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PART III:
APPLICATION INSTRUCTIONS

The information presented in this section is intended to summarize the submission and review process for a CBFRS application, and to describe the content and documentation that must be provided with the application. These requirements include specific materials necessary to establish the eligibility of the lead agency to submit the application and of the leveraged funds to be matched by Federal funds.

SIMPLIFIED PROCEDURES UNDER CERTAIN CONDITIONS For any State submitting an application in which there have been no changes in one or more of the following areas since the State submitted its Federal fiscal year (FFY) 2001 application, that State may, if it so chooses, make the following simplifications to its application: 1. If there has been no change in the CEO of the State, AND the lead agency designation has not changed since the FFY 2001 application was submitted, the application letter may include a statement to that effect with a copy of the original designation letter from the State's CEO. (See page 15, E.(a).) 2. If there has been no change in the CEO of the State, AND the lead agency designation has not changed since the FFY 2001 application was submitted, the application letter may include a statement to that effect with a copy of the original State Assurance Statement signed by the State's CEO. (See page 15, E.(b) and page 16-17, H.1.(a)&(b).) 3. If the lead agency has not changed, AND there has been no change in the lead agency's administrative personnel authorized to sign the State Lead Agency Assurance Statement since the FFY 2001 application was submitted, the application letter may include a statement to that effect with a copy of the original Lead Agency Assurance Statement. (See page 15, F. and page 18, 2. (A)-(D).) 4. If the non-Federal match money in the budget submitted with the application is equal to or greater than 20% of the final grant award, the lead agency is not required to submit a post-award budget amendment. (See page 19, #2)

A. PREPARATION AND FORMAT OF APPLICATION

1. Preparation:

   The application must be prepared and submitted by the lead agency designated by the CEO of the State to (1) administer funds provided under this grant, and (2) assume responsibility for implementation and oversight of the network of family resource and support programs and other child abuse and neglect prevention activities. (§201(f))

2. Format:

   States are not required to submit a Standard Form 424, "Application for Financial Assistance" (although a State may use this form if it chooses). Applications may be submitted in formats best suited to the needs of the applicant. States are strongly encouraged, however, to follow the content outline suggested in Part III, B-J of this Program Instruction.

3. Accompanying Documents:

   The application must be accompanied by the appropriate certifications, assurances, and other required documentation described throughout this Program Instruction.

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B. SUBMISSION LETTER

Each application must be accompanied by a Submission Letter that is addressed to the Commissioner, Administration on Children, Youth and Families, and signed by an appropriate official of the lead agency designated by the CEO to act for the State in administering the funds and assuming the obligations imposed by the terms and conditions of the grant award. The letter that officially transmits the application must include a description of the lead agency that will be responsible for the administration of funds and the oversight of programs funded through the Statewide network of community-based, prevention-focused, family resource and support programs. (§205(1))

The description of the lead agency must include information that:

1. Describes the interdisciplinary, collaborative, public-private structure, including its representation from private and public sector parents and service providers, that will direct the network of community-based family resource and support programs, and how the structure will direct the Network; (§202(2)(B))

2. Describes the peer review process the State will conduct under this program; (§207(7)) and

3. Describes the activities the lead agency will coordinate or participate in, and the Network's role in the promotion and observance of Child Abuse Prevention Month during April 2003.

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C. LEAD AGENCY IDENTIFYING INFORMATION⁶

Each application must include the following information:

1. The name, mailing address, internet address, and FAX number of the lead agency.

2. The lead agency's Employer Identification Number (EIN).

3. The name and telephone number of the program specialist responsible for the CBFRS grant program.

4. The name and telephone number of the fiscal agent responsible for the CBFRS grant program.

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D. FEDERAL FISCAL YEAR STATEMENT

Each application must include a statement that the fiscal year for which State, private, and other non-Federal funds were leveraged for the purpose of submitting a claim under the CBFRS program for FFY 2002 is Federal Fiscal Year 2001 (i.e., October 1, 2000 - September 30, 2001). This statement should be included in the submission letter. (§203(b)(1)(B))

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E. STATE CEO DOCUMENTATION

Each application for FFY 2002 funding under the CBFRS program must include the following documentation by the State's CEO:⁷

