Commuunity-Based Child Abuse Prevention Program-Application

OMB Control No: 0970-0155
Expiration Date: 8/31/2018

ACF
Administration

U.S. DEPARTMENT OF HEALTH AND HUMAN
SERVICES
Administration on Children, Youth and Families
1. Log No: ACYF-CB-PI-17-06

2. Issuance Date: April 25, 2017

for Children

3. Originating Office: Children’s Bureau

and Families

4. Key Words:
Community-Based Grants for the Prevention of Child Abuse and
Neglect or Community-Based Child Abuse Prevention
PROGRAM INSTRUCTION

TO:

Offices of the Governors; Community-Based Child Abuse Prevention
(CBCAP) Program Grantees; State Agencies Administering or Supervising
the Administration of Titles IV-B and IV-E of the Social Security Act

SUBJECT:

Availability of Federal Fiscal Year (FFY) 2017 funds under the
Community-Based Grants for the Prevention of Child Abuse and Neglect
program created by Title II of the Child Abuse Prevention and Treatment
Act (CAPTA) as amended by Public Law (P.L.) 111-320.

REFERENCES:

The CAPTA Reauthorization Act of 2010; Title II of the CAPTA (42
U.S.C. 5116 et seq.), as amended by P.L. 111-320, enacted on December
20, 2010.

PURPOSES:

The purpose of this Program Instruction (PI) is to: (1) set forth the
requirements for recipients of Community-Based Grants for the Prevention
of Child Abuse and Neglect awards for FFY 2017; and (2) provide
guidance and instructions for the preparation and submission of the
application.

Table of Contents
PART I: INTRODUCTION ...................................................................................................................... 3
A. LEGISLATIVE BACKGROUND .................................................................................................... 5
B. USE OF FUNDS ............................................................................................................................... 5
C. AVAILABILITY AND DISTRIBUTION OF FUNDS ................................................................... 6
D. COORDINATION AND COLLABORATION WITH RELATED PREVENTION EFFORTS ..... 8
E. COORDINATION WITH THE TITLE IV-B CHILD AND FAMILY SERVICES PLANS .......... 9
F. DEFINITIONS .................................................................................................................................. 9
PART II: ELIGIBILITY REQUIREMENTS ...................................................................................... 10
A. STATE ELIGIBILITY .................................................................................................................... 10
B. LEAD AGENCY ELIGIBILITY .................................................................................................... 10
PART III: APPLICATION AND ANNUAL PROGRAM REPORT INSTRUCTIONS .................. 11
A. PREPARATION AND FORMAT OF APPLICATION................................................................. 11
B. SUBMISSION LETTER................................................................................................................. 12
C. LEAD AGENCY IDENTIFYING INFORMATION ..................................................................... 13
D. GOVERNOR DOCUMENTATION AND ASSURANCES .......................................................... 13
E. LEAD AGENCY ASSURANCES ................................................................................................. 15
F. DOCUMENTATION OF LEVERAGED FUNDS FOR FEDERAL MATCHING FUNDS ........ 15
G. ADDITIONAL APPLICATION REQUIREMENTS ..................................................................... 16
H. ANNUAL PROGRAM REPORT REQUIREMENTS ................................................................... 21
I. CERTIFICATIONS ........................................................................................................................ 23
J. SUBMISSION OF APPLICATION AND ANNUAL PROGRAM REPORTS ............................ 23
PART IV: ADDITIONAL INFORMATION ........................................................................................ 23
A. CLOSING DATE FOR RECEIPT OF APPLICATIONS .............................................................. 23
B. GRANT ADMINISTRATION REGULATIONS .......................................................................... 23
C. EXPENDITURE OF FUNDS ......................................................................................................... 24
D. REPORTING REQUIREMENTS .................................................................................................. 24
E. INTERGOVERNMENTAL REVIEW OF FEDERAL PROGRAMS ........................................... 25
F. PAPERWORK REDUCTION ACT ............................................................................................... 25
G. ADDRESS INQUIRIES TO: .......................................................................................................... 26
H. EFFECTIVE DATE ........................................................................................................................ 26
PART V: ATTACHMENTS ................................................................................................................... 27

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PART I: INTRODUCTION
The Child Abuse Prevention and Treatment Act (CAPTA) legislation has a rich history,
beginning with the Child Abuse Prevention Federal Challenge Grants Act in 1984—the first law
to direct federal funds specifically to assist state efforts in preventing child abuse and neglect.
Amendments to the law in 1992 and 1994 broadened the earlier legislation to include the
provision of community-based child abuse prevention activities and family resource services.
The 1996 amendments provided states with additional incentives to create statewide networks for
ensuring the safety of children in their families and neighborhoods, and to support activities
designed to prevent the occurrence, as well as the reoccurrence, of child maltreatment.
The Community-Based Family Resource and Support (CBFRS) program legislation, Title II of
the CAPTA, reauthorized on June 25, 2003, as part of the Keeping Children and Families Safe
Act 2003, presented a unique opportunity to build upon the strong foundation of the program
developed by the states over the last several years. During the reauthorization, the CBFRS
program was renamed “Community-Based Grants for the Prevention of Child Abuse and
Neglect”. For our administrative convenience, this Title II program is now referred to as the
Community-Based Child Abuse Prevention (CBCAP) program.
The changes in 2003 placed an emphasis on supporting community-based efforts to develop,
operate, expand, enhance, and where appropriate, to network initiatives aimed at the prevention
of child abuse and neglect, and to support networks of coordinated resources and activities to
better strengthen and support families to reduce the likelihood of child abuse and neglect. There
was also a strong emphasis on demonstrating a meaningful commitment to parent leadership,
including parents of children with disabilities, parents with disabilities, racial and ethnic
minorities, and members of other underrepresented or underserved groups. The legislation built
upon many of the core provisions of the CBFRS program, while emphasizing some additional
elements to strengthen and support the health and well-being of families and to build the capacity
of the state lead agencies. The 2003 legislation included provisions requiring that lead agencies
have the capacity to support community-based and prevention-focused programs and activities
that: (1) are based on state and community interagency partnerships; and (2) are implemented
through an interdisciplinary, collaborative public-private structure that includes parents as full
partners. Another prevailing theme of the 2003 legislation was that lead agencies were required
to seek innovative approaches to coordinating funding streams and leveraging additional
resources to augment the federal funds.
The CAPTA Reauthorization Act of 2010; Title II of the Child Abuse Prevention and Treatment
Act (CAPTA) (42 U.S.C. 5116 et seq.), as amended by P.L. 111-320, enacted on December 20,
2010, includes new purposes for CBCAP leads such as developing a continuum of prevention
services for unaccompanied homeless youth; involving parents in the planning, implementation,
planning and improvement of community-based child abuse prevention programs that build on
the strengths of families; and the inclusion of substance abuse treatment services and domestic
violence services as types of prevention services that can be funded under CBCAP. In addition,
the Act amends and adds to the allowable uses of grants, under the local program requirements,
the development of a comprehensive strategy to provide services to parents who are adult former
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victims of domestic violence or child abuse or neglect; providing for core child abuse and
neglect prevention services to now include respite care services; and adds to optional services the
inclusion of domestic violence service programs for children and their non-abusing caregivers.
The legislation continues to recognize that individual child abuse and neglect prevention
programs cannot stand alone—they are part of a larger statewide and national system of care for
families, of which prevention must be a key component.
The Children’s Bureau (CB) supports state efforts to change and reform systems for child
welfare services. CB promotes practice principles believed to support improved outcomes for
children and families. These principles include family-centered social work practice,
community-based services, individualized services that respond to the unique needs of children
and families, and strengthening parental capacity to protect and provide for their children. There
is also a need for comprehensive family assessments and for greater engagement of parents in the
case planning process. Many states and communities lack adequate prevention and communitybased services for families. Since the provision of prevention services and the emphasis on
parent engagement have always been strong components of the CBCAP program, coordination
between the state’s child welfare agency and the CBCAP program can greatly contribute to
overall child welfare system improvement.
In addition, CB is actively involved in a number of federal interagency efforts that are striving to
support state efforts at systems integration and systems change to improve outcomes for families
and communities. Across federal agencies, preventing trauma and mitigating its impact on
healthy development is a priority. CBCAP lead agencies have an opportunity to promote
collaboration and coordination across related efforts at the state and local level.
The CBCAP program has been actively working to improve the evaluation capacity of the states
and to promote and support the use of evidence-based and evidence-informed programs and
practices. The CBCAP conceptual framework provides an overview of the primary purposes of
the legislation; the relationship between the underlying conditions the program seeks to address
and the main activities funded (directly and indirectly); the outputs; and the short-term,
intermediate, and long-term outcomes for the program (See Attachment 1).
A wealth of research has demonstrated that protective factors are fundamental to resilience, and
building them is integral to successful intervention with children, youth, and families. CBCAP
state leads are encouraged to fund programs that provide effective interventions to build skills
and capacities that contribute to the healthy, positive, and productive functioning of children and
youth into adulthood.
The most effective way to meet the challenge of preventing child abuse and neglect is for all
child abuse prevention and treatment programs, public and private, to work together in
partnership with families and other disciplines such as social services, physical health and mental
health, substance abuse treatment services, domestic violence, child care, early childhood,
education, law enforcement, and other relevant groups in the community to achieve their
common goals.

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The CBCAP grantees are in a unique position of leadership as they assume responsibility for
directing, leading, and evaluating the network of public-private partnerships and the continuum
of preventive services for children and families in their states. Children’s safety and well-being
will be best supported when federal, state, and local community agencies and stakeholders
collaborate to better coordinate programs and services, and are responsive to the needs of all
families.
A.

LEGISLATIVE BACKGROUND

The CAPTA Reauthorization Act of 2010 (P.L. 111-320) amended Title II of CAPTA and
reauthorized the Community-Based Child Abuse Prevention (CBCAP) program.
The purposes of the CBCAP program are: (1) to support community-based efforts to develop,
operate, expand, enhance, and coordinate initiatives, programs, and activities to prevent child
abuse and neglect and to support the coordination of resources and activities to better strengthen
and support families to reduce the likelihood of child abuse and neglect; and (2) to foster
understanding, appreciation, and knowledge of diverse populations in order to effectively
prevent and treat child abuse and neglect.
A Web link to Title II of CAPTA, as amended by P.L. 111-320, is included in Attachment 2.
B.

