DCL-99-84, Request for Applications

DCL-99-84

TO ALL STATE IV-D DIRECTORS

RE: Request for Applications

Dear Colleague:

The Office of Child Support Enforcement (OCSE) is pleased to announce a request for applications from State Child Support Enforcement Agencies for the funding of demonstration projects as authorized under Title IV-D and Section 1115 of the Social Security Act.

SUMMARY: OCSE announces the availability of Fiscal Year 1999 funding for demonstration activities intended to add to the knowledge, and to promote the objectives, of the Child Support Enforcement Program under Title IV-D. This announcement contains the FY 1999 priority area for funding together with the forms and instructions for submitting an application.

DATES: The closing date for submission of applications is 30 days from the date of this announcement or September 7, 1999. Applications must be received by 4:30 p.m. on the closing date. Applications received after this date will be late and classified as ineligible.

FOR FURTHER INFORMATION CONTACT: In the OCSE Division of Policy and Planning, Tom Killmurray at (202) 401-4677 or tkillmurray@acf.hhs.gov is available to answer questions regarding the application requirements and/or to refer you to an appropriate OCSE contact.

INTENT TO APPLY: If you are going to submit an application, call or email Mr. Killmurray with the following information: Name of State agency, the name, address, and telephone number of the contact person; and the program area in which you plan to submit an application. Please provide this information within one week of the receipt of this announcement. Mail-in information should be sent to:

Office of Child Support Enforcement, Administration for Children and Families,
370 L'Enfant Promenade, SW, 4th Fl.
Washington, D.C. 20447
Attn: Tom Killmurray

This information will be used to determine the number of expert reviewers needed.

SUPPLEMENTARY INFORMATION: This program announcement consists of three parts. Part I provides information on the Office of Child Support Enforcement and general information on the OCSE research agenda. Part II describes the review process, additional requirements for the grant applications, the criteria for the review and evaluation of applications, and the programmatic priorities for which applications are being solicited. Part III provides information and instructions for the development and submission of applications. The forms to be used for submitting an application follow Part III. No additional application forms are needed to submit an application.

Applicants should note that grants to be awarded under this program announcement are subject to the availability of funds.

OUTLINE OF ANNOUNCEMENT:

Part I: 9General Information

Part II: 9Review Process and Priority Area

A.9Eligible Applicants

B.9Review Process and Funding Decisions

C.9Evaluation Criteria

D.9Notice of Possible Cross-site Evaluation9

E.9Structure of Priority Area Description

F.9Available Funds

G.9Priority Area Description and Requirements

Part III: Information and Instructions for the Development and Submission of Applications

A. Availability of Forms

B. Assurances/Certifications

a. Preparation of Application

b. Submission of Application

PART I - General Information

The mission of the Child Support Enforcement (CSE) Program is to ensure that children receive financial and emotional support from both parents. The program locates non-custodial parents, establishes legal paternity, and establishes and enforces child support orders. The Office of Child Support Enforcement (OCSE) administers the program under Title IV-D of the Social Security Act in cooperation with the State and local agencies. OCSE provides direction, guidance, technical assistance and oversight to the States. The Federal government shares substantially in the State agencies' administrative costs for the operation of their programs.

Section 1115 of the Social Security Act authorizes States to conduct experimental, pilot or demonstration projects which are likely to assist in promoting the objectives of Title IV-D of the Act. These projects must be designed to improve the financial well-being of children or otherwise improve the operation of the child support enforcement program, but must not disadvantage children in need of support or increase Federal TANF program costs. Project costs may be regarded as State plan expenditures.

The Office of Child Support Enforcement has not created a research, demonstration and evaluation agenda for this program announcement as has been the case with previous program announcements. OCSE is inviting State child support enforcement programs to generate proposals based on their own research agendas, needs and capabilities. The priority area, under Part II of this announcement, will offer examples for possible project proposals. These examples are meant as helpful suggestions and do not indicate any requirement or preference in screening, ranking or award of the proposals.

PART II The Review Process and Priority Area

Eligible Applicants

Eligible applicants for grant awards under this announcement are the State Child Support Enforcement Agencies, or Title IV-D Agencies. Applications developed in conjunction with other agencies or organizations (e.g., county child support programs or other units of local government, tribal governments, non-profits) must identify the Title IV-D agency as the official applicant. This means that the appropriate state government official must sign the application and if successful, the state IV-D agency would be the recipient of grant funds. Participating agencies and organizations can be included as co-participants but any awarded funds would go through the state title IV-D agency.
Review Process and Funding Decision

Before applications are reviewed, each application is screened to determine whether the applicant organization is eligible, i.e., a State Title IV-D agency. Applications from ineligible organizations will not be reviewed in the competition, and the applicant will be so informed. Applications that omit essential components of the application or fail to comply with format specifications described in Part III will have their application withdrawn from further consideration.

