[Federal Register Volume 70, Number 107 (Monday, June 6, 2005)]
[Notices]
[Pages 32825-32838]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 05-11197]
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Administration for Children and Families
Administration on Children, Youth and Families, Children's
Bureau; Funding Opportunity
Funding Opportunity Title: National Quality Improvement Center on
the Privatization of Child Welfare Services.
Announcement Type: Initial.
Funding Opportunity Number: HHS-2005-ACF-ACYF-CA-0027.
CFDA Number: 93.670.
Due Date for Applications: Application is due August 5, 2005.
Executive Summary: The purpose of this funding announcement is to
award a cooperative agreement for the creation of a national Quality
Improvement Center (QIC) focused on identifying effective practices in
the privatization of child welfare services. The QIC will assess needs
and resources, then plan and implement research and demonstration
activities to develop knowledge about improving child welfare services
and systems through privatization.
The QIC will be awarded funds for a planning period and an
implementation phase. During the planning period, the QIC will engage
in a collaborative process to review the literature, clarify the focus
and refine the implementation plan for the remainder of its child
welfare privatization knowledge-building activities. During the
implementation phase, the QIC will sponsor (through sub-grants),
monitor and evaluate research or demonstration projects that test a
variety of privatization models or hypotheses at multiple sites. The
QIC will also provide technical assistance to its sub-grantees, funded
under this initiative.
I. Funding Opportunity Description
The purpose of this funding announcement is to award a cooperative
agreement for the creation of a national Quality Improvement Center
(QIC) focused on identifying effective practices in the privatization
of child welfare services. The QIC will assess needs and resources,
then plan and implement research and demonstration activities to
develop knowledge about improving child welfare services and systems
through privatization.
The QIC will be awarded funds for a planning period and an
implementation phase. During the planning period, the QIC will engage
in a collaborative process to review the literature, clarify the focus
and refine the implementation plan for the remainder of its child
welfare privatization knowledge-building activities. During the
implementation phase, the QIC will sponsor (through sub-grants),
monitor and evaluate research or demonstration projects that test a
variety of privatization models or hypotheses at multiple sites. The
QIC will also provide technical assistance to its sub-grantees, funded
under this initiative.
Priority Area 1
National Quality Improvement Center on the Privatization of Child
Welfare Services
1. Description
The purpose of this funding announcement is to award a cooperative
agreement for the creation of a national Quality Improvement Center
(QIC) focused on identifying effective practices in the privatization
of child welfare services. The QIC will assess needs and resources,
then plan and implement research and demonstration activities to
develop knowledge about improving child welfare services and systems
through privatization.
The QIC will be awarded funds for a planning period and an
implementation phase. During the planning period, the QIC will engage
in a collaborative process to review the literature, clarify the focus
and refine the implementation plan for the remainder of its child
welfare privatization knowledge-building activities. During the
implementation phase, the QIC will sponsor (through sub-grants),
monitor and evaluate research or demonstration projects that test a
variety of privatization models or hypotheses at multiple sites. The
QIC will also provide technical assistance to its sub-grantees, funded
under this initiative.
Background
Our nation's child welfare systems are faced with the challenge of
producing positive outcomes for the children and families they serve.
Over the past several years, many States have embarked on system
improvement efforts in response to changes in Federal laws, shrinking
State budgets, and/or emerging trends and innovations in the field of
child welfare. System improvements have been further spurred by the
CB's approach to monitoring the performance of State child welfare
systems by assessing outcomes. These reviews seek to determine what is
actually happening to children and families as they are engaged in
State child welfare services, and to assist States to enhance their
capacity to help children and families achieve positive outcomes.
In October, 2004, the Administration for Children and Families
(ACF)/Children's Bureau released its report on findings from the
initial Child and Family Services Reviews (CFSRs). This report includes
data from all 50 States, the District of Columbia, and Puerto Rico
regarding States' conformity with Federal standards for child welfare.
General findings from the Federal Child and Family Services Review may
be found at http://www.acf.hhs.gov/programs/cb/cwrp/results/statefindings/genfindings04/index.htm. The report discusses common
challenges that States face in providing for the safety, permanency and
well-being of children. One common challenge pertains to conducting
risk and safety assessments that are sufficiently comprehensive to
capture underlying family problems that might contribute to child
maltreatment. Other common challenges pertain to providing sufficient
services to children and parents when children remain in their own
homes, monitoring participation in services, and determining on an
ongoing basis whether the family situation has altered enough to reduce
risk of harm to the child. Another key challenge for many States is
having a sufficient number and type of placement options to ensure that
a child's out-of-home placement is based on appropriateness rather than
availability. Many States also are experiencing challenges in
implementing concurrent planning on a consistent basis.
Some States and counties are turning to privatization of their
child welfare services. They believe this will move the system toward
innovation through competition with incentives for good results. Their
goals are to increase efficiency and effectiveness, improve outcomes
for children and families, and control costs. Given the Children's
Bureau's mission of child safety, permanency of placement, and well-
being of children and families, it is incumbent that new and promising
approaches to supporting children and families be tested.
Some child welfare services have already been privatized, some are
in the process of being privatized and some States are considering
privatization. Kansas and Florida have implemented statewide
privatization efforts, while in
[[Page 32826]]
Missouri; Maine; Hamilton County, Ohio; and Wayne County, Michigan,
initiatives are targeted to specific populations such as foster care
and low-risk families (An Assessment of the Privatization of Child
Welfare Services: Challenges and Successes; 2003, Freundlich, M.;
Gerstenzang, S; Children's Rights, Inc., New York, NY).
Growing numbers of public child welfare agencies are entering into
arrangements with private entities to provide services for children and
families. However, experts do not always agree on the value of these
efforts, in terms of cost savings, efficiency, and improved outcomes
(Experts Disagree About Benefits of Child Welfare Privatization,
Children's Bureau Express, March, 2003 http://cbexpress.acf.hhs.gov/nonissart.cfm?issue_id=2003-03&disp_art=610&hlt=1.
Privatization can take a variety of forms. Privatization--
[cir] can be State wide or limited to certain parts of States.
[cir] can include all of child welfare, or just parts, such as
investigation, family preservation, in-home services, adoption and/or
foster care.
[cir] can be done all at once, or phased in gradually.
[cir] approaches include purchase-of-service, managed care and
network development (i.e., contract with local lead agencies that in
turn subcontract to create comprehensive service networks).
[cir] service providers may be non-profit or for-profit
organizations.
The success of privatization initiatives--
[cir] can be judged by the extent to which it improves outcomes for
children and families and/or saves money.
[cir] can depend on the quality of the performance-based contract.
Privatization efforts take place against a backdrop of Federal law
and regulations that must be considered as public agencies
strategically use contracting to help them achieve their goals. These
include, but are not limited to:
[cir] Section 471(a) (2) of the Social Security Act, which requires
that a single State agency administer or supervise the administration
of the title IV-E programs to assure the uniform statewide operation of
these programs and proper accountability to the Federal government.
[cir] 45 CFR-205.100(b), which provide for this uniformity and
accountability by requiring the designated single State agency to
perform those administrative functions that require the exercise of
discretion. The regulations prohibit the State agency from delegating
(to other than its own officials) its authority for exercising
administrative discretion in the administration or supervision of the
[State] plan.
[cir] Office of Management and Budget Circular A-76, ``Performance
of Commercial Activities,'' which in pertinent part sets the parameters
for identifying inherently governmental function.
When privatizing child welfare services, the State maintains
administrative control and ultimate responsibility for the components
of the Child Welfare system that are being contracted out to the
private sector.
In 1998 the Child Welfare League of America stated ``Twenty-nine
states reported to the Child Welfare League of America that they
utilized a managed care or privatization model for the delivery of
child welfare services. The states identified a total of 47 initiatives
that were designed to improve the effectiveness and efficiency of
services through changes in management tools and funding or contract
strategies. Most of the initiatives have transferred responsibility for
the management and delivery of services to private nonprofit agencies.
However, the public agency has a primary role in decision making.''
(Managed Care and Privatization Child Welfare Tracking Project: 1998
State and County Survey Results, McCullough, C.;Schmitt, B.; Child
Welfare League of America).
Through the national Quality Improvement Center on the
Privatization of Child Welfare Services, the ACF/Children's Bureau will
develop and disseminate knowledge about what works to States or
counties which are considering or have chosen to privatize part or all
of their Child Welfare system. This support is intended to improve the
likelihood that these privatization activities will result in better
outcomes for children and families.
The Children's Bureau has an interest in finding answers to
questions about privatization of child welfare services, including--
[cir] What is currently known about challenges, successful
strategies, lessons learned, recommendations, best practices?
[cir] What knowledge gaps exist regarding challenges, successful
strategies, lessons learned, recommendations, best practices?
[cir] Is enough now known about privatization of child welfare
services to promote it, or does the field first need to find out more
about it? Are there aspects that can be promoted now, like best
practices in contracting, while more is learned about other issues?
[cir] Are there aspects of child welfare privatization that are
more commonly practiced, or that are more effectively practiced?
[cir] What is known about the role of faith-based child welfare
agencies and their congregational partners in the privatization of the
child welfare system? Is there any evidence of effective models of
collaboration?
[cir] Are there portions of the child welfare system that lend
themselves to privatization more than other portions?
[cir] Are there some areas that should not be privatized?