1. The original signed letter from the CEO of the State that (1) designates the lead agency to receive the funds, and (2) contains a statement that the lead agency was designated only after giving full and equal consideration to the capacity and expertise of all entities desiring to be the lead agency; (§202(1)(A)(C)&(D)) and
2. The official signed "State Chief Executive Officer's Assurance Statement". (§202(2)&(3)) A copy of the CEO Assurance Statement is included as Attachment 3 in this Program Instruction.⁸

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F. LEAD AGENCY DOCUMENTATION

Each application must contain the Lead Agency information described under Part III-B, C, and D above. In addition, the application must include the official signed "Lead Agency Assurance Statement"⁹ included in this Program Instruction as Attachment 4.

The Assurance Statement must be signed by an authorized official of the agency designated by the CEO to act for the State in administering the CBFRS funds and assuming the obligations imposed by the terms and conditions of the grant award. (§205(3),(5),(6)&(13))

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G. DOCUMENTATION OF LEVERAGED FUNDS FOR FEDERAL MATCHING FUNDS

The following documentation of leveraged funds must be provided to receive CBFRS funds available for distribution under §203(b)(1)(B), (i.e., 30% of the total allotment to States that is based on the leveraging of non-Federal funds):

1. Leveraged Funds that May Be Claimed:

   Funds claimed as leveraged funds by a State under §203(b)-(1)(B) may include any funds that were:

   1. Leveraged by the State from private, State, or other non-Federal sources during FFY 2001 (October 1, 2000 - September 30, 2001);

   2. Directed through the CBFRS lead agency for FFY 2002; and

   3. Budgeted during FFY 2001 for use in supporting a network of community-based, prevention-focused, family resource and support programs.¹⁰

   Only funds that have not been used to leverage additional Federal funds under any other program may be claimed as leveraged funds for this program.

2. Completion of Leveraged Funds Worksheet:

   In order for a State to document funds claimed as leveraged funds, the application must contain a completed copy of the Leveraged Funds Worksheet (see Attachment 5), which includes (1) an itemization of the funds being claimed, and (2) an assurance statement that is to be signed by the responsible lead agency administrator and fiscal authority for the lead agency verifying the authenticity of the submitted claim.

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H. ASSURANCES

Each application must contain all assurances required in Title II of Pub. L. 104-235, as set out below, including (1) State CEO assurances, and (2) lead agency assurances.

Note: The Assurance Statements, included as Attachments 3 and 4, should be (1) removed from the Program Instruction and completed, (2) signed, as indicated (i.e., by either the State CEO or lead agency official), and (3) submitted with the State's application.

1. State CEO's Assurances Regarding the Lead Agency:

   1. Responsibility for Network of Programs. Section 202(2) requires the State CEO to provide assurances that the lead agency will provide or be responsible for providing--

      1. A network of community-based family resource and support programs composed of local, collaborative, public-private partnerships directed by interdisciplinary structures with balanced representation from private and public sector members, parents, and public and private nonprofit service providers and individuals and organizations experienced in working in partnership with families with children with disabilities; (§202(2)(A))

      2. Direction to the network through an interdisciplinary, collaborative, public-private structure with balanced representation from private and public sector members, parents, and public sector and private nonprofit sector service providers; (§202(2)(B)) and

      3. Direction and oversight to the network through identified goals and objectives, clear lines of communication and accountability, the provision of leveraged or combined funding from Federal, State and private sources, centralized assessment and planning activities, the provision of training and technical assistance and reporting and evaluation functions. (§202(2)(C))

   2. Lead Agency Commitment and Capacity. Section 202(3) further requires the State CEO to provide assurances that the lead agency --

      1. Has a demonstrated commitment to parental participation in the development, operation, and oversight of the Statewide network of community-based, prevention-focused, family resource and support programs; (§202(3)(A))

      2. Has a demonstrated ability to work with State and community-based public and private nonprofit organizations to develop a continuum of preventive, family centered, comprehensive services for children and families through the Statewide network of community-based; prevention-focused, family resource and support programs; (§202(3)(B))