Applicants must state specifically the nature of the project in the project title. For example, a proposal seeking funds for a paternity establishment project should use the words "paternity establishment" in the project title. Depending on the total number of applications received, applications may be sorted into broad subject areas to facilitate panel reviews.

Timely applications from eligible applicants will be reviewed and scored competitively. Experts in the field, both Federal staff and persons outside the Federal government, will use the appropriate evaluation criteria listed later in this section to review and score the applications. A panel of at least three reviewers will review the applications. The results of this review are a primary factor in funding decisions.

OCSE reserves the option to discuss applications with, or refer them to, other Federal or non-Federal funding sources when this is in the best interest of the Federal government or the applicants. OCSE may also solicit comments from ACF Regional Office staff, other Federal agencies, interested foundations, national organizations, specialists, experts, States and the general public. These comments, along with those of the expert reviewers, will be considered by OCSE in making funding decisions.
C. Evaluation Criteria

To facilitate the review of applications, applicants should address each requirement in the priority area description under the appropriate section of the Program Narrative Statement. The reviewers will determine the strengths and weaknesses of each application using the evaluation criteria listed below, provide verbal and written comments, and assign numerical scores to each application. The point value following each criterion heading is the maximum score for that criterion. All applications will be evaluated against the following criteria:
1. Objectives and Need for Assistance (20 points). The application pinpoints the problem or issue requiring a solution and demonstrates the need for the assistance; states the principal and subordinate objectives of the project; provides supporting documentation or other testimonies from concerned interests other than the applicant; identifies other successful demonstration projects that may have implications for the proposed demonstration (which may include a review of the relevant literature); identifies the conceptual or theoretical framework for this model; and describes whether the proposed project replicates or modifies previously evaluated model(s) addressing the identified need.
2. Approach (35 points). The application outlines a sound and workable plan of action and time-line and details how the proposed work will be accomplished; describes the approach in detail and points out its unique features; cites factors which might accelerate or delay this approach, giving acceptable reasons for taking this approach as opposed to others; describes and supports any unusual features of the project, such as extraordinary social and community involvement; includes an adequate staffing plan, that lists key and support staff, consultants, any agency, organization, other key group, and/or advisory panels involved or proposed; and describes the responsibilities, activities, and/or training plans for each (if applicable). The application proposes reasonable project costs and allocates sufficient funds appropriately across activities to accomplish the objectives.
  
  The application, when appropriate, identifies the kinds of data to be collected and maintained, describes procedures for informed consent of participants, where applicable, and discusses the criteria to be used to evaluate the results of the project. The application describes the evaluation methodology to be used to determine if the process proposed was implemented, if the needs identified were addressed, and if the benefits expected were achieved. Random assignment evaluations are the preferred method of evaluation. Applicants not proposing to use this methodology should explain why it is not feasible or appropriate to evaluate the demonstration using this approach.
  
  Sound evaluations to determine whether or not project purposes have been realized are of importance to child support enforcement policy makers. Accordingly, careful attention should be paid to the evaluation component of the project application and funding for evaluation should also be estimated with this in mind. Funds allocated for evaluations should represent a meaningful share of the overall budget proposal. In order to demonstrate "meaningful share" the applicant should include an estimate that shows clearly the scope and level of effort of the proposed evaluation activity. A meaningful evaluation will show adequate budget allocations for such activities as local site data collection training and activities, sampling if appropriate, random assignment to experimental and control groups if appropriate, and third party consultation on analysis and other aspects of evaluation.
3. Results or Benefits expected (20 points). The application identifies the results and benefits to be derived, the extent to which they are consistent with the goals and objectives, and their contributions to policy and practice, and the extent to which the proposed project costs are reasonable in view of the expected results.
4. Staff Background and Organization experience (25 points). The application identifies the educational and professional background of the project director and key project staff and the experience of the organization to demonstrate the applicant's ability to administer and implement the project effectively and efficiently.
The application describes the relationships between the proposed project and other federally assisted work planned, anticipated or underway by the applicant. If the project proposed is collaboration, the application must describe the nature and extent of the collaboration, including the responsibilities of the respective agencies or organizations in carrying out the activities identified in the work-plan.
Notice of Possible Cross-site Evaluation