[cir] What kind of contract monitoring capacity should exist within
child welfare agencies before they undertake these efforts?
[cir] Are there certain jurisdictions (e.g. urban/rural) or
populations (youth, children with special needs) for which
privatization is more appropriate?
[cir] How is child welfare privatization similar to/different from
privatization of other social services like child care, child support
enforcement, health care, etc.? If there are similarities, what can be
learned from these other privatization initiatives that can be applied
to child welfare privatization?
Legislative Authority
The Promoting Safe and Stable Families Program, Title IV-B, subpart
2 of the Social Security Act, as amended (42 U.S.C. 629 et seq.); see
Section 435 (42 U.S.C. 629(e)).
The Child Abuse Prevention and Treatment Act Section 105(b)(5)a (42
U.S.C. 5106).
Projects funded under this announcement will be expected to:
1. Have the project fully functioning within 90 days following the
notification of the grant award.
2. Participate if the Children's Bureau chooses to do a national
evaluation or a technical assistance contract that relates to this
funding announcement.
3. Submit all performance indicator data, program and financial
reports in a timely manner, in recommended format (to be provided), and
submit the final report on disk or electronically using a standard
word-processing program.
4. Submit a copy of the final report, the evaluation report, and
any program products to the National Clearinghouse on Child Abuse and
Neglect Information, 330 C Street, SW., Washington, DC 20447, within 90
days of project end date. This is in addition to the standard
requirement that the final program and evaluation report must also be
submitted to the Grants Management Specialist and the Federal Project
Officer.
[[Page 32827]]
5. Allocate sufficient funds in the budget to:
(a) Provide for the project director, the evaluator and other key
partners to attend an annual 3-day grantees' meeting in Washington, DC.
(b) Provide for the project director, the evaluator and other key
partners to attend an early kickoff meeting for grantees funded under
this priority area to be held within the first three months of the
project (first year only) in Washington, DC; and
(c) Provide for 10-15 percent of the proposed budget to project
evaluation.
Roles and Responsibilities of the Quality Improvement Center on the
Privatization of Child Welfare Services
The Quality Improvement Center on the Privatization of Child
Welfare Services is expected to perform the following functions:
(a) Develop knowledge about improving outcomes for children and
family in the child welfare system through privatization;
(b) Promote collaborative problem solving among sub-grantees;
(c) Develop and implement privatization research and demonstration
projects to promote innovation, evidence-based practice improvements,
and advancement of knowledge about privatization of child welfare
services;
(d) Establish an information-sharing network to disseminate
information on promising practices; and
(e) Evaluate the impact of privatization on the quality,
availability, cost-effectiveness and overall effectiveness of child
welfare services.
It must be emphasized that the QIC on the Privatization of Child
Welfare Services will not assume training, technical assistance and
information dissemination functions and responsibilities currently
performed by the Children's Bureau National Resource Centers,
Clearinghouses, and other T/TA Network partners.
One distinctive function of the QIC that separates it from other
support resources provided by the Children's Bureau is that the QIC
will build knowledge in the area of child welfare service privatization
by announcing and disbursing sub-grant funding to conduct research and
demonstration projects. The QIC will also monitor and evaluate these
research or demonstration projects and provide technical assistance and
support to these sub-grantees.
Research and demonstration projects sponsored by the QIC under this
initiative must:
(a) Develop and implement an evidence-based privatization model or
innovative improvement through privatization of the Child Welfare
system with specific components or strategies that are based on theory,
research, or evaluation data;
(b) Conduct an evaluation and cost analysis to determine the
effectiveness and cost-effectiveness of the model and its components or
strategies using multiple measures of results; and
(c) Produce detailed procedures and materials, based on the
evaluation, that will contribute to and promote evidence-based
strategies, practices and programs that may be used to guide
replication or testing in other settings.
Specific Tasks To Be Performed by the Quality Improvement Center During
the Planning and Implementation Phases
Applicants are required to submit a design that clearly and
concisely describes a strategy for a 12-month planning phase (Phase I)
for the development of the QIC to be followed by a 48-month
implementation phase (Phase II). In Phase II, the QIC will announce,
award, monitor and evaluate 48-month, research and demonstration
project sub-grants. The QIC will also provide technical assistance
(using its own resources or through sub-contracts with other technical
assistance providers) to sub-grantees funded under this initiative.
The QIC will be required to cooperate fully with any evaluation
requested by the ACF/Children's Bureau. The QIC will also be required
to conduct an evaluation of the research and demonstration projects
they sponsor.
Travel for Conferences and Presentations
Within two months after the award of the 12-month planning phase of
the cooperative agreement, the project director of the QIC will be
required to attend a 1-day work planning meeting in Washington, DC,
with the Federal Project Officer and other staff of the ACF/Children's
Bureau for the purpose of discussing details of the project work plan
and cooperative agreement.
Additionally, 10 months after the award of the 12-month planning
cooperative agreements, the QIC awardee will be required to make an
oral presentation to the ACF/Children's Bureau staff in Washington, DC,
to describe and defend their plan for the Phase II-Version A
implementation (described below). Applicants are advised to propose
sending three project staff to make the presentation--the project
director, the evaluator and one other key partner).
The budget for the 12-month planning grant should include funding
for these three meetings in Washington, DC: the project director's
meeting within two months, the three-person presentation meeting at
month 10, and two key staff persons to the ACF/Children's Bureau annual
grantees meeting, usually held in the spring. In each of the four
implementation years, the QIC awardee will be expected to send only the
project director and the evaluator to the annual grantee meeting.
Plan for Phase I (Planning)
Applicants are expected to present a Phase I plan that addresses
the components described in the Background section of this announcement
and includes, but is not limited to: (1) An analysis of the current
state of privatization in child welfare, and the issues and
opportunities privatization presents for improving child welfare
practice and (2) a feasible and appropriate method for conducting a
comprehensive needs assessment; (3) a systematic approach for fine
tuning the topic focus and refining the implementation plan; (4) a
strategy for developing a comprehensive review of the literature and
best practices; (5) an approach and method for the timely development
of the Phase II implementation plan; and (6) a preliminary design for
the Phase II-Version A implementation plan that presents a clear and
comprehensive vision of how the proposed QIC would operate.
Although applicants will be accorded considerable flexibility in
developing a strategy tailored to the needs and resources they identify
in their Year 1 comprehensive needs assessment, it is anticipated that
applications for the first year of funding must present a method for
completing the following tasks during Phase I:
(a) Conduct a comprehensive needs assessment that describes and
evaluates the effectiveness of current child welfare service
privatization efforts and identifies service gaps, knowledge gaps, and
other issues (e.g., legal, cultural, administrative) related to the
effective privatization of child welfare services. This assessment
should include, but not be limited to, the collection and analysis of
data on the following factors, as appropriate:
Demographic characteristics of the children and families
receiving privatized child welfare services and the disposition of
these cases (e.g., investigated, referred to social services, or
referred to court);
Availability of agencies and community-based organizations
that can provide privatized services (including drug/alcohol and mental
health
[[Page 32828]]
treatment facilities and programs) for families involved in the child
welfare system;
Legal, administrative, court, social service, financial
and other issues related to the effective privatization of child
welfare services;
Strengths and weaknesses of current privatization
practices pertaining to engagement, assessment, case planning and
service delivery, monitoring and evaluation, case closure and outcomes
for children;
Agencies on the national, regional, State and local level
that are engaged in child welfare service privatization activities;
Availability of resources on the national, regional, State
and local level; and
Gaps in knowledge and resources on the national, regional,
State and local level.
In developing a strategy for conducting the needs assessment,
applicants are advised to propose methods that do not require
respondents to complete written surveys or questionnaires, because
these surveys will require prior approval from the Office of Management
and Budget (OMB). The OMB approval process takes approximately 5-6
months. Methods that do not require prior OMB approval include
conference calls, focus groups, and unstructured telephone or in-person
interviews.
(b) Conduct a literature review that provides a comprehensive
analysis of the research and promising practices nationally and
regionally on privatization of child welfare services, including
cultural, financial, legal, bureaucratic and other barriers to the
effective privatization of child welfare services;
In the implementation phase (Phase II), the QIC will focus on 4
years of research/demonstration projects. Therefore, the work plan has
to be of sufficient scope and magnitude to merit intensive
investigation. The activities identified in the work plan and the
findings from the research and demonstration projects sponsored by the
QIC should have a high probability of significantly advancing theory,
policy and evidence-based practice in the field. Additionally, and as
explained below, the research and demonstration projects implemented in
Phase II should be designed to evaluate multiple approaches and/or
multi-site interventions on the selected focus topic. This strategy
dictates that the number of subjects (e.g., children, families, social
service providers, case workers, supervisors) be large enough to
sustain a rigorous, methodologically sound implementation and
evaluation plan.
Because the QIC initiative is funded through a cooperative
agreement, the work plan will be subject to final approval by the
Children's Bureau.
Plan for Phase II--Version A: Implementation
In Phase I, the QIC will be required to develop and submit a Phase
II--Version A plan for announcing and awarding research and
demonstration sub-grants, and monitoring and evaluating these projects.
These plans are expected to build on knowledge gained from a review of
the literature and promising practices in the field, the results from
the comprehensive needs assessment, and input from other sources.