USE OF FUNDS

Section 201(b) of the Act provides that funds made available to states under the CBCAP
program must be used for the following purposes:
1.

developing, operating, expanding, and enhancing community-based, and prevention
focused programs and activities designed to strengthen and support families to prevent
child abuse and neglect that are accessible, effective, and culturally appropriate, and
build upon existing strengths that:
(a) offer assistance to families;
(b) provide early, comprehensive support for parents;
(c) promote the development of parenting skills, especially in young parents and
parents with very young children;
(d) increase family stability;
(e) improve family access to other formal and informal resources and opportunities for
assistance available within communities, including access to such resources and
opportunities for unaccompanied homeless youth;
(f) support the additional needs of families with children with disabilities through
respite care and other services;
(g) demonstrate a commitment to involving parents in the planning and program
implementation of the lead agency and entities carrying out local programs funded
under this Title, including meaningful involvement of parents of children with
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disabilities, parents with disabilities, racial and ethnic minorities, and members of
underrepresented and underserved groups; and
(h) provide referrals to early health and developmental services.
2. fostering the development of a continuum of preventive services for children and
families, including unaccompanied homeless youth, through state and communitybased collaborations and partnerships, both public and private;
3. financing the start-up, maintenance, expansion, or redesign of specific family resource
and support program community-based child abuse and neglect prevention program
services (such as respite care services, child abuse and neglect prevention activities,
disability services, mental health services, substance abuse treatment services, domestic
violence services, housing services, transportation, adult education, home visiting and
other similar services) identified by the inventory and description of current services
required under section 205(a)(3) as an unmet need, and integrated with the network of
community-based family resource and support child abuse and neglect prevention
program to the extent practicable given funding levels and community priorities;
4. maximizing funding through leveraging of funds for the financing, planning,
community mobilization, collaboration, assessment, information and referral, startup,
training and technical assistance, information management and reporting, reporting and
evaluation costs for establishing, operating, or expanding community-based and
prevention-focused programs and activities designed to strengthen and support families
to prevent child abuse and neglect; and
5. financing public information activities that focus on the healthy and positive
development of parents and children and promotion of child abuse and neglect
prevention activities.
In general, these funds should be used to support primary prevention (a.k.a., universal) programs
and strategies which are available to all families, as well as secondary (a.k.a., targeted)
prevention efforts, which target children and families at risk for abuse or neglect.
C.

AVAILABILITY AND DISTRIBUTION OF FUNDS

As of March 2017, the Further Continuing and Security Assistance Appropriations Act of 2017
(P.L. 114-254) made available $39,564,727 for the CBCAP program in FFY 2017 (however final
appropriations have not been made for FFY 2017 and this level may be subject to change).
A certain amount must be set aside for specific legislative purposes, including: (1) one percent
of the total appropriation “to make allotments to Indian Tribes and Tribal organizations and
migrant programs” (section 203(a) of CAPTA); (2) continued funding for a National Center for
CBCAP; and (3) continued funding for program support.

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The remainder of the FFY 2017 CBCAP funds will be distributed to the states and Territories, as
described below:
1. Grants to States:
A state1 is eligible for a grant under the CBCAP program if, in accordance with the
eligibility requirements of section 202, the Governor has designated a lead entity to
administer funds under this program and provided certain assurances. The eligibility
requirements are described in detail in Part II of this PI.
Section 203(b)(1) provides that the funds available for distribution to the states under the
CBCAP program will be allotted as follows:
(a)

Seventy percent (70%) of the funds will be allotted proportionately among the
states based on the number of children under age 18 residing in each state2, “except
that no state shall receive less than $175,000.”
NOTE: Since the increase in the FFY 2005 appropriation, a decision was made to
set the minimum grant for this 70 percent portion to $200,000 so that all states may
benefit from the increase. Future-year minimum grants will depend on the
availability of funds appropriated annually for this program, “except that no state
shall receive less than $175,000.”

(b)

Thirty percent (30%) of the funds will be allotted proportionately among the
states based on the amount of private, state, or other non-federal funds leveraged
and directed through the currently designated lead agency in the preceding fiscal
year (i.e., FFY 2016, 10/1/15 to 9/30/16). If the aggregate of the amounts of
leveraged funds claimed by the states exceeds 30 percent of the amount
appropriated, that part of the grant award will be reduced for each state on a pro rata
basis. The requirements for leveraged funds are discussed in Part III-F.

2. Grants to Territories:
The following Territories are eligible to receive funds under the CBCAP program: the
Virgin Islands, Guam, American Samoa, and the Northern Mariana Islands. These
Territories are eligible to submit either (1) a consolidated grant application in accordance
with 45 CFR Part 97, OR (2) an independent application that meets all of the
requirements set forth in this Program Instruction.
1

In the absence of a definition in Title II, we have interpreted
“STATE” as having the meaning given the term in CAPTA, section 3(7), (i.e.,
“state” means each of the several states, including the District of Columbia,
the Commonwealth of Puerto Rico, the Virgin Islands, Guam, American Samoa, and
the Commonwealth of the Northern Mariana Islands.)
2

The calculation of that portion of a state’s award under paragraph
(A) of the formula will be computed by ACYF, using the most current population
data provided by the Bureau of the Census, Department of Commerce.

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Consolidated Application: If a Territory chooses to submit a consolidated grant
application, it need not submit an application under this PI. An eligible Territory that
applies for a consolidated grant will receive the base amount of $200,000 authorized
under the CBCAP program. These grant funds will be included in the Territory’s
consolidated grant.
Independent Application: If an eligible Territory submits an independent application that
meets the requirements of this PI, the Territory is also eligible to submit a claim for its
leveraged funds in accordance with section 203(b)(1)(b) above, and receive its
proportionate share of those funds, in addition to receiving the base amount of $200,000
for its population. If a Territory’s independent application is approved, the designated
lead agency of the Territory must ensure that the CBCAP grant funds it receives will be
used only for the purposes set forth in Part I of this PI.
D.

COORDINATION AND COLLABORATION WITH RELATED PREVENTION
EFFORTS

The CBCAP program is specifically authorized to foster the development of a continuum of
preventive services for children and families through state and community-based collaborations
and public-private partnerships. States have already established a broad range of federal, state,
and locally funded programs to support the prevention of child abuse and neglect and to provide
community-based (and in several states, faith-based) resources to families. It is the responsibility
of the lead agency to use the funds awarded under this authority to support programs and
activities designed to strengthen and support families for the prevention of child abuse and
neglect. Funds can also be used to provide leadership for coordination of resources that will
integrate existing services to address unmet needs that have been identified in the state. There are
a range of programs that CBCAP may want to coordinate and integrate as part of their prevention
system.
Given the limited funding available for prevention services, lead agencies are strongly
encouraged to find ways to partner with other public and private organizations serving the same
populations and sharing the same goals and objectives. States are encouraged to build upon
existing interagency collaborative efforts with similar goals as CBCAP. A strategic plan for the
development of a network of prevention and family support programs should include existing
child welfare, early childhood, child care, education, vocational rehabilitation, disability,
physical health, mental health, substance abuse treatment services, job readiness, selfsufficiency, child and family development, community action, juvenile justice, domestic violence
prevention, youth development, housing, faith- and community-based programs, healthy
marriage, fatherhood, and other health and human service organizations within the state. Please
see Attachment 4 for a listing of program descriptions for potential CBCAP partnerships

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E.

COORDINATION WITH THE TITLE IV-B CHILD AND FAMILY SERVICES
PLANS

Title IV-B, subpart 1, Child Welfare Services and subpart 2, Promoting Safe and Stable Families
(PSSF) of the Social Security Act, provide funds to state child welfare agencies for prevention
services. PSSF, in particular, provides for community-based family support programs, services to
families at risk or in crisis (family preservation programs and time-limited family reunification
services), and adoption promotion and family support services. Funds for these programs are
directed toward state and local child welfare services in order to achieve improved well-being for
vulnerable children and their families, particularly those experiencing or at risk for abuse and
neglect. In addition, states are required to develop a strategic plan with goals and objectives for a
continuum of care in a five-year comprehensive Child and Family Services Plan (CFSP) with
annual updates on their progress. The plans must include:






Current state information on the well-being of children and families, the needs of children
and families, and the nature, scope and adequacy of existing child and family and related
social services;
An extensive consultation process with a wide array of representatives of state, local, and
Tribal governments, and both public and private community-based agencies and
organizations (this may include faith-based organizations), with experience in
administering programs for infants, children, youth, adolescents, and families;
A description of the ongoing service coordination process to improve access and deliver a
range of services to children and families; and
Descriptions of training, technical assistance, evaluation, and quality-assurance activities.

Every year, states need to submit an Annual Progress and Services Report (APSR) to ACF.
CBCAP programs can play a key role in providing input into this process. Since the provision of
prevention services and the emphasis on parent engagement have always been strong
components of the CBCAP program, coordination between the state’s CFSP/APSR process and
the development and operation of the CBCAP program are greatly encouraged. Please see
Attachment 5 for some suggested ways in which CBCAP lead agencies can work with these
planning efforts.
F.

DEFINITIONS

ACF expects that lead agencies will require local service providers to describe their services and
programs according to the definitions outlined in the legislation so that there are common frames
of reference within and across states in the implementation of this program. The following terms
used in this PI have the same meaning given those terms in section 208 of the Act: (1)
“community referral services”; (2) “community-based and prevention-focused programs and
activities designed to prevent child abuse and neglect”; and (3) “respite care services”. See
Attachment 2 for a Web link to the Child Abuse Prevention and Treatment Act, as amended by
the CAPTA Reauthorization Act of 2010.

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The term “community-based and prevention-focused programs and activities to strengthen and
support families to prevent child abuse and neglect” includes family resource programs, family
support programs, voluntary home visiting programs, respite care programs, parenting education,
mutual support programs and other community programs or networks of programs that provide
activities that are designed to prevent child abuse and neglect.

PART II: ELIGIBILITY REQUIREMENTS
A.

STATE ELIGIBILITY
Designation of a Lead Entity:3
Before a state can apply for a FFY 2017 grant under the CBCAP program, the Governor
of the state must designate a lead entity4 to administer the funds for the implementation
of community-based child abuse and neglect prevention programs and activities designed
to strengthen and support families to prevent child abuse and neglect (section 202(1)(A)).
The designation of a lead entity by the Governor should be based on a determination that
the entity is the most appropriate organization to accomplish both the child abuse and
neglect prevention activities and the family strengthening and support goals of the
CBCAP program. That determination should be based on the demonstrated ability of the
entity to: (1) integrate child abuse and neglect prevention services and activities; and (2)
leverage and blend state, federal and private funds at the local level for these activities.

B.

