[Federal Register Volume 60, Number 21 (Wednesday, February 1, 1995)]
[Notices]
[Pages 6120-6137]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-2381]
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Administration for Children and Families
[Program Announcement No. ACYF-HS 93600-951]
A Head Start on Science Demonstration Project; Grant Availability
AGENCY: Administration on Children, Youth and Families (ACYF),
[[Page 6121]] Administration for Children and Families (ACF), DHHS.
ACTION: Announcement of availability of financial assistance to a two
year or four year college or university for a Head Start on Science
demonstration project.
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SUMMARY: The Head Start Bureau of the Administration on Children, Youth
and Families announces that applications from colleges or universities
will be accepted to demonstrate and evaluate a summer institute
prototype on their campus during the summers 1996 and 1997 on the topic
of ``A Head Start on Science'', with follow-up assistance to graduates
as they implement their new skills at their local Head Start programs.
In year two of the grant period, the successful applicant also will
recruit, fund and mentor another teacher education college or
university to implement the ``A Head Start on Science'' approach.
DATES: The closing date for submission of applications is May 2, 1995.
ADDRESSES: Submit applications to: Applications may be mailed to the
Department of Health and Human Services, Administration for Children
and Families, Division of Discretionary Grants, 370 L'Enfant Promenade,
S.W., Aerospace Building, 6th Floor, OFM/DDG, Washington, D.C. 20447.
Hand delivered applications are accepted during the normal working
hours of 8:00 a.m. to 4:30 p.m., Monday through Friday, on or prior to
the established closing date at: Administration for Children and
Families, Division of Discretionary Grants, 6th Floor OFM/DDG, 901 D
Street, S.W., Washington D.C. 20447.
FOR FURTHER INFORMATION CONTACT: Any technical assistance calls may be
forwarded to the ACYF Operations Center Telephone number: 1-800-351-
2293.
SUPPLEMENTARY INFORMATION:
Part I General Information
A. Program Purpose
Head Start is a national program providing comprehensive
developmental services primarily to low-income preschool children and
their families. To help enrolled children achieve their full potential,
Head Start programs provide comprehensive health, nutritional,
educational, social, and other services. In addition Head Start
programs are required to provide for the direct participation of the
parents of enrolled children in the development, conduct, and direction
of local programs. Head Start currently serves approximately 713,000
children through a network of approximately 1,395 grantees.
While Head Start is targeted primarily toward children whose
families have incomes at or below the poverty line or who are eligible
for public assistance, regulations permit up to 10 percent of the Head
Start children in local programs to be from families which do not meet
these low-income criteria. Head Start regulations also require that a
minimum of 10 percent of enrollment opportunities in each program be
made available to children with disabilities. Such children are
expected to be enrolled in the full range of Head Start services and
activities in a mainstream setting with their non-disabled peers, and
to receive needed special education and related services.
B. Background on Demonstration Project ``A Head Start on Science''
The report from the Advisory Committee on Head Start Quality and
Expansion emphasizes that quality services to Head Start families must
be given priority attention by all Head Start programs. The report
underscored the need for staff development and training and supports
initiatives designed to increase staff understanding of concepts and
principles which will help them become more effective in early
childhood settings.
This project is designed to link colleges and universities to Head
Start programs for the purpose of teaching science to Head Start staff.
Highly intensive, hands-on instruction will provide teachers,
assistants, and home visitors with exposure to the principles of
science and increase their insights and skills regarding how to take
their college campus experience and create classroom environments which
invite child exploration and discovery. The staff will also increase
their understanding of the natural learning environment presented by
the out-of-doors, and the child's own home. We expect that `` A Head
Start on Science'' model will be developed and documented in suitable
printed and visual materials to be used to transmit the concept and
approaches to other institutions of higher learning and Head Start
communities. Project funds may also be used to present and distribute
information at appropriate regional and national Head Start events, and
to members of the Head Start training and technical assistance network.
Also, it would be appropriate for the grantee to develop strategies and
products which will assist other local Head Start programs to negotiate
with their local college or university for similar staff training.
We believe that as a result of participating in ``A Head Start on
Science'' demonstration project, Head Start teachers, teacher
assistants, and home visitors will be instrumental in creating a
lifelong interest in science both for themselves and for the children
and families with whom they work. We believe that staff will be
impacted by the knowledge that science is found not only in a
laboratory under a microscope, but in the everyday world in which they
live. As a result of this experience, teachers, assistants and home
visitors' concepts of science and their own scientific abilities will
increase and in turn have a powerful effect on their ability to engage
in discovery and establish environments in which children and families
may explore, discover and interpret scientific activities.
This announcement is soliciting applications from two or four-year
colleges or universities, i.e., institutions of higher learning that
grant degrees. Awards, on a competitive basis, will be for a one-year
budget period, although projects periods may be for two years.
Applications for continuation grants funded under these awards beyond
the one-year budget period but within the two year project period will
be entertained in subsequent years on a non-competitive basis, subject
to availability of funds, satisfactory progress of the grantee and a
determination that continued funding would be in the best interest of
the Government. The Department of Health and Human Services will award
one grant under this announcement. Up to $550,000 will be available for
a 24 month project period.
In the first year of the grant, the grantee institution will use
these funds to create, demonstrate and evaluate a summer institute
prototype on their campus during the summer of 1996 with follow-up
assistance to Head Start staff graduates as they implement their new
skills at their local programs. Also in year one the grantee will
recruit another college or university in which to replicate the model
in year two.
In the second year of this grant, the grantee institution will
improve the prototype program based on year-one experiences, and will
offer the hands-on science program to a new group of Head Start staff
during the summer 1997. Also during the second year, the ``A Head Start
on Science'' grantee will fund for one year, and mentor another college
or university to: (1) Implement the prototype ``A Head Start on
Science'' model in the summer of 1997 and; (2) provide follow-up
assistance to the Head Start staff as they plan to
[[Page 6122]] implement their new skills in their local programs. The
addition of a second institution will provide the opportunity to
evaluate the effectiveness and transferability of the concept.