Applicants are required to submit a preliminary design for Phase
II--Version A in this application that presents a clear and
comprehensive vision of how the proposed QIC would operate. Applicants
are expected to describe the approach and processes that will be used
to develop the implementation plan, and address anticipated logistical
and administrative issues. The Phase II--Version A plan will be due 9
months after the award of the cooperative agreement and must include,
but not be limited to, the following components:
1. Comprehensive review of the literature developed during the
planning phase (Phase I);
2. Conceptual framework or logic model describing the linkages
between and among the (a) attributes of the populations, problems,
conditions, and systems that are the target of the interventions; (b)
strategies; (c) resources; (d) traditional and innovative services/
strategies to be provided; and (e) short- and long-term outcomes;
3. Administrative structure for announcing the availability of
funding, and reviewing and awarding sub-grants, including program
description, eligibility, funding levels, application evaluation
criteria and selection process. Eligible applicants for sub-grants will
be those agencies that have authority over the child welfare functions
to be privatized;
4. The QIC will be required to provide technical assistance to
prospective sub-grantees to assist them in designing initiatives that
meet the standards for research and demonstration projects funded under
this initiative. The design of these projects must be evidence-based
with specific components or strategies that are based on theory,
research, or evaluation data. They must also pertain to issues of
national scope and incorporate logic models and an evaluation
framework.
At a minimum, technical assistance provided by the QIC to
prospective sub-grantees should consist of instructions and materials
providing information on grant application requirements, suitable grant
topics, the role of partnerships and collaborations, program and
research designs, data sources and data collection strategies, and
evaluation designs and analytic techniques. Other vehicles for
providing technical assistance may be proposed. For example, QIC
applicants may propose conducting a 1-day workshop open to all
prospective grantees in the designated geographical region. The
workshop should be designed to provide information and answer questions
of attendees;
5. Technical assistance to sub-grantees awarded funding by the QIC.
The QIC will be required to not only monitor the operations of the sub-
grantee projects, but also provide ongoing support, guidance, and
technical assistance to sub-grantees to assist them in project
implementation, data collection and evaluation;
6. Administrative and management structure for ensuring that sub-
projects are implemented within 90-days of the award of their funding
by the QIC, monitoring sub-grants funded under this initiative,
including appropriate plans for fiscal accountability from the sub-
grantees;
7. Mechanisms for forming and maintaining a consortium and
information-sharing network consisting of partnerships with and among
sites awarded grants sponsored by the QIC (The Children's Bureau
anticipates that the members of the consortium will meet regularly to
exchange information and engage in collaborative problem-solving
efforts.);
8. Methodology for evaluating sub-grantee research and
demonstration projects, including ensuring that appropriate qualitative
and quantitative process and outcome data are collected by sub-grantees
and participating agencies and organizations;
9. Strategy for information dissemination, including fostering and
strengthening communication and coordination activities with National
Resource Centers and Clearinghouses including, but not limited to, the
National Data Archive on Child Abuse and Neglect and the National
Clearinghouse on Child Abuse and Neglect Information; and
10. Institutionalize linkages with appropriate agencies,
organizations and resources on the local, State or Federal level that
are addressing issues pertaining to the prevention and treatment of
child abuse and neglect and
[[Page 32829]]
the functions and operations of child welfare services.
Presentation. Ten months after the award of the cooperative
agreement, the grantee will be required to make an oral presentation to
the ACF/Children's Bureau staff in Washington, D.C., to describe and
defend their Phase II--Version A implementation plan.
Plan for Phase II--Version B: Implementation
One month after the presentation, the QIC will be required to
submit a revised implementation work plan (Plan for Phase II--Version
B) incorporating the recommendations of the Children's Bureau staff.
This plan will be subject to further review and approval by the ACF/
Children's Bureau prior to continuation funding.
II. Award Information
Funding Instrument Type: Cooperative Agreement.
Federal Substantial Involvement with Cooperative Agreement: A
cooperative agreement is a specific method of awarding Federal
assistance in which substantial Federal involvement is anticipated. A
cooperative agreement clearly defines the respective responsibilities
of the ACF/Children's Bureau and the grantee prior to the award. The
ACF/Children's Bureau anticipates that agency involvement will produce
programmatic benefits to the recipient otherwise unavailable to them
for carrying out the project. The involvement and collaboration
includes ACF/Children's Bureau review and approval of planning stages
of the activities before implementation phases may begin; ACF/
Children's Bureau involvement in the establishment of policies and
procedures that maximize open competition, and rigorous and impartial
development, review and funding of grant or sub-grant activities, if
applicable; and ACF/Children's Bureau and recipient joint collaboration
in the performance of key programmatic activities (i.e., strategic
planning, implementation, information technology enhancements, training
and technical assistance, publications or products, and evaluation). It
also includes close monitoring by the Children's Bureau of the
requirements stated in this announcement that limit the grantee's
discretion with respect to scope of services offered, organizational
structure and management processes, coupled with close ACF/Children's
Bureau monitoring during performance, which may, in order to ensure
compliance with the intent of this funding, exceed those Federal
stewardship responsibilities customary for grant activities.
Anticipated Total Priority Area Funding: $900,000.
Anticipated Number of Awards: 0 to 1.
Ceiling on Amount of Individual Awards Per Budget Period: $900,000.
Average Projected Award Amount Per Budget Period: $900,000.
Length of Project Periods: 60 month project with five 12 month
budget periods; Other.
Explanation of Other: The maximum Federal share of this project is
not to exceed $900,000 per period. In years 2-5 the grantee will use
$550,000 per year for operating the QIC and will award the balance of
the grant funds ($350,000 per year) to sub-grantees. The project
awarded will be for a project period of 60 months. The initial grant
award will be for a 12-month budget period. The award of continuation
beyond each 12-month budget period will be subject to the availability
of funds, satisfactory progress on the part of the grantee, and a
determination that continued funding would be in the best interest of
the government.
III. Eligibility Information
1. Eligible Applicants
State controlled institutions of higher education, Non-profits
having a 501(c)(3) status with the IRS, other than institutions of
higher education, Non-profits that do not have a 501(c)(3) status with
the IRS, other than institutions of higher education, Private
institutions of higher education, For-profit organizations other than
small businesses, Small businesses.
Additional Information on Eligibility: Partnerships are encouraged
between for-profit and non-profit agencies and universities with
experience in child welfare and privatization issues, but applications
should identify a primary applicant responsible for administering the
grant.
Faith-based and community organizations that meet all other
eligibility criteria are eligible to apply.
2. Cost Sharing/Matching
Yes.
In year 1 the required match is 10 percent of the total project,
based on the $900,000 Federal share. The total approved cost of the
project is the sum of the ACF share and the non-Federal share. The non-
Federal share may be met by cash or in-kind contributions, although
applicants are encouraged to meet their match requirements through cash
contributions. Therefore, a project requesting $900,000 in Federal
funds for the first budget period must provide a match of at least
$100,000 (10 percent of the total approved project costs) in the first
budget period. In years 2-5 the required match is 10 percent based on
the $550,000 of the Federal share which the QIC uses to operate the
project. In years 2-5 the QIC will not be required to match the
$350,000 which is awarded by the QIC to its sub-grantees.
The project or activity will have a greater likelihood of success
if the grantee contributes to the costs of the project. Cost-sharing
will not be used as a preference and/or evaluation criterion in the
review of applications.
3. Other
All applicants must have a Dun & Bradstreet number. On June 27,
2003 the Office of Management and Budget published in the Federal
Register a new Federal policy applicable to all Federal grant
applicants. The policy requires Federal grant applicants to provide a
Dun & Bradstreet Data Universal Numbering System (DUNS) number when
applying for Federal grants or cooperative agreements on or after
October 1, 2003. The DUNS number will be required whether an applicant
is submitting a paper application or using the government-wide
electronic portal (http://www.Grants.gov). A DUNS number will be
required for every application for a new award or renewal/continuation
of an award, including applications or plans under formula, entitlement
and block grant programs, submitted on or after October 1, 2003.
Please ensure that your organization has a DUNS number. You may
acquire a DUNS number at no cost by calling the dedicated toll-free
DUNS number request line on 1-866-705-5711 or you may request a number
on-line at http://www.dnb.com.
Non-profit organizations applying for funding are required to
submit proof of their non-profit status.
Proof of non-profit status is any one of the following:
A reference to the applicant organization's listing in the
Internal Revenue Service's (IRS) most recent list of tax-exempt
organizations described in the IRS Code.
A copy of a currently valid IRS tax exemption certificate.
A statement from a State taxing body, State attorney
general, or other appropriate State official certifying that the
applicant organization has a non-profit status and that none of the net
earning accrue to any private shareholders or individuals.
A certified copy of the organization's certificate of
incorporation or similar document that clearly establishes non-profit
status.
[[Page 32830]]
Any of the items in the subparagraphs immediately above
for a State or national parent organization and a statement signed by
the parent organization that the applicant organization is a local non-
profit affiliate.
When applying electronically we strongly suggest you attach your
proof of non-profit status with your electronic application.
Private, non-profit organizations are encouraged to submit with
their applications the survey located under ``Grant Related Documents
and Forms,'' ``Survey for Private, Non-Profit Grant Applicants,''
titled, ``Survey on Ensuring Equal Opportunity for Applicants,'' at:
http://www.acf.hhs.gov/programs/ofs/forms.htm.
