and how

the approach being proposed would

build on this work.

• Describe whether the proposed

project replicates or modifies a

previously-evaluated model which

addresses the identified need.

• Identify the precise location of the

project, community, and population to

be served by the proposed project.

Approach

• Describe the approach in detail and

point out its unique features including

sensitivity to cultural, sociological,

psychological, and ethnic dynamics

which have affected the choice of

approach.

• Describe a sound and workable plan

of action and time-line which match the

scope of the project and explain how the

proposed work will be accomplished.

• Cite factors which might accelerate

or delay this approach, giving

acceptable reasons for taking this

approach as opposed to others.

• Include an adequate staffing plan,

listing key and support staff,

consultants, any agency, organization,

other key group, and/or advisory panels

involved or proposed; describe the

responsibilities, activities, and/or
30756 Federal Register / Vol. 61, No. 117 / Monday, June 17, 1996 / Notices

training plans for each (if applicable). If

the proposed project is a collaboration,

the application must describe the nature

and extent of the collaboration and the

responsibilities of the respective

agencies in carrying out the activities

identified in the work-plan.

• Propose an evaluation plan. Discuss

the methods and criteria to be used to

evaluate the process, outcomes, or

impacts of the project in terms of the

objectives of the project. Identify the

kinds of data to be collected and

maintained for this purpose. An

external evaluator may be hired or an

internal evaluation may be designed. It

is recommended that approximately 15

percent of the proposed budget be set

aside for evaluation efforts.

Results or Benefits Expected

• Identify the results and benefits to

be derived by clients, community,

agency, and NCCAN as a result of the

implementation and evaluation of this

project. Discuss how project findings are

likely to improve practice and inform

policy related to neglectful families.

• Justify proposed project costs in

view of the expected results.

• Describe strategies for

disseminating findings to other

practitioners in the field.

Staff Background and Organization

Experience

• Identify the educational and

professional background of the project

director and key project staff.

• Describe the organization’s ability

to administer and implement the project

effectively and efficiently.

• Identify precisely the role of the

author(s) of this proposal in relation to

the work plan and administrative

structure.

• Describe the relationships between

the proposed project and other

Federally assisted work planned,

anticipated, or underway by the

applicant.

• Provide assurances that at least one

key staff person will attend an annual

three-day meeting in Washington, DC.

• Grant recipients will be expected to

follow an NCCAN-suggested format in

preparing final program reports and

copies of final reports and other

products shall be provided to the

Clearinghouse.

Project Duration: The length of the

project must not exceed a five-year

period.

Federal Share of Project Cost: The

maximum Federal share of this project

is not to exceed $150,000 for the first

12-month budget period or a maximum

of $750,000 for a period of five years.

Funding for subsequent years may

exceed the amount specified above for

the first budget period based on a

comprehensive needs assessment

submitted by the grantee and the

availability of funds.

Matching Requirement: Grantees must

provide a non-Federal share or match of

at least 25 percent of the Federal funds

awarded. 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 fiveyear project requesting $750,000 in

Federal funds (based on an award of

$150,000 per 12-month budget period)

must include a match of at least

$187,500 ($37,500 per budget period).

Anticipated Number of Projects To Be

Funded: It is anticipated that a

minimum of four projects will be

funded.

2.02 National Resource Center on

Child Maltreatment

Eligible Applicants: Any State, local,

public or private non-profit agency or

organization, including accredited

colleges and universities, may apply

under this announcement. Applications

developed jointly by State, local, and

community-based social service

agencies, foundations, colleges or

universities and private non-profit

organizations that bring complementary

expertise to bear on the resource needs

of the child maltreatment field are

encouraged.

Purpose: The primary purpose of the

National Resource Center on Child

Maltreatment (NRCCM) is to deliver

direct, on-site, as well as state-of-the-art

communication, technology-based

training, technical assistance,

consultation, and related resource

materials and information to State,

local, Tribal, and other publiclyadministered or supported agencies and

organizations that work in child

maltreatment prevention, identification

and treatment services, (e.g., Child

Protective Service agencies, Children’s

Justice Act grantees, Prevention

grantees, and Tribal agencies and

Organizations) to build their capacity

for developing, expanding,

strengthening and/or improving the

quality and effectiveness of such

services for child victims of

maltreatment and their families. A

second purpose of the NRCCM is to

engage in ancillary activities which

support the delivery of training and

technical assistance to the field, and to

provide advice, consultation, materials

and information, as requested, to private

organizations and agencies, including

disability organizations, and individuals

engaged in child maltreatment

prevention, identification, and

treatment services.

The NRCCM will have a central role

helping States, local agencies and Tribes

to improve and strengthen child

maltreatment prevention, identification,

and treatment services for children and

their families. This will be

accomplished by collaborating and

coordinating with related

Administration on Children, Youth and

Family (ACYF) funded Resource

Centers, Training and Technical

Assistance Networks, contractors, and

Clearinghouses, especially with those

funded by the National Center on Child

Abuse and Neglect (NCCAN), Children’s

Bureau (CB), and the Family and Youth

Services Bureau (FYSB). The NRCCM

must possess the expertise, knowledge

and skill to provide quality training,

technical assistance, consultation, and

appropriate materials and information

to relevant target audiences, both public

and private.

Specific training, technical assistance,

consultation and related material and

information needs of publiclyadministered or supported child

maltreatment prevention, identification

and treatment service agencies will be

identified in consultation with NCCAN

Central Office staff, the ten ACYF

Regional Offices, the State agency staff,

and plans for meeting those needs will

be coordinated with representatives of

NCCAN, CB and FYSB funded Resource

Centers, Training and Technical

Assistance Networks, contractors, and

clearinghouses. Similarly, the need for

ancillary activities to support delivery

of training and technical assistance,

consultation, advice, materials and

information for private organizations

and agencies, including disability

organizations, and individuals who

work in the field of child maltreatment,

will be identified in consultation with

the relevant organizations, agencies

and/or individuals.

Background Information: Section

105(b)C of the Child Abuse Prevention

and Treatment Act (CAPTA), as

amended, requires NCCAN to provide

technical assistance to public and

private agencies and organizations,

including disability organizations and

persons who work with children with

disabilities, to assist such agencies and

organizations in planning, improving,

developing and carrying out programs

and activities related to the prevention,

identification, and treatment of child

abuse and neglect.

Section 106(b) of CAPTA, as

amended, requires Resource Centers to

be established that serve defined

geographic areas; that are staffed by

multi-disciplinary teams trained in the
Federal Register / Vol. 61, No. 117 / Monday, June 17, 1996 / Notices 30757

prevention, identification and treatment

of child abuse and neglect and that

provide advice and consultation to

individuals, agencies and organizations

requesting such services.

To carry out this CAPTA mandate, in

Fiscal Year 1991, NCCAN supported a

National Resource Center on Child

Sexual Abuse, operated by the National

Children’s Advocacy Center, Huntsville,

Alabama, and a National Resource

Center on Child Abuse and Neglect,

specializing in physical abuse and

neglect, operated by the American

Humane Association, Denver, Colorado.

These Centers were funded through

five-year cooperative agreements

starting September 30, 1991 and ending

on September 29, 1996. The functions of

these resource centers were broadly

defined. The major activities under each

of these resource centers have been in

the areas of knowledge-building,

dissemination of information, and

consultation. The Centers also

conducted a limited amount of training

and technical assistance activities.

To comply with the CAPTA mandate

on a continuous basis starting with

Fiscal Year 1996, NCCAN seeks to

support a minimum of one but not more

than two National Resource Center(s) on

Child Maltreatment (NRCCM) through a

cooperative agreement(s). This NRCCM

is expected to have qualified, multidisciplinary personnel trained in

prevention, identification, and

treatment in the whole spectrum of

child maltreatment—child neglect,

physical abuse, psychological

maltreatment, and sexual abuse—

adequate resources, organizational,

professional, and educational capability

and the expertise to carry out the intent

of this announcement.