Throughout the grant period, a third party evaluator must be
secured by the grantee institution to assess the effectiveness of the
approach, content and transferability of the ``A Head Start on
Science'' project. The third party evaluator must not be involved in
the conduct of the demonstration. The evaluation of the students in
both institutes in the summer of 1997 will be completed by the end of
the project period. It should focus on the students' plans for the
implementation of the program and principles.
Statutory Authority
The Head Start Act, as amended, 42 U.S.C. 9801 et seq.
D. Project Period and Funding
A total of approximately $550,000 in ACF funds will be available to
fund the demonstration project for a 24 month period. Applicants must
propose how much will be needed for each 12 month period of the
project.
The grantee must provide at least 20 percent of the total cost of
the project. The total approved cost of the project is the sum of the
ACF share and the non-Federal share. The non-Federal share may be met
by cash or in-kind contributions, although applicants are encouraged to
meet their match requirements through cash contributions. Therefore, a
project requesting $550,000 in Federal funds (based on an award of
approximately $275,000 per budget period) must provide $137,500 in cash
or in-kind contributions (20% of total project costs of $687,500).
E. Eligible Applicants
Applicants must be either two year or four year institutions of
higher learning which are colleges or universities, private or public,
having the capability to create, demonstrate and evaluate a summer
institute prototype.
Part II Special Requirements
A. Colleges and universities are eligible to apply for these funds.
The college or university must also be able to award college credit to
Head Start staff that successfully complete the summer program.
B. The project should be directed toward Head Start teachers,
teachers' assistants and/or home visitors.
C. Funds may be used for university operating expenses and related
costs. Related costs include such activities as planning and
development costs, administration, supplies, insurance, university
staff salaries, training provided at Head Start events and the third
party evaluation.
D. The university or college institute teaching team will be
comprised of individuals with knowledge of science, adult learning, and
early childhood education.
Part III Specific Responsibilities of the Applicant
When submitting an application under this announcement, applicants
should include a maximum of 50 typed, doubled-spaced pages. Applicants
interested in submitting an application for the training prototype
must:
A. Describe the design of the project. Include a description of how
the summer institutes will address the unique needs of teachers,
teacher assistants and/or home visitors.
B. Provide a sample curriculum for the summer institute
participants based on content and approach which will help increase
participants' knowledge of science, increase their understanding and
skills regarding how to create classroom environments, and capitalize
on the out-of-doors and family settings as areas of scientific
exploration and learning.
C. List projected field experiences appropriate to the location of
the college and Head Start programs. These may include trips to the
ocean, visiting a quarry, aquarium, desert, nature trail, or wild life
reserve. Information submitted should include the total number of hours
of the institute program including a breakout of instruction vs. field
trip experiences.
D. Describe a plan for how many participants will be included in
each summer program and how these participants will be recruited.
E. Describe what provisions will be made for residential, intensive
summer institutes for Head Start teachers, teacher assistants, and/or
home visitors.
F. Describe provision of materials, lunch and snacks, stipend or
reimbursement, transportation to field activities, and entry fees.
G. Describe the college credit to be awarded for work completed
during the summer institute and for implementing new knowledge and
practice back at local programs.
H. Describe the plan for the extension of the summer institute into
Head Start settings and the provision of on-site feedback and ongoing
support for adults applying their new skills.
I. Explain the criteria and the approach to be used to recruit,
fund, and mentor another college for the second year of the project.
J. Develop an evaluation of the project to determine the
effectiveness of the project. Describe the research questions to be
addressed. Describe the evaluation that would be implemented, including
the outcomes that would be measured, the evaluation design to be
employed, and how the data will be analyzed. The evaluation should also
include an analysis of the second summer institutes. The project and
the evaluation will be completed by the end of the project period.
K. Provide a description of the qualifications of each key staff
member including the third-party evaluator (the evaluator cannot be a
member of the demonstration project staff). Include copies of their
curriculum vitae.
L. Describe a plan to establish a self sustaining project, since
this will be a prototype other colleges and universities may want to
adapt. It is expected that the applicant may pay for more activities
and services during the first year; however, attempts should be made to
run a more self supporting program by year two. Outside resources or
Head Start grantees that see these services as a priority can support
some of the cost of the training.
Part IV Evaluation Criteria
In consideration of how applicants will meet the requirements and
responsibilities addressed under Parts II and III of this announcement,
competing applications from colleges and universities will be reviewed
and evaluated against the following criteria.
A. Objectives and Need for Assistance (15 points).
The extent to which the applicant identifies any relevant economic,
social, financial institutional or other problems requiring a solution:
demonstrates the need for the assistance: and states the principal and
subordinate objectives of the project. Supporting documentation or
other testimonies from concerned interests other than the applicant on
the need for assistance may be used.
Identify the precise location of the project and the area to be
served by the proposed project. Maps and other geographic aids may be
attached.
Information provided in response to the following items under
``Specific Responsibilities of the Applicant'' will be used to review
and evaluate applicants on this criterion: Letters A,C,D.
B. Results or Benefits Expected (15 points).
The extent to which the applicant identifies the results and
benefits to be derived which are consistent with the
[[Page 6123]] objectives of the proposal and indicates the anticipated
contributions to policy, practice, theory and/or research.
Information provided in response to the following items under
``Specific Responsibilities of the Applicant'' will be used to review
and evaluate applicants on this criterion: Letters A,G,H,J
C. Approach (40 points).
The extent to which the applicant outlines an acceptable plan of
action pertaining to the scope of the project; details how the proposed
work will be accomplished and lists each organization, consultant, and
other key individuals who will work on the project, along with resumes
and a short description of their responsibilities or contribution to
the applicant's work plan. Describe the evaluation methodology that
will be used to determine if the needs identified and discussed are
being met and if the results and benefits identified are being
achieved.
Information provided in response to the following items under
``Specific Responsibilities of the Applicant'' will be used to review
and evaluate applicants on this criterion: Letters A,B,C,E,F,G,H,I.
D. Staff Background and Organization's Experience (20 Points).
Identifies the background of the project director/principal
investigator and key project staff (including name, address, training,
most relevant educational background and other qualifying experiences)
and the experience of the college or university to demonstrate the
applicant's ability to effectively and efficiently administer this
project.