Disqualification Factors
Applications that exceed the ceiling amount will be considered non-
responsive and will not be eligible for funding under this
announcement.
Any application that fails to satisfy the deadline requirements
referenced in Section IV.3 will be considered non-responsive and will
not be considered for funding under this announcement.
IV. Application and Submission Information
1. Address To Request Application Package
ACYF Operations Center, c/o The Dixon Group, Inc. ATTN: ACF/
Children's Bureau, 118 Q St., NE., Washington, DC 20002-2132.
2. Content and Form of Application Submission
Each application must contain the following items in the order
listed:
Application for Federal Assistance (Standard Form 424). Follow the
instructions below and those that accompany the form.
In Item 5 of Form 424, put DUNS number in ``Organizational DUNS:''
box.
In Item 5 of Form 424, include name, phone number, and, if
available, email and fax numbers of the contact person.
In Item 8 of Form 424, check ``New.''
In Item 10 of Form 424, clearly identify the Catalog of Federal
Domestic Assistance (CFDA) program title and number for the program for
which funds are being requested as stated in this funding opportunity
announcement.
In Item 11 of Form 424, identify the single funding opportunity the
application addresses.
In Item 12 of Form 424, identify the specific geographic area to be
served.
In Item 14 of Form 424, identify Congressional districts of both
the applicant and project.
Budget Information Non-Construction Programs (Form 424A) and Budget
Justification.
Follow the instructions provided here and those in Section V.
Application Review Information. Note that Federal funds provided to
States and services or other resources purchased with Federal funds may
not be used to match project grants.
Certifications/Assurances. Applicants requesting financial
assistance for non-construction projects must file the Standard Form
424B, ``Assurances: Non-Construction Programs.'' Applicants must sign
and return the Standard Form 424B with their applications. Applicants
must provide a certification regarding lobbying when applying for an
award in excess of $100,000. Applicants must sign and return the
certification with their applications.
Applicants must disclose lobbying activities on the Standard Form
LLL when applying for an award in excess of $100,000. Applicants who
have used non-Federal funds for lobbying activities in connection with
receiving assistance under this announcement shall complete a
disclosure form to report lobbying. Applicants must sign and return the
disclosure form, if applicable, with their applications.
Applicants must make the appropriate certification regarding
environmental tobacco smoke. By signing and submitting the application,
the applicant is providing the certification and need not mail back the
certification with the applications.
If applicable, applicants must include a completed SPOC
certification (Single Point of Contact) with the date of the SPOC
contact entered in line 16, page 1 of the Form 424.
In implementing their projects, grantees are expected to comply
with all applicable administrative regulations regarding extent or
types of costs. Applicable DHHS regulations can be found in 45 CFR Part
74 or 92.
Project Abstract/Summary (one page maximum, double spaced). Clearly
mark this page with the applicant name as shown on item 5 of the Form
424, identify the competitive grant funding opportunity and the title
of the proposed project as shown in item 11 and the service area as
shown in item 12 of the Form 424. The summary description should not
exceed 300 words.
Care should be taken to produce an abstract/summary that accurately
and concisely reflects the proposed project. It should describe the
objectives of the project, the approach to be used and the results or
benefits expected.
Project Description for Evaluation. Applicants should organize
their project description in this sequence: (1) Objectives and Need for
Assistance; (2) Approach; (3) Organizational Profiles; (4) Budget and
Budget Justification.
Match. Provide a letter of commitment verifying the actual amount
of the non-Federal share of project costs (see Section III.2).
Indirect cost rate agreement. If claiming indirect costs, provide
documentation that applicant currently has an indirect cost rate
approved by the Department of Health and Human Services (HHS) or
another cognizant Federal agency.
Letters of agreement and memoranda of understanding. If applicable,
include a letter of commitment or Memorandum of Understanding from each
partner and/or sub-contractor describing their role, detailing specific
tasks to be performed, and expressing commitment to participate if the
proposed project is funded.
General Content and Form Information
The application limit is 90 pages total including all forms and
attachments. Pages over this page limit will be removed from the
application and will not be reviewed.
The ACF/Children's Bureau strongly prefers that the entire
application (including all forms, assurances and letters of commitment)
be sent in one package.
To be considered for funding, each application must be submitted
with the Standard Federal Forms (provided at the end of this
announcement or through the electronic links provided) and following
the guidance provided. The application must be signed by an individual
authorized to act for the applicant agency and to assume responsibility
for the obligations imposed by the terms and conditions of the grant
award.
To be considered for funding, each applicant must submit one signed
original and two additional copies of the application, including all
forms and attachments, to the Application Receipt Point specified in
the section titled Deadline at the beginning of the announcement. The
original copy of the application must have original signatures.
The application must be typed, double spaced, printed on only one
side, with at least \1/2\ inch margins on each side and 1 inch at the
top and bottom, using standard 12 Point fonts (such as Times Roman or
Courier). Pages must be numbered.
All copies of an application must be submitted in a single package,
and a
[[Page 32831]]
separate package must be submitted for each funding opportunity. The
package must be clearly labeled for the specific funding opportunity it
is addressing.
Because each application will be duplicated, do not use or include
separate covers, binders, clips, tabs, plastic inserts, maps,
brochures, or any other items that cannot be processed easily on a
photocopy machine with an automatic feed. Do not bind, clip, staple, or
fasten in any way separate subsections of the application, including
supporting documentation; however, each complete copy must be stapled
securely in the upper left corner. Applicants are advised that the
copies of the application submitted, not the original, will be
reproduced by the Federal government for review.
Applicants have the option of omitting from the application copies
(not the original) specific salary rates or amounts for individuals
specified in the application budget and Social Security numbers, if
otherwise required for individuals. The copies may include summary
salary information.
Tips for Preparing a Competitive Application. It is essential that
applicants read the entire announcement package carefully before
preparing an application and include all of the required application
forms and attachments. The application must reflect a thorough
understanding of the purpose and objectives of the applicable
legislation. Reviewers expect applicants to understand the goals of the
legislation and the ACF/Children's Bureau's interest in each topic. A
``responsive application'' is one that addresses all of the evaluation
criteria in ways that demonstrate this understanding. Applications that
are considered to be ``unresponsive'' generally receive very low scores
and are rarely funded.
The ACF/Children's Bureau's Web site (http://www.acf.dhhs.gov/programs/cb) provides a wide range of information and links to other
relevant Web sites. Before you begin preparing an application, we
suggest that you learn more about the mission and programs of the
Children's Bureau by exploring the Web site.
Organizing Your Application. The specific evaluation criteria in
Section V of this funding announcement will be used to review and
evaluate each application. The applicant should address each of these
specific evaluation criteria in the project description. Applicants
should organize their project description in this sequence: (1)
Objectives and Need for Assistance; (2) Approach; (3) Organizational
Profiles; (4) Budget and Budget Justification; and should use the same
headings as these criteria, so that reviewers can readily find
information that directly addresses each of the specific review
criteria.
Project Evaluation Plan. Project evaluations are very important. If
you do not have the in-house capacity to conduct an objective,
comprehensive evaluation of the project, then the ACF/Children's Bureau
advises that you propose contracting with a third-party evaluator
specializing in social science or evaluation, or a university or
college, to conduct the evaluation. A skilled evaluator can assist you
in designing a data collection strategy that is appropriate for the
evaluation of your proposed project. Additional assistance may be found
in a document titled ``Program Manager's Guide to Evaluation.'' A copy
of this document can be accessed at http://www.acf.hhs.gov/programs/core/pubs_reports/prog_mgr.html or ordered by contacting the
National Clearinghouse on Child Abuse and Neglect Information, 330 C
Street, SW., Washington, DC 20447; phone (800) 394-3366; fax (703) 385-
3206; e-mail [email protected].
Use of Human Subjects. If your evaluation plan includes gathering
data from or about clients, there are specific procedures which must be
followed in order to protect their privacy and ensure the
confidentiality of the information about them. Applicants planning to
gather such data are asked to describe their plans regarding an
Institutional Review Board (IRB) review. If applicable, applicants must
include a completed Form 310, Protection of Human Subjects. For more
information about use of human subjects and IRB's you can visit these
Web sites: http://www.hhs.gov/ohrp/irb/irb_chapter2.htm#d2 and http://www.hhs.gov/ohrp/humansubjects/guidance/ictips.htm.
You may submit your application to us in either electronic or paper
format. To submit an application electronically, please use the http://www.Grants.gov/Apply site. If you use Grants.gov, you will be able to
download a copy of the application package, complete it off-line, and
then upload and submit the application via the Grants.gov site. ACF
will not accept grant applications via e-mail or facsimile
transmission.
Please note the following if you plan to submit your application
electronically via Grants.gov:
Electronic submission is voluntary, but strongly
encouraged.
When you enter the Grants.gov site, you will find
information about submitting an application electronically through the
site, as well as the hours of operation. We strongly recommend that you
do not wait until the application deadline date to begin the
application process through Grants.gov.
We recommend you visit Grants.gov at least 30 days prior
to filing your application to fully understand the process and
requirements. We encourage applicants who submit electronically to
submit well before the closing date and time so that if difficulties
are encountered an applicant can still send in a hard copy overnight.
If you encounter difficulties, please contact the Grants.gov Help Desk
at 1-800-518-4276 to report the problem and obtain assistance with the
system.