While local evaluation of individual projects is a valued requirement for these projects, there is also an expectation that individual projects may be asked to gather and compile data in a manner that facilitates cross-site evaluation. It is anticipated that cross-site evaluations for some projects may be undertaken in this and subsequent years, using funds in addition to those referenced in this announcement. Applicants must agree to become part of, and fully cooperate with, cross-site evaluators, should OCSE undertake such evaluation. Grantees should be prepared to meet with other grantees, Federal officials, and the evaluator, as appropriate.
Structure of Priority Area Description

The priority area description is composed of the following sections:
1. Purpose:
  
  This section presents the basic focus and/or broad goals of the priority area.
2. Background and Information:
  
  This section briefly discusses the legislative background and the current state-of-the-art and/or current state-of-practice supporting the need for the particular priority area activity. Relevant information on projects previously funded by OCSE and/or others, and any State models are noted.
3. Design Elements in the Application:
  
  This section presents the minimum requirements that must be addressed in response to the evaluation criteria. These requirements relate to the objectives of the demonstrations and need for assistance, approach, results or benefits expected, and staff background and organizational experience. Reviewers will use the details expected under these headings in response to each priority area to evaluate the applications.
4. Project Duration:
  
  This section specifies the maximum allowable project period; it refers to the amount of time for which Federal funding is available.
5. Project Budget:
  
  This section specifies the amount of total funding available, the level of Section 1115 funds available within the total budget, the estimated number of projects to be awarded, and the funding or range of funding for each project.
Available Funds

OCSE intends to award new grants resulting from this announcement during the fourth quarter of Fiscal Year 1999 (i.e., by September 30, 1999), subject to the availability of funds. If circumstances warrant, OCSE reserves the right to hold an application and fund it at a later date in Fiscal Year 2000. The size of the actual awards may vary.

The priority area description specifies the anticipated budget amounts to be available, including the total amount of Section 1115 funds, and the anticipated number of projects to be funded. The Section 1115 funds awarded to each project will represent 29 percent of the total project costs. For the purposes of the demonstration project, these funds are used to supplant nearly all of the State share, thus serving as State expenditures which can be reimbursed by the regular Federal match of 66 percent of expenditures for State IV-D administrative activities. Explained another way, for the purposes of the demonstration project, the effective Federal Financial Participation rate becomes 95%. Grantees must provide at least 5 percent of the total approved cost of the project. The total approved cost of the project is the sum of the ACF grant award, regular FFP and the State share. Cash or actual expenditures are required to meet the state share. In-kind contributions will not meet the non-Federal share. Applicants must prepare a formal budget on forms included in the Appendix to this announcement. The proposed State 5 percent matching must be identified on the budget forms.

An example of the project budget using one possible grant award available under this announcement follows:

Example Project Budget

Source Amount % of Project Budget

Sec. 1115 Grant Award $80,000 29%

Regular FFP $182,069 66%

State Share $13,793 5%

Total Project Budget $275,862 100%

Applicants should understand that funds awarded under this announcement are not intended to be used for non-allowable IV-D costs such as:
- significant (and costly, relative to the overall size of the project) enhancements to automated support enforcement information management systems;
- significant physical space renovations (e.g., costs incident to physical co-location of large numbers of staff from two or more agencies); or
- costs (e.g., substance abuse treatment) normally borne by other funding sources, e.g., Medicaid or public health programs.
Proposals and their accompanying budgets will be reviewed from this perspective.
Priority Area Description and Requirements

Note: Grant applications may propose projects that are implemented on a less than statewide basis.

PRIORITY AREA:

Projects which further the National Child Support Mission, Vision and Goals as Outlined in the National Strategic Plan
1. Purpose
  
  To design and test new models for operating a child support program which further the accomplishment of national goals, i.e., all children have parentage established; all children in IV-D cases have financial and medical support orders; and all children in IV-D cases receive financial and medical support.
2. Background and information
  
  OCSE is looking for projects that will test new interventions and approaches to increasing paternities, support orders and collections. OCSE encourages collaborations with units of local government, tribal governments and other entities such as non-profit organizations as long as the State is the official grantee. This announcement is meant to solicit state-generated proposals and ideas for research and demonstration projects rather than previous Sec. 1115 announcements which solicited applications based on OCSE priority areas which were more specific. The strategic plan can be obtained on OCSE’s website at /programs/cse or by contacting Mr. Killmurray at 202-401-4677.
3. Design Elements in the Application
  
  Applicants would propose new ways of doing business, within Federal law and regulations, and put them into effect. Applicants should note that any proposed waivers of Federal IV-D requirements should be incorporated into the application. Applicants are encouraged to apply innovative thinking or thinking "outside the box" in approaching how to apply and test new interventions. Applicants should not propose using the grant award to simply augment IV-D staff or computer resources that state or local decision makers have been unwilling to fund.
  