The decision to fund a minimum of

one but not more than two resource

centers starting with Fiscal Year 1996,

reorienting the focus of the center(s) to

training, technical assistance,

consultation, and delivering related

materials and information, across the

whole spectrum of child maltreatment,

is made after taking into consideration

several factors. They include: the

lessons learned from the operation of

two specialized resource centers during

the past five years; funding limitations;

the need to avoid duplication of effort;

the need to maximize the use of Federal

dollars and its benefits for the field; the

requirement of field staff to deal with

clients who often are victims of multiple

types of abuse; current trends; and a

critical need to develop training and

technical assistance that will address

specific State needs.

NCANDS is the primary source of

national information on abused and

neglected children known to State child

protective services agencies. Child

Maltreatment 1994 discusses NCANDS

findings from 1994 data and presents

the overall child abuse and neglect data

for the five years of data collection, 1990

through 1994. According to this report,

in 1994, 48 States reported that

1,011,628 children were determined to

have been victims of abuse and neglect,

and State child protective services

agencies received reports of alleged

maltreatment involving more than 2.9

million children. The report found that

53 percent of maltreated children

suffered neglect, 26 percent physical

abuse, 14 percent sexual abuse, and 5

percent emotional abuse, and 22 percent

other forms of maltreatment. The loss of

life is the most severe repercussion of

child abuse and neglect. Forty-three

States reported that 1,111 children died

as a result of abuse in 1994.

The number of children who were the

subjects of reports of alleged

maltreatment increased from 2.6 million

in 1990 to 2.9 million in 1994. The

number of ‘‘substantiated’’ or

‘‘indicated’’ victims of maltreatment

increased almost 27 percent from 1990

to 1994. Characteristics of victims were

consistent across the years. In each of

the five years, neglect was the

predominant type of maltreatment. The

number of neglect victims was

consistently more than two times the

number of physical abuse, the next most

common type of maltreatment. Almost

all of the victims were 8 years of age or

younger; though a surprising 25 percent

were twelve years of age and older.

Fifty-two percent of all victims were

female and 46 percent were males.

Child protective services agencies

identified almost 5,400 children who

died as result of abuse or neglect from

1990 through 1994.

Other recent studies using different

reporting methodologies have estimated

that many more children are being

abused than are ultimately verified by

States. For example, preliminary results

from the Third National Incidence

Study of Child Abuse and Neglect (NIS–

3) estimate that almost three times the

State-reported number of children are

maltreated.

In this context, the Federal

government is redefining its

relationship with States and other child

welfare agencies. The new partnership

being forged is based upon the vision

wherein all concerned agencies

collaborate and cooperate to provide a

continuum of services to meet the needs

of the increasing number of maltreated

children and their families. This comes

at a time when steady increase in

caseloads, consisting of much more

complex, multiple problem cases, are

confronting child maltreatment

prevention, identification, and

treatment service programs. Throughout

the country child maltreatment service

agencies, practitioners, and universitybased personnel now are demonstrating

resiliency and creativity in response to

these circumstances. Skilled child

maltreatment service professionals are

devising innovative solutions to

numerous challenges, more often than

not, in the face of insufficient human,

material, and financial resources.

To meet the challenges of the current

period, and overcome existing resource

deficiencies, capacity-building is

needed by State, local, Tribal and other

private agencies, organizations as well

as individuals who are engaged in the

prevention, identification and treatment

of child maltreatment. NRCCM is vital

to making the most of this opportunity

with training and technical assistance,

consultation, advice and provision of

related resource materials and

information. Support for this newly

conceptualized NRCCM reflects

NCCAN’s commitment to enhance the

continuum of services for maltreated

children and their families.

The term ‘child maltreatment’ in this

priority announcement is broadly

defined to include child neglect,

physical abuse, psychological

maltreatment, medical neglect, and

sexual abuse.

‘Cooperative agreement’ in this

announcement refers to Federal

assistance in which substantial Federal

involvement is anticipated.

Minimum Requirements for Project

Design: As part of addressing the

evaluation criteria outlined in Part II of

this announcement, each applicant must

address the following items in the

program narrative section of the

proposal.

Objectives and Need for Assistance

• Describe the training, technical

assistance, consultation, and related

materials and information needs of

publicly supported/administered

agencies and organizations engaged in

child maltreatment prevention,

identification, and treatment. Identify

the auxiliary activities needed to

support training, technical assistance,

consultation to the field, and related

materials and information needs for

private organizations and agencies

engaged in child maltreatment

prevention, identification, and

treatment.

• Demonstrate awareness of training

and technical assistance initiatives

currently underway at State and

national levels. Describe how the
30758 Federal Register / Vol. 61, No. 117 / Monday, June 17, 1996 / Notices

proposal does not duplicate existing

efforts.

• State the primary and secondary

objectives of the proposed resource

center in specific measurable terms.

Approach

• Describe the proposed activities in

detail; point out the scope and unique

features.

• List the type of training, technical

assistance, consultation, advice, and

related material and information needs

to be provided.

• Provide a plan for delivering

training, technical assistance,

consultation, materials and information

in response to the identified needs, from

year one through year five (a minimum

of one training and/or technical

assistance activity in at least one of the

States in each of the ten ACYF regions

is expected during the first year;

subsequent year’s activities will be

phased in) and specify the delivery

mode (e.g., principally on-site and in

combination with the use of state-of-theart communications technology).

Include a time-line for the activities.

Cite factors which might accelerate or

delay this, giving acceptable reasons for

addressing these factors.

• Include a staffing plan for each

activity, listing key and support staff,

consultants, any agency, organization,

other key group, and/or advisory panels

involved or proposed; describe the

qualifications, responsibilities and

activities for each person.

• Applications developed jointly by

two or more organizations must identify

a single lead agency to be the primary

administrator of the NRCCM and the

official recipient of the award; the other

applicant may be named as coapplicant. Joint applications must

delineate methods for coordinating

activities and each organization’s

responsibilities and contributions to

completing the tasks identified in the

work plan.

• Present strategies for obtaining

input from the ten ACYF regional

offices, NCCAN central office, the State

and local agencies themselves.

• Describe a plan for coordinating

and establishing effective linkages and

collaborative working relationships with

relevant programs and other training

and technical assistance providers

funded by Federal agencies.

Specifically, NRCCM is expected to

establish effective linkages and

appropriate coordination with the

Community Based Family Resource

Program, NCCAN Emergency Services

Technical Service Contractor, seven

resource centers funded by the

Children’s Bureau, the three statewide

Family Resource and Support model

projects initially funded by the Family

and Youth Services Bureau (FYSB), and

the Technical Assistance Resource

Coordination contract funded by the

Children’s Bureau to assure effective

utilization of resources and to avoid

duplication of efforts.

• Describe a plan for utilizing Federal

funds and matching contributions to

meet requests for on-site training,

technical assistance, consultation,

materials, etc., from public agencies.

Since the Resource Center will have

considerable, but finite, Federal funds,

applicants must present strategies for

prioritizing requests and maximizing

available financial resources, including

techniques such as, but not limited to,

subsidized cost-sharing arrangements

with the service recipient State, local,

and Tribal agencies and/or

organizations. Justify the proposed

costs.

• Describe how on-going requests for

consultation and advice, and requests

for training, technical assistance, related

materials and information from the

private agencies, organizations, and

individuals will be handled, including

techniques such as subsidized costsharing. Justify the proposed costs.

• Describe a plan to ensure that the

services and program activities of the

Resource Center respond to cultural

issues, ethnically and culturally

sensitive activities are furnished to the

populations being served, and the

Resource Center staff is ethnically and

culturally diverse, and reflective of the

populations being served.

• Describe a plan to continually

develop a national pool of professionals

in the field to serve as consultants and

to link these individuals with agencies,

organizations, and individuals

requesting assistance.

• Provide a plan for the NRCCM’s

own evaluation of the quality of its

training, technical assistance,

consultation, and provision of related

materials and information, including

plans for eliciting consumer input.

Discuss the methods and criteria to be

used to evaluate the process, outcomes,

and impacts of the NRCCM. Identify the

kinds of data to be collected and

maintained for the internal evaluations.

This data must also be made available

to an independent external evaluator,

selected and funded by NCCAN.

Results or Benefits Expected

• Identify the results and benefits to

be derived from the project in terms of

the objectives of the proposal and as

assessed by the evaluation.