Information provided in response to the following items under
``Specific Responsibilities of the Applicant'' will be used to review
and evaluate applicants on this criterion: Letter K.
E. Budget Appropriateness and Reasonableness (10 Points).
The extent to which the project's costs are reasonable in view of
the activities to be carried out and the anticipated outcomes. The
extent to which assurances are provided that the applicant can and will
contribute the non-Federal share of the total project.
The extent to which the amount budgeted for the evaluation is
sufficient to conduct the evaluation.
Information provided in response to the following items under
``Application Requirements'' will be used to review and evaluate
applicants on this criterion: Letters C,E,F,J,L.
Part V Application Process
A. Availability of Forms
Eligible applicants interested in applying for funds must submit
all of the required forms included at the end of this Announcement.
In order to be considered for a grant under this Announcement, an
application must be submitted on the Standard Form 424 which has been
approved by the Office of Management and Budget (OMB) under Control
Number 0348-0043. A copy has been provided (see Appendix B). Each
application must be signed by an individual authorized to act for the
applicant and to assume responsibility for the obligations imposed by
the terms and conditions of the grant award.
Applicants requesting financial assistance for a nonconstruction
project must file the standard Form 424B, ``Assurances: Non-
Construction Programs.'' Applicants must sign and return the Standard
Form 424B with their applications.
Applications must provide a certification concerning Lobbying.
Prior to receiving an award in excess of $100,000, applicants shall
furnish an executed copy of the lobbying certification. Applications
must sign and return the certification with the applications.
Applications must make the appropriate certification of their
compliance with the Drug-Free Workplace Act of 1988. By signing and
submitting the applications, applicants are providing the certification
and need not mail back the certification with the applications.
Applicants must make the appropriate certification that they are
not presently debarred, suspended or otherwise ineligible for award. By
signing and submitting the applications, applicants are providing the
certification and need not mail back the certification with the
applications.
Copies of the certifications and assurance are located at the end
of this announcement.
B. Application Submission
One signed original and two copies of the grant application,
including all attachments, are required. The program announcement
number [ACYF-HS 93600-951] must be clearly identified on the
application. Each application must be limited to no more than 50
double-spaced pages of program narrative (not including the forms which
make up the SF-424 and resumes) including the one-page project summary.
If the application is more than 50 double-spaced pages, the other pages
will be removed from the application and not considered by the
reviewers.
The application must be paginated beginning with the Form 424 and
also contain a table of contents listing each section of the
application with the respective pages identified. Only one application
per applicant will be accepted.
C. Application Consideration
Applicants will be scored against the evaluation criteria described
above. The review will be conducted in Washington, D.C.
The results of the competitive review will be taken into
consideration by the Associate Commissioner, Head Start Bureau, in
recommending the project to be funded. The Commissioner of ACYF will
make the final selection of the applicants to be funded. An application
may be funded in whole or in part, depending on the relative need for
services, applicant ranking, geographic location and funds available.
The Commissioner may also elect not to provide funding to
applicants experiencing problems in providing quality services.
Successful applicants will be notified through the issuance of a
Financial Assistance Award which sets forth the amount of funds
granted, the terms and conditions of the grant, the effective date of
the grant, the budget period for which support is given, and the total
project period for which support is provided.
D. Checklist for a Complete Application
The checklist below is for your use to ensure that your application
package has been properly prepared.
--One original, signed and dated application plus two copies.
--Application length does not exceed 50 double-spaced pages
--A complete application consists of the following items in this order:
--Application for Federal Assistance (SF 424, REV.4-88); Narrative;
--Staff Resumes;
--A completed SPOC certification with the date of SPOC contact entered
in line 16, page 1 of the (SF 424, REV.4-88);
--Budget information-Non-Construction Programs (SF 424A REV.88);
--Budget justification for Section B-Budget Categories; including
subcontract/delegate agency budgets
--Table of Contents;
--Letter from the Internal Revenue Services to prove non-profit status
--Project Summary (not to exceed one page);
--Organization/eligibility information; [[Page 6124]]
--Assurances Non-Construction Programs;
--Certification Regarding Lobbying.
E. Deadlines
Applications shall be considered as meeting an announced deadline
if they are either:
1. Received on or before the deadline date at a place specified in
the program announcement, or
2. Sent on or before the deadline date and received by the granting
agency in time for the independent review under DHHS GAM Chapter 1-62.
(Applicants are cautioned to request a legibly dated U.S. Postal
Service postmark or to obtain a legibly dated receipt from a commercial
carrier or U.S. Postal Service. Private Metered postmarks shall not be
acceptable as proof of timely mailing.)
Late applications: Applications which do not meet the criteria in
paragraph E of this section are considered late applications. The
granting agency shall notify each late applicant that its application
will not be considered in the current competition.
Extension of deadlines: The granting agency may extend the deadline
for all applicants because of acts of God such as floods, hurricanes,
etc., or when there is a widespread disruption of the mails. However,
if the granting agency does not extend the deadline for all applicants,
it may not waive or extend the deadline for any applicants.
F. Paperwork Reduction Act of 1980
Under the Paperwork Reduction Act of 1980, Public Law 96-511, the
Department is required to submit to OMB for review and approval any
reporting and record keeping requirements in regulations, including
program announcements. This program announcement does not contain
information collection requirements beyond those approved for ACF grant
applications under OMB Control Number 0348-0043.
G. Executive Order 12372--Notification Process
This program is covered under Executive Order 12372,
``Intergovernmental Review of Federal Programs,'' and 45 CFR part 100,
``Intergovernmental Review of Department of Health and Human Services
Programs and Activities.'' Under Executive Order 12372, States may
design their own processes for reviewing and commenting on proposed
Federal assistance under covered programs.
All States and territories except Alabama, Alaska, Connecticut,
Colorado, Hawaii, Idaho, Kansas, Louisiana, Minnesota, Montana,
Nebraska, Oklahoma, Oregon, Pennsylvania, South Dakota, Virginia,
Washington, American Samoa, and Palau have elected to participate in
the Executive Order process and have established Single Points of
Contact (SPOCs). Applicants from these nineteen jurisdiction areas need
not take action regarding Executive Order 12372. Applications for
projects to be administered by Federally-recognized Indian Tribes are
exempt from the requirements of Executive Order 12372. Otherwise,
applicants should contact their SPOC as soon as possible to alert them
to the prospective application and to receive any necessary
instructions. Applicants must submit any required material to the SPOC
as early as possible so that the program office can obtain and review
SPOC comments as part of the award process. It is imperative that the
applicant submit all required materials, if any, to the SPOC and
indicate the date of this submittal (or date of contact if no submittal
is required) on the SF 424, item 16a.