LEAD AGENCY ELIGIBILITY
1. Lead Entity Requirements:
As required by section 202(1)(B), the lead entity must:

3

The term “entity” is used with respect to a Governor’s designation of
a state entity to administer the CBCAP program. Once an entity has been
designated, and for purposes of meeting the application requirements, the term
“agency” (or “lead agency”) will be used in lieu of “entity” or “lead entity”.
4
Section 202(1)(C)&(D) provides that, in determining which entity to
designate, the Governor of the state should “give priority consideration
equally to a trust fund advisory board of the state or to an existing entity
that leverages Federal, state and private funds ...” Section 202(1)(D)
provides that, “in the case of a state that has designated a State trust fund
advisory board to be the lead entity... and in which one or more entities that
leverages federal, state and private funds... exist, the Governor shall
designate the lead entity only after full consideration of the capacity and
expertise of all entities desiring to be designated [as lead agency].”

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(a)
(b)
(c)

Be an existing public, quasi-public, or nonprofit private entity that exists to
strengthen and support families to prevent child abuse and neglect;5
Demonstrate the ability to work with other state and community-based agencies
to provide training and technical assistance; and
Demonstrate the commitment to involving parents who are consumers and who
can provide leadership in the planning, implementation, and evaluation of
programs and policy decisions of the lead agency in achieving the outcomes of
the program.

PART III: APPLICATION AND ANNUAL PROGRAM REPORT
INSTRUCTIONS
The information presented in this section is intended to summarize the submission and review
process for a CBCAP application and annual program report, and to describe the content and
documentation that must be provided. The application 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.
A.

PREPARATION AND FORMAT OF APPLICATION
1. Preparation:
The application must be prepared and submitted by the lead agency designated by the
Governor of the state to administer and oversee the implementation of the programs and
activities provided under this grant.
2. Format:
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:
I.
II.
III.
IV.
V.
VI.
VII.

Submission Letter
Lead Agency Identifying Information
Governor Documentation and Assurances
 Lead Agency Designation Letter
 Governor’s Assurances
Lead Agency Assurances
Leveraged Claim Form
Budget
Description of the Lead Agency’s Leadership Role in State

5

The designated agency is not required to have been established
pursuant to state legislation, executive order, or other written authority of
the state.

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VIII.
IX.
X.
XI.
XII.
XIII.
XIV.
XV.
XVI.
XVII.
XVIII.
XIX.

Prevention Activities
Actions to Advocate for Systemic Change
Collaboration and Coordination
Criteria for Funded Programs
Outreach Activities for Special Populations
Plans for Parent Leadership and Involvement
Plan for Support, Training, Technical Assistance and Evaluation
Assistance
Evaluation Plans
Plan for Child Abuse Prevention Month and Public Awareness
Activities in 2017
Areas for Technical Assistance
Certifications (Lobbying)
Attachments (optional)

Information regarding what should be included in the above sections is described in the
next sections.
2. Accompanying Documents:
The application must be accompanied by the appropriate certifications, assurances, and
other required documentation described throughout this PI.
B.

SUBMISSION LETTER

Each application must be accompanied by a submission letter that is addressed to:
Naomi Goldstein
Acting Commissioner
Administration on Children, Youth and Families
330 C Street SW, Room 4035
Washington, D.C. 20201
The letter should be signed by an appropriate official of the lead agency designated by the
Governor 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
(section 204(1)).

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C.

LEAD AGENCY IDENTIFYING INFORMATION6

Each application must include the following information:
1. The name, mailing address, and email address of the lead agency.
2. The lead agency’s Employer Identification Number (EIN) and DUNS7 number.
3. The name, telephone number and e-mail of the program specialist responsible for the
CBCAP grant program.
4. The name, telephone number and e-mail of the fiscal agent responsible for the
CBCAP grant program.
D.

GOVERNOR DOCUMENTATION AND ASSURANCES

Each application for FFY 2017 funding under the CBCAP program must include the following
documentation by the Governor:
1. The original signed letter from the Governor 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 (sections 202(1)(A)(C) and (D)); and
2. The official signed “Governor’s Assurance Statement”; (sections 202(2) and (3)). A
copy of the Governor Assurance Statement is included as Attachment 6 in this PI.8

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.
7
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 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 1-866-7055711 or you may request a number online at www.dnb.com.
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 (the Governor of the state). These Assurance
Statements are included as Attachments 6 and 7.

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Governor’s Assurances Regarding the Lead Agency:
Section 202(2) and section 202(3) require the Governor to provide assurances that the lead
agency will provide or be responsible for providing:
1. Community-based child abuse and neglect prevention programs and activities
designed to strengthen and support families to prevent child abuse and neglect
composed of local, collaborative, public-private partnerships directed by
interdisciplinary structures with balanced representation from private and public
sector members, parents, adult former victims of child abuse and neglect, and public
and private nonprofit service providers and individuals and organizations experienced
in working in partnership with families with children with disabilities; (section
202(2)(A))
2. Direction to an interdisciplinary, collaborative, public-private structure with balanced
representation from private and public sector members, parents, adult former victims
of child abuse and neglect, public sector and private nonprofit sector service
providers, and parents with disabilities; and (section 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; (section 202(2)(C))
4. A demonstrated commitment to parental participation in the development, operation,
and oversight of the community-based child abuse and neglect prevention programs
and activities designed to strengthen and support families to prevent child abuse and
neglect; (section 202(3)(A))
5. An ability to develop a comprehensive strategy to provide a continuum of preventive,
family-centered, comprehensive services for children and families, especially to
young parents, to parents with young children and to parents who are adult former
victims of domestic violence or child abuse and neglect through public and private
partnerships; (section 202(3)(B))
6. Operational support (both financial and programmatic) and training, technical
assistance and evaluation assistance to community-based child abuse and neglect
prevention programs and activities designed to strengthen and support families to
prevent child abuse and neglect, through innovative, interagency funding and interdisciplinary service delivery mechanisms; (section 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; (section 202(3)(D))
14

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

LEAD AGENCY ASSURANCES

The authorized official of the lead agency designated by the Governor 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 January 30, 2018 (section 204(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 child abuse and neglect prevention programs and activities designed
to strengthen and support families to prevent child abuse and neglect; (section 204(5))
3. The state has the capacity to involve parents who are consumers, including those with
disabilities, family advocates, and adult former victims of child abuse or neglect 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; (section 204(6)) and
4. The applicant agency will provide the Secretary with reports at such time and
containing such information as the Secretary may require and due approximately 120
days after the end of the FFY grant period on January 30th 2018 (section 204(12)).
The assurance statement must be signed by an authorized official of the agency designated by the
Governor 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 PI as Attachment 6.
F.

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 2017 is FFY 2016 (i.e., October 1, 2015 - September 30, 2016).

15

The following documentation of leveraged funds must be provided to receive CBCAP funds
available for distribution under section 203(b)(1)(B), (i.e., 30 percent 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 section 203(b)(1)(B) may include
any funds that were:
(a) Leveraged by the state from private, state, or other non-federal sources during
FFY 2016 (October 1, 2015 - September 30, 2016);
(b) Directed through the CBCAP lead agency for FFY 2015; and
(c) Budgeted and spent during FFY 2016 for use in supporting community-based
child abuse and neglect prevention 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. For purposes of
this application, state and non-federal funds that are being used to meet the
maintenance of effort, match or other cost-sharing requirements for other federal
funding are not eligible to be claimed.
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
8), 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.
G.

ADDITIONAL APPLICATION REQUIREMENTS
1.

Budget, Including State’s 20 Percent 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
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 spent 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.

16

percent of the amount received under this Title (in cash, not in-kind) for activities under
this title; (section 204(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 one representative from
the state to attend an annual 2-5 day federally initiated CBCAP grantees conference.
Attendance at this meeting is a grant requirement.
Up to 20 percent 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, parent leadership 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 percent match. Therefore, for application purposes, the 20 percent 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 percent 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 percent of the final grant award, the lead agency is not
required to submit a post-award budget amendment.
2.

Description of the Lead Agency’s Leadership Role in State Prevention Activities

This section describes the role of the lead agency and how it is leading the child
maltreatment prevention activities in the state. 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
coordinated child abuse prevention resources and activities to better strengthen and
support families (section 204(1)).
This section should also include a description of how programs and activities will operate
including how community-based child abuse and neglect prevention 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; (section 204(2)).
3.

Actions to Advocate for Systemic Change

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
17

improve the delivery of community-based child abuse and neglect prevention programs
and activities designed to strengthen and support families to prevent child abuse and
neglect; (section 204(11)).
States are strongly encouraged to describe their efforts to conduct strategic, long-term,
and outcome focused planning for their CBCAP program that will promote sustainable,
systems change for child maltreatment prevention. This section should describe how the
state is conducting their planning efforts and how it is integrated with other strategic
planning efforts in child welfare, early childhood, or other related systems. If the lead
agency is actively involved in the Program Improvement Plan (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 of the
plans 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.
4.

Collaboration and Coordination

Collaboration and coordination with other child and family systems are critical for
CBCAP lead agencies. In this section, states should describe the extent and nature of their
partnerships and collaborations with other federal, state, local, or private efforts that
intersect with their child maltreatment prevention programs and activities. States are
encouraged to highlight how their work may be anchored and connected to more
established prevention and promotion activities in public health or other human services.
Please see the Introduction section of the CBCAP PI and Attachments 4 and 5 for a list of
potential federal, state and local programs who may be strong partners for child
maltreatment prevention.
5.

Needs Assessment and 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 evidence-informed or evidence-based community-based child
abuse and neglect prevention programs and activities designed to strengthen and support
families to prevent child abuse and neglect; (section 204(7)). This description must
include information on how the current inventory of unmet needs and the current array of
community-based child abuse and neglect prevention programs and activities will be used
to inform the criteria for funding new programs and activities for the upcoming year.
This requirement may be met 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.

18

6.

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, homeless families and those at risk of homelessness, unaccompanied
homeless youth, adult former victims of child abuse and neglect or domestic violence,
and members of other underserved or underrepresented groups; (section 204(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 oftenoverlooked 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.
7.

Plan for Parent Leadership and Family Involvement

Each application must include a description about how the lead agency will implement
activities and training to enhance parent participation and leadership in the upcoming
year. Plans can include a description of how parents are involved in the planning,
implementation and evaluation of funded programs. This section should also describe the
training and technical assistance related to parent leadership and family involvement.
8.

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; (section 204(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. This training may also focus on enhancing cultural
competence across all funded programs and activities. 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 can also include efforts to assist programs with implementing and sustaining
evidence-based or evidence-informed programs and practices. States are encouraged to
identify training and technical assistance efforts that link with the PIP and CFSP/APSR
processes, or early childhood systems integration, as appropriate.

19

9.