• Justify the proposed project costs in

view of the expected benefits and

results.

Staff Background and Organization

Experience

• Describe the full-time and part-time

staff, as well as project consultants, if

any, with specific expertise, including

educational qualifications, training,

experience and discipline of each.

• Identify precisely the role of the

author(s) of this proposal in relation to

the work plan and administrative

structure.

• Demonstrate the organization’s

ability to administer and implement the

project effectively and efficiently.

• Describe the organization’s

orientation to training and technical

assistance and any conceptual

frameworks to be used in designing and

delivering training and technical

assistance (e.g., multi-disciplinary,

inter-agency, cross-program,

comprehensive, collaborative).

• Document a commitment to and

experience in providing training,

technical assistance, consultation, and

related materials and information, to

agencies and organizations, both public

and private, as well as to individuals

engaged in prevention, identification

and treatment of child maltreatment

among economically, racially, and

culturally diverse population, including

organizations and individuals who serve

maltreated children with disabilities

and their families.

• Describe the administrative and

organizational structure and the

management plan for the project. An

organizational chart depicting these

structures must be included.

• Describe the relationships between

the proposed project and other

Federally assisted work planned,

anticipated, or underway by the

applicant.

• Provide assurance that the NRCCM

will cooperate with a third-party

evaluator which will evaluate the

operation of the center, its outreach, and

outcomes over the first two-year period

and agree to the principle that further

funding will depend on the evaluation

findings. This evaluation will be funded

by NCCAN under a separate contract.

• Provide assurances that two key

staff persons would attend two annual

1 or 2 day meetings in Washington, D.C.

for the project directors of Resource and

Research Centers and Clearinghouses

organized by the Children’s Bureau.

• Provide assurances that at least two

key staff members will attend up to six

meetings in Washington during the first

year for periodic review of the work

plan and/or attend various NCCAN-
Federal Register / Vol. 61, No. 117 / Monday, June 17, 1996 / Notices 30759

sponsored grantee meetings. This

includes an initial meeting in

Washington, D.C. with the Federal

Project Officer and other NCCAN

management representative(s) within 30

days of the award.

• Provide assurance that in situations

where the applicant’s organizational

position on a particular child

maltreatment-related policy or practice

differs from the Federal position, the

Federal position will guide NRCCM

activity and will be reflected in all

public statements and publications of

the NRCCM.

• Agree to enter into a Cooperative

Agreement which will require NCCAN

review and approval of work plans,

including activities involving

Headquarters and Regional Office staff,

topics to be covered in training (training

curricula, trainers manual, hand-outs),

issues for technical assistance, topics for

consultation, location and frequency of

training and technical assistance

activities, modes of training and

technical assistance, any subcontracts

and their work plans and budgets, and

other materials prior to finalization by

the grantee.

• Agree to work out the terms of the

Cooperative Agreement and the

respective responsibilities of the Federal

staff and the project staff prior to the

actual award.

Project Duration: The length of the

project must not exceed 60 months.

Federal Share of the Project Costs:

The maximum Federal share of the

project is not to exceed $700,000 for the

first 12 months. Funding for subsequent

years of the project may exceed the

amount specified above for the first

budget period based on a

comprehensive needs assessment

submitted by the grantee and the

availability of funds.

Matching Requirement: Grantees must

provide a non-Federal share or match of

at least 25 percent of the Federal funds

awarded. 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 oneyear project requesting $700,000 in

Federal funds must include a match of

at least $175,000.

Anticipated Number of Projects: It is

anticipated that a minimum of one but

no more than two 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

the information in the specific priority

area under which the application is to

be submitted. The priority area

descriptions are in Part II.

A. Paperwork Reduction Act of 1995

Under the Paperwork Reduction Act

of 1995 (Pub. L. 104–13), the

Department is required to submit to

OMB for review and approval any

reporting and record keeping

requirements or program

announcements. This program

announcement meets all information

collection requirements approved for

ACF grant applications under OMB

Control Number 0970–0139.

B. Availability of Forms

Eligible applicants interested in

applying for funds must submit a

complete application including the

required forms at the end of this

program announcement in Appendix B.

In order to be considered for a grant

under this announcement, an

application must be submitted on the

Standard Form 424 (approved by the

Office of Management and Budget under

Control Number 0348–0043). A copy

has been provided. Each application

must be signed by an individual

authorized to act for the applicant and

to assume responsibility for the

obligations imposed by the terms and

conditions of the grant award.

Applicants requesting financial

assistance for non-construction projects

must file the Standard Form 424B,

‘‘Assurances: Non-Construction

Programs’’ (approved by the Office of

Management and Budget under control

number 0348–0040). Applicants must

sign and return the Standard Form 424B

(approved by the Office of Management

and Budget under Control Number

0348–0340) with their application.

Applicants must provide a certification

regarding lobbying (approved by the

Office of Management and Budget under

Control Number 0348–0046). Prior to

receiving an award in excess of

$100,000, applicants shall furnish an

executed copy of the lobbying

certification (approved by the Office of

Management and Budget under control

number 0348–0046). Applicants must

sign and return the certification with

their application.

Applicants must make the appropriate

certification of their compliance with

the Drug-free Workplace Act of 1988. By

signing and submitting the application,

applicants are providing the

certification and need not mail back the

certification with the application.

Applicants must make the appropriate

certification that they are not presently

debarred, suspended or otherwise

ineligible for an award. By signing and

submitting the application, applicants

are providing the certification and need

not mail back the certification with the

application.

Applicants will be held accountable

for the smoking prohibition in Pub. L.

103–227, Part C Environmental Tobacco

Smoke (also known as the ProChildren’s Act of 1994). A copy of the

Federal Register notice which

implements the smoking prohibition is

included with the forms. By signing and

submitting the application, applicants

are providing the certification and need

not mail back the certification with the

application.

All applicants for research projects

must provide a Protection of Human

Subjects Assurance as specified in the

policy described on the HHS Form 596

(approved by the Office of Management

and Budget under control number 0925–

0137) in Appendix B. If there is a

question regarding the applicability of

this assurance, contact the Office of

Protection from Research Risks of the

National Institutes of Health at (301)-

496–7041. Those applying for or

currently conducting research projects

are further advised of the availability of

a Certificate of Confidentiality through

the National Institute of Mental Health

of the Department of Health and Human

Services. To obtain more information

and to apply for a Certificate of

Confidentiality, contact the Division of

Extramural Activities of the National

Institute of Mental Health at (301) 443–

4673.

C. Required Notification of the State

Single Point of Contact

The discretionary funds awarded by

NCCAN are covered under Executive

Order 12372, Intergovernmental Review

of Federal Programs, and 45 CFR Part

100, Intergovernmental Review of

Department of Health and Human

Services Program and Activities. Under

the Order, States may design their own

processes for reviewing and

commenting on proposed Federal

assistance under covered programs.

As of February, 1996, the following

jurisdictions have elected not to

participate in the Executive Order

process: Alaska, Colorado, Connecticut,

Hawaii, Idaho, Kansas, Louisiana,

Massachusetts, Minnesota, Montana,

Nebraska, Oklahoma, Oregon,

Pennsylvania, South Dakota, Tennessee,
30760 Federal Register / Vol. 61, No. 117 / Monday, June 17, 1996 / Notices

Virginia, Washington, American Samoa,

Palau. Applicants from these

jurisdictions or for projects

administered by Federally recognized

Indian Tribes need take no action in

regard to E.O. 12372.

All remaining jurisdictions participate

in the Executive Order process and have

established Single Points of Contact

(SPOCs). Applicants from participating

jurisdictions should contact their SPOCs

as soon as possible to alert them of the

prospective applications and receive

instructions. Applicants must submit

any required material to the SPOCs as

soon as possible so that the program

office can obtain and review SPOC

comments as part of the award process.

The applicant must submit all required

materials, if any, to the SPOC and

indicate the date of this submittal (or

the date of contact if no submittal is

required) on the Standard Form 424,

item 16a.

Under 45 CFR 100.8(a)(2), a SPOC has

60 days from the application deadline to

comment on proposed new or

competing continuation awards.