Under 45 CFR 100.8(a) (2), a SPOC has 60 days from the application
deadline to comment on proposed new or competing continuation awards.
SPOCs are encouraged to eliminate the submission of routine
endorsements as official recommendations.
Additionally, SPOCs are requested to clearly differentiate between
mere advisory comments and those official State process recommendations
which they intend to trigger the ``accommodate or explain'' rule.
When comments are submitted directly to ACF, they should be
addressed to: Department of Health and Human Services, Administration
for Children and Families, Division of Discretionary Grants, 370
L'Enfant Promenade, S.W., 6th floor, Aerospace Building, Washington,
D.C. 20447.
A list of SPOCs for each State and territory is included at
Appendix A of this announcement.
H. Effective Date
It is anticipated that successful applications shall be funded no
later than September 30,1995.
(Catalog of Federal Domestic Assistance Program Number 93.600,
Project Head Start.)
Dated: January 23, 1995.
Olivia A. Golden,
Commissioner, Administration on Children, Youth and Families.
Appendix A--Executive Order 12372--State Single Points of Contact
Arizona
Mrs. Janice Dunn, Attn: Arizona State Clearinghouse, 3800 N. Central
Avenue, 14th Floor, Phoenix, Arizona 85012, Telephone (602) 280-1315
Arkansas
Tracie L. Copeland, Manager, State Clearinghouse, Office of
Intergovernmental Services, Department of Finance and Administration,
P.O. Box 3278, Little Rock, Arkansas 72203, Telephone (501) 682-1074
California
Glenn Stober, Grants Coordinator, Office of Planning and Research, 1400
Tenth Street, Sacramento, California 95814, Telephone (916) 323-7480
Delaware
Ms. Fancine Booth, State Single Point of Contact, Executive Department,
Thomas Collins Building, Dover, Delaware 19903, Telephone (302) 736-
3326
District of Columbia
Rodney T. Hallman, State Single Point of Contact, Office of Grants
Management and Development, 717 14th Street NW., Suite 500, Washington,
DC 20005, Telephone (202) 727-6551
Florida
Florida State Clearinghouse, Intergovernmental Affairs Policy Unit,
Executive Office of the Governor, Office of Planning and Budgeting, The
Capitol, Tallahassee, Florida 32399-0001, Telephone (904) 488-8441
Georgia
Mr. Charles H. Badger, Administrator, Georgia State Clearinghouse, 254
Washington Street SW., Atlanta, Georgia 30334, Telephone (404) 656-3855
Illinois
Steve Klokkenga, State Single Point of Contact, Office of the Governor,
107 Stratton Building, Springfield, Illinois 62706, Telephone (217)
782-1671
Indiana
Jean S. Blackwell, Budget Director, State Budget Agency, 212 State
House, Indianapolis, Indiana 46204, Telephone (317) 232-
5610 [[Page 6125]]
Iowa
Mr. Steven R. McCann, Division of Community Progress, Iowa Department
of Economic Development, 200 East Grand Avenue, Des Moines, Iowa 50309,
Telephone (515) 281-3725
Kentucky
Ronald W. Cook, Office of the Governor, Department of Local Government,
1024 Capitol Center Drive, Frankfort, Kentucky 40601, Telephone (502)
564-2382
Maine
Ms. Joyce Benson, State Planning Office, State House Station #38,
Augusta, Maine 04333, Telephone (207) 289-3261
Maryland
Ms. Mary Abrams, Chief, Maryland State Clearinghouse, Department of
State Planning, 301 West Preston Street, Baltimore, Maryland 21201-
2365, Telephone (301) 225-4490
Massachusetts
Karen Arone, State Clearinghouse, Executive Office of Communities and
Development, 100 Cambridge Street, Room 1803, Boston, Massachusetts
02202, Telephone (617) 727-7001
Michigan
Richard S. Pastula, Director, Michigan Department of Commerce, Lansing,
Michigan 48909, Telephone (517) 373-7356
Mississippi
Ms. Cathy Mallette, Clearinghouse Office, Office of Federal Grant
Management and Reporting, 301 West Pearl Street, Jackson, Mississippi
39203, Telephone (601) 960-2174
Missouri
Ms. Lois Pohl, Federal Assistance Clearinghouse, Office of
Administration, P.O. Box 809, Room 430, Truman Building, Jefferson
City, Missouri 65102, Telephone (314) 751-4834
Nevada
Department of Administration, State Clearinghouse, Capitol Complex,
Carson City, Nevada 89710, Telephone (702) 687-4065, Attention: Ron
Sparks, Clearinghouse Coordinator
New Hampshire
Mr. Jeffrey H. Taylor, Director, New Hampshire Office of State
Planning, Attn: Intergovernmental Review, Process/James E. Bieber, 2\1/
2\ Beacon Street, Concord, New Hampshire 03301, Telephone (603) 271-
2155
New Jersey
Gregory W. Adkins, Acting Director, Division of Community Resources,
N.J. Department of Community Affairs, Trenton, New Jersey 08625-0803,
Telephone (609) 292-6613
Please direct correspondence and questions to: Andrew J. Jaskolka,
State Review Process, Division of Community Resources, CN 814, Room
609, Trenton, New Jersey 08625-0803, Telephone (609) 292-9025
New Mexico
George Elliott, Deputy Director, State Budget Division, Room 190,
Bataan Memorial Building, Santa Fe, New Mexico 87503, Telephone (505)
827-3640, FAX (505) 827-3006
New York
New York State Clearinghouse, Division of the Budget, State Capitol,
Albany, New York 12224, Telephone (518) 474-1605
North Carolina
Mrs. Chrys Baggett, Director, Office of the Secretary of Admin., N.C.