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; (section 204(10)).
States are encouraged to include evaluation activities which assess culturally competent
practices and parent leadership across all funded programs and activities. This section
should describe an overall evaluation plan and approach which includes the results of
evaluation, or the outcomes of monitoring, conducted under the state program to
demonstrate the effectiveness of activities conducted under this title in meeting the
purposes or program (section 206(7)). States are strongly encouraged to develop
evaluation plans which incorporate a continuum of evaluation approaches including
quantitative and qualitative data collection methods. This evaluation plan can include a
peer review process.
States must provide information on how they will collect data on the percentage of
CBCAP total funding that supports evidence-based and evidence-informed child abuse
prevention programs and practices, and any other national outcomes for the CBCAP
program, as appropriate.
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.
10. Child Abuse Prevention Month and Public Awareness Activities
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 2018. This section should also describe
other public awareness and education efforts planned during FFY 2018.
11. Areas for Technical Assistance
This section should describe any important contextual factors that may impact the ability
of the lead agency to implement their proposed plans for the upcoming year. This section
can provide information about state budget issues, staffing issues, or other factors that
may impact the work. This section should describe the potential nature of the challenge
or barrier and how the lead agency plans to try and address issues as they arise, or
identify areas where they may need more support or technical assistance. Lead agencies
may also provide information about other potential opportunities that were not described
in the previous sections that will impact CBCAP in the upcoming year.

20

H.

ANNUAL PROGRAM REPORT REQUIREMENTS
General Requirement—Each state’s annual program report (due approximately 120
days after the end of the FFY grant period – January 30, 2018) should: (1) document
activities conducted during the grant award in the previous year; and (2) provide specific
information to demonstrate compliance with the requirements for these funds.
Performance Measures—Section 206 of the Act provides that any State receiving a
grant under the CBCAP program shall, through reports provided to the Secretary, do the
following:
1. Describe the statewide child maltreatment prevention leadership activities conducted
by the lead agency in the past reporting period;
2. Describe the lead agency’s actions to advocate for systemic change during the
reporting period. This should include a description of the following:
a. The lead agency’s involvement in statewide systemic change efforts such as the
PIP, IV-B plans, CFSR, early childhood systems building, and other related
interagency collaboration activities, as appropriate (see Attachment 5);
b. Demonstrate (through information and documentation) the establishment or
maintenance of innovative funding mechanisms, at the state or community level,
that blend federal, state, local and private funds, and innovative, interdisciplinary
service delivery mechanisms for the development, operation, expansion and
enhancement of CBCAP programs;
3. Describe the nature and extent of collaborations and partnerships and its impact on
the CBCAP program in the past reporting period;
4. Describe the status of the state’s prevention service array:
a. Demonstrate how the CBCAP lead agency has assessed the unmet needs in the
state and community;
b. Demonstrate that they have addressed the unmet needs identified by the inventory
and description required by section 204(3) of this legislation (section 206(3));
c. Provide the inventory and description of the services provided to families by local
programs that meet identified community needs, including core and optional
services as described in section 202 of this legislation; (section 204(2)) and the
description shall specify whether those services are supported by research;
d. Demonstrate (through contracts, interagency agreements and other means) the
effective development, operation and expansion of community-based and
prevention-focused programs and activities that meets the requirements of the
CBCAP program (section 206(1)); and
21

e. Include a description of the number of individuals and families served, noting and
including families with children with disabilities, parents with disabilities and the
involvement of a diverse representation of families in the design, operation and
evaluation of community-based child abuse and neglect prevention programs and
activities funded under this legislation; (section 206(4)). The participant numbers
should be included for all individuals who received direct preventative services.
Parents and children with disabilities who received direct preventative services
should be reported as a subset of the total number of individuals served. The
numbers for individuals who received public awareness or public education
activities should be counted separately. States can also choose to report the
number of individuals who received training and technical assistance from the
lead agency as a separate total (See Attachment 3);
5. Include a description of the actual outreach activities for special populations and
cultural competence efforts conducted by the lead agency during the reporting period;
6. Describe the lead agency’s activities and implementation plan to ensure the continued
leadership and involvement of parents in the ongoing planning, implementation, and
evaluation of CBCAP programs (section 206(8));
7. Include a description of the training, technical assistance and evaluation assistance
activities conducted or sponsored by the lead agency during the reporting period;
8. Provide evaluation data on the outcomes of programs and activities funded under this
program, which should include the following:
a. Data reporting requirements and the national outcomes for the CBCAP program,
as appropriate;
 For the efficiency measure, provide data on the percentage of total funding
that supports evidence-based and evidence-informed programs and
practices;
b. A demonstration of the high level of satisfaction among families who have used
the services of the CBCAP program; (section 206(5));
c. A description of the results of evaluation, or the outcomes of monitoring,
conducted under the state program to demonstrate the effectiveness of activities in
meeting the purposes of the program (this may include a peer review process);
(section 206(7)); and
d. Evaluation data, where appropriate and available, on the effectiveness of funded
programs, the lead agency, and the network;
9. Include a description of the Child Abuse Prevention Month and public awareness
activities conducted during the reporting period; and

22

10. Include a description of the important contextual factors (challenges or barriers) that
impacted the ability of the CBCAP lead agency to implement its proposed plans in
the last reporting period.
I.

CERTIFICATIONS
1. Certification Regarding Lobbying and Disclosure of Lobbying Activities Forms
Pursuant to 45 CFR Part 93, the Certification Regarding Lobbying Form (see
Attachment 2 (C)) 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 2 (C))
The signature on the state’s CBCAP Program application by an authorized official
attests to the applicant’s intent to comply with the following certification:
(a)

Certification Regarding Environmental Tobacco Smoke

No additional forms are needed for the certification listed above.
J.

SUBMISSION OF APPLICATION AND ANNUAL PROGRAM REPORTS

The signed original FFY 2017 application and all attachments must be submitted to the Federal
Project Officers by June 19, 2017. FFY 2017 annual progress reports must be submitted by
January 30, 2018. Applications and reports are to be submitted to [email protected] with a
copy to the assigned Regional Office (see Attachment 10).

PART IV: ADDITIONAL INFORMATION
A.

CLOSING DATE FOR RECEIPT OF APPLICATIONS

The closing date for receipt of all applications under Title II of CAPTA for the CommunityBased Grants for the Prevention of Child Abuse and Neglect program is June 19, 2017.
B.

GRANT ADMINISTRATION REGULATIONS

The regulations that apply to the administration of these grants are contained in 45 CFR PART
75—UNIFORM ADMINISTRATIVE REQUIREMENTS, COST PRINCIPLES, AND AUDIT
REQUIREMENTS FOR HHS AWARDS. See Attachment 2 for a Web link to the regulations.

23

C.

EXPENDITURE OF FUNDS

A state must obligate these federal funds no later than three years after the end of the federal
fiscal year in which the funds are allocated. This means that the FFY 2017 funds must be
obligated by September 30, 2019. The Office of Administration (OA), Office of Grants
Management (OGM), in cooperation with ACYF, will review the state’s financial reports. If the
state does not fully obligate or liquidate these funds as set forth in the Terms & Conditions that
will accompany its award, all unobligated and/or unliquidated funds will be subject to being
recouped.
D.

REPORTING REQUIREMENTS

Under the provisions of 45 CFR Part 75 each state receiving a grant under the CBCAP program
must provide both a financial report and a program report. The fiscal reports are due at the end of
each FFY. A grant year runs 12 months from the date of issuance of the award. The project
period for the CBCAP grant is 36 months.
1.

Financial Reports:

Total expenditures under the CBCAP program (including the 20 percent match) are to
be reported by the lead agency, using the Financial Status Report (SF 425). Each
financial report must cover an entire 12-month period. The annual financial status reports
are due no later than 90 days after September 30th of each year. Final Financial Status
Reports are due 90 days after the end of the FFY grant period (i.e., December 31st of
each year).
Beginning with the FFY 2016 grant awards, the HHS payment management system of
separate online reporting will be consolidated into a single reporting system. Starting
with these awards, both the cash transactions (Lines 10 a, b and c) and the expenditures,
obligations and liquidations (Lines 10 d through 10 o) will be reported through the
grantee online accounts with Payment Management System (PMS). This information will
no longer be reported separately using Online Data Collection (OLDC) or
GrantSolutions.gov.
Please note the following important conditions:


This pilot project is effective ONLY for FFY 2016 financial reports. Any remaining
reports still required, or revised, for FFYs 2015, 2014 or earlier must continue to be
submitted through OLDC or GrantSolutions.gov.



SF-425 reports will continue to be due as frequently as is required in the award terms
and conditions. Reports will be due on one of the standard dates by which cash
reporting is required to be submitted to PMS or at the end of a calendar quarter as
determined by ACF (January 30th, April 30th, July 30th, and October 30th). Every
grantee should already have a PMS account to allow access to complete Form SF24

425. If your office needs additional user access, please contact your PMS Liaison
Accountant.


Access to the system is requested by using the Request for OLDC Access form,
available on the OLDC Help/FAQ site at:
https://oldc.grantsolutions.gov/oldcdocs/index.htmll. Each staff person who will play
a role in OLDC needs a request form. Access is controlled by user names, passwords,
and job types as well as user roles. Some personnel reporting CBCAP financial
information may already use or have access to the OLDC system for other grant
programs.

For questions related to fiscal reporting, please contact Matthew McMahon at
[email protected]
2. Annual Program Reports: Please refer to Part III, Section H for the required
elements to include in the report.
E.

INTERGOVERNMENTAL REVIEW OF FEDERAL PROGRAMS
(EXECUTIVE ORDER 12372)

This program has been excluded from the provisions of 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” (52 FR 161).
F.

PAPERWORK REDUCTION ACT

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. Public reporting burden
for this collection of information is estimated to average 40 hours per application response, and
24 hours per Annual Program Report response, including the time for reviewing instructions,
gathering and maintaining the data needed, and reviewing the collection of information.
In accordance with the Paperwork Reduction Act of 1995 (P.L. 104-13), the information
collection requirements in this PI have been approved through August 31, 2018 by the Office of
Management and Budget under OMB Control Number: 0970-0155.
Catalog of Federal Domestic Assistance # 93.590

25

G.

ADDRESS INQUIRIES TO:
Community-Based Child Abuse Prevention Program
Office on Child Abuse and Neglect
Children’s Bureau
Attention: Julie Fliss
330 C Street SW - 3rd Floor (3418 B)
Washington, D.C. 20024
Phone: 202-205-8879
Email: [email protected]

H.