SPOCs are encouraged not to submit

routine endorsements as official

recommendations. Additionally, SPOCs

are requested to differentiate clearly

between advisory comments and official

State process recommendations which

may trigger the ‘‘accommodate or

explain’’ rule.

Comments submitted directly to ACF

should be addressed to: Department of

Health and Human Services,

Administration for Children and

Families, Division of Discretionary

Grants, 370 L’Enfant Promenade SW.,

Mail Stop 6C–462, Washington, DC

20447.

A list of the Single Points of Contact

for each State and Territory is included

as Appendix A of this announcement.

D. Deadline for Submission of

Applications

The closing time and date for receipt

of applications is 4:30 p.m. (Eastern

time) on August 16, 1996. Applications

received after 4:30 p.m. will be

classified as late.

Deadline: Mailed applications shall be

considered as meeting an announced

deadline if they are received on or

before the deadline time and date at the

U.S. Department of Health and Human

Services, Administration for Children

and Families, Division of Discretionary

Grants, 370 L’Enfant Promenade S.W.,

Mail Stop 6C–462, Washington, DC

20447, Attention: lllll (Reference

Announcement Number and specify

Priority Area 1.01, 2.01, or 2.02.)

Applicants are responsible for mailing

applications well in advance, when

using the mail services, to ensure that

the applications are received on or

before the deadline time and date.

Applications hand-carried by

applicants, applicant couriers, or by

overnight/express mail couriers shall be

considered as meeting an announced

deadline if they are received on or

before the deadline date, between the

hours of 8:00 a.m. and 4:30 p.m.

(Eastern time) at the U.S. Department of

Health and Human Services,

Administration for Children and

Families, Division of Discretionary

Grants, ACF Mailroom, 2nd Floor

Loading Dock, Aerospace Center, 901 D

Street, SW, Washington, DC 20024

between Monday and Friday (excluding

Federal Holidays). Applicants are

cautioned that express/overnight mail

services do not always deliver as agreed.

ACF cannot accommodate

transmission of applications by fax.

Therefore, applications faxed to ACF

will not be accepted regardless of date

or time of submission and time of

receipt.

Late Applications: Applications

which do not meet the criteria stated

above are considered late applications.

Each late applicant will be notified that

its application will not be considered in

the current competition.

Extension of Deadlines: The deadline

may be extended for all applicants

because of acts of God such as floods,

hurricanes, etc., or when there is a

widespread disruption of the mail.

However, if the granting agency does

not extend the deadline for all

applicants, it may not waive or extend

the deadline for any applicants.

E. Instructions for Preparing the

Application and Completing

Application Forms

The SF 424, 424A (approved by the

Office of Management and Budget under

Control Number 0348–0044), 424B, and

certifications have been reprinted for

your convenience in preparing the

application. You should reproduce

single-sided copies of these forms from

the reprinted forms in the

announcement, typing your information

onto the copies. Please do not use forms

directly from the Federal Register

announcement, as they are printed on

both sides of the page.

Please prepare your application in

accordance with the following

instructions:

1. SF 424 Page 1, Application Cover

Sheet. Please read the following

instructions before completing the

application cover sheet. An explanation

of each item is included. Complete only

the items specified.

Top of Page. Enter the single priority

area number under which the

application is being submitted under

only one priority area.

Item 1. Type of submission—

Preprinted on the form.

Item 2. Date Submitted and Applicant

Identifier—Date application is

submitted to ACYF and applicant’s own

internal control number, if applicable.

Item 3. Date Received By State—State

use only (if applicable).

Item 4. Date Received by Federal

Agency—Leave blank.

Item 5. Applicant Information Legal

Name—Enter the legal name of the

applicant organization. For applications

developed jointly, enter the name of the

lead organization only. There must be a

single applicant for each application.

Organizational Unit—Enter the name

of the primary unit within the applicant

organization which will actually carry

out the project activity. Do not use the

name of an individual as the applicant.

If this is the same as the applicant

organization, leave the organizational

unit blank.

Address—Enter the complete address

that the organization actually uses to

receive mail, since this is the address to

which all correspondence will be sent.

Do not include both street address and

P.O. box number unless both must be

used in mailing.

Name and telephone number of the

person to be contacted on matters

involving this application (include area

code)—Enter the full name (including

academic degree, if applicable) and

telephone number of a person who can

respond to questions about the

application. This person should be

accessible at the address given here and

will receive all correspondence

regarding the application.

Item 6. Employer Identification

Number (EIN)—Enter the employer

identification number of the applicant

organization, as assigned by the Internal

Revenue Service, including, if known,

the Central Registry System suffix.

Item 7. Type of Applicant—Selfexplanatory.

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
Federal Register / Vol. 61, No. 117 / Monday, June 17, 1996 / Notices 30761

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 12-month budget period, the total

amount requested. If the proposed

project period exceeds 17 months, enter

only those dollar amounts needed for

the first 12 months of the proposed

project.

Item 15a. Enter the amount of Federal

funds requested in accordance with the

preceding paragraph. This amount

should be no greater than the maximum

amount specified in the priority area

description.

Items 15b–e. Enter the amount(s) of

funds from non-Federal sources that

will be contributed to the proposed

project. Items b–e are considered costsharing or matching funds. The value of

third party in-kind contributions should

be included on appropriate lines as

applicable.

Item 15f. Enter the estimated amount

of income, if any, expected to be

generated from the proposed project. Do

not add or subtract this amount from the

total project amount entered under item

15g. Describe the nature, source and

anticipated use of this income in the

Project Narrative Statement.

Item 15g. Enter the sum of items 15a–

15e.

Item 16a. Is Application Subject to

Review By State Executive Order 12372

Process? Yes, except for the 18

jurisdictions listed above.—Enter the

date the applicant contacted the SPOC

regarding this application. Select the

appropriate SPOC from the listing

provided at the end of Part III. The

review of the application is at the

discretion of the SPOC. The SPOC will

verify the date noted on the application.

If there is a discrepancy in dates, the

SPOC may request that the Federal

agency delay any proposed funding

until September 1994.

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 the first year budget period.

Section A—Budget Summary. This

section includes a summary of the

budget. On line 5, enter total Federal

costs in column (e) and total nonFederal costs, including third party inkind contributions, but not program

income, in column (f). Enter the total of

(e) and (f) in column (g).

Section B—Budget Categories. This

budget, which includes the Federal as

well as non-Federal funding for the

proposed project, covers the first year

budget period if the proposed project

period exceeds 12 months. It should

relate to item 15g, total funding, on the

SF 424. Under column (5), enter the

total requirements for funds (Federal

dollars in one column and non-Federal

in the other) by object class category.

A separate, itemized, budget

justification for each line item is

required. The types of information to be

included in the justification are

indicated under each category. For

multiple-year projects, it is desirable to

provide this information for each year of

the project.

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-oftown travel (travel requiring per diem)

for staff of the project. Do not enter costs

for consultant’s travel or local

transportation, which should be

included on Line 6h, Other.

Justification: Include the name(s) of

traveler(s), total number of trips,

destinations, length of stay,

transportation costs and subsistence

allowances.

Equipment—Line 6d. Enter the total

costs of all equipment to be acquired by

the project. Equipment is defined as

non-expendable tangible personal

property having a useful life of more

than one year and a acquisition cost of

$5,000 or more per unit.

Justification: Equipment to be

purchased with Federal funds must be

justified. The equipment must be

required to conduct the project, and the

applicant organization or its 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.
30762 Federal Register / Vol. 61, No. 117 / Monday, June 17, 1996 / Notices

Contractual—Line 6f. Enter the total

costs of all contracts, including (1)

procurement contracts (except those

which belong on other lines such as

equipment, supplies, etc.) and (2)

contracts with secondary recipient

organizations, including delegate

agencies. Also include any contracts

with organizations for the provision of

technical assistance. Do not include

payments to individuals on this line. If

the name of the contractor, scope of

work, and estimated total costs are not

available or have not been negotiated,

include on Line 6h, other.