To use Grants.gov, you, as the applicant, must have a DUNS
Number and register in the Central Contractor Registry (CCR). You
should allow a minimum of five days to complete the CCR registration.
You will not receive additional point value because you
submit a grant application in electronic format, nor will we penalize
you if you submit an application in paper format.
You may submit all documents electronically, including all
information typically included on the SF 424 and all necessary
assurances and certifications.
Your application must comply with any page limitation
requirements described in this program announcement.
After you electronically submit your application, you will
receive an automatic acknowledgement from Grants.gov that contains a
Grants.gov tracking number. The Administration for Children and
Families will retrieve your application from Grants.gov.
We may request that you provide original signatures on
forms at a later date.
You may access the electronic application for this program
on www.Grants.gov
You must search for the downloadable application package
by the CFDA number.
Originals, Copies and Signatures
If submitting your application in paper format, an original and two
copies of the complete application are required. The original and each
of the two copies must include all required forms, certifications,
assurances, and appendices, be signed by an authorized representative,
have original signatures, and be submitted unbound.
Private, non-profit organizations are encouraged to submit with
their applications the survey located under ``Grant Related Documents
and Forms,'' ``Survey for Private, Non-Profit Grant Applicants,''
titled, ``Survey on Ensuring Equal Opportunity for
[[Page 32832]]
Applicants,'' at: http://www.acf.hhs.gov/programs/ofs/forms.htm.
Standard Forms and Certifications: The project description should
include all the information requirements described in the specific
evaluation criteria outlined in the program announcement under Section
V Application Review Information. In addition to the project
description, the applicant needs to complete all the standard forms
required for making applications for awards under this announcement.
Applicants seeking financial assistance under this announcement
must file the Standard Form (SF) 424, Application for Federal
Assistance; SF-424A, Budget Information--Non-Construction Programs; SF-
424B, Assurances--Non-Construction Programs. The forms may be
reproduced for use in submitting applications. Applicants must sign and
return the standard forms with their application.
Applicants must furnish prior to award an executed copy of the
Standard Form LLL, Certification Regarding Lobbying, when applying for
an award in excess of $100,000. Applicants who have used non-Federal
funds for lobbying activities in connection with receiving assistance
under this announcement shall complete a disclosure form, if
applicable, with their applications (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 also understand they will be held accountable for
the smoking prohibition included within Pub. L. 103-227, Title XII
Environmental Tobacco Smoke (also known as the PRO-KIDS Act of 1994). A
copy of the Federal Register notice which implements the smoking
prohibition is included with forms. 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 of their
compliance with all Federal statutes relating to nondiscrimination. By
signing and submitting the applications, applicants are providing the
certification and need not mail back the certification form. Complete
the standard forms and the associated certifications and assurances
based on the instructions on the forms. The forms and certifications
may be found at: http://www.acf.hhs.gov/programs/ofs/forms.htm.
Those organizations required to provide proof of non-profit status,
please refer to Section III.3.
Please see Section V.1, for instructions on preparing the full
project description.
3. Submission Dates and Times
Explanation of Due Dates
The closing time and date for receipt of applications is 4:30 p.m.
(Eastern Time Zone) on the date noted above. Mailed or hand carried
applications received after 4:30 p.m. on the closing date 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 ACYF Operations Center, c/o The Dixon Group, Inc.,
ATTN: ACF/Children's Bureau, 118 Q Street NE., Washington, DC 20002-
2132. Applicants are responsible for mailing applications well in
advance, when using all mail services, to ensure that the applications
are received on or before the deadline time and date.
Applications hand-carried by applicants, applicant couriers, other
representatives of the applicant, or by overnight/express mail couriers
shall be considered as meeting an announced deadline if they are
received on or before the deadline date, between the hours of 8 a.m.
and 4:30 p.m., EST, at the ACYF Operations Center, c/o The Dixon Group,
Inc., ATTN: ACF/Children's Bureau, 118 Q Street NE., Washington, DC
20002-2132, between Monday and Friday (excluding Federal holidays).
This address must appear on the envelope/package containing the
application with the note. Applicants are cautioned that express/
overnight mail services do not always deliver as agreed.
Late applications: Applications which do not meet the criteria
above are considered late applications. ACF shall notify each late
applicant that its application will not be considered in the current
competition. Any application received after 4:30 p.m. on the deadline
date will not be considered for competition. Applicants using express/
overnight mail services should allow two working days prior to the
deadline date for receipt of applications. (Applicants are cautioned
that express/overnight mail services do not always deliver as agreed).
Extension of deadlines: ACF may extend application deadlines when
circumstances such as acts of God (floods, hurricanes, etc.) occur, or
when there are widespread disruptions of mail service, or in other rare
cases. A determination to extend or waive deadline requirements rests
with the Chief Grants Management Officer.
Checklist:
You may use the checklist below as a guide when preparing your
application package.
----------------------------------------------------------------------------------------------------------------
Required form or
What to submit Required content format When to submit
----------------------------------------------------------------------------------------------------------------
Project Abstract.............. See Sections IV.2 Found in Sections IV.2 By application due date.
and V. and V.
Project Description........... See Sections IV.2 Found in Sections IV.2 By application due date.
and V. and V.
Budget Narrative/Justification See Sections IV.2 Found in Sections IV.2 By application due date.
and V. and V.
SF424......................... See Section IV.2. See http:// By application due date.
www.acf.hhs.gov/
programs/ofs/
forms.htm.
SF-LLL Certification Regarding See Section IV.2. See http:// By application due date.
Lobbying. www.acf.hhs.gov/
programs/ofs/
forms.htm.
Certification Regarding See Section IV.2. See http:// By application due date.
Environmental Tobacco Smoke. www.acf.hhs.gov/
programs/ofs/
forms.htm.
Assurances.................... See Section IV.2. See http:// By application due date.
www.acf.hhs.gov/
programs/ofs/
forms.htm.
SF424A........................ See Section IV.2. See http:// By application due date.
www.acf.hhs.gov/
programs/ofs/
forms.htm.
SF424B........................ See Section IV.2. See http:// By application due date.
www.acf.hhs.gov/
programs/ofs/
forms.htm.
Proof of Non-Profit Status.... See Section III.3 Found in Section III.3 By application due date.
Letters of commitment from See Section IV... See Section IV........ By application due date.
partners (if applicable).
Indirect Cost Rate Agreement See Section IV... See Section IV........ By application due date.
(if applicable).
[[Page 32833]]
Non-Federal Commitment Letter. See Section III.2 See Section III.2..... By Time of Award.
----------------------------------------------------------------------------------------------------------------
Additional Forms:
Private, non-profit organizations are encouraged to submit with
their applications the survey located under ``Grant Related Documents
and Forms,'' ``Survey for Private, Non-Profit Grant Applicants,''
titled, ``Survey on Ensuring Equal Opportunity for Applicants,'' at:
http://www.acf.hhs.gov/programs/ofs/forms.htm.
----------------------------------------------------------------------------------------------------------------
What to submit Required content Location When to submit
----------------------------------------------------------------------------------------------------------------
Survey for Private, Non-Profit See form......... Found in http:// By application due date (with
Grant Applicants. www.acf.hhs.gov/ application).
programs/ofs/
forms.htm.
----------------------------------------------------------------------------------------------------------------
4. Intergovernmental Review
State Single Point of Contact (SPOC)
This program is covered under Executive Order 12372,
``Intergovernmental Review of Federal Programs,'' and 45 CFR Part 100,
``Intergovernmental Review of Department of Health and Human Services
Programs and Activities.'' Under the Order, States may design their own
processes for reviewing and commenting on proposed Federal assistance
under covered programs.
As of October 1, 2004, the following jurisdictions have elected to
participate in the Executive Order process: Arkansas, California,
Delaware, District of Columbia, Florida, Georgia, Illinois, Iowa,
Kentucky, Maine, Maryland, Michigan, Mississippi, Missouri, Nevada, New
Hampshire, New Mexico, New York, North Dakota, Rhode Island, South
Carolina, Texas, Utah, West Virginia, Wisconsin, American Samoa, Guam,
North Mariana Islands, Puerto Rico, and Virgin Islands. As these
jurisdictions have elected to participate in the Executive Order
process, they have established SPOCs. Applicants from participating
jurisdictions should contact their SPOC, as soon as possible, to alert
them of prospective applications and receive instructions. Applicants
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 to
eliminate the submission of routine endorsements as official
recommendations. Additionally, SPOCs are requested to clearly
differentiate between mere advisory comments and those official State
process recommendations which may trigger the ``accommodate or
explain'' rule.
When comments are submitted directly to ACF, they should be
addressed to the U.S. Department of Health and Human Services,
Administration for Children and Families, Office of Grants Management,
Division of Discretionary Grants, 370 L'Enfant Promenade, SW., 4th
floor, Washington, DC 20447.
When comments are submitted directly to ACF, they should be
addressed to: Department of Health and Human Services, Administration
for Children and Families, Division of Discretionary Grants, 370
L'Enfant Promenade, SW., Washington, DC 20447.
Although the remaining jurisdictions have chosen not to participate
in the process, entities that meet the eligibility requirements of the
program are still eligible to apply for a grant even if a State,
Territory, Commonwealth, etc. does not have a SPOC. Therefore,
applicants from these jurisdictions, or for projects administered by
federally-recognized Indian Tribes, need take no action in regard to
E.O. 12372.