      3. Has the capacity to provide operational support (both financial and programmatic) and training and technical assistance, to the Statewide network of community-based prevention-focused, family resource and support programs, through innovative, interagency funding and inter-disciplinary service delivery mechanisms; (§202(3)(C)) and

      4. Will integrate its efforts with individuals and organizations experienced in working in partnership with families with children with disabilities and with the child abuse and neglect prevention activities of the State, and demonstrate a financial commitment to those activities. (§202(3)(D))

2. Lead Agency Assurances:

   The authorized official of the Lead Agency designated by the CEO to administer funds under the CBFRS program and assume the obligations imposed by the terms and conditions of the grant award must provide the following assurances:

   1. An inventory of current family resource programs, respite care, child abuse and neglect prevention activities, and other family resource services operating in the State, and a description of current unmet needs, will be incorporated into the Annual Performance Report submitted on or before December 31, 2003; (§205(3))

   2. Funds received under this title will supplement, not supplant, other State and local public funds designated for the Statewide network of community-based, prevention-focused, family resource and support programs; (§205(5))

   3. The State has the capacity to ensure the meaningful involvement of parents who are consumers and who can provide leadership in the planning, implementation, and evaluation of the programs and policy decisions of the applicant agency in accomplishing the desired outcomes for such efforts; (§205(6)) and

   4. The applicant agency will provide the Secretary with reports at such time and containing such information as the Secretary may require not later than December 31, 2003 (§205(13)).

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I. ADDITIONAL APPLICATION REQUIREMENTS

Section 205 of the Act provides that each State's application must contain information specified by the Secretary as essential to carrying out the provisions of this program, including the following:

1. Network Operation. Each application must include a description of how the network of community-based, prevention-focused, family resource and support programs will operate and how family resource and support services provided by public and private, nonprofit organizations, including those funded by programs consolidated under this Act, will be integrated into a developing continuum of family centered, holistic, preventive services for children and families; (§205(2))

2. Budget, Including State's 20% Cash Match. Each State application must include a budget for the development, operation and expansion of the State's network of community-based, prevention-focused, family resource and support programs that verifies that the State will expend in non-Federal funds an amount equal to not less than 20 percent of the amount received under this title (in cash, not in-kind) for activities under this title; (§205(4))

   NOTE 1: The budget should be presented in a format that clearly displays line item expenditures for both the Federal and non-Federal funds.

   NOTE 2: Federal funds available under the CBFRS grant are for the provision of a network of community-based, prevention-focused, family resource and support programs. In order to achieve this objective, up to 20% of available funds may be budgeted for administrative purposes. (This does not apply to such program costs as necessary to provide Network Coordination, Training and Technical Assistance, and Evaluation.) States are authorized to include a budget item to cover expenses for two CBFRS representatives to attend a Federally initiated national or regional CBFRS conference. (See Part II: Eligibility Requirements #(5), page 11.)

   NOTE 3: The nature of the formula provision is such that States claiming leveraged funds will not know what their total grant award will be when the application is submitted. Consequently, a State with a leveraged funds claim will not know what will constitute its 20% match. Therefore, for application purposes, the 20% match should be determined based on the population-only portion of the formula. Attachment 6 includes a table showing an estimate of the amount each State will receive based on population. Within 30 days of receipt of the Grant Award Letter, the lead agency must submit an amended Budget to reflect a 20% match of the full amount of the grant award.¹¹

3. Criteria for Funded Programs. Each application must include a description of the criteria that the lead agency will use to develop, or select and fund, individual community-based, prevention-focused, family resource and support programs as part of network development, expansion or enhancement; (§205(7))

   NOTE: This requirement may be met in whole or in part by the inclusion of the State's current announcement of the priority for local grant awards or Request for Proposals (RFP) for CBFRS funds.

4. Outreach Activities for Special Populations. Each application must include a description of outreach activities that the lead agency and the community-based, prevention-focused, family resource and support programs will undertake to maximize the participation of racial and ethnic minorities, children and adults with disabilities, homeless families and those at risk of homelessness, and members of other under-served or under-represented groups; (§205(8))

   NOTE: Parents with mild to moderate disabilities are frequently underserved and should also be considered a target population for this outreach. Research has demonstrated the importance of fathers in the healthy development of children. Fathers are an often-overlooked population and care should be taken to include them in the planning of outreach activities.