Justification: Attach a list of

contractors, indicating the names of the

organizations, the purposes of the

contracts, and the estimated dollar

amounts of the awards as part of the

budget justification. Whenever the

applicant/grantee intends to delegate

part or all of the program to another

agency, the applicant/grantee must

complete this section (Section B, Budget

Categories) for each delegate agency by

agency title, along with the supporting

information. The total cost of all such

agencies will be part of the amount

shown on Line 6f. Provide back-up

documentation identifying the name of

contractor, purpose of contract, and

major cost elements. Applicants who

anticipate procurement that will exceed

$5,000 (non-governmental entities) or

$25,000 (governmental entities) and are

requesting an award without

competition should include a solesource justification in the proposal

which at a minimum should include the

basis for contractor’s selection,

justification for lack of competition

when competitive bids or offers are not

obtained and basis for award cost or

price. (Note: Previous or past experience

with a contractor is not sufficient

justification for sole source.)

Construction—Line 6g. Not

applicable. New construction is not

allowable.

Other—Line 6h. Enter the total of all

other costs. Where applicable, such

costs may include, but are not limited

to: insurance, medical and dental costs,

noncontractual fees and travel paid

directly to individual consultants, local

transportation (all travel which does not

require per diem is considered local

travel), space and equipment rentals,

printing and publication, computer use,

training costs, including tuition and

stipends, training service costs,

including wage payments to individuals

and supportive service payments, and

staff development costs. Note that costs

identified as miscellaneous and

honoraria are not allowable.

Justification: Specify the costs

included.

Total Direct Charge—Line 6i. Enter

the total of Lines 6a through 6h.

Indirect Charges—6j. Enter the total

amount of indirect charges (costs). If no

indirect costs are requested, enter none.

Generally, this line should be used

when the applicant has a current

indirect cost rate agreement approved

by the Department of Health and Human

Services or another Federal agency.

Local and State governments should

enter the amount of indirect costs

determined in accordance with DHHS

requirements. When an indirect cost

rate is requested, these costs are

included in the indirect cost pool and

should not be charged again as direct

costs to the grant.

Justification: Enclose a copy of the

indirect cost rate agreement.

Total—Line 6k. Enter the total

amounts of lines 6i and 6j.

Program Income—Line 7. Enter the

estimated amount, if any, expected to be

generated from this project. Do not add

or subtract this amount from the total

project amount.

Justification: Describe the nature,

source, and anticipated use of program

income in the Program Narrative

Statement.

Section C—Non-Federal Resources.

This section summarizes the amounts of

non-Federal resources that will be

applied to the grant. Enter this

information on line 12 entitled Totals.

In-kind contributions are defined in 45

CFR, Part 74.51 and 45 CFR Part 92.3,

as property or services which benefit a

grant-supported project or program and

which are contributed by non-Federal

third parties without charge to the

grantee, the subgrantee, or a cost-type

contractor under the grant or subgrant.

Justification: Describe third party inkind contributions, if included.

Section D—Forecasted Cash Needs,

Not applicable.

Section E—Budget Estimate of Federal

Funds Needed For Balance of the

Project. This section should only be

completed if the total project period

exceeds 12 months.

Totals—Line 20. For projects that will

have more than one budget period, enter

the estimated required Federal funds for

the second budget period (months 13

through 24) under column (b) First. If a

third budget period will be necessary,

enter the Federal funds needed for

months 25 through 36 under (c) Second.

Columns (d) and (e) would be used in

the case of a 60 month project.

Section F—Other Budget Information.

Direct Charges—Line 21, Not

applicable.

Indirect Charges—Line 22, Enter the

type of indirect rate (provisional,

predetermined, final or fixed) that will

be in effect during the funding period,

the estimated amount of the base to

which the rate is applied, and the total

indirect expense.

Remarks—Line 23. If the total project

period exceeds 12 months, you must

enter your proposed non-Federal share

of the project budget for each of the

remaining years of the project.

3. Project Summary Description.

Clearly mark this separate page with the

applicant name as shown in item 5 of

the SF 424, the priority area number as

shown at the top of the SF 424, and the

title of the project as shown in item 11

of the SF 424. The summary description

should not exceed 300 words. These 300

words become part of the computer

database on each project.

Care should be taken to produce a

summary description which accurately

and concisely reflects the application. It

should describe the objectives of the

project, the approaches to be used and

the outcomes expected. The description

should also include a list of major

products that will result from the

proposed project, such as software

packages, materials, management

procedures, data collection instruments,

training packages, or videos. (Please

note that audiovisuals should be closed

captioned.) The project summary

description, together with the

information on the SF 424, will

constitute the project abstract. It is the

major source of information about the

proposed project and is usually the first

part of the application that the

reviewers read in evaluating the

application.

At the bottom of the page, following

the summary description, type up to 10

key words which best describe the

proposed project, the service(s) involved

and the target population(s) to be

covered. These key words will be used

for computerized information retrieval

for specific types of funded projects.

4. Program Narrative Statement. The

Program Narrative Statement is a very

important part of an application. It

should be clear, concise, and address

the specific requirements mentioned

under the priority area description in

Part II.

The narrative should provide

information concerning how the

application meets the evaluation criteria

using the following headings for

Research applications:

(a) Objectives

(b) Background and Significance

(c) Methodology

(d) Staff Background and Organizational

Experience

All demonstration applications

should use the following headings:
Federal Register / Vol. 61, No. 117 / Monday, June 17, 1996 / Notices 30763

(a) Objective and Need for Assistance

(b) Approach

(c) Results or Benefits Expected

(d) Staff Background and Organization

Experience

The narrative should be typed doublespaced on a single-side of an 81⁄2′′ × 11′′

plain white paper, with 1′′ margins on

all sides, using standard type sizes or

fonts (e.g., Times Roman 12 or Courier

10). Applicants should not submit

reproductions of larger size paper

reduced to meet the size requirement.

Applicants are requested not to send

pamphlets, brochures, or other printed

material along with their application as

they pose copying difficulties. All pages

of the narrative (including charts,

references/footnotes, tables, maps,

exhibits, etc.) must be sequentially

numbered, beginning with ‘‘Objectives’’

or ‘‘Objectives and Need for Assistance’’

as page number one.

The length of the application,

including the application forms and all

attachments, should not exceed 60

pages, except for applications for

priority area 1.01 which has different

page limits as described in that section

of the announcement. Anything over the

limit will not be reproduced and

distributed to reviewers. Applicants

should understand that, except for

priority area 1.01, only the first 60 pages

of material will be reviewed. A page is

a single side of an 81⁄2 × 11′′ sheet of

paper. Applicants are requested not to

send pamphlets, brochures or other

printed material along with their

application as these pose xeroxing

difficulties. These materials, if

submitted, will not be included in the

review process if they exceed the page

limit criteria. Each page of the

application will be counted to

determine the total length.

5. Organizational Capability

Statement. The Organizational

Capability Statement should consist of a

brief (two pages is suggested)

background description of how the

applicant organization (or the unit

within the organization that will have

responsibility for the project) is

organized, the types and quantity of

services it provides, and/or the research

and management capabilities it

possesses. This description should

cover capabilities not included in the

Program Narrative Statement. It may

include descriptions of any current or

previous relevant experience, or

describe the competence of the project

team and its demonstrated ability to

produce a final product that is readily

comprehensible and usable. An

organization chart showing the

relationship of the project to the current

organization must be included.

6. 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; and

(2) Debarment and Other

Responsibilities. Copies of the

assurances/certifications are reprinted at

the end of this announcement and

should be reproduced, as necessary. A

duly authorized representative of the

applicant organization must certify that

the applicant is in compliance with

these assurances/certifications. A

signature on the SF 424 indicates

compliance with the Drug-free

Workplace Requirements, and

Debarment and Other Responsibilities

certifications.

A signature on the application

constitutes an assurance that the

applicant will comply with the

pertinent Departmental regulations

contained in 45 CFR Part 74.

F. Checklist for a Complete Application

The checklist below is for your use to

ensure that your application package

has been properly prepared.

—One original, signed and dated

application, plus two copies.