  Applicants shall enclose letters of commitment from any entity outside the State IV-D agency (e.g., hospitals, county attorneys) whose cooperation will be needed in the project.
4. Project duration
  
  The length of the project must not exceed 17 months.
5. Project Budget
  
  Five (5) grants at $80,000 each for a total of $400,000 in Federal funds. (Under the matching formula each total project budget would be $275,862.)

Example Project Budget
Source	Amount	% of Project Budget
Sec. 1115 Grant Award	$80,000	29%
Regular FFP	$182,069	66%
State Share	$13,793	5%
Total Project Budget	$275,862	100%

PART III - INFORMATION AND INSTRUCTIONS FOR THE DEVELOPMENT AND SUBMISSION OF APPLICATIONS

This part contains information and instructions for submitting applications in response to this announcement. Application forms are provided along with a checklist for assembling an application package. Please copy and use these forms in submitting an application.

Potential applicants should read this section carefully in conjunction with the information in Part II.

Availability of Forms
Eligible applicants interested in applying for funds must submit a complete application using the required forms in the Appendix to this announcement. In order to be considered for a grant under this announcement, an application must be submitted on the Standard Form 424. Each application must be signed by an individual authorized to act for the applicant and to assume responsibility for the obligations imposed by the terms and conditions of the grant award.
Assurances/Certifications
- Applicants requesting financial assistance for a non-construction project 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 concerning lobbying. Prior to receiving an award in excess of $100,000, applicants shall furnish an executed copy of the lobbying certification. Applicants must sign and return the certification with their applications.
- Applicants must make the appropriate certification of their compliance with the Drug-free Workplace Act of 1988. By signing and submitting the application, applicants thereby provide the certification and need not mail back the certification with the application.
- Applicants must make the appropriate certification that they are not presently debarred, suspended or otherwise ineligible for a Federal grant award. By signing and submitting the application, applicants thereby provide the certification and need not mail back the certification with the application.
- Applicants will be held accountable for the smoking prohibition in P.L. 103-227, Part C Environmental Tobacco Smoke (also known as the Pro-Children's Act of 1994). By signing and submitting the application, applicants thereby provide the certification and need not mail back the certification with the application.
Preparation of Application

The Paperwork Reduction Act of 1995 (Pub. L. 104-13)

Public reporting burden for this collection of information is estimated to average 6 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 10/31/2000.

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.

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. Applicants are encouraged to provide information on their organizational structure, staff, related experience, and other information considered to be relevant. Awarding offices use this and other information to determine whether the applicant has the capability and resources necessary to carry out the proposed project. It is important, therefore, that this information be included in the application. However, in the narrative the applicant must distinguish between resources directly related to the proposed project from those that will not be used in support of the specific project for which funds are requested.

Introduction

Applicants required to submit a full project description shall prepare the project description statement in accordance with the following instructions.

Project Summary Abstract

Provide a summary of the project description (a page or less) with reference to the funding request.

Evaluation of Project

Provide a narrative addressing how the results of the project and the conduct of the project will be evaluated. In addressing the evaluation of results, state how you will determine the extent to which the project has achieved its stated objectives and the extent to which the accomplishment of objectives can be attributed to the project. Discuss the criteria to be used to evaluate results, and explain the methodology that will be used to determine if the needs identified and discussed are being met and if the project results and benefits are being achieved. With respect to the conduct of the project, define the procedures to be employed to determine whether the project is being conducted in a manner consistent with the work plan presented and discuss the impact of the project's various activities on the project's effectiveness.

Additional Information

Following is a description of additional information that should be placed in the appendix to the application.

Staff and Position Data

Provide a biographical sketch for each key person appointed and a job description for each vacant key position. A biographical sketch will also be required for new key staff as appointed.

Budget and Budget Justification

Provide 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. The detailed budget must 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.

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.

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.

Contractual

Description: Costs of all contracts for services and goods except for those which belong under other categories such as equipment, supplies, construction, etc. 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, should be included under this category.