State Clearinghouse, 116 W. Jones Street, Raleigh, North Carolina
27603-8003, telephone (919) 733-7232
North Dakota
N.D. Single Point of Contract, Office of Intergovernmental Assistance,
Office of Management and Budget, 600 East Boulevard Avenue, Bismarck,
North Dakota 58505-0170, Telephone (701) 224-2094
Ohio
Larry Weaver, State Single Point of Contact, State/Federal Funds
Coordinator, State Clearinghouse, Office of Budget and Management, 30
East Broad Street, 34th Floor, Columbus, Ohio 43266-0411, Telephone
(614) 466-0698
Rhode Island
Mr. Daniel W. Varin, Associate Director, Statewide Planning Program,
Department of Administration, Division of Planning, 265 Melrose Street,
Providence, Rhode Island 02907, Telephone (401) 277-2656,
Please direct correspondence and questions to: Review Coordinator,
Office of Strategic Planning
South Carolina
Omeagia Burgess, State Single Point of Contact, Grant Services, Office
of the Governor, 1205 Pendleton Street, Room 477, Columbia, South
Carolina 29201, Telephone (803) 734-0494
Tennessee
Mr. Charles Brown, State Single Point of Contact, State Planning
Office, 500 Charlotte Avenue, 309 John Sevier Building, Nashville,
Tennessee 37219, Telephone (615) 741-1676
Texas
Mr. Thomas Adams, Governor's Office of Budget and Planning, P.O. Box
12428, Austin, Texas 78711, Telephone (512) 463-1778
Utah
Utah State Clearinghouse, Office of Planning and Budget, ATTN: Carolyn
Wright, Room 116 State Capitol, Salt Lake City, Utah 84114, Telephone
(801) 538-1535
Vermont
Mr. Bernard D. Johnson, Assistant Director, Office of Policy Research &
Coordination, Pavilion Office Building, 109 State Street, Montpelier,
Vermont 05602, Telephone (802) 828-3326
West Virginia
Mr. Fred Cutlip, Director, Community Development Division, West
Virginia Development Office, Building #6, Room 553, Charleston, West
Virginia 25305, Telephone (304) 348-4010
Wisconsin
Mr. William C. Carey, Federal/State Relations, Wisconsin Department of
Administration, 101 South Webster Street, P.O. Box 7864, Madison,
Wisconsin 53707, Telephone (608) 266-0267
Wyoming
Sheryl Jeffries, State Single Point of Contact, Herschler Building, 4th
Floor, East Wing, Cheyenne, Wyoming 82002, Telephone (307) 777-7574
Guam
Mr. Michael J. Reidy, Director, Bureau of Budget and Management
Research, Office of the Governor, P.O. Box 2950, Agana, Guam 96910,
Telephone (671) 472-2285
Northern Mariana Islands
State Single Point of Contact, Planning and Budget Office, Office of
the Governor, Saipan, CM, Northern Mariana Islands 96950
Puerto Rico
Norma Burgos/Jose H. Caro, Chairman/Director, Puerto Rico Planning
Board, Minillas Government Center, P.O. Box 41119, San Juan, Puerto
Rico 00940-9985, Telephone (809) 727-4444
[[Page 6126]]
Virgin Islands
Jose L. George, Director, Office of Management and Budget, #41
Norregade Emancipation Garden Station, Second Floor, Saint Thomas,
Virgin Islands 00802, Please direct correspondence to: Linda Clarke,
Telephone (809) 774-0750.
BILLING CODE 4184-01-P
[[Page 6127]]
[GRAPHIC][TIFF OMITTED]TN01FE95.134
BILLING CODE 4184-01-C
[[Page 6128]]
Instructions for the SF 424
This is a standard form used by applicants as a required facesheet
for preapplications and applications submitted for Federal assistance.
It will be used by Federal agencies to obtain applicant certification
that States which have established a review and comment procedure in
response to Executive Order 12372 and have selected the program to be
included in their process, have been given an opportunity to review the
applicant's submission.
Item and Entry:
1. Self-explanatory.
2. Date application submitted to Federal agency (or State if
applicable) & applicant's control number (if applicable).
3. State use only (if applicable).
4. If this application is to continue or revise an existing award,
enter present Federal identifier number. If for a new project, leave
blank.
5. Legal name of applicant, name of primary organizational unit which
will undertake the assistance activity, complete address of the
applicant, and name and telephone number of the person to contact on
matters related to this application.
6. Enter Employer Identification Number (EIN) as assigned by the
Internal Revenue Service.
7. Enter the appropriate letter in the space provided.
8. Check appropriate box and enter appropriate letter(s) in the
space(s) provided:
--``New'' means a new assistance award.
--``Continuation'' means an extension for an additional funding/
budget period for a project with a projected completion date.
--``Revision'' means any change in the Federal Government's
financial obligation or contingent liability from an existing
obligation.
9. Name of Federal agency from which assistance is being requested with
this application.
10. Use the Catalog of Federal Domestic Assistance number and title of
the program under which assistance is requested.
11. Enter a brief descriptive title of the project. If more than one
program is involved, you should append an explanation on a separate
sheet. If appropriate (e.g., construction or real property projects),
attach a map showing project location. For preapplications, use a
separate sheet to provide a summary description of this project.
12. List only the largest political entities affected (e.g., State,
counties, cities).
13. Self-explanatory.
14. List the applicant's Congressional District and any District(s)
affected by the program or project.
15. Amount requested or to be contributed during the first funding/
budget period by each contributor. Value of in-kind contributions
should be included on appropriate lines as applicable. If the action
will result in a dollar change to an existing award, indicate only the
amount of the change. For decreases, enclose the amounts in
parentheses. If both basic and supplemental amounts are included, show
breakdown on an attached sheet. For multiple program funding, use
totals and show breakdown using same categories as item 15.
16. Applicants should contact the State Single Point of Contact (SPOC)
for Federal Executive Order 12372 to determine whether the application
is subject to the State intergovernmental review process.
17. This question applies to the applicant organization, not the person
who signs as the authorized representative. Categories of debt include
delinquent audit disallowances, loans and taxes.