Applications for different priority

areas are packaged separately;

—Application is from an organization

which is eligible under the eligibility

requirements defined in the priority

area description (screening

requirement);

—Application length does not exceed 60

pages, unless otherwise specified in

the priority area description. A

complete application consists of the

following items in this order:

—Application for Federal Assistance

(SF 424, REV 4–88);

—A completed SPOC certification with

the date of SPOC contact entered in

line 16, page 1 of the SF 424;

—Budget Information-Non-Construction

Programs (SF 424A, REV 4–88);

—Budget justification for Section B—

Budget Categories;

—Table of Contents;

—Letter from the Internal Revenue

Service to prove non-profit status, if

necessary;

—Copy of the applicant’s approved

indirect cost rate agreement, if

appropriate;

—Project summary description and

listing of key words;

—Program Narrative Statement (See Part

III, Section D);

—Organizational capability statement,

including an organization chart;

—Any appendices/attachments;

—Assurances-Non-Construction

Programs (Standard Form 424B, REV

4–88);

—Certification Regarding Lobbying; and

—Certification of Protection of Human

Subjects, if necessary.

G. The Application Package

Each application package must

include an original and two copies of

the complete application. Each copy

should be stapled securely (front and

back if necessary) in the upper left-hand

corner. All pages of the narrative

(including charts, tables, maps, exhibits,

etc.) must be sequentially numbered,

beginning with page one. In order to

facilitate handling, please do not use

covers, binders or tabs. Do not include

extraneous materials as attachments,

such as agency promotion brochures,

slides, tapes, film clips, minutes of

meetings, survey instruments or articles

of incorporation.

Do not include a self-addressed,

stamped acknowledgement card. All

applicants will be notified automatically

about the receipt of their application. If

acknowledgement of receipt of your

application is not received within eight

weeks after the deadline date, please

notify the ACYF Operations Center by

telephone at 1–800–351–2293.

Dated: June 7, 1996.

Olivia A. Golden,

Commissioner, Administration on Children,

Youth and Families.

Appendix A—OMB State Single Point of

Contact Listing

Arizona

Joni Saad, Arizona State Clearinghouse, 3800

N. Central Avenue, Fourteenth Floor,

Phoenix, Arizona 85012, Telephone (602)

280–1315, FAX: (602) 280–1305

Arkansas

Mr. Tracy L. Copeland, Manager, State

Clearinghouse, Office of Intergovernmental

Services, Department of Finance and

Administration, 1515 W. 7th St., Room

412, Little Rock, Arkansas 72203,

Telephone: (501) 682–1074, FAX: (501)

682–5206

Alabama

Jon C. Strickland, Alabama Department of

Economic and Community Affairs,

Planning and Economic Development

Division, 401 Adams Avenue,

Montgomery, Alabama 36103–5690,

Telephone: (205) 242–5483, FAX: (205)

242–5515

California

Grants Coordinator, Office of Planning &

Research, 1400 Tenth Street, Room 121,

Sacramento, California 95814, Telephone

(916) 323–7480, FAX: (916) 323–3018
30764 Federal Register / Vol. 61, No. 117 / Monday, June 17, 1996 / Notices

Delaware

Francine Booth, State Single Point of Contact

Executive Department, Thomas Collins

Building, P.O. Box 1401, Dover, Delaware

19903, Telephone: (302) 739–3326, FAX:

(302) 739–5661

District of Columbia

Charles Nichols, State Single Point of

Contact, Office of Grants Mgmt. & Dev., 717

14th Street, N.W.—Suite 500, Washington,

D.C. 20005, Telephone: (202) 727–6554,

FAX: (202) 727–1617

Florida

Florida State Clearinghouse, Department of

Community Affairs, 2740 Centerview

Drive, Tallahassee, Florida 32399–2100,

Telephone: (904) 922–5438, FAX: (904)

487–2899

Georgia

Tom L. Reid III, Administrator, Georgia State

Clearinghouse, 254 Washington Street,

S.W.—Room 401J, Atlanta, Georgia 30334,

Telephone: (404) 656–3855 or (404) 656–

3829, FAX: (404) 656–7938

Illinois

Barbara Beard, State Single Point of Contact,

Department of Commerce and Community

Affairs, 620 East Adams, Springfield,

Illinois 62701, Telephone: (217) 782–1671,

FAX: (217) 534–1627

Indiana

Amy Brewer, State Budget Agency, 212 State

House, Indianapolis, Indiana 46204,

Telephone: (317) 232–5619, FAX: (317)

233–3323

Iowa

Steven R. McCann, Division for Community

Assistance, Iowa Department of Economic

Development, 200 East Grand Avenue, Des

Moines, Iowa 50309, Telephone: (515)

242–4719, FAX: (515) 242–4859

Kentucky

Ronald W. Cook, Office of the Governor,

Department of Local Government, 1024

Capitol Center Drive, Frankfort, Kentucky

40601–8204, Telephone: (502) 573–2382,

FAX: (502) 573–2512

Maine

Joyce Benson, State Planning Office, State

House Station #38, Augusta, Maine 04333,

Telephone: (207) 287–3261, FAX: (207)

287–6489

Maryland

William G. Carroll, Manager, State

Clearinghouse for Intergovernmental

Assistance, Maryland Office of Planning,

301 W. Preston Street—Room 1104,

Baltimore, Maryland 21201–2365, Staff

Contact: Linda Janey, Telephone: (410)

225–4490, FAX: (410) 225–4480

Michigan

Richard Pfaff, Southeast Michigan Council of

Governments, 1900 Edison Plaza, 660 Plaza

Drive, Detroit, Michigan 48226, Telephone:

(313) 961–4266

Mississippi

Cathy Malette, Clearinghouse Officer,

Department of Finance and

Administration, 455 North Lamar Street,

Jackson, Mississippi 39202–3087,

Telephone: (601) 359–6762, FAX: (601)

359–6764

Missouri

Lois Pohl, Federal Assistance Clearinghouse,

Office of Administration, P.O. Box 809,

Room 760, Truman Building, Jefferson

City, Missouri 65102, Telephone: (314)

751–4834, FAX: (314) 751–7819

Nevada

Department of Administration, State

Clearinghouse, Capitol Complex, Carson

City, Nevada 89710, Telephone: (702) 687–

4065, FAX: (702) 687–3983

New Hampshire

Jeffrey H. Taylor, Director, New Hampshire

Office of State Planning, Attn:

Intergovernmental Review Process, Mike

Blake, 21⁄2 Beacon Street, Concord, New

Hampshire 03301, Telephone: (603) 271–

2155, FAX: (603) 271–1728

New Jersey

Gregory W. Adkins, Assistant Commissioner,

New Jersey Department of Community

Affairs

Please direct all correspondence and

questions about intergovernmental review to:

Andrew J. Jaskolka, State Review Process,

Intergovernmental Review Unit CN 800,

Room 813A, Trenton, New Jersey 08625–

0800, Telephone: (609) 292–9025, FAX:

(609) 633–2132

New Mexico

Robert Peters, State Budget Division, Room

190, Bataan Memorial Building, Santa Fe,

New Mexico 87503, Telephone: (505) 827–

3640

New York

New York State Clearinghouse, Division of

the Budget, State Capitol, Albany, New

York 12224, Telephone: (518) 474–1605

North Carolina

Chrys Baggett, Director, N.C. State

Clearinghouse, Office of the Secretary of

Admin., 116 West Jones Street, Raleigh,

North Carolina 27603–8003, Telephone:

(919) 733–7232, FAX: (919) 733–9571

North Dakota

North Dakota Single Point of Contact, Office

of Intergovernmental Assistance, 600 East

Boulevard Avenue, Bismarck, North

Dakota 58505–0170, Telephone: (701) 224–

2094, FAX: (701) 224–2308

Ohio

Larry Weaver, State Single Point of Contact,

State Clearinghouse, Office of Budget and

Management, 30 East Broad Street, 34th

Floor, Columbus, Ohio 43266–0411

Please direct correspondence and

questions about intergovernmental review to:

Linda Wise, Telephone: (614) 466–0698,

FAX: (614) 466–5400

Rhode Island

Daniel W. Varin, Associate Director,

Department of Administration/Division of

Planning, One Capitol Hill, 4th Floor,

Providence, Rhode Island 02908–5870,

Telephone: (401) 277–2656, FAX: (401)

