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Home > Laws & Policies > Policy/Program Issuances > Program Instructions > PI-04-04

Part III:
Application Instructions

The information presented in this section is intended to summarize the submission and review process for a CBCAP 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.

  1. 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 administer and oversee the implementation of the programs and activities provided under this grant.

    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 below:

      1. Submission Letter
      2. Lead Agency Identifying Information
      3. State CEO Documentation and Assurances
        • Lead Agency Designation Letter
        • Governor's Assurances
      4. Lead Agency Assurances
      5. Leverage Claim Form
      6. Budget
      7. Description of the Lead Agency and the Operation of the Network of Coordinated Community-based and Prevention-focused Programs and Activities
      8. Criteria for Funded Programs
      9. Outreach Activities for Special Populations
      10. Plans for Parent Leadership and Involvement
      11. Plan for Support, Training, Technical Assistance and Evaluation Assistance
      12. Evaluation Plans, Including Plans for Peer Review
      13. Plan for Child Abuse Prevention Month, 2005
      14. Actions to Advocate for Systemic Change
      15. Certifications (Lobbying)
      16. Attachments (optional)

      Information regarding what should be included in the above sections is described in the next sections.

    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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    1. Submission Letter

      Each application must be accompanied by a submission letter that is addressed to Joan E. Ohl, 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 prevention and family support programs funded through this program. (§205(1))

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    1. Lead Agency Identifying Information6

      Each application must include the following information:

      1. The name, mailing address, email address, and fax number of the lead agency.

      2. The lead agency's Employer Identification Number (EIN) and DUNS7 number.

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

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

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    1. State CEO Documentation and Assurances

      Each application for FFY 2004 funding under the CBCAP program must include the following documentation by the State's Chief Executive Officer (CEO) or Governor:

      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 5 in this Program Instruction.8

      State CEO's Assurances Regarding the Lead Agency:

      Section 202(2) and Section 202(3) require the State CEO to provide assurances that the lead agency will provide or be responsible for providing —

      1. Community-based and prevention-focused programs and activities designed to strengthen and support families to prevent child abuse and neglect (through networks where appropriate) 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 an interdisciplinary, collaborative, public-private structure with balanced representation from private and public sector members, parents, including those with disabilities, and public sector and private nonprofit sector service providers; (§202(2)(B))

      3. Direction and oversight 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, technical assistance, evaluation assistance and reporting and evaluation functions; (§202(2)(C))

      4. A demonstrated commitment to parental participation in the development, operation, and oversight of the community-based and prevention-focused programs and activities designed to strengthen and support families to prevent child abuse and neglect (through networks where appropriate); (§202(3)(A))

      5. 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; (§202(3)(B))

      6. Operational support (both financial and programmatic) and training, technical assistance and evaluation assistance, to community-based and prevention-focused programs and activities designed to strengthen and support families to prevent child abuse and neglect, through innovative, interagency funding and inter-disciplinary service delivery mechanisms; (§202(3)(C)) and

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

      Please note that a new Governor's letter and assurance statement must be included every year as part of the CBCAP application.

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    1. Lead Agency Assurances

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

      1. A description of the inventory of current unmet needs and current community-based and prevention-focused programs and activities to prevent child abuse and neglect, and other family resource services operating in the State, will be incorporated into the Annual Performance Report submitted on or before December 31, 2005; (§205(3))

      2. Funds received under this title will supplement, not supplant, other State and local public funds designated for the startup, maintenance, expansion, and redesign of community-based and prevention-focused programs and activities designed to strengthen and support families to prevent child abuse and neglect; (§205(5))

      3. The State has the capacity to ensure the meaningful involvement of parents who are consumers, including those with disabilities, 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, 2005 (§205(13)).

      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 CBCAP funds and assuming the obligations imposed by the terms and conditions of the grant award. A form for this assurance statement is included in this program instruction as Attachment 6 (§205(3),(5),(6)&(12))

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    1. Documentation of Leveraged Funds for Federal Matching Funds

      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 CBCAP program for FFY 2004 is Federal Fiscal Year 2003 (i.e., October 1, 2002 - September 30, 2003).

      The following documentation of leveraged funds must be provided to receive CBCAP 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 2003 (October 1, 2002 - September 30, 2003);

        2. Directed through the CBCAP lead agency for FFY 2003; and

        3. Budgeted during FFY 2003 for use in supporting community-based and prevention-focused programs and activities designed to strengthen and support families to prevent child abuse and neglect9.