EFFECTIVE DATE
Upon Issuance

/s/
__________________________________
Naomi Goldstein
Administration on Children, Youth and Families

26

PART V: ATTACHMENTS
Attachment 1:

CBCAP Conceptual Framework

Attachment 2:

Links to Various Resource Materials

Attachment 3:

CBCAP Annual Report Participant Numbers Guidelines

Attachment 4:

List of Programs for Potential Coordination and Collaboration
With CBCAP

Attachment 5:

Coordination and Collaboration with the PIP and
CFSP/APSR Processes

Attachment 6:

Governor Assurance Statement

Attachment 7:

State Lead Agency Assurance Statement

Attachment 8:

Leveraged Funds Worksheet

Attachment 9:

Tentative Population Allocation of CBCAP Funds

Attachment 10:

Regional Office Contacts for CBCAP

27

ATTACHMENT 2:
Links to Various Resource Materials
Please visit the websites listed below to download the relevant resource materials for this
Program Instruction:
a) Child Abuse Prevention and Treatment Act, Title II - Community-Based Grants for
the Prevention of Child Abuse and Neglect
http://www.acf.hhs.gov/sites/default/files/cb/capta2010.pdf
b) 45 CFR Part 75: Uniform Administrative Requirements, Cost Principles, and Audit
Requirements for HHS Awards for grants and cooperative agreements to state, local
and tribal governments http://www.ecfr.gov/cgi-bin/text-idx?node=pt45.1.75
c) ACF Fiscal Reporting Forms and HHS Grants Policy Statement Forms include:
Certification Regarding Lobbying, and Disclosure of Lobbying (if applicable)
https://www.acf.hhs.gov/sites/default/files/ocs/certification_regarding_lobbying_.pdf
https://www.acf.hhs.gov/sites/default/files/orr/disclosure_of_lobbying_activities_sf_ll
l.pdf
d) National Center for Community-Based Child Abuse Prevention
http://www.friendsnrc.org

29

ATTACHMENT 3: CBCAP Annual Report Numbers Guidelines
CBCAP Annual Report Participant Numbers Reporting Guidelines
Table
I.

DATA
CHARACTERISTICS
Children, Parents/Caregivers and Families Who Received Preventive Direct Services
From the State During the Year – FFY2017
Community-Based Child Abuse Prevention Program (CBCAP) Grant
SUMMARY DATA DEFINITION

Preventive direct services under CBCAP are beneficial activities aimed at preventing child abuse and neglect. Such
activities may be directed at the general population or specific populations identified as being increased risk of abusing
or neglecting their children. The primary focus of these activities are to better strengthen and support families by
increasing protective factors and reducing the risk factors that can reduce the likelihood of abuse or neglect. The six
primary protective factors to be increased by the preventive direct services include: nurturing and attachment, parental
resilience, knowledge of parenting and of child and youth development, social connections, concrete supports for
parents, and social and emotional competence of children. The primary risk factors that may be addressed include
caregiver problems with mental health, substance abuse, and family and community violence, and other negative
conditions in the child and family’s life situation. Ultimately, the goals of these activities are to increase the strength and
stability of families, to increase parents’ confidence and competence in their parenting abilities, to afford children a stable
and supportive environment and to increase the safety, permanency and well-being of children and families. Such
activities do not include information and referral, one-time public education events, or public awareness campaigns.
INSTRUCTIONS / ERROR CONDITIONS
This is the number of children and number of families who received services aimed at preventing child abuse and
neglect during the year. These services may be directed at specific populations identified as being at increased risk of
becoming abusive or they may provide direct services to the general population. Direct services means that the services
must be provided to an individual or family and the planned duration of the services should be more than a one-time
event. Some examples of preventative direct services include: voluntary home visiting, parenting programs, parent
mutual support, respite care, family resource centers, or other family support programs. If the participant only attends the
direct service for one-time and drops out, they should still be counted in this category since the planned duration was for
more than one-time.
The data should reflect recipients of direct services funded by the CBCAP program. Direct services funded by CBCAP
should reflect the Federal CBCAP funds plus the amount for the state’s required 20% match as reflected in their
application for this year’s funding. (Note: Some states include more than a 20% match in their application). Since a
number of states blend the CBCAP with other federal, state and local funding, these states will need to indicate the total
funding from all other sources, including CBCAP, and indicate the percentage of CBCAP funding that is part of the total.
The data should not include recipients of information and referral services, one-time public education events, and other
public awareness campaigns. The recipients of these activities should be counted separately as part of Public
Awareness Activities (see Table III).
The items in this section request data on recipients of preventive direct services under the CBCAP program. Data on the
number of children, parents and the number of families receiving these services is requested. The three possibilities are
provided since some programs report by "family", “parent/caregiver” and others report by "child". In answering these
questions, to the extent possible, you should NOT duplicate your counts.
This is the number of children, parents/caregivers, and families who received services aimed at preventing child abuse
and neglect during the year funded by a Community-Based Child Abuse Prevention Program (CBCAP) Grant. The total
number should also include the number of adults/children with disabilities who are receiving direct services.
STATE DATA
Can the state provide data for this item? (Y=Yes, N=No) [ ]
Total Number of Children who received preventative direct services:
Total Number of Parents/caregivers who received preventative direct services:
Total Number of Families who received preventative direct services:
STATE COMMENTARY / CONSTRUCTION LOGIC
The state should provide additional information about the numbers being reported above and the primary source of the
data. If multiple funding sources are included in the recipient numbers, please indicate the total funding from all other
sources, including CBCAP, and indicate the percentage of CBCAP funding that is part of that total. If no data is
available, the state should provide an explanation why the data cannot reported.

30

CBCAP Annual Report Participant Numbers Reporting Guidelines
Table
II.

DATA
CHARACTERISTICS
Children, Parents/Caregivers with Disabilities Who Received Preventive Direct Services
From the State During the Year – FFY2017
Community-Based Child Abuse Prevention Program (CBCAP) Grant
SUMMARY DATA DEFINITION

Preventive direct services under CBCAP are beneficial activities aimed at preventing child abuse and neglect. Such
activities may be directed at the general population or specific populations identified as being increased risk of abusing
or neglecting their children. The primary focus of these activities are to better strengthen and support families by
increasing protective factors and reducing the risk factors that can reduce the likelihood of abuse or neglect. The five
primary protective factors to be increased by the preventive direct services include: nurturing and attachment, parental
resilience, knowledge of parenting and of child and youth development, social connections, concrete supports for
parents, and social and emotional competence of children. The primary risk factors that may be addressed include
caregiver problems with mental health, substance abuse, and family and community violence, and other negative
conditions in the child and family’s life situation. Ultimately, the goals of these activities are to increase the strength and
stability of families, to increase parents’ confidence and competence in their parenting abilities, to afford children a
stable and supportive environment and to increase the safety, permanency and well-being of children and families.
Such activities do not include information and referral, one-time public education events, or public awareness
campaigns.
INSTRUCTIONS / ERROR CONDITIONS
This is the number of children and adults/caregivers with disabilities who received services aimed at preventing child
abuse and neglect during the year. These services may be directed at specific populations identified as being at
increased risk of becoming abusive or they may provide direct services to the general population. Direct services
means that the services must be provided to an individual or family and the planned duration of the services should be
more than a one-time event. Some examples of preventative direct services include: voluntary home visiting, parenting
programs, parent mutual support, respite care, family resource centers, or other family support programs. If the
participant only attends the direct service for one-time and drops out, they should still be counted in this category since
the planned duration was for more than one-time.
The data should reflect recipients of direct services funded by the CBCAP program. Direct services funded by CBCAP
should reflect the Federal CBCAP funds plus the amount for the state’s required 20 percent match as reflected in their
application for this year’s funding. (Note: Some states include more than a 20 percent match in their application).
Since a number of States blend the CBCAP with other federal, state and local funding, these states will need to indicate
the total funding from all other sources, including CBCAP, and indicate the percentage of CBCAP funding that is part of
the total.
The data should not include recipients of information and referral services, one-time public education events, and other
public awareness campaigns. The recipients of these activities should be counted separately as part of Public
Awareness Activities (see Table III).
The items in this section request data on recipients (adults/children) of preventive direct services under the CBCAP
program who also have a disability. The definition of a person with disability has the same meaning for a child or adult
with disability under the Individuals with Disabilities Education Act (IDEA) Parts B and C.
Data on the number of children and/or parents with disabilities receiving these services is requested. The numbers for
Table II should be a subset of the total numbers from Table I.
This is the number of children and/or parents/caregivers with disabilities who received direct services aimed at
preventing child abuse and neglect during the year funded by a Community-Based Child Abuse Prevention Program
(CBCAP) Grant.
STATE DATA
Can the state provide data for this item? (Y=Yes, N=No) [ ]
Total Number of Children with disabilities who received preventative direct services:
Total Number of Parents/ caregivers with disabilities who received preventative direct services:
STATE COMMENTARY / CONSTRUCTION LOGIC
The state should provide additional information about the numbers being reported above and the primary source of the
data. If multiple funding sources are included in the recipient numbers, please indicate the total funding from all other
sources, including CBCAP, and indicate the percentage of CBCAP funding that is part of that total. If no data is
available, the state should provide an explanation why the data cannot reported.

31

CBCAP Annual Report Participant Numbers Reporting Guidelines
Table
III.

DATA
CHARACTERISTICS
Individuals Who Received Public Awareness or Public Information Activities
From the State During the Year – FFY2017
Community-Based Child Abuse Prevention Program (CBCAP) Grant
SUMMARY DATA DEFINITION

Public awareness or public education activities under CBCAP are beneficial activities that focus on the healthy and
positive development of parents and the promotion of child abuse and neglect prevention activities. These activities can
include public education and outreach, information and referral regarding community and social services that are
available for families, and public awareness campaigns. Such activities are usually directed at the general population but
may also be targeted for specific populations or communities identified at increased risk of abuse or neglect. The
primary focus of these activities are to better strengthen and support individuals, families, the community and society by
providing information about available family support and prevention resources in the community, increasing the public
understanding of the importance of the prevention of child abuse and neglect and increasing community ownership and
involvement in prevention activities. Over the long term, it is anticipated that these activities contribute to increasing the
safety, permanency and well-being of all children and families.
INSTRUCTIONS / ERROR CONDITIONS
This is the number of individuals received public awareness or public education activities aimed at preventing child
abuse and neglect during the year. These services may be directed to the general population or at specific populations
identified as being at increased risk of abuse or neglect. These activities may be a one-time event or a series of public
education and information sessions. These activities may also include provide information and referral to the community
through the telephone, in-person, or through a mail out or website. Some examples of public awareness, public
education or information and referral activities include: Blue Ribbon or other Child Abuse Prevention Month campaigns,
conducting a public information fair at a local festival, presenting information about child abuse prevention to various
agencies or the general public, television or radio ads, newsletter mailing, parent support hotlines, information and
referral websites, etc.
The data should reflect the individuals who received or were exposed to the public awareness or public education
activities funded by the CBCAP program. Direct services funded by CBCAP should reflect the federal CBCAP funds plus
the amount for the state’s required 20 percent match as reflected in their application for this year’s funding. (Note:
Some states include more than a 20 percent match in their application). Since a number of States blend the CBCAP with
other federal, state and local funding, these states will need to indicate the total funding from all other sources, including
CBCAP, and indicate the percentage of CBCAP funding that is part of the total.
The items in this section request data on recipients of public awareness or public education activities conducted under
the CBCAP program. Data on the number of individuals receiving or exposed to these activities is requested. Since it is
difficult to provide an exact number of individuals who may have received the public awareness or public education
activities, States are advised to provide the most accurate estimate based on the number of participants that reasonably
received these activities. For example, the total can include the number of participants in public education session or
workshop, the number of newsletters mailed out, the number of individuals who called a parent support line, the number
of people exposed to the television or radio ads, etc.
This is the number of individuals who received public awareness and/or public education activities aimed at preventing
child abuse and neglect during the year funded by a Community-Based Child Abuse Prevention Program (CBCAP)
Grant.
STATE DATA
Can the state provide data for this item? (Y=Yes, N=No) [

]

Total number of individuals who received or were exposed to public awareness or public education activities:
STATE COMMENTARY / CONSTRUCTION LOGIC
The state should provide additional information about the numbers being reported above and the primary source of the
data. If multiple funding sources are included in the recipient numbers, please indicate the total funding from all other
sources, including CBCAP, and indicate the percentage of CBCAP funding that is part of that total. If no data is
available, the state should provide an explanation why the data cannot reported.