The official list, including addresses, of the jurisdictions
elected to participate in E.O. 12372 can be found on the following URL:
http://www.whitehouse.gov/omb/grants/spoc.html.
5. Funding Restrictions
Grant awards will not allow reimbursement of pre-award costs.
Construction is not an allowable activity or expenditure under this
solicitation.
6. Other Submission Requirements
Submission by Mail: An applicant must provide an original
application with all attachments, signed by an authorized
representative and two copies. Please see Section IV.3 for an
explanation of due dates. Applications should be mailed to: c/o The
Dixon Group, Inc. ATTN: ACF/Children's Bureau, Attention: ACYF
Operations Center, 118 Q St., NE., Washington, DC 20002-2132.
Hand Delivery: An applicant must provide an original application
with all attachments signed by an authorized representative and two
copies. The application must be received at the address below by 4:30
p.m. eastern time on or before the closing date. Applications that are
hand delivered will be accepted between the hours of 8 a.m. to 4:30
p.m. eastern time, Monday through Friday. Applications should be
delivered to: c/o The Dixon Group, Inc. ATTN: ACF/Children's Bureau,
Attention: ACYF Operations Center, 118 Q St., NE., Washington, DC
20002-2132.
Electronic Submission: http://www.Grants.gov Please see Section
IV.2 for guidelines and requirements when submitting applications
electronically.
V. Application Review Information
The Paperwork Reduction Act of 1995 (Pub. L. 104-13)
Public reporting burden for this collection of information is
estimated to average 40 hours per response, including the time for
reviewing instructions, gathering and maintaining the data needed and
reviewing the collection information.
The project description is approved under OMB control number 0970-
0139 which expires April 30, 2007.
An agency may not conduct or sponsor, and a person is not required
to respond to, a collection of information unless it displays a
currently valid OMB control number.
1. Criteria
The following are instructions and guidelines on how to prepare the
``project summary/abstract'' and ``full project description'' sections
of the application. Under the evaluation criteria section, note that
each criterion is preceded by the generic evaluation requirement under
the ACF Uniform Project Description (UPD).
[[Page 32834]]
Purpose
The project description provides a major means by which an
application is evaluated and ranked to compete with other applications
for available assistance. The project description should be concise and
complete and should address the activity for which Federal funds are
being requested. Supporting documents should be included where they can
present information clearly and succinctly. In preparing your project
description, information responsive to each of the requested evaluation
criteria must be provided. Awarding offices use this and other
information in making their funding recommendations. It is important,
therefore, that this information be included in the application in a
manner that is clear and complete.
General Instructions
ACF is particularly interested in specific project descriptions
that focus on outcomes and convey strategies for achieving intended
performance. Project descriptions are evaluated on the basis of
substance and measurable outcomes, not length. Extensive exhibits are
not required. Cross-referencing should be used rather than repetition.
Supporting information concerning activities that will not be directly
funded by the grant or information that does not directly pertain to an
integral part of the grant funded activity should be placed in an
appendix. Pages should be numbered and a table of contents should be
included for easy reference.
Introduction
Applicants required to submit a full project description shall
prepare the project description statement in accordance with the
following instructions while being aware of the specified evaluation
criteria. The text options give a broad overview of what your project
description should include while the evaluation criteria identifies the
measures that will be used to evaluate applications.
Project Summary/Abstract
Provide a summary of the project description (a page or less) with
reference to the funding request.
Objectives and Need for Assistance
Clearly identify the physical, economic, social, financial,
institutional, and/or other problem(s) requiring a solution. The need
for assistance must be demonstrated and the principal and subordinate
objectives of the project must be clearly stated; supporting
documentation, such as letters of support and testimonials from
concerned interests other than the applicant, may be included. Any
relevant data based on planning studies should be included or referred
to in the endnotes/footnotes. Incorporate demographic data and
participant/beneficiary information, as needed. In developing the
project description, the applicant may volunteer or be requested to
provide information on the total range of projects currently being
conducted and supported (or to be initiated), some of which may be
outside the scope of the program announcement.
Approach
Outline a plan of action that describes the scope and detail of how
the proposed work will be accomplished. Account for all functions or
activities identified in the application. Cite factors that might
accelerate or decelerate the work and state your reason for taking the
proposed approach rather than others. Describe any unusual features of
the project such as design or technological innovations, reductions in
cost or time, or extraordinary social and community involvement.
Provide quantitative monthly or quarterly projections of the
accomplishments to be achieved for each function or activity in such
terms as the number of people to be served and the number of activities
accomplished.
If any data is to be collected, maintained, and/or disseminated,
clearance may be required from the U.S. Office of Management and Budget
(OMB). This clearance pertains to any ``collection of information that
is conducted or sponsored by ACF.'' List organizations, cooperating
entities, consultants, or other key individuals who will work on the
project along with a short description of the nature of their effort or
contribution.
When accomplishments cannot be quantified by activity or function,
list them in chronological order to show the schedule of
accomplishments and their target dates.
If any data is to be collected, maintained, and/or disseminated,
clearance may be required from the U.S. Office of Management and Budget
(OMB). This clearance pertains to any ``collection of information that
is conducted or sponsored by ACF.''
List organizations, cooperating entities, consultants, or other key
individuals who will work on the project along with a short description
of the nature of their effort or contribution.
Organizational Profiles
Provide information on the applicant organization(s) and
cooperating partners, such as organizational charts, financial
statements, audit reports or statements from CPAs/Licensed Public
Accountants, Employer Identification Numbers, names of bond carriers,
contact persons and telephone numbers, child care licenses and other
documentation of professional accreditation, information on compliance
with Federal/State/local government standards, documentation of
experience in the program area, and other pertinent information. If the
applicant is a non-profit organization, submit proof of non-profit
status in its application.
The non-profit agency can accomplish this by providing: (a) A
reference to the applicant organization's listing in the Internal
Revenue Service's (IRS) most recent list of tax-exempt organizations
described in the IRS Code; (b) a copy of a currently valid IRS tax
exemption certificate, (c) a statement from a State taxing body, State
attorney general, or other appropriate State official certifying that
the applicant organization has a non-profit status and that none of the
net earnings accrue to any private shareholders or individuals; (d) a
certified copy of the organization's certificate of incorporation or
similar document that clearly establishes non-profit status, (e) any of
the items immediately above for a State or national parent organization
and a statement signed by the parent organization that the applicant
organization is a local non-profit affiliate.
Budget and Budget Justification
Provide a budget with line item detail and detailed calculations
for each budget object class identified on the Budget Information form.
Detailed calculations must include estimation methods, quantities, unit
costs, and other similar quantitative detail sufficient for the
calculation to be duplicated. Also include a breakout by the funding
sources identified in Block 15 of the SF-424.
Provide a narrative budget justification that describes how the
categorical costs are derived. Discuss the necessity, reasonableness,
and allocability of the proposed costs.
General
Use the following guidelines for preparing the budget and budget
justification. Both Federal and non-Federal resources shall be detailed
and justified in the budget and narrative
[[Page 32835]]
justification. ``Federal resources'' refers only to the ACF grant for
which you are applying. ``Non-Federal resources'' are all other Federal
and non-Federal resources. It is suggested that budget amounts and
computations be presented in a columnar format: first column, object
class categories; second column, Federal budget; next column(s), non-
Federal budget(s), and last column, total budget. The budget
justification should be a narrative.
Personnel
Description: Costs of employee salaries and wages.
Justification: Identify the project director or principal
investigator, if known. For each staff person, provide the title, time
commitment to the project (in months), time commitment to the project
(as a percentage or full-time equivalent), annual salary, grant salary,
wage rates, etc. Do not include the costs of consultants or personnel
costs of delegate agencies or of specific project(s) or businesses to
be financed by the applicant.
Fringe Benefits
Description: Costs of employee fringe benefits unless treated as
part of an approved indirect cost rate.
Justification: Provide a breakdown of the amounts and percentages
that comprise fringe benefit costs such as health insurance, FICA,
retirement insurance, taxes, etc.
Travel
Description: Costs of project-related travel by employees of the
applicant organization (does not include costs of consultant travel).
Justification: For each trip, show the total number of traveler(s),
travel destination, duration of trip, per diem, mileage allowances, if
privately owned vehicles will be used, and other transportation costs
and subsistence allowances. Travel costs for key staff to attend ACF-
sponsored workshops should be detailed in the budget.
Equipment
Description: ``Equipment'' means an article of nonexpendable,
tangible personal property having a useful life of more than one year
and an acquisition cost which equals or exceeds the lesser of (a) the
capitalization level established by the organization for the financial
statement purposes, or (b) $5,000. (Note: Acquisition cost means the
net invoice unit price of an item of equipment, including the cost of
any modifications, attachments, accessories, or auxiliary apparatus
necessary to make it usable for the purpose for which it is acquired.
Ancillary charges, such as taxes, duty, protective in-transit
insurance, freight, and installation shall be included in or excluded
from acquisition cost in accordance with the organization's regular
written accounting practices.)
Justification: For each type of equipment requested, provide a
description of the equipment, the cost per unit, the number of units,
the total cost, and a plan for use on the project, as well as use or
disposal of the equipment after the project ends. An applicant
organization that uses its own definition for equipment should provide
a copy of its policy or section of its policy which includes the
equipment definition.
Supplies
Description: Costs of all tangible personal property other than
that included under the Equipment category.