        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 7), 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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      1. Additional Application Requirements

        1. Budget, Including State's 20% Cash Match. Each State application must include a budget for the development, operation and expansion of the community-based and prevention-focused programs and activities 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)). The budget should be presented in a format that clearly displays line item expenditures for both the Federal and non-Federal funds.

          The budget must allocate sufficient funds to provide for at least two representatives from the State to attend an annual 3-5 day Federally initiated CBCAP grantees conference. Attendance at these meetings is a grant requirement.

          Up to 20% of available funds may be budgeted for administrative purposes. This does not apply to such program costs as necessary to provide training, technical assistance, evaluation assistance, evaluation, and coordination for the prevention network.

          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 9 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.

          Note: 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.

        2. Description of the lead agency. This section describes the interdisciplinary, collaborative, public-private structure, including its representation from private and public sector parents and service providers, that will direct and support networks of coordinated child abuse prevention resources and activities to better strengthen and support families, and how the structure will direct the network; (§202(2)(B))

          This section should also include a description of how programs and activities will operate; and how community-based and prevention focused programs and activities provided by public and private, nonprofit organizations, including faith-based programs and those funded by programs under this Act, will be integrated into a developing continuum of family-centered, holistic, preventive services for children and families; (§205(2))

        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, community-based and prevention-focused programs and activities designed to strengthen and support families to prevent child abuse and neglect; (§205(7))

          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 CBCAP funds.

        4. Outreach Activities for Special Populations. Each application must include a description of outreach activities that the lead agency and the community-based and prevention-focused, programs and activities will undertake to maximize the participation of parents, racial and ethnic minorities, children and adults with disabilities, and members of other underserved or underrepresented groups; (§205(8))

          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. States are encouraged to describe any other special populations that they include in their outreach plans to meet local needs.

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

          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. Plans should include a description of how the lead agency will provide assistance to their funded programs on developing evaluation plans which may include quantitative and qualitative methods. Plans should also highlight efforts to foster parent leadership. States are encouraged to identify training and technical assistance efforts that link with the CFSR/PIP and CFSP/APSR processes, as appropriate.

          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, where appropriate, will be evaluated; (§205(10)). This section should describe an overall evaluation plan and approach which includes the peer review process the State will conduct under this program (§207(7)). States are strongly encouraged to develop evaluation plans which incorporate quantitative and qualitative methods.

          States which have allocated a large portion of their CBCAP for network support/ development are strongly advised to develop strategies and methods to evaluate the effectiveness of their network and its activities, as well as their funded programs.

        7. Child Abuse Prevention Month, 2005. Each application must include a description of 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 2005.

        8. Actions to Advocate for 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 community-based and prevention-focused programs and activities designed to strengthen and support families to prevent child abuse and neglect. (§205(11))

          If the lead agency is actively involved in the CFSR/PIP or IV-B planning process, please describe the extent of the involvement and other relevant information. Please also include other actions that involve other statewide public and private interagency systems change efforts.

          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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        1. Certifications

          1. Certification Regarding Lobbying and Disclosure of Lobbying Activities Forms

            Pursuant to 45 CFR Part 93, the Certification Regarding Lobbying Form (see Attachment 9) must be signed and submitted with the State's CBFRS program application. If applicable, a Standard Form LLL, which discloses lobbying activities, also must be submitted.

          2. Other Certifications (Attachment 9)

            The signature on the State's CBCAP Program application by an authorized official attests to the applicant's intent to comply with the following other certification:

            (a) Certification Regarding Environmental Tobacco Smoke

            No additional forms are needed for the certification listed above.

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        1. Submission of Application

          1. An original and one copy to the Office on Child Abuse and Neglect (OCAN)

            The signed original and one copy of the complete application, including all attachments, must be submitted to the CBCAP grant officer at the Office on Child Abuse and Neglect within 60 days from the issuance date (due June 7, 2004).

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

            Community-Based Family Grants for the Prevention of Child Abuse and Neglect Program
            Office on Child Abuse and Neglect
            Attention: Melissa Lim Brodowski
            330 C Street, S.W.
            Switzer Building, Room 2417
            Washington, D.C. 20447
            Phone: 202-205-2629

          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 10.

            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 CBCAP 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.



          6 It 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 All applicants must have a Duns & 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 Duns and Bradstreet Data Universal Numbering System (DUNS) number when applying for Federal grants 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 (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 at 1-866-705-5711 or you may request a number online at www.dnb.com 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 6 and 7. back
          9 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 CBCAP lead agency submitting the application, and were used to provide the types of services and activities for which the current CBCAP Federal funds may be used, as specified by the legislation and described under the Use of Funds section of this Program Instruction. back

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Last Updated: April 17, 2007