5. Plan for Support, Training, and Technical Assistance. Each application must include a plan for providing operational support, training and technical assistance to community-based prevention-focused, family resource and support programs for development, operation, expansion and enhancement of activities; §205(9))

   NOTE 1: These plans should include training and technical assistance to foster understanding, appreciation, and knowledge of diverse populations in order to effectively prevent and treat child abuse and neglect. Plans should also include training and technical assistance to foster the promotion of strong families.

   NOTE 2: This Plan should indicate the training and technical assistance (T/TA) to be provided in the coming fiscal year, as opposed to an accounting of the T/TA provided in the prior fiscal year.

6. Evaluation. Each application must include a description of how the lead agency's activities, and those of the network and its members, will be evaluated; (§205(10)) and

7. Actions to Advocate Systemic Changes. Each application must include a description of the actions that the lead agency will take to advocate systemic changes in State policies, practices, procedures and regulations to improve the delivery of prevention-focused, family resource and support program services to children and families. (§205(11))

   NOTE: This description should not be a report of actions accomplished, but a description or approach to be implemented in the coming fiscal year to identify and advocate for systemic change. It would be especially appropriate to include Network activities and support for the proposed actions.

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J. CERTIFICATIONS

1. Anti-Lobbying Certification and Disclosure Form

   Pursuant to 45 CFR Part 93, the Anti-Lobbying Certification and Disclosure Form (see Attachment 7) must be signed and submitted with the State's CBFRS program application. If applicable, a Standard Form LLL, which discloses lobbying payments, also must be submitted.

2. Other Certifications (Attachment 7)

   The signature on the State's CBFRS Program application by an authorized official attests to the applicant's intent to comply with each of the following other certifications:

   1. Certification Regarding Drug-Free Work Place;

   2. Debarment certification; and

   3. Certification Regarding Environmental Tobacco Smoke.

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K. SUBMISSION OF APPLICATION

1. Three Copies to the Office on Child Abuse and Neglect (OCAN)

   The signed original and two copies of the complete application, including all attachments, must be submitted to the CBFRS grant officer at the Office on Child Abuse and Neglect within 45 days from the issuance date.

   Applications sent to OCAN by regular mail, commercial delivery, or by hand should be addressed to:

   Community-Based Family Resource & Support Grant Program
   Office on Child Abuse and Neglect
   Attention: Melissa Lim Brodowski
   330 C Street, S.W.
   Switzer Building, Room 2417
   Washington, D.C. 20447

2. One Copy to Regional Office

   One copy of the grant application, including all attachments, must be submitted to the Federal Regional Office (RO) that serves the applicant's State. An RO contact list is included as Attachment 8.

   Regional Office staff will conduct an initial review of the application and submit their findings and recommendations to OCAN.

   In addition to participation in application reviews, the RO staff will be active in the administration of this program. The review of a State's application will enable the RO staff to become familiar with the State's CBFRS program, and, to the extent appropriate, facilitate linkages with other programs in the State. Additionally, the RO staff will be able to provide technical assistance to lead agencies, as requested, and otherwise be a resource to the lead agency.

⁶It is incumbent upon the lead agency to provide timely notification to the Federal program officer if there are any changes in the following lead agency information during the grant award period. Back
⁷ See exceptions in the box on page 13, #1 and #2. Back
⁸ To simplify procedures for the applicant, all statutory assurances contained in this Program Instruction are consolidated into two separate Assurance Statements, for signature by the State official who is responsible for making such assurances (i.e., the CEO of the State, or the appropriate lead agency administrator). These Assurance Statements are included as Attachments 3 and 4. Back
⁹ See exception in the box on page 13, #3. Back
¹⁰ Leveraged funds that may be submitted for Federal matching funds are those non-Federal funds which, in the preceding fiscal year, were controlled by the CBFRS lead agency submitting the application, and were used to provide the types of services and activities for which the current CBFRS Federal funds may be used, as specified by the legislation and described under the Use of Funds section of this Program Instruction. Back
¹¹ See exception in the box on page 13, #4. Back

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