Justification: Specify general categories of supplies and their
costs. Show computations and provide other information which supports
the amount requested.
Contractual
Description: Costs of all contracts for services and goods except
for those that belong under other categories such as equipment,
supplies, construction, etc. Include third party evaluation contracts
(if applicable) and contracts with secondary recipient organizations,
including delegate agencies and specific project(s) or businesses to be
financed by the applicant.
Justification: Demonstrate that all procurement transactions will
be conducted in a manner to provide, to the maximum extent practical,
open and free competition. Recipients and subrecipients, other than
States that are required to use Part 92 procedures, must justify any
anticipated procurement action that is expected to be awarded without
competition and exceed the simplified acquisition threshold fixed at 41
U.S.C. 403(11) (currently set at $100,000).
Recipients might be required to make available to ACF pre-award
review and procurement documents, such as request for proposals or
invitations for bids, independent cost estimates, etc.
Note: Whenever the applicant intends to delegate part of the
project to another agency, the applicant must provide a detailed
budget and budget narrative for each delegate agency, by agency
title, along with the required supporting information referred to in
these instructions.
Other
Enter the total of all other costs. Such costs, where applicable
and appropriate, may include but are not limited to insurance, food,
medical and dental costs (noncontractual), professional services costs,
space and equipment rentals, printing and publication, computer use,
training costs, such as tuition and stipends, staff development costs,
and administrative costs.
Justification: Provide computations, a narrative description and a
justification for each cost under this category.
Indirect Charges
Description: Total amount of indirect costs. This category should
be used only when the applicant currently has an indirect cost rate
approved by the Department of Health and Human Services (HHS) or
another cognizant Federal agency.
Justification: An applicant that will charge indirect costs to the
grant must enclose a copy of the current rate agreement. If the
applicant organization is in the process of initially developing or
renegotiating a rate, upon notification that an award will be made, it
should immediately develop a tentative indirect cost rate proposal
based on its most recently completed fiscal year, in accordance with
the cognizant agency's guidelines for establishing indirect cost rates,
and submit it to the cognizant agency. Applicants awaiting approval of
their indirect cost proposals may also request indirect costs. When an
indirect cost rate is requested, those costs included in the indirect
cost pool should not also be charged as direct costs to the grant.
Also, if the applicant is requesting a rate which is less than what is
allowed under the program, the authorized representative of the
applicant organization must submit a signed acknowledgement that the
applicant is accepting a lower rate than allowed.
Non-Federal Resources
Description: Amounts of non-Federal resources that will be used to
support the project as identified in Block 15 of the SF-424.
Justification: The firm commitment of these resources must be
documented and submitted with the application so the applicant is given
credit in the review process. A detailed budget must be prepared for
each funding source.
Total Direct Charges, Total Indirect Charges, Total Project Costs
Evaluation Criteria:
The following evaluation criteria appear in weighted descending
order. The corresponding score values indicate the relative importance
that ACF places on each evaluation criterion; however, applicants need
not develop their
[[Page 32836]]
applications precisely according to the order presented. Application
components may be organized such that a reviewer will be able to follow
a seamless and logical flow of information (i.e., from a broad overview
of the project to more detailed information about how it will be
conducted).
In considering how applicants will carry out the responsibilities
addressed under this announcement, competing applications for financial
assistance will be reviewed and evaluated against the following
criteria:
Approach 50 points
In reviewing the approach, the following factors will be
considered: (50 points)
1. The extent to which there is a sound timeline for effectively
implementing the proposed project, including major milestones and
target dates. The extent to which the proposed project would complete
all the activities described in this funding announcement within the 5
year project time frame.
2. The extent to which the overall design and strategies to be used
by the proposed QIC demonstrate an understanding of issues in the child
welfare system and in child welfare service privatization, and the
characteristics, needs and services currently available to children and
families brought to the attention of the child welfare system.
3. The extent to which the plan for conducting the needs assessment
is: (a) Appropriate and feasible; (b) likely to result in the
development of a comprehensive description and evaluation of the
current state of child welfare privatization; and (c) likely to
identify knowledge gaps and barriers to the effective privatization of
child welfare services.
4. The extent to which the strategy for refining the focus for the
QIC during the planning year will involve input from a wide range of
stakeholders, including key national, regional, State, and local
agencies and organizations.
5. The extent to which the Phase I plan presents a feasible and
appropriate method for conducting a comprehensive review of the
literature that includes the identification of best practices and
promising approaches in child welfare service privatization.
6. The extent to which the applicant's preliminary design for Phase
II-Version A:
a. Demonstrates that the implementation plan would be developed in
a manner which is likely to result in the timely production of a plan
that is feasible and appropriate, and includes input from a wide range
of relevant sources.
b. Presents a viable conceptual framework or logic model describing
the linkages between and among the (1) attributes of the populations,
problems, conditions, and systems that are the target of the
interventions; (2) resources; (3) traditional and innovative services
to be provided; and (4) short- and long-term outcomes.
c. Presents an appropriate and feasible approach for creating an
administrative structure for announcing the availability of funding,
and reviewing and awarding sub-grants, including program description,
agency eligibility, funding levels, application evaluation criteria,
and selection process.
d. Presents an appropriate and feasible plan for providing
technical assistance to prospective sub-grantees to assist them in
designing initiatives that meet the standards for research and
demonstration projects funded under this initiative.
e. Presents an appropriate and feasible plan for providing support,
guidance and technical assistance to sub-grantees to assist them in
project implementation, data collection and evaluation.
f. Presents an appropriate and feasible plan constructing an
administrative and management structure for ensuring that sub-grantee
projects are implemented within 90-days of the award of their funding
by the QIC, monitoring and managing sub-grants funded under this
initiative, including appropriate plans for fiscal accountability from
the sub-grantee projects.
g. Presents a feasible and appropriate approach to the formation of
a consortium and information-sharing network consisting of partnerships
with and among sites awarded grants sponsored by the QIC.
h. Presents a feasible and appropriate methodology for evaluating
and conducing a cost analysis of sub-grantee research and demonstration
projects, including ensuring that appropriate qualitative and
quantitative process and outcome data are collected by sub-grantee
sites and participating agencies and organizations.
i. Presents feasible and appropriate strategies for information
dissemination, including fostering and strengthening communication and
coordination activities with National Resource Centers and
Clearinghouses including the National Data Archive on Child Abuse and
Neglect and the National Clearinghouse on Child Abuse and Neglect
Information.
j. Identifies and addresses the conceptual, management and
logistical issues involved in developing and implementing the QIC-
sponsored research and demonstration projects.
k. Presents a clear and comprehensive vision of how the proposed
QIC would operate once sub-grants are awarded.
7. The extent to which there will be an effective administrative
and organizational interface between the applicant and key partners.
The extent to which the application includes appropriate letters of
commitment from these partner organizations.
8. The extent to which the project's evaluation plan would address
both the entire project, and each of its sub-parts. The extent to which
the evaluation would measure achievement of project objectives,
customer satisfaction, acquisition of competencies, effectiveness of
program services and project strategies, the efficiency of the
implementation process, the effect of privatizing services on outcomes
for children and family in the child welfare system, the cost-
effectiveness of privatized services, and the impact of the project.
The extent to which the methods of evaluation would provide performance
feedback, support periodic assessment of program progress and provide a
sound basis for program adjustments. The extent to which the proposed
evaluation plan would be likely to yield useful findings or results
about effective strategies, and contribute to and promote evaluation
research and evidence-based practices that could be used to guide
replication or testing in other settings. The extent to which
applicants that do not have the in-house capacity to conduct an
objective, comprehensive evaluation of the project present a sound plan
for contracting with a third-party evaluator specializing in social
science or evaluation, or a university or college to conduct the
evaluation.
9. The extent to which there is a sound plan for documenting
project activities and results, including the development of a data
collection infrastructure that is sufficient to support a
methodologically sound and rigorous evaluation. The extent to which
relevant data would be collected. The extent to which there is a sound
plan for collecting these data, securing informed consent and
implementing an Institutional Review Board (IRB) review, if applicable.
10. The extent to which there is a sound plan for developing useful
products during the proposed project and a reasonable schedule for
developing these products. The extent to which the intended audience
(e.g., researchers, policymakers, and practitioners) for product
dissemination
[[Page 32837]]
is comprehensive and appropriate. The extent to which the dissemination
plan includes appropriate mechanisms and forums that would effectively
convey the information and support successful replication by other
interested agencies.
Organizational Profiles 20 points
In reviewing the organizational profiles, the following factors
will be considered: (20 points)
(1) The extent to which the application evidences sufficient
experience and expertise in administration, development,
implementation, management, and evaluation of similar projects. The
extent to which each participating organization (including partners
and/or subcontractors) possesses the organizational capability to
fulfill their assigned roles and functions effectively (if the
application involves partnering and/or subcontracting with other
agencies/organizations).
(2) The extent to which the proposed project director and key
project staff possess sufficient relevant knowledge, experience and
capabilities to implement and manage a project of this size, scope and
complexity effectively (e.g., resumes). The extent to which the role,
responsibilities and time commitments of each proposed project staff
position, including consultants, subcontractors and/or partners, are
clearly defined and appropriate to the successful implementation of the
proposed project.