32

ATTACHMENT 4:
List of Programs for Potential Coordination and Collaboration with CBCAP
Child Care Programs
Child Care programs support low-income working families by providing access to affordable,
high-quality early care and after-school programs. The Office of Child Care (OCC) administers
the Child Care and Development Fund (CCDF). The OCC works with state, territory and tribal
governments to provide support working families struggling to find child care programs that will
fit their needs and that will prepare their children to succeed in school. For more information,
visit http://www.acf.hhs.gov/programs/occ.
Head Start Programs
Head Start is a federal program for infants, toddlers and preschool children from low-income
families. The Head Start program is operated by a variety of faith- and community-based
agencies, including nonprofit organizations and school systems. These programs provide
comprehensive services to meet the educational, emotional, social, health, nutritional and
psychological needs of vulnerable children, including children with disabilities. An essential
component of every Head Start program is the involvement of parents in parent education,
program planning and other administrative and managerial activities. For more information, visit
the Early Childhood Learning and Knowledge Center at http://eclkc.ohs.acf.hhs.gov/hslc.
Early Head Start Programs
Early Head Start (EHS) is a federally funded community-based program for low-income families
with infants and toddlers and for pregnant women. Its mission is 1) to promote healthy prenatal
outcomes for pregnant women; 2) to enhance the development of very young children; and 3) to
promote healthy family functioning. EHS evolved out of Head Start's long history of providing
services to infants and toddlers through Parent Child Centers, Comprehensive Child
Development Centers (CCDCs) and Migrant Head Start programs. For more information, please
visit the Early Head Start National Resource Center at https://eclkc.ohs.acf.hhs.gov/hslc/ttasystem/ehsnrc.
Administration on Intellectual and Developmental Disabilities
The Administration on Intellectual and Developmental Disabilities (AIDD), within the U.S.
Department of Health and Human Services’ Administration for Community Living, is
responsible for planning and carrying out programs which promote the self-sufficiency and
protect the rights of persons with developmental disabilities. The Administration on Intellectual
and Developmental Disabilities (AIDD) is dedicated to ensuring that individuals with
developmental disabilities and their families are able to fully participate in and contribute to all
aspects of community life in the United States and its territories. For more information on this
program, visit their website at http://www.acf.hhs.gov/programs/aidd.
Early Intervention Programs through IDEA Part C
The Program for Infants and Toddlers with Disabilities (Part C of IDEA) is a federal grant
program that assists states in operating a comprehensive statewide program of early intervention
services for infants and toddlers with disabilities, from birth through two years of age, and their
families. For a state to participate in the program it must assure that early intervention will be
33

available to every eligible child and its family. Also, the Governor must designate a lead agency
to receive the grant and administer the program, and appoint an Interagency Coordinating
Council (ICC), including parents of young children with disabilities, to advise and assist the lead
agency. Currently, all states and eligible territories are participating in the Part C program. For
more information, visit the Early Childhood Technical Assistance Center funded by the U.S.
Department of Education Office of Special Education Programs, at http://ectacenter.org/.
Child Support Enforcement Access and Visitation Programs
Funds are provided to enable states to create programs that support and facilitate access and
visitation by non-custodial parents with their children. Activities may include mediation,
counseling, education, development of parenting plans, visitation enforcement, and development
of guidelines for visitation and alternative custody arrangements. For more information, please
visit the ACF Office of Child Support Enforcement at http://www.acf.hhs.gov/programs/cse/.
Temporary Assistance to Needy Families (TANF)
The TANF program assists families with children when the parents or other responsible relatives
cannot provide for the family’s basic needs. The federal government provides grants to states to
run the TANF program. States have broad flexibility to carry out their programs. The states, not
the federal government, decide on the design of the program, the type and amount of assistance
payments, the range of other services to be provided, and the rules for determining who is
eligible for benefits. For more information, visit http://www.acf.hhs.gov/programs/ofa.
Maternal and Child Health Bureau (MCHB)
Title V Program
The specific purpose of the Title V Block Grants to the states is the creation of federal-state
partnerships to develop service systems in our nation’s communities that can meet the critical
challenges facing maternal and child health, including but not limited to the following:
significantly reducing infant mortality; providing comprehensive care for women before, during,
and after pregnancy and childbirth; providing preventive and primary care services for children
and adolescents; providing comprehensive care for children and adolescents with special health
care needs; preventing injury and violence; and putting into community practice national
standards and guidelines (e.g., prenatal care; healthy and safe child care; and health supervision
of infants, children, and adolescents). For more information, visit
http://mchb.hrsa.gov/programs/.
Early Childhood Comprehensive Systems (ECCS) Program
The MCHB launched the State Maternal and Child Health Early Childhood Comprehensive
Systems Initiative (ECCS) to implement the MCHB Strategic Plan for Early Childhood Health.
The purpose of ECCS is to support states and communities in their efforts to build and integrate
early childhood service systems that address the critical components of access to comprehensive
health services and medical homes; social-emotional development and mental health of young
children; early care and education; parenting education and family support. The first ECCS
grants were issued in 2003. Since that time 49 states, the District of Columbia, Guam, the
Republic of Palau and the Commonwealths of Puerto Rico and the Northern Mariana Islands
have participated in ECCS. Almost all of these grantees have now developed a plan for building

34

a comprehensive system for young children. For more information, visit
https://mchb.hrsa.gov/earlychildhoodcomprehensivesystems
Regional Partnerships Grants (RPG)
The Child and Family Services Improvement and Innovation Act (Pub. L. 112-34) includes a
targeted grants program (section 437(f) of the Social Security Act) that directs the Secretary of
Health and Human Services (HHS) to reserve a specified portion for Regional Partnership Grants
(RPGs), which are designed to improve the well-being of children affected by parental substance
use disorders. Since that first round of RPG funding in 2007, federal leaders and policymakers
have intensified their focus on evidence-based and evidence-informed practices in budgeting and
program decisions. Grantees are required to implement evidence-based practices and do more to
attend to children’s behavioral, emotional, and social functioning, one component of which is
addressing the impact of trauma and its effect on the overall functioning of children and youth.
The partnerships will implement varied interventions, such as family drug courts, comprehensive
substance abuse treatment, or in-home parenting and child safety support for families. For more
information, contact Jean Blankenship at [email protected].
Comprehensive Addiction and Recovery Act of 2016 and Infant Plan of Safe Care
The Comprehensive Addiction and Recovery Act of 2016 (P.L. 114-198) (CARA) aims to
address the problem of opioid addiction in the United States. The law deals with various aspects
of substance use disorder, particularly opioid use disorder. Section 503 of CARA (Infant Plan of
Safe Care) aims to help states address the effects of substance abuse disorders on infants,
children, and families. For more information, visit: https://www.acf.hhs.gov/cb/resource/im1605.
Faith-based and community organizations (often referred to as FBOs/CBOs)
These organizations are a vitally important resource in our communities. They demonstrate care
and compassion to those most in need by providing a rich diversity of programs, small and large.
Faith-based and community organizations have unique strengths that government cannot
duplicate. They often operate very close to the daily lives of individuals and families in need and
thus can reach needy individuals and families that government cannot. For more information
about the HHS Center for Faith-Based and Neighborhood Partnerships, visit
http://www.hhs.gov/fbci/.
Social Services Block Grant Program
Social Services Block Grants (SSBGs) assist state and territories to meet the needs of their
residents through locally relevant social services. SSBGs support programs that allow
communities to reduce dependency and promote self-sufficiency. For more information, visit
http://www.acf.hhs.gov/programs/ocs/programs/ssbg.
Child Welfare Waivers
Section 1130 of the Social Security Act authorizes the Secretary of Health and Human Services
to approve child welfare waiver demonstration projects that involve waiving certain
requirements of the federal title IV-E foster care program. The Child Welfare Waiver
Demonstration authority provides title IV-E agencies (i.e., states and tribes directly operating the
title IV-E program) with an opportunity to use federal funds more flexibly in order to test
innovative approaches to child welfare service delivery and financing. Using this option, title IV35