277–2083

Please direct correspondence and

questions to: Review Coordinator, Office of

Strategic Planning

South Carolina

Omeagia Burgess, State Single Point of

Contact, Grant Services, Office of the

Governor, 1205 Pendleton Street—Room

477, Columbia, South Carolina 29201,

Telephone: (803) 734–0494, FAX: (803)

734–0385

Texas

Tom Adams, Governor’s Office, Director,

Intergovernmental Coordination, P.O. Box

12428, Austin, Texas 78711, Telephone:

(512) 463–1771, FAX: (512) 463–1880

Utah

Carolyn Wright, Utah State Clearinghouse,

Office of Planning and Budget, Room 116,

Stater Capitol, Salt Lake City, Utah 84114,

Telephone: (801) 538–1535, FAX: (801)

538–1547

Vermont

Nancy McAvoy, State Single Point of

Contact, Pavilion Office Building, 109 State

Street, Montpelier, Vermont 05609,

Telephone: (802) 828–3326, FAX: (802)

828–3339

West Virginia

Fred Cutlip, Director, Community

Development Division, W. Virginia

Development Office, Building #6, Room

553, Charleston, West Virginia 25305,

Telephone: (304) 558–4010, FAX: (304)

558–3248

Wisconsin

Martha Kerner, Section Chief, State/Federal

Relations, Wisconsin Department of

Administration, 101 East Wilson Street—

6th Floor, P.O. Box 7868, Madison,

Wisconsin 53707, Telephone: (608) 266–

2125, FAX: (608) 267–6931

Wyoming

Sheryl Jeffries, State Single Point of Contact,

Herschler Building 4th Floor, East Wing,

Cheyenne, Wyoming 82002, Telephone:

(307) 777–7574, FAX: (307) 638–8967

Territories

Guam

Mr. Giovanni T. Sgambelluri, Director,

Bureau of Budget and Management

Research, Office of the Governor, P.O. Box

2950, Agana, Guam 96910, Telephone:

011–671–472–2285, FAX: 011–671–472–

2825

Puerto Rico

Norma Burgos/Jose E. Caro, Chairwoman/

Director, Puerto Rico Planning Board,

Federal Proposals Review Office, Minillas

Government Center, P.O. Box 41119, San

Juan, Puerto Rico 00940–1119, Telephone:

(809) 727–4444, (809) 723–6190, FAX:

(809) 724–3270, (809) 724–3103

North Marianna Islands

State Single Point of Contact, Planning and

Budget Office, Office of the Governor,

Saipan, CM, Northern Marianna Islands

96950
Federal Register / Vol. 61, No. 117 / Monday, June 17, 1996 / Notices 30765

Virgin Islands

Jose George, Director, Office of Management

and Budget, #41 Norregade Emancipation

Garden Station, Second Floor, Saint

Thomas, Virgin Islands 00802

Please direct all questions and

correspondence about intergovernmental

review to:

Linda Clarke, Telephone: (809) 774–0750,

FAX: (809) 776–0069

BILLING CODE 4184–01–P
30766 Federal Register / Vol. 61, No. 117 / Monday, June 17, 1996 / Notices

BILLING CODE 4184–01–C
Federal Register / Vol. 61, No. 117 / Monday, June 17, 1996 / Notices 30767

Instructions for the SF 424

This is a standard form used by applicants

as a required facesheet for preapplication 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.)

BILLING CODE 4184–01–P
30768 Federal Register / Vol. 61, No. 117 / Monday, June 17, 1996 / Notices
Federal Register / Vol. 61, No. 117 / Monday, June 17, 1996 / Notices 30769

BILLING CODE 4184–01–C
30770 Federal Register / Vol. 61, No. 117 / Monday, June 17, 1996 / Notices

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,

Sections A, B, C, and D should provide the

budget for the first budget period (usually a

year) and Section E should present the need

for Federal assistance in the subsequent

budget periods. All applications should

contain a breakdown by the object class

categories shown in Lines a–k of Section B.

Section A. Budget Summary

Lines 1–4, Columns (a) and (b)

For applications pertaining to a single

Federal grant program (Federal Domestic

Assistance Catalog number) and not requiring

a functional or activity breakdown, enter on

Line 1 under Column (a) the catalog program

title and the catalog number in Column (b).

For applications pertaining to a single

program requiring budget amounts by

multiple 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

requiring the breakdown. Additional sheets

should be used when one form does not

provide adequate space for all breakdown of

data required. However, when more than one

sheet is used, the first page should provide

the summary totals by programs.

Lines 1–4, Columns (c) Through (g.)

For new applications, leave Columns (c)

and (d) blank. For each line entry in Columns

(a) and (b), enter in Columns (e), (f), and (g)

the appropriate amounts of funds needed to

support the project for the first funding

period (usually a year).

For continuing grant program applications,

submit these forms before the end of each

funding period as required by the grantor

agency. Enter in Columns (c) and (d) the

estimated amounts of funds which will

remain unobligated at the end of the grant

funding period only if the Federal grantor

agency instructions provide for this.

Otherwise, leave these columns blank. Enter

in columns (e) and (f) the amounts of funds

needed for the upcoming period. The

amount(s) in Column (g) should be the sum

of amounts in Columns (e) and (f).

For supplemental grants and changes to

existing grants, do not use Columns (c) and

(d). Enter in Column (e) the amount of the

increase or decrease of Federal funds and

enter in Column (f) the amount of the

increase or decrease of non-Federal funds. In

Column (g) enter the new total budgeted

amount (Federal and non-Federal) which

includes the total previous authorized

budgeted amounts plus or minus, as

appropriate, the amounts shown in Columns

(e) and (f). The amount(s) in Column (g)

should not equal the sum of amounts in

Columns (e) and (f).

Line 5—Show the 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 6i—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 for 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

Note: Certain of these assurances may not

be applicable to your project or program. If

you have questions, please contact the

awarding agency. Further, certain Federal

awarding agencies may require applicants to

certify to additional assurances. If such is the

case, you will be notified.

As the duly authorized representative of

the applicant I certify that the applicant:

1. Has the legal authority to apply for

Federal assistance, and the institutional,

managerial and financial capability

(including funds sufficient to pay the nonFederal 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
Federal Register / Vol. 61, No. 117 / Monday, June 17, 1996 / Notices 30771

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. §§ 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. §§ 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. § 794),

which prohibits discrimination on the basis

of handicaps; (d) the Age Discrimination Act

of 1975, as amended (42 U.S.C. §§ 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)

§§ 523 and 527 of the Public Health Service

Act of 1912 (42 U.S.C. 290dd–3 and 290ee–

3), as amended, relating to confidentiality of

alcohol and drug abuse patient records; (h)

Title VII of the Civil Rights Act of 1968 (42

U.S.C. § 3601 et seq.), as amended, relating to

nondiscrimination in the sale, rental or

financing of housing; (i) any other

nondiscrimination provisions in the specific

statute(s) under which application for

Federal assistance is being made; and (j) the

requirements of any other nondiscrimination

statute(s) which may apply to the

application.

7. Will comply, or has already complied,

with the requirements of Titles II and III of

the Uniform Relocation Assistance and Real

Property Acquisition Policies Act of 1970

(P.L. 91–646) which provide for fair and

equitable treatment of persons displaced or

whose property is acquired as a result of

Federal or federally assisted programs. These

requirements apply to all interests in real

property acquired for project purposes

regardless of Federal participation in

purchases.

8. Will comply with the provisions of the

Hatch Act (5 U.S.C. §§ 1501–5108 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.

§§ 276a to 276a–7), the Copeland Act (40

U.S.C. § 276c and 18 U.S.C. §§ 874), and the

Contract Work Hours and Safety Standards

Act (40 U.S.C. §§ 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. §§ 1451 et seq.); (f) conformity of

Federal actions to State (Clear Air)

Implementation Plans under Section 176(c)

of the Clear Air Act of 1955, as amended (42

U.S.C. § 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. §§ 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. §§ 4801

et seq.) which prohibits the use of lead based

paint in construction or rehabilitation of

residence structures.