18. To be signed by the authorized representative of the applicant. A
copy of the governing body's authorization for you to sign this
application as official representative must be on file in the
applicant's office. (Certain Federal agencies may require that this
authorization be submitted as part of the application.)
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Instructions for the SF-424A
General Instructions
This form is designed so that application can be made for funds
from one or more grant programs. In preparing the budget, adhere to any
existing Federal grantor agency guidelines which prescribe how and
whether budgeted amounts should be separately shown for different
functions or activities within the program. For some programs, grantor
agencies may require budgets to be separately shown by function or
activity. For other programs, grantor agencies may require a breakdown
by function or activity. Sections A, B, C, and D should include budget
estimates for the whole project except when applying for assistance
which requires Federal authorization in annual or other funding period
increments. In the latter case, Sections A, B, C, and D should provide
the budget for the first budget period (usually a year) and Section E
should present the need for Federal assistance in the subsequent budget
periods. All applications should contain a breakdown by the object
class categories shown in Lines a-k of Section B.
Section A. Budget Summary
Lines 1-4, Columns (a) and (b)
For applications pertaining to a single Federal grant program
(Federal Domestic Assistance Catalog number) and not requiring a
functional or activity breakdown, enter on Line 1 under Column (a) the
catalog program title and the catalog number in Column (b).
For applications pertaining to a single program requiring budget
amounts by multiple functions or activities, enter the name of each
activity or function on each line in Column (a), and enter the catalog
number in Column (b). For applications pertaining to multiple programs
where none of the programs require a breakdown by function or activity,
enter the catalog program title on each line in Column (a) and the
respective catalog number on each line in Column (b).
For applications pertaining to multiple programs where one or more
programs require a breakdown by function or activity, prepare a
separate sheet for each program requiring the breakdown. Additional
sheets should be used when one form does not provide adequate space for
all breakdown of data required. However, when more than one sheet is
used, the first page should provide the summary totals by programs.
Lines 1-4, Columns (c) through (g)
For new applications, leave Columns (c) and (d) blank. For each
line entry in Columns (a) and (b), enter in Columns (e), (f), and (g)
the appropriate amounts of funds needed to support the project for the
first funding period (usually a year).
Lines 1-4, Columns (c) through (g) (continued)
For continuing grant program applications, submit these forms
before the end of each funding period as required by the grantor
agency. Enter in Columns (c) and (d) the estimated amounts of funds
which will remain unobligated at the end of the grant funding period
only if the Federal grantor agency instructions provide for this.
Otherwise, leave these columns blank. Enter in columns (e) and (f) the
amounts of funds needed for the upcoming period. The amount(s) in
Column (g) should be the sum of amounts in Columns (e) and (f).
For supplemental grants and changes to existing grants, do not use
Columns (c) and (d). Enter in Column (e) the amount of the increase or
decrease of Federal funds and enter in Column (f) the amount of the
increase or decrease of non-Federal funds. In Column (g) enter the new
total budgeted amount (Federal and non-Federal) which includes the
total previous authorized budgeted amounts plus or minus, as
appropriate, the amounts shown in Columns (e) and (f). The amount(s) in
Column (g) should not equal the sum of amounts in Columns (e) and (f).
Line 5--Show the totals for all columns used.
Section B Budget Categories
In the column headings (1) through (4), enter the titles of the
same programs, functions, and activities shown on Lines 1-4, Column
(a), Section A. When additional sheets are prepared for Section A,
provide similar column headings on each sheet. For each program,
function or activity, fill in the total requirements for funds (both
Federal and non-Federal) by object class categories.
Lines 6a-i--Show the totals of Lines 6a to 6h in each column.
Line 6j--Show the amount of indirect cost.
Line 6k--Enter the total of amounts on Lines 6i and 6j. For all
applications for new grants and continuation grants the total amount in
column (5), Line 6k, should be the same as the total amount shown in
Section A, Column (g), Line 5. For supplemental grants and changes to
grants, the total amount of the increase or decrease as shown in
Columns (1)-(4), Line 6k should be the same as the sum of the amounts
in Section A, Columns (e) and (f) on Line 5.
Line 7--Enter the estimated amount of income, if any, expected to
be generated from this project. Do not add or subtract this amount from
the total project amount. Show under the program narrative statement
the nature and source of income. The estimated amount of program income
may be considered by the federal grantor agency in determining the
total amount of the grant.
Section C. Non-Federal-Resources
Lines 8-11--Enter amounts of non-Federal resources that will be
used on the grant. If in-kind contributions are included, provide a
brief explanation on a separate sheet.
Column (a)--Enter the program titles identical to Column (a),
Section A. A breakdown by function or activity is not necessary.
Column (b)--Enter the contribution to be made by the applicant.
Column (c)--Enter the amount of the State's cash and in-kind
contribution if the applicant is not a State or State agency.
Applicants which are a State or State agencies should leave this column
blank.
Column (b)--Enter the amount of cash and in-kind contributions to
be made from all other sources.
Column (e)--Enter totals of Columns (b), (c), and (d).
Line 12--Enter the total for each of Columns (b)-(e). The amount in
Column (e) should be equal to the amount on Line 5, Column (f), Section
A.
Section D Forecasted Cash Needs
Line 13--Enter the amount of cash needed by quarter from the
grantor agency during the first year.
Line 14--Enter the amount of cash from all other sources needed by
quarter during the first year.
Line 15--Enter the totals of amounts on Lines 13 and 14.
Section E. Budget Estimates of Federal Funds Needed for Balance of the
Project
Lines 16-19--Enter in Column (a), the same grant program titles
shown in Column (a), Section A. A breakdown by function or activity is
not necessary. For new applications and continuation grant
applications, enter in the proper columns amounts of Federal funds
which will be needed to complete the program or project over the
succeeding funding periods (usually in years). This section need not be
completed for revisions (amendments, changes, or
[[Page 6132]] supplements) to funds for the current year of existing
grants.
If more than four lines are needed to list the program titles,
submit additional schedules as necessary.
Line 20--Enter the total for each of the Columns (b)-(e). When
additional schedules are prepared for this Section, annotate
accordingly and show the overall totals on this line.