E agencies can design and demonstrate a wide range of approaches to reforming child welfare
and improving outcomes in the areas of safety, permanency, and well-being. The following title
IV-E agencies have been approved to operate child welfare waiver demonstration projects:
Arizona, Arkansas, California, Colorado, Florida, Hawaii, Idaho, Illinois, Indiana, Kentucky,
Maine, Maryland, Massachusetts, Michigan, Nebraska, Nevada, New York, Ohio, Oklahoma,
Oregon, Pennsylvania, Port Gamble S’Klallam Tribe, Rhode Island, Tennessee, Texas, Utah,
Washington, Washington District of Colombia, West Virginia and Wisconsin. Additional
information on the projects can be found at:
https://www.acf.hhs.gov/programs/cb/programs/child-welfare-waivers.
Respite Care
Respite care programs are designed to alleviate social, economic and financial stress among
families of children with disabilities or children who are chronically or terminally ill. They
provide short-term, in-home or out-of-home nonmedical child care. Respite care provides
families or primary caregivers with periods of temporary relief from the pressures of demanding
child care routines and lessens the intensity of severe family stress. Respite care programs
generally provide 24-hour services, access to medical services, referral to counseling and
therapy, staff training including child abuse/neglect reporting responsibilities and public
awareness efforts. Respite services continue to be an important component of a full continuum of
child abuse prevention and family resource services, and are included as services for funding
under the CBCAP program (See sections 205(3)(A) and 208(3)).
Human Trafficking
The Administration on Children, Youth and Families (ACYF), continues to focus efforts at the
intersection of trafficking and child welfare. Specifically, the Children’s Bureau has developed
resources and guidance for states in implementing new mandates under Public Law (P.L.) 113183: the Preventing Sex Trafficking and Strengthening Families Act. Among the mandates
included in this legislation are the following: (1) the addition as a CAPTA state plan requirement
the reporting to law enforcement authorities of instances of sex trafficking; (2) the addition as a
CAPTA state plan requirement the locating of and responding to children who have run away
from foster care; and (3) the inclusion of child sex trafficking data in the Adoption and Foster
Care Analysis and Reporting System (AFCARS). Additionally, the Children’s Bureau provides
guidance on the implementation of P.L. 114-22, the Justice for Victims of Trafficking Act,
which includes mandates for states to include in their CAPTA state plan procedures to identify
and assess all children known or suspected to be victims of trafficking and to train child
protective services workers on identifying, assessing, and providing services to victims of
trafficking and consider any child identified as a victim of sex trafficking as a victim of “child
abuse and neglect” and “sexual abuse.” For additional information on these pieces of legislation,
please visit: https://www.childwelfare.gov/topics/systemwide/trafficking/pir/federal/.
Various Prevention and Family Support Programs
There are a variety of prevention and family support programs existing across the country.
These programs range from national models implemented broadly in states, to unique local
agency programs with a long history of service to their communities. They are funded from
diverse sources and contribute to a network that provides a full continuum of community-based
family resource services.
36

ATTACHMENT 5:
Coordination and Collaboration with the Program Improvement Plan (PIP) and the Child
and Family Services Plan (CFSP)/Annual Progress and Services Report (APSR) Processes
Child and Family Services Plan (CFSP)
States are required to develop a CFSP, a five-year strategic plan that sets forth the vision and the
goals to be accomplished to strengthen the states' overall child welfare system. This CFSP was
due on June 30, 2014 for fiscal years 2015 - 2019. A primary purpose of the CFSP is to facilitate
states’ integration of the programs that serve children and families, including title IV-B, subparts
1 and 2 of the Social Security Act (SSA), and the Chafee Foster Care Independence Program
(CFCIP) and Education and Training Vouchers (ETV) programs (section 477 of the SSA) for
older and/or young adults formerly in foster care, into a continuum of services for children and
their families. The CFSP consolidates plans for these programs to help states comprehensively
integrate the full array of child welfare services, from prevention and protection through
permanency (45 CFR 1357.15(a)). States are required to make these plans available to the public
and many of them are located online. In addition, while states are no longer required to submit a
new plan for the Child Abuse Prevention and Treatment Act (CAPTA) state grant program every
five years, they are required to submit an annual update on their use of CAPTA state grant funds
each year and to submit other updates to the CAPTA plan, as needed. These CAPTA plan
reports and updates are submitted with the CFSP and Annual Progress and Services Reports each
year.
Annual Progress and Services Report (APSR)
Each year on June 30th, states are required to submit an APSR, which provides an annual update
on the progress made toward accomplishing the goals and objectives in the CFSP. In preparing
the APSR, each state must conduct an interim review of the progress made since the last APSR
toward accomplishing the goals and objectives in the CFSP based on updated information and
current data. The next APSR is due June 30th, 2017.
Alignment of CFSP/APSRs with the Child and Family Services Reviews (CFSRs)
The 2015-2019 CFSP was used to align the work conducted under the CFSP with the Child and
Family Services Reviews (CFSRs). The CFSR is the process the Children's Bureau uses to
conduct periodic reviews of state child welfare systems. After a CFSR is completed, states
develop a Program Improvement Plan (PIP) to address areas in their child welfare services that
need improvement. The Children’s Bureau continues to work with states to align the CFSP/
APSR, CFSR and the PIP process, and other program and services to achieve measurable
progress to improve outcomes for children and families.
A core component of the CFSP/APSR and CFSR process is the collaboration and coordination
by the child welfare agency with partners, tribes, courts and other stakeholders. CBCAP SLA’s

37

should be aware of the overall goals and strategies of the child welfare agency and SLA’s may
have similar goals that they are developing for their programs.
Additionally, as states develop their CFSR PIP, other CB SLA’s might be identified to
participate in these program improvements.
The Children’s Bureau Regional Office and Central Office staff can assist grantees in making
connections to improve collaboration and coordination to improve services for children and
families.
In addition, states are now also required to report information on services to specialized
populations. CBCAP grantees may be serving or targeting services to a similar population under
these requirements:


Populations at Greatest Risk of Maltreatment (section 432(a)(10) of the SSA).
The child welfare agency must identify the populations at greatest risk of maltreatment.
Annually, they must also describe the activities the state has undertaken since the
submission of the 2015-2019 CFSP to target services to these populations.



Services for Children Under the Age of Five (section 422(b)(18) of the SSA).
The child welfare agency must describe the activities the state has undertaken to reduce
the length of time that young children under age five are in foster care without a
permanent family. (Note: CB understands this requirement to apply to all children
under age 5 in foster care regardless of the child’s permanency plan, legal status or
placement status.) While CBCAP focuses on prevention, many states have overarching
efforts to provide developmentally appropriate services to all children under the age of
5. CBCAP SLA’s can help states describe the activities undertaken to provide
developmentally appropriate services to this population.



Services for Children Adopted from Other Countries (section 422(b)(11) of the SSA).
The child welfare agency must describe the activities that the state has undertaken to
support the families of children adopted from other countries and includes the provision
post-adoption supports. CBCAP SLA’s may be working with this population.



Parenting Young Adults in or formerly in Foster Care
A significant number of young adults ages 18-22 who were in foster care are pregnant
or parenting. Based on youth outcome survey data reported to the National Youth in
Transition Database (NYTD), 10 percent of young women reported having given birth
to a child by age 17. At age 19, 17 percent of young women reported having had a child
within the prior two years. Many CBCAP SLA’s may be serving this population of
young parents and children youth and these services should be aligned with the states’
CFCIP to assure coordination and effective use of resources. Information about the
state’s plan can be found as part of the 2015-2019 CFSP or subsequent APSRs.

Below are some suggested ways in which the CBCAP programs can work more closely with
the child welfare agencies in their states:
38



CBCAP SLA’s and/or members of their prevention network can become more active
participants in various stakeholder meetings and planning committees related to the Child
and Family Services Plan (CFSP)/Annual Progress and Services Report (APSR). Review
the goals and objectives of the CFSP/APSR and identify which of them are related to
child abuse prevention, family support and family strengthening. Schedule meetings with
representatives from the child welfare agency to discuss ways to collaborate and
coordinate efforts. Each ACF Regional Office can facilitate this process.



CBCAP SLA’s can provide consultation to child welfare agencies around strategies for
infusing family support and prevention principles into on-going child welfare practice.



CBCAP SLA’s can use the relevant sections of the CFSP that pertains to prevention
programs as part of the required description of the inventory of unmet needs in the state.



CBCAP SLA’s can incorporate the relevant goals and objectives contained in the state’s
CFSP/APSR in their overall prevention plan, as well as encourage a stronger emphasis on
prevention-related goals.



CBCAP SLA’s can work with child welfare agencies to pool the IV-B prevention and
family support funding with their CBCAP funds and issue a joint Request for Proposals
to fund programs that meet the shared goals and objectives of the two programs.



CBCAP SLA’s can work with the state’s Child Protective Services (CPS) system to plan
and develop triage procedures and differential/alternative response systems to refer
children not at imminent risk of harm to community organizations or voluntary
preventive services. Developing triage procedures is a provision of the Basic State Grant
for CPS agencies outlined in the Child Abuse and Treatment Act, 2003 requirements.

For more information about the Child Welfare Services or Promoting Safe and Stable Families
programs, contact Catherine Heath at [email protected].

39

ATTACHMENT 6: Governor’s Assurance Statement
COMMUNITY-BASED GRANTS FOR THE PREVENTION OF
CHILD ABUSE AND NEGLECT PROGRAM
(TITLE II OF THE CAPTA AMENDMENTS OF 2010 (P.L. 111-320))
GOVERNOR’S ASSURANCE STATEMENT

As Governor of the state of
, I am providing the following assurance that I have designated
to be the lead agency, administer the funds, and assume the obligations imposed by the terms and conditions of the
Community-Based Grants for the Prevention of Child Abuse and Neglect award. I further assure that the lead
agency will provide or will be responsible for providing-(A)

Community-based child abuse and neglect prevention programs and activities designed to strengthen and
support families to prevent child abuse and neglect 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;

(B)

Direction to 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;

(C)

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, technical
assistance, evaluation assistance and reporting and evaluation functions.

(D)

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;

(E)

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;

(F)

The capacity to provide operational support (both financial and programmatic) and training, technical
assistance, and evaluation assistance to community-based child abuse and neglect prevention 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; and

(G)

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 demonstrate a financial commitment to those activities.

(Signature of Governor)

(Date)

OMB Control # 0970-0155 (Expires 08/31/2018)

40

ATTACHMENT 7: State Lead Agency Assurance Statement

COMMUNITY-BASED GRANTS FOR THE PREVENTION OF
CHILD ABUSE AND NEGLECT PROGRAM
(TITLE II OF THE CAPTA AMENDMENTS OF 2010 (P.L. 111-320))
STATE LEAD AGENCY ASSURANCE STATEMENT

STATE:

LEAD AGENCY:

On behalf of the above named agency, which has been designated by the Governor of the
state to be the lead agency responsible to administer the funds and assume the obligations
imposed by the terms and conditions under the Community-Based Grants for the
Prevention of Child Abuse and Neglect award, the following assurances are provided:
(A)

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 included with the Annual Performance
Report (and subsequent year’s reports);

(B)

Funds received under this title will supplement, not supplant, other state
and local public funds designated for the start-up, maintenance, expansion,
and redesign of community-based and prevention-focused programs and
activities to strengthen and support families to prevent child abuse and
neglect;

(C)

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; and

(D)

The lead agency will provide the Secretary with reports at such time and
containing such information as the Secretary may require (and every year
on the same date for the life of the grant).