(3) The extent to which there is a sound management plan for
achieving the objectives of the proposed project on time and within
budget, including clearly defined responsibilities, for accomplishing
project tasks and ensuring quality. The extent to which the plan
clearly describes the effective management and coordination of
activities carried out by any partners, subcontractors and consultants
(if appropriate). The extent to which there would be a mutually
beneficial relationship between the proposed project and other work
planned, anticipated or underway with Federal assistance by the
applicant.
Objectives and Need for Assistance 20 points
In reviewing the objectives and need for assistance, the following
factors will be considered: (20 points)
1. The extent to which the applicant demonstrates an understanding
of the goals and objectives of this Quality Improvement Center on
Privatization of Child Welfare Services initiative. The extent to which
the application presents a clear vision for the proposed project to be
developed and implemented. The extent to which the applicant makes a
clear statement of the goals (end products of an effective project) and
objectives (measurable steps for reaching these goals) of the proposed
project. The extent to which these goals and objectives closely relate
to objectives of this funding announcement. The extent to which the
applicant demonstrates how the proposed project would contribute to
achieving these goals and objectives.
2. The extent to which the application demonstrates an
understanding of the Child Welfare System and applicable laws, and
Federal policies regarding the contracting of Child Welfare services.
3. The extent to which the applicant demonstrates an understanding
the challenges facing the child welfare system and the current status
of existing services.
4. The extent to which the application demonstrates a thorough
understanding of the need for developing and disseminating knowledge
about child welfare privatization. The extent to which the applicant
clearly describes and documents the types and extent of barriers to
privatizing child welfare services; and the potential benefits of child
welfare service privatization.
5. The extent to which the applicant demonstrates a clear and
concise vision of the role of the QIC in implementing the proposed
project.
6. The extent to which the application demonstrates a thorough
understanding of the challenges of privatizing child welfare services.
The extent to which the application demonstrates a thorough
understanding of the challenges that the proposed project will have in
developing knowledge about child welfare service privatization. The
extent to which the applicant provides a sound plan explaining how the
project would successfully overcome these challenges.
7. The extent to which the proposed QIC, if successfully
implemented, would build the knowledge base about best practices in
child welfare service privatization.
8. The extent to which the application presents a thorough review
of the relevant literature that reflects a clear understanding of the
research on best practices and promising approaches as it relates to
the child welfare system and privatization of child welfare services.
The extent to which the review includes a description of the cultural,
financial, legal, bureaucratic and other types of barriers to the
efficient and effective privatization of child welfare services. The
extent to which the review of the literature sets a sound context and
rationale for the project. The extent to which it provides evidence
that the proposed project is innovative and, if successfully
implemented and evaluated, likely to contribute to the knowledge base
on child welfare service privatization.
9. The extent to which the proposed QIC would build an
infrastructure of collaborative partnerships and information networks
that will promote research and innovative demonstration projects that
will contribute to increased knowledge or understanding of the
problems, issues, and effective strategies and practices in the field
of child welfare service privatization.
10. The extent to which the proposed QIC, if successfully
implemented, would be likely to yield findings or results that may be
used by other agencies and organizations interested in privatization of
child welfare services. The extent to which the lessons learned through
the proposed project would benefit policy, practice and theory
development related to privatization of child welfare services.
11. The extent to which the proposed QIC, if successfully
implemented, is likely to develop strategies and sponsor research and
demonstration projects that can be replicated by other regions and/or
agencies addressing the same or similar problems and, as appropriate,
the potential for implementation in a variety of settings.
Budget and Budget Justification 10 points
In reviewing the budget and budget justification, the following
factors will be considered: (10 points)
(1) The extent to which the costs of the proposed project are
reasonable and appropriate, in view of the activities to be conducted
and expected results and benefits. The extent to which the applicant
will provide the required match (see Section III.2).
(2) The extent to which the applicant's fiscal controls and
accounting procedures would ensure prudent use, proper and timely
disbursement and accurate accounting of funds received under this
program announcement.
2. Review and Selection Process
Since ACF will be using non-Federal reviewers in the review
process, applicants have the option of omitting from the application
copies (not the original) of specific salary rates or amounts for
individuals specified in the application budget.
No grant award will be made under this announcement on the basis of
an incomplete application.
[[Page 32838]]
A panel of at least three reviewers (primarily experts from outside
the Federal government) will use the evaluation criteria described in
this announcement to evaluate each application. The reviewers will
determine the strengths and weaknesses of each application, provide
comments about the strengths and weaknesses and give each application a
numerical score.
The results of the competitive review are a primary factor in
making funding decisions. In addition, Federal staff conducts
administrative reviews of the applications and, in light of the results
of the competitive review, will recommend applications for funding to
the ACYF Commissioner. ACYF reserves the option of discussing
applications with other funding sources when this is in the best
interest of the Federal government. ACYF may also solicit and consider
comments from ACF Regional Office staff in making funding decisions.
ACYF may take into consideration the involvement (financial and/or
programmatic) of the private sector, national, or State or community
foundations; a favorable balance between Federal and non-Federal funds
for the proposed project; or the potential for high benefit from low
Federal investment. ACYF may elect not to fund any applicants having
known management, fiscal, reporting, programmatic, or other problems
which make it unlikely that they would be able to provide effective
services or effectively complete the proposed activity.
With the results of the peer review and the information from
Federal staff, the Commissioner of ACYF makes the final funding
decisions. The Commissioner may give special consideration to
applications proposing services of special interest to the Government
and to achieve geographic distributions of grant awards. Applications
of special interest may include, but are not limited to, applications
focusing on underserved or inadequately served clients or service areas
and programs addressing diverse ethnic populations.
Available Funds. Applicants should note that grants to be awarded
under this program announcement are subject to the availability of
funds.
Approved but Unfunded Applications
Applications that are approved but unfunded may be held over for
funding in the next funding cycle, pending the availability of funds,
for a period not to exceed one year.
3. Anticipated Announcement and Award Dates
Applications will be reviewed in the summer of 2005. Grant awards
will have a start date no later than September 30, 2005.
VI. Award Administration Information
1. Award Notices
The successful applicants will be notified through the issuance of
a Financial Assistance Award document which sets forth the amount of
funds granted, the terms and conditions of the grant, the effective
date of the grant, the budget period for which initial support will be
given, the non-Federal share to be provided, and the total project
period for which support is contemplated. The Financial Assistance
Award will be signed by the Grants Officer and transmitted via postal
mail.
Organizations whose applications will not be funded will be
notified in writing.
2. Administrative and National Policy Requirements
Grantees are subject to the requirements in 45 CFR Part 74 (non-
governmental) or 45 CFR Part 92 (governmental).
Direct federal grants, sub-award funds, or contracts under this
program shall not be used to support inherently religious activities
such as religious instruction, worship, or proselytization. Therefore,
organizations must take steps to separate, in time or location, their
inherently religious activities from the services funded under this
program. Regulations pertaining to the prohibition of Federal funds for
inherently religious activities can be found on the HHS web site at
http://www.os.dhhs.gov/fbci/waisgate21.pdf
Special Terms and Conditions
None.
3. Reporting Requirements
Program Progress Reports: Semi-annually.
Financial Reports: Semi-annually.
Grantees will be required to submit program progress and financial
reports (SF-269) throughout the project period. Program progress and
financial reports are due 30 days after the reporting period. In
addition, final programmatic and financial reports are due 90 days
after the close of the project period.
Performance Indicator Data, Programmatic Reports and Financial
Reports are required semi-annually. All required reports will be
submitted in a timely manner, in recommended formats (to be provided),
and the final report will also be submitted on disk or electronically
using a standard word-processing program.
Within 90 days of project end date, the applicant will submit a
copy of the final report and any program products to the National
Clearinghouse on Child Abuse and Neglect Information, 330 C Street,
SW., Washington, DC 20447. This is in addition to the standard
requirement that the final program and evaluation report must also be
submitted to the Grants Management Specialist and the Federal Project
Officer.
II. Agency Contacts
Program Office Contact: Jan Shafer, Administration for Children and
Families, Children's Bureau, 330 C Street, SW., Washington, DC 20447,
phone: 202-205-8172, e-mail: [email protected].
Grants Management Office Contact: Peter Thompson, Grants Officer,
Administration for Children and Families, Children's Bureau, 330 C
Street, SW. Room 2070, Washington, DC 20447, phone: 202-401-4608, e-
mail: [email protected].
VIII. Other Information
Notice: Beginning with FY 2006, the Administration for Children and
Families (ACF) will no longer publish grant announcements in the
Federal Register. Beginning October 1, 2005 applicants will be able to
find a synopsis of all ACF grant opportunities and apply electronically
for opportunities via: http://www.Grants.gov. Applicants will also be
able to find the complete text of all ACF grant announcements on the
ACF Web site located at: http://www.acf.hhs.gov/grants/index.html.
Additional information about this program and its purpose can be
located on the following Web sites: http://www.acf.hhs.gov/programs/cb/.
For general questions regarding this announcement please contact:
ACYF Operations Center, The Dixon Group ATTN: Children's Bureau, 118 Q
Street, NE., Washington DC 20002-2132, Telephone: 866-796-1591.
Applicants will not be sent acknowledgements of received
applications.
Dated: May 25, 2005.
Susan Orr,
Acting Commissioner, Administration on Children, Youth and Families.
[FR Doc. 05-11197 Filed 6-3-05; 8:45 am]
BILLING CODE 4184-01-P