Section F. Other Budget Information
Line 21--Use this space to explain amounts for individual direct
object-class cost categories that may appear to be out of the ordinary
or to explain the details as required by the Federal grantor agency.
Line 22--Enter the type of indirect rate (provisional,
predetermined, final or fixed) that will be in effect during the
funding period, the estimated amount of the base to which the rate is
applied, and the total indirect expense.
Line 23--Provide any other explanations or comments deemed
necessary.
OMB Approval No. 0348-0040
Assurances--Non-Construction Programs
Note: Certain of these assurances may not be applicable to your
project or program. If you have questions, please contact the
awarding agency. Further, certain Federal awarding agencies may
require applicants to certify to additional assurances. If such is
the case, you will be notified.
As the duly authorized representative of the applicant I certify
that the applicant:
1. Has the legal authority to apply for Federal assistance, and the
institutional, managerial and financial capability (including funds
sufficient to pay the non-Federal share of project costs) to ensure
proper planning, management and completion of the project described in
this application.
2. Will give the awarding agency, the Comptroller General of the
United States, and if appropriate, the State, through any authorized
representative, access to and the right to examine all records, books,
papers, or documents, related to the award; and will establish a proper
accounting system in accordance with generally accepted accounting
standards or agency directives.
3. Will establish safeguards to prohibit employees from using their
positions for a purpose that constitutes or presents the appearance of
personal or organizational conflict of interest, or personal gain.
4. Will initiate and complete the work within the applicable time
frame after receipt of approval of the awarding agency.
5. Will comply with the Intergovernmental Personnel Act of 1970 (42
U.S.C. Secs. 4728-4763) relating to prescribed standards for merit
systems for programs funded under one of the nineteen statutes or
regulations specified in Appendix A of OPM's Standards for a Merit
System of Personnel Administration (5 C.F.R. 900, Subpart F).
6. Will comply with all Federal statutes relating to
nondiscrimination. These include but are not limited to: (a) Title VI
of the Civil Rights Act of 1964 (P.L. 88-352) which prohibits
discrimination on the basis of race, color or national origin; (b)
Title IX of the Education Amendments of 1972, as amended (20 U.S.C.
Secs. 1681-1683, and 1685-1686), which prohibits discrimination on the
basis of sex; (c) Section 504 of the Rehabilitation Act of 1973, as
amended (29 U.S.C. Sec. 794), which prohibits discrimination on the
basis of handicaps; (d) the Age Discrimination Act of 1975, as amended
(42 U.S.C. Secs. 6101-6107), which prohibits discrimination on the
basis of age; (e) the Drug Abuse Office and Treatment Act of 1972 (P.L.
92-255), as amended, relating to nondiscrimination on the basis of drug
abuse; (f) the Comprehensive Alcohol Abuse and Alcoholism Prevention,
Treatment and Rehabilitation Act of 1970 (P.L. 91-616), as amended,
relating to nondiscrimination on the basis of alcohol abuse or
alcoholism; (g) Secs. 523 and 527 of the Public Health Service Act of
1912 (42 U.S.C. 290 dd-3 and 290 ee-3), as amended, relating to
confidentiality of alcohol and drug abuse patient records; (h) Title
VIII of the Civil Rights Act of 1968 (42 U.S.C. Sec. 3601 et seq.), as
amended, relating to nondiscrimination in the sale, rental or financing
of housing; (i) any other nondiscrimination provisions in the specific
statute(s) under which application for Federal assistance is being
made; and (j) the requirements of any other nondiscrimination
statute(s) which may apply to the application.
7. Will comply, or has already complied, with the requirements of
Titles II and III of the Uniform Relocation Assistance and Real
Property Acquisition Policies Act of 1970 (P.L. 91-646) which provide
for fair and equitable treatment of persons displaced or whose property
is acquired as a result of Federal or federally assisted programs.
These requirements apply to all interests in real property acquired for
project purposes regardless of Federal participation in purchases.
8. Will comply with the provisions of the Hatch Act (5 U.S.C.
Secs. 1501-1508 and 7324-7328) which limit the political activities of
employees whose principal employment activities are funded in whole or
in part with Federal funds.
9. Will comply, as applicable, with the provisions of the Davis-
Bacon Act (40 U.S.C. Secs. 276a to 276a-7), the Copeland Act (40 U.S.C.
Sec. 276c and 18 U.S.C. Secs. 874), and the Contract Work Hours and
Safety Standards Act (40 U.S.C. Secs. 327-333), regarding labor
standards for federally assisted construction subagreements.
10. Will comply, if applicable, with flood insurance purchase
requirements of Section 102(a) of the Flood Disaster Protection Act of
1973 (P.L. 93-234) which requires recipients in a special flood hazard
area to participate in the program and to purchase flood insurance if
the total cost of insurable construction and acquisition is $10,000 or
more.
11. Will comply with environmental standards which may be
prescribed pursuant to the following: (a) institution of environmental
quality control measures under the National Environmental Policy Act of
1969 (P.L. 91-190) and Executive Order (EO) 11514; (b) notification of
violating facilities pursuant to EO 11738; (c) protection of wetlands
pursuant to EO 11990; (d) evaluation of flood hazards in floodplains in
accordance with EO 11988; (e) assurance of project consistency with the
approved State management program developed under the Coastal Zone
Management Act of 1972 (16 U.S.C. Secs. 1451 et seq.); (f) conformity
of Federal actions to State (Clear Air) Implementation Plans under
Section 176(c) of the Clear Air Act of 1955, as amended (42 U.S.C.
Sec. 7401 et seq.); (g) protection of underground sources of drinking
water under the Safe Drinking Water Act of 1974, as amended, (P.L. 93-
523); and (h) protection of endangered species under the Endangered
Species Act of 1973, as amended, (P.L. 93-205).
12. Will comply with the Wild and Scenic Rivers Act of 1968 (16
U.S.C. Secs. 1271 et seq.) related to protecting components or
potential components of the national wild and scenic rivers system.
13. Will assist the awarding agency in assuring compliance with
Section 106 of the National Historic Preservation Act of 1966, as
amended (16 U.S.C. 470), EO 11593 (identification and protection of
historic properties), and the Archaeological and Historic Preservation
Act of 1974 (16 U.S.C. 469a-1et seq.). [[Page 6133]]
14. Will comply with P.L. 93-348 regarding the protection of human
subjects involved in research, development, and related activities
supported by this award of assistance.