_________________________________________________
(Signature of Responsible Lead Agency Administrator)
________________________________________________
(Typed Name and Title of Administrator)

OMB Control # 0970-0155 (Expires 08/31/2018)

_________
(Date)
41

ATTACHMENT 8: Leveraged Funds Worksheet with Example Worksheet and Guidance
for Differentiation Between Leveraged and Match Funds

LEVERAGED FUNDS WORKSHEET for FFY 2017 APPLICATION
STATE:

LEAD AGENCY: _______________________________

OMB Control # 0970-0155 (Expires 08/31/2018)

42

LEVERAGED FUNDS - EXAMPLE WORKSHEET
STATE:

AMOUNT OF
CLAIM

$

37,948.00

LEAD AGENCY: ______________________________
DATE(S) FUNDS
WERE RECEIVED
AND BUDGETED
BY LEAD AGENCY
-------------BUDGETED/ SPENT

SOURCE OF FUNDS
BEING CLAIMED

PURPOSE FOR
WHICH FUNDS
WERE BUDGETED
AND SPENT

Monthly
Installments
(5/20169/2016)

9/1/16

Tax Check offs/Private
Contributions

3 respite care
programs for rural
communities in XXX
county, XXX county,
and XXX county, to
expand services
available through
our Inter-agency
Agreement with
"Child Care
Services".

$ 1,500,000.00

12/1/15

9/1/16

State Appropriation

129 (one per county)
School-based Parent
Education programs
for young & single
parents

$

11/9/15

5/19/16

Foundation Gift

5 training programs
(one in each
geographic region) to
recruit & train
parents as
community
interagency
leaders/partners.

50,000.00

(United Way)

INCENTIVE CLAIM ASSURANCE: All amounts figured into this claim are non-federal monies that have
been leveraged by the state, directed through the CBCAP lead agency submitting the application, and
budgeted and spent in FFY 2016 (i.e. 10/1/15 – 9/30/16) to support community-based and preventionfocused programs and activities designed to strengthen and support families to prevent child abuse and
neglect, as defined in the legislation, that coordinate resources among a range of existing public and private
organizations for the purposes defined under this Title. No funds claimed here have been claimed to
leverage any other source of federal funds. State and non-federal funds that are being used to meet the
maintenance of effort, match or other cost-sharing requirements for other federal funding are not eligible
to be claimed.

TOTAL CLAIM
$ 1,587,948.00

PREPARED BY:
(Fiscal Agent)

(Date)

SUBMITTED BY:
(Lead Agency Authority)

(Date)

OMB Control # 0970-0155 (Expires 08/31/2018)

43

DIFFERENTIATING BETWEEN LEVERAGED AND MATCH FUNDS FOR
PURPOSES OF THE CBCAP PROGRAM
Leveraged Funds are those funds that were received by
the CBCAP lead agency from private, state, or other
non-federal sources during the prior Federal Fiscal Year
(FFY), and obligated and spent by the CBCAP lead
agency during that same time frame to provide the types
of services and activities for which the actual CBCAP
federal funds may be used.
All funds leveraged by your date and claimed when
submitting the CBCAP application must have been:







Leveraged by your state from private, state, or other
non-federal sources during the prior Federal Fiscal
Year.
Directed through the CBCAP lead agency submitting
the application. (Note: Leveraged funds must be
controlled by the CBCAP lead agency submitting the
application. If the state lead agency has changed and
the current lead agency submitting the application is
not the same lead agency through which the leveraged
funds were directed and obligated or spent in the prior
Federal Fiscal Year, the current lead agency cannot
submit a leveraged funds claim. In that case, your total
grant award would be the amount determined by
population of children under 18 years of age).
Budgeted and spent (spent, obligated, restricted)
during the prior Federal Fiscal Year in supporting
services and activities consistent with a network of
community-based and prevention-focused programs
and activities designed to strengthen and support
families to prevent child abuse and neglect.
Used (spent, drawn down) during the prior Federal
Fiscal Year to support services and activities for which
the actual CBCAP Federal grant funds may be used.

Match funds are those funds from non-federal sources that are
included in the current application budget to supplement the federal
portion of the grant and must amount to at least 20 percent (in cash,
not in-kind) of the current application grant award for activities under
this title.
All Funds included as match funds in the current application budget must
be:






Received by the CBCAP lead agency from private, state, or other nonfederal sources for use during the current federal Fiscal Year in which
the application is being submitted.
Budgeted for the current Federal Fiscal Year in supporting a network
of community-based and prevention-focused programs and activities
designed to strengthen and support families to prevent child abuse and
neglect.
Used during the Federal Fiscal Year in which it was applied to
supplement the federal portion of the grant to support services and
activities for which the CBCAP federal grant funds may be used.
In cash, not in-kind, and amount to at least 20 percent of the grant
award. (Note: There is no requirement to include more than a 20
percent match of non-federal funds in the budget. However, if the state
has a sizeable leveraged funds claim that ensures their grant award will
be greater than the population allocation, the state may wish to figure
in a higher percentage for match so that they do not have to submit a
budget amendment in October.

The state may claim the money that it used for match in Federal Fiscal
Year 2015 as part of their leveraged funds claim for their Federal
Fiscal Year 2016 application, as long as this money is not leveraged to
claim for any other source of federal funds, the funds were directed
through the lead agency, and the lead agency has remained the same
for FFY 2016 and FFY 2017.

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. State
and non-federal funds that are being used to meet the
maintenance of effort, match or other cost-sharing
requirements for other Federal funding are not eligible
to be claimed.

44

ATTACHMENT 9:
Tentative Population Allocation of CBCAP Funds – FFY 2017
IMPORTANT NOTE: The following figures represent our best estimate of what each state,
Puerto Rico, and the District of Columbia will receive for the population portion of their grant
award allocation. These figures are based on a 70 percent formula figure, census figures
available; and an assumption that each of the Territories will receive the base amount of
$200,000. These figures could change if census figures are updated, if there are additional setasides in the appropriation, or if state participation differs from what is predicted at this time.
The amount of funds available and population fluctuations have impacted the population
distribution amounts for most of the states over last year’s estimated allocation. NOTE: The
base allowance has been increased as a result of the increase in the overall appropriation for the
CBCAP Program in FFY2005. Future years’ base allowances will be subject to the availability
of funds.
For purposes of submitting the application, each state may use this amount when calculating its
budget and determining the 20 percent matching funds obligation as set forth in section III-G-1
of the Program Instruction. Since this amount is only tentative, each state must submit a revised
budget to OCAN, to complete the application, not later than October 31, 2017. The revised
budget must be based on the actual amount awarded to the state, as verified in the Grant Award
letter. For those States providing matching funds in excess of 20 percent, if the excess amount
meets the 20 percent requirement of the final grant award, such states do not need to submit
budget amendments.
------------------------------------ALABAMA
$ 353,878
MONTANA
$ 200,000
ALASKA
$ 200,000
NEBRASKA
$ 200,000
AMERICAN SAMOA
$ 200,000
NEVADA
$ 214,593
ARIZONA
$ 520,429
NEW HAMPSHIRE
$ 200,000
ARKANSAS
$ 226,181
NEW JERSEY
$ 640,998
CALIFORNIA
$2,924,968
NEW MEXICO
$ 200,000
COLORADO
$ 403,126
NEW YORK
$1,350,359
CONNECTICUT
$ 245,025
NORTH CAROLINA
$ 734,558
DELAWARE
$ 200,000
NORTH DAKOTA
$ 200,000
DC
$ 200,000
N. MARIANA ISLANDS
$ 200,000
FLORIDA
$1,316,466
OHIO
$ 842,921
GEORGIA
$ 803,058
OKLAHOMA
$ 308,284
GUAM
$ 200,000
OREGON
$ 276,708
HAWAII
$ 200,000
PENNSYLVANIA
$ 862,739
IDAHO
$ 200,000
PUERTO RICO
$ 236,473
ILLINOIS
$ 948,811
RHODE ISLAND
$ 200,000
INDIANA
$ 506,513
SOUTH CAROLINA
$ 350,059
IOWA
$ 233,716
SOUTH DAKOTA
$ 200,000
KANSAS
$ 230,753
TENNESSEE
$ 480,266
KENTUCKY
$ 324,430
TEXAS
$2,312,729
LOUISIANA
$ 357,507
UTAH
$ 292,627
MAINE
$ 200,000
VERMONT
$ 200,000
MARYLAND
$ 432,360
VIRGINIA
$ 599,822
MASSACHUSETTS
$ 444,822
VIRGIN ISLANDS
$ 200,000
MICHIGAN
$ 707,856
WASHINGTON
$ 516,899
MINNESOTA
$ 411,888
WEST VIRGINIA
$ 200,000
MISSISSIPPI
$ 233,092
WISCONSIN
$ 415,171
MISSOURI
$ 446,230
WYOMING
$ 200,000
45

REGION I

ATTACHMENT 10:
Regional Office Contacts for CBCAP

Bob Cavanaugh
JFK Federal Building; Room 2000
Boston, MA 02203
Phone: 617-565-1020
Email: [email protected]

Connecticut
Rhode Island
Vermont
New Hampshire

REGION II
Alfonso Nicholas
26 Federal Plaza; Room 4114
New York, NY 10278
Phone: 212-264-2890 ext. 145
Email: [email protected]

New Jersey
New York
Puerto Rico
Virgin Islands

REGION III
Lisa Pearson
150 S. Independence Mall West; Suite 864
Philadelphia, PA 19106
Phone: 215-861-4030
Email: [email protected]
REGION IV
Shalonda Cawthon
61 Forsyth Street, SW
Suite 4M60
Atlanta, GA 30303
Phone: 404-562-2242
Email: [email protected]
REGION V
Kendall Darling
233 N. Michigan Avenue; Suite 400
Chicago, IL 60601
Phone: 312-353-9672
Email: [email protected]

Delaware
Washington, D.C.
West Virginia
Maryland
Pennsylvania
Virginia
Florida
Georgia
Mississippi
North Carolina
South Carolina
Tennessee
Kentucky
Illinois
Minnesota
Ohio
Wisconsin
Indiana
Michigan

46

REGION VI
Janis Brown
1301 Young Street; Room 945
Dallas, TX 75202-5433
Phone: 214-767-8466
Email: [email protected]

Arkansas
Texas
Louisiana
New Mexico
Oklahoma

REGION VII
Deborah Smith
601 E. 12th Street; Room 349
Kansas City, MO 64106
Phone: 816-426-2262
Email: [email protected]

Iowa
Kansas
Missouri
Nebraska

REGION VIII
Marilyn Kennerson
1961 Stout Street, 8th Floor
South Terrace, 4th Floor
Denver, CO 80294-3538
Phone: 303-844-1163
Email: [email protected]

Colorado
South Dakota
Utah
Wyoming
North Dakota
Montana

REGION IX
Debra Samples
90 7th Street- Ste 9-300
San Francisco, CA 94103
Phone: 415-437-8626
E-mail: [email protected]

Arizona
California
Nevada
Hawaii

REGION X
Tina Naugler
Blanchard Plaza
2201 Sixth Avenue; Suite 300, MS070
Seattle, WA 98121
Phone: 206-615-3657
Email: [email protected]

Alaska
Idaho
Oregon
Washington

47