Justification: All procurement transactions shall be conducted in a manner to provide, to the maximum extent practical, open and free competition. If procurement competitions were held or if procurement without competition is being proposed, attach a list of proposed contractors, indicating the names of the organizations, the purposes of the contracts, the estimated dollar amounts, and the award selection process. Justify any anticipated procurement action that is expected to be awarded without competition and exceed the simplified acquisition threshold fixed at 41 USC 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.
1. Forms Required
  
  The Appendix contains all of the standard forms required for making applications for awards under this announcement.
2. Contents of the Application
  
  Each application should include one (1) signed original and two (2) additional copies of the following:
  - Completed "Application for Federal Assistance" (SF-424) which has been signed by an official of the State agency applying for the grant who has authority to obligate the organization legally.
  - "Budget Information -- Non-Construction Programs" (SF-424A).
  - A signed "Assurances--Non-Construction Programs" (SF-424B).
  - A signed "Certification and Lobbying Disclosure Form"
  - A signed "Certification Regarding Maintenance of Effort"
  - "Program Narrative" follow the guidance herein in conjunction with the Announcement sections, "Scope of Work," "Project Description" and "Review Criteria".
3. Instructions for Completing the SF-424
  
  The instructions for completing the Standard Form SF-424, "Application for Federal Assistance" accompany the form and are self-explanatory with the following clarifications:
  - Item 1. Under "Application" column, check "Non-Construction."
  - Item 3. N/A since applicant is a State agency.
  - "Identifier" numbers (3) leave blank
  - Item 10. The Catalog of Federal Domestic Assistance number for the program covered under this announcement is: 93.563
  - Item 13. Enter a "Start Date" of 10/1/99 and an "Ending Date" of 09/30/00 for a 12 month project or 02/28/01 for a 17 month project.
  - Item 16. Check Box "b"; program is not covered by E.O. 12372.
  - Instructions for Completing the SF-424A
  - The instructions for completing Standard Form SF-424A, "Budget Information - Non-Construction Programs" accompany the form.
4. Certifications
  
  Applicants should include only the following:
  - "Assurances - Non-Construction Programs" signed by the authorized official.
  - "Certification Regarding Lobbying" signed by the authorized official.
  - "Certification Regarding Maintenance of Effort" signed by the authorized official.
5. The Application Package
  
  Each application package must include an original and two copies of the completed application. Each copy should be fastened securely (binder clips preferred over staples and rubber bands) in the upper left hand corner. All pages of the narrative (including charts, tables, maps, exhibits, etc.) must be sequentially numbered, beginning with page one. In order to facilitate handling, please do not use covers, binders or tabs. Do not include extraneous materials as attachments, such as agency promotion brochures, slides, tapes, minutes of meetings, etc.
Submission of Application

Prior to mailing the submission, applicants should check to be certain that the application package includes all required materials. Use of the "Application Checklist" in the Appendix will facilitate a careful review to ascertain that the application package is complete and ready for submission. Also, following the "Suggested Ordering of Application Materials" is highly recommended. The signed original and two (2) copies of the complete application package should be mailed or handcarried to DHHS.

Mail applications to:

Administration for Children and Families,

Office of Child Support Enforcement,

Office of Grants Management

370 L'Enfant Promenade, S.W., 4^th Floor West,

Washington, D.C. 20447

ATTN: Research and Demonstration

Program Announcement DCL-99-84

Deadline

The closing date for the submission of applications is 30 days from the date of this announcement or September 7, 1999. Applications received after the closing date will be classified as late and will not be considered in the current competition. Mailed applications shall be considered as meeting the announced deadline if either they are received at the above address by the closing date. Applicants are cautioned to mail their applications a minimum of 3 days before the closing date or use overnight delivery timed to arrive by 4:30 p.m. on the closing date. Private metered postmarks shall not be accepted as proof of timely mailing.

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.

Extension of Deadlines

ACF may extend the deadline for all applicants because of acts of God such as floods, hurricanes, etc., or when there is a widespread disruption of the mails. A determination to waive or extend deadline requirements rests with the ACF Chief Grants Management Officer.

Hand-delivered Applications

Applications handcarried by applicants, applicant couriers, or by overnight/express mail couriers shall be considered as meeting an announced deadline if they arrive on or before the deadline date, between the hours of 8:00 a.m. and 4:30 p.m., at the U.S. Department of Health and Human Services, Administration for Children and Families, Office of Child Support Enforcement, Office of Grants Management, ACF Mailroom, 2nd Floor Loading Dock, Aerospace Center, 901 D Street, S.W., Washington, D.C. 20024, between Monday and Friday (excluding weekends and Federal holidays).

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.)

ACF cannot accommodate transmission of applications by FAX or through other electronic media. Therefore, applications transmitted to ACF electronically will not be accepted regardless of date or time of submission and time of receipt.

David Gray Ross
Commissioner
Office of Child Support Enforcement

Appendix : ACF Grant Application Forms

cc: Regional Office CSE Program Managers