17. Will cause to be performed the required

financial and compliance audits in

accordance with the Single Audit Act of

1984.

18. Will comply with all applicable

requirements of all other Federal laws,

executive orders, regulations and policies

governing this program.

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Signature of authorized certifying official

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Title

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Applicant organization

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Date submitted

Appendix C—U.S. Department of Health and

Human Services, Certification Regarding

Drug-Free Workplace Requirements,

Grantees Other Than Individuals

By signing and/or submitting this

application or grant agreement, the grantee is

providing the certification set out below.

This certification is required by regulations

implementing the Drug-Free Workplace Act

of 1988, 45 CFR Part 76, Subpart F. The

regulations, published in the May 25, 1990

Federal Register, require certification by

grantees that they will maintain a drug-free

workplace. The certification set out below is

a material representation of fact upon which

reliance will be placed when the Department

of Health and Human Services (HHS)

determines to award the grant. If it is later

determined that the grantee knowingly

rendered a false certification, or otherwise

violates the requirements of the Drug-Free

Workplace Act, HHS, in addition to any other

remedies available to the Federal

Government, may take action authorized

under the Drug-Free Workplace Act. False

certification or violation of the certification

shall be grounds for suspension of payments,

suspension or termination of grants, or

government wide suspension or debarment.

Workplaces under grants, for grantees other

than individuals, need not be identified on

the certification. If known, they may be

identified in the grant application. If the

grantee does not identify the workplaces at

the time of application, or upon award, if

there is no application, the grantee must keep

the identity of the workplace(s) on file in its

office and make the information available for

Federal inspection. Failure to identify all

known workplaces constitutes a violation of

the grantee’s drug-free workplace

requirements.

Workplace identifications must include the

actual address of buildings (or parts of

buildings) or other sites where work under

the grant takes place. Categorical descriptions

may be used (e.g., all vehicles of a mass

transit authority or State highway department

while in operation, State employees in each

local unemployment office, performers in

concert halls or radio studios.)

If the workplace identified to HHS changes

during the performance of the grant, the

grantee shall inform the agency of the

change(s), if it previously identified the

workplaces in question (see above).

Definitions of terms in the

Nonprocurement Suspension and Debarment

common rule and Drug-Free Workplace

common rule apply to this certification.

Grantees’ attention is called, in particular, to

the following definitions from these rules:

‘‘Controlled substance’’ means a controlled

substance in Schedules I through V of the
30772 Federal Register / Vol. 61, No. 117 / Monday, June 17, 1996 / Notices

Controlled Substances Act (21 U.S.C. 812)

and as further defined by regulation (21

1308.11 through 1308.15).

‘‘Conviction’’ means a finding of guilt

(including a plea of nolo contendere) or

imposition of sentence, or both, by any

judicial body charged with the responsibility

to determine violations of the Federal or

State criminal drug statutes;

‘‘Criminal drug statute’’ means a Federal or

non-Federal criminal statute involving the

manufacture, distribution, dispensing, use, or

possession of any controlled substance;

‘‘Employee’’ means the employee of a

grantee directly engaged in the performance

of work under a grant, including: (i) All

‘‘direct charge’’ employees; (ii) all ‘‘indirect

charge’’ employees unless their impact or

involvement is insignificant to the

performance of the grant; and, (iii) temporary

personnel and consultants who are directly

engaged in the performance of work under

the grant and who are on the grantee’s

payroll. This definition does not include

workers not on the payroll of the grantee

(e.g., volunteers, even if used to meet a

matching requirement; consultants or

independent contractors not on the grantee’s

payroll; or employees of subrecipients or

subcontractors in covered workplaces).

The grantee certifies that it will or will

continue to provide a drug-free workplace by:

(a) Publishing a statement notifying

employees that the unlawful manufacture,

distribution, dispensing, possession or use of

a controlled substance is prohibited in the

grantee’s workplace and specifying the

actions that will be taken against employees

for violation of such prohibition;

(b) Establishing an ongoing drug-free

awareness program to inform employees

about:

(1) The dangers of drug abuse in the

workplace; (2) The grantee’s policy of

maintaining a drug-free workplace; (3) Any

available drug counseling, rehabilitation, and

employee assistance programs; and (4) The

penalties that may be imposed upon

employees for drug abuse violations

occurring in the workplace;

(c) Making it a requirement that each

employee to be engaged in the performance

of the grant be given a copy of the statement

required by paragraph (a);

(d) Notifying the employee in the statement

required by paragraph (a) that, as a condition

of employment under the grant, the employee

will:

(1) Abide by the terms of the statement;

and, (2) Notify the employer in writing of his

or her conviction for a violation of a criminal

drug statute occurring in the workplace no

later than five calendar days after such

conviction;

(e) Notifying the agency in writing, within

ten calendar days after receiving notice under

subparagraph (d)(2) from an employee or

otherwise receiving actual notice of such

conviction. Employers of convicted

employees must provide notice, including

position title, to every grant officer or other

designee on whose grant activity the

convicted employee was working, unless the

Federal agency has designated a central point

for the receipt of such notices. Notice shall

include the identification number(s) of each

affected grant;

(f) Taking one of the following actions,

within 30 calendar days of receiving notice

under subparagraph (d)(2), with respect to

any employee who is so convicted:

(1) Taking appropriate personnel action

against such an employee, up to and

including termination, consistent with the

requirements of the Rehabilitation Act of

1973, as amended; or, (2) Requiring such

employee to participate satisfactorily in a

drug abuse assistance or rehabilitation

program approved for such purposes by a

Federal, State, or local health, law

enforcement, or other appropriate agency;

(g) Making a good faith effort to continue

to maintain a drug-free workplace through

implementation of paragraphs (a), (b), (c), (d),

(e) and (f).

The grantee may insert in the space

provided below the site(s) for the

performance of work done in connection

with the specific grant (use attachments, if

needed);

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Place of Performance (Street address, City,

County, State, ZIP Code)

Check lll if there are workplace on file

that are not identified here.

Sections 76.630 (c) and (d)(2) and 76.635

(a)(1) and (b) provide that a Federal agency

may designate a central receipt point for

STATE-WIDE AND STATE AGENCY-WIDE

certifications, and for notification or criminal

drug convictions. For the Department of

Health and Human Services, the central

receipt point is: Division of Grants

Management and Oversight, Office of

Management and Acquisition, Department of

Health and Human Services, Room 517–D,

200 Independence Avenue, SW.,

Washington, DC 20201.

Appendix D—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

76, certifies to the best of its knowledge and

believe 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 of 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 Transaction.’’ 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 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.

Appendix E—Certification Regarding

Lobbying—Certification for Contracts,

Grants, Loans, and Cooperative Agreements

The undersigned certifies, to the best of his

or here 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.
Federal Register / Vol. 61, No. 117 / Monday, June 17, 1996 / Notices 30773

(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

required statement shall be subject to a civil

penalty of not less than $10,000 and not more

than $100,000 for each such failure.

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Signature

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Title

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Organization

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Date

BILLING CODE 4184–01–P
30774 Federal Register / Vol. 61, No. 117 / Monday, June 17, 1996 / Notices

BILLING CODE 4184–01–C
Federal Register / Vol. 61, No. 117 / Monday, June 17, 1996 / Notices 30775

Appendix F—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 provision of

health, day care, education, or library

services to children under the age of 18, if

the services are funded by Federal programs

either directly or through State or local

governments, by Federal grant, contract, loan,

or loan guarantee. The law does not apply to

children’s services provided in private

residences, facilities funded solely by

Medicare or Medicaid funds, and portions of

facilities used for inpatient drug or alcohol

treatment. Failure to comply with the

provisions of the law may result in the

imposition of a civil monetary penalty of up

to $1,000 per day and/or the imposition of an

administrative compliance order on the

responsible entity.

By signing and submitting this application

the applicant/grantee certifies that it will

comply with the requirements of the Act. The

applicant/grantee further agrees that it will

require the language of this certification be

included in any subawards which contain

provisions for children’s services and that all

subgrantees shall certify accordingly.

[FR Doc. 96–15156 Filed 6–14–96; 8:45 am]

BILLING CODE 4184–01–P