15. Will comply with the Laboratory Animal Welfare Act of 1966
(P.L. 89-544, as amended, 7 U.S.C. 2131 et seq.) pertaining to the
care, handling, and treatment of warm blooded animals held for
research, teaching, or other activities supported by this award of
assistance.
16. Will comply with the Lead-Based Paint Poisoning Prevention Act
(42 U.S.C. Secs. 4801 et seq.) which prohibits the use of lead based
paint in construction or rehabilitation of residence structures.
17. Will cause to be performed the required financial and
compliance audits in accordance with the Single Audit Act of 1984.
18. Will comply with all applicable requirements of all other
Federal laws, executive orders, regulations and policies governing this
program.
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Signature of Authorized Certifying Official
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Title
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Applicant Organization
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Date Submitted
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Certification Regarding Debarment, Suspension, and Other Responsibility
Matters--Primary Covered Transactions
By signing and submitting this proposal, the applicant, defined as
the primary participant in accordance with 45 CFR Part 76, certifies to
the best of its knowledge and believe that it and its principals:
(a) are not presently debarred, suspended, proposed for debarment,
declared ineligible, or voluntarily excluded from covered transactions
by any Federal Department or agency;
(b) have not within a 3-year period preceding this proposal been
convicted of or had a civil judgment rendered against them for
commission of fraud or a criminal offense in connection with obtaining,
attempting to obtain, or performing a public (Federal, State, or local)
transaction or contract under a public transaction; violation of
Federal or State antitrust statutes or commission of embezzlement,
theft, forgery, bribery, falsification or destruction of records,
making false statements, or receiving stolen property;
(c) are not presenting indicted or otherwise criminally or civilly
charged by a governmental entity (Federal, State or local) with
commission of any of the offenses enumerated in paragraph (1)(b) of
this certification; and
(d) have not within a 3-year period preceding this application/
proposal had one or more public transactions (Federal, State, or local)
terminated for cause or default.
The inability of a person to provide the certification required
above will not necessarily result in denial of participation in this
covered transaction. If necessary, the prospective participant shall
submit an explanation of why it cannot provide the certification. The
certification or explanation will be considered in connection with the
Department of Health and Human Services (HHS) determination whether to
enter into this transaction. However, failure of the prospective
primary participant to furnish a certification or an explanation shall
disqualify such person from participation in this transaction.
The prospective primary participant agrees that by submitting this
proposal, it will include the clause entitled ``Certification Regarding
Debarment, Suspension, Ineligibility, and Voluntary Exclusion--Lower
Tier Covered Transaction.'' provided below without modification in all
lower tier covered transactions and in all solicitations for lower tier
covered transactions.
Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion--Lower Tier Covered Transactions
(To Be Supplied to Lower Tier Participants)
By signing and submitting this lower tier proposal, the prospective
lower tier participant, as defined in 45 CFR Part 76, certifies to the
best of its knowledge and belief that it and its principals:
(a) are not presently debarred, suspended, proposed for debarment,
declared ineligible, or voluntarily excluded from participation in this
transaction by any federal department or agency.
(b) where the prospective lower tier participant is unable to
certify to any of the above, such prospective participant shall attach
an explanation to this proposal.
The prospective lower tier participant further agrees by submitting
this proposal that it will include this clause entitled ``certification
Regarding Debarment, Suspension, Ineligibility, and Voluntary
Exclusion--Lower Tier Covered Transactions. ``without modification in
all lower tier covered transactions and in all solicitations for lower
tier covered transactions.
Certification Regarding Lobbying
Certification for Contracts, Grants, Loans, and Cooperative Agreements
The undersigned certifies, to the best of his or her knowledge and
belief, that:
(1) No Federal appropriated funds have been paid or will be paid,
by or on behalf of the undersigned, or to any person for influencing or
attempting to fluence an officer or employee of any agency, a Member of
Congress, an officer or employee of Congress, or an employee of a
Member of Congress in connection with the awarding of any Federal
contract, the making of any Federal grant, the making of any Federal
loan, the entering into of any cooperative agreement, and the
extension, continuation, renewal, amendment, or modification of any
Federal contract, grant, loan, or cooperative agreement.
(2) If any funds other than Federal appropriated funds have been
paid or will be paid to any person for influencing or attempting to
influence an officer or employee of any agency, a Member of Congress,
an officer or employee of Congress, or an employee of a Member of
Congress in connection with this Federal contract, grant, loan or
cooperative agreement, the undersigned shall complete and submit
Standard Form-LLL, ``Disclosure Form to Report Lobbying,'' in
accordance with its instructions.
(3) The undersigned shall require that the language of this
certification be included in the award documents for all subawards at
all tiers (including subcontracts, subgrants, and contracts under
grants, loans, and cooperative agreements) and that all subrecipients
shall certify and disclose accordingly.
This certification is a material representation of act upon which
reliance was placed when this transaction was made or entered into.
Submission of this certification is a prerequisite for making or
entering into this transaction imposed by section 1352, title 31, U.S.
Code. Any person who fails to file the required certification shall be
subject to a civil penalty of not less than $10,000 and not more than
$100,000 for each such failure.
State for Loan Guarantee and Loan Insurance
The undersigned states, to the best of his or her knowledge and
belief, that:
If any funds have been paid or will be paid to any person for
influencing or attempting to influence an officer or employee of any
agency, a Member of Congress, an officer or employee of Congress, or an
employee of a Member of Congress in connection with this commitment
providing for the United States to insure or guarantee a loan, the
undersigned shall complete and submit Standard Form-LLL ``Disclosure
Form to Report Lobbying,'' in accordance with its instructions.
Submission of this statement is a prerequisite for making or
entering into this transaction imposed by section 1352, title 31, U.S.
Code. Any person who fails to file the require statement shall be
subject to a civil penalty of not less than $10,000 and not more than
$100,000 for each such failure.
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Signature
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Title
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Organization
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Date
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BILLING CODE 4184-01-C
