[Federal Register Volume 62, Number 67 (Tuesday, April 8, 1997)]
[Notices]
[Pages 16840-16862]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-8840]
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Administration for Children and Families
[Program Announcement No. 93600-97-1]
Availability of Funds and Request for Applications Fiscal Year
1997 Discretionary Announcement for Cooperative Agreements To Support
Head Start Quality Improvement Centers
AGENCY: Administration on Children, Youth and Families, ACF, DHHS.
ACTION: Announcement of the availability of fiscal year 1997 funds and
request for applications for 16 multi-year Head Start Quality
Improvement Centers to provide training and technical assistance to
local Head Start projects.
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SUMMARY: The Administration for Children and Families, Administration
on Children Youth and Families' Head Start Bureau announces the
availability of competitively awarded cooperative agreement grants to
assist qualified institutions and organizations in the provision of
training and technical assistance (T/TA) to local Head Start projects
in 16 service areas. The cooperative agreements will support Head Start
Quality Improvement Centers (HSQICs). ACF Regions I, III, VII, VIII,
IX, X, the American Indian Program and Migrant Program Branches will
have one HSQIC each while ACF Regions II, IV, V, and VI will have two
HSQICs. The States included in each of these 16 service areas are
listed in Appendix A.
DATES: The closing date for receipt of applications under this
announcement is June 9, 1997.
FOR FURTHER INFORMATION CONTACT: Questions related to the Program
Announcement, please contact the ACYF Operations Center, Technical
Assistance Team at 1-800-351-2293. Staff at this center will answer
questions regarding the application requirements or refer you to the
appropriate contact person in ACYF for programmatic questions. You may
also locate frequently asked questions about this program announcement
on the ACYF Website at http://www.acf.dhhs.gov.
Background and Program Purpose
Head Start is a national program that provides comprehensive
developmental services for preschool children, ages three to five from
low-income families and, under the Early Head Start program, for
infants, toddlers and pregnant women. An essential feature of every
Head Start program is the involvement of parents, both in the
development of their children and in the direction of the program at
the local level.
Now administered by the Administration for Children and Families,
the Head Start program began in 1965 in the Office of Economic
Opportunity as an innovative way to serve children and their low-income
families. For FY 1997, $3,981,000,000 is available for Head Start and
approximately 752,000 children are expected to be enrolled.
Approximately 1,430 community-based, public and private non-profit
organizations receive Head Start grants and develop unique and
innovative programs within a framework of national standards to meet
their specific local needs. Head Start links families with other
community institutions and local education agencies through both center
and home-based programs.
In FY 1994 the Advisory Committee on Head Start Quality and
Expansion issued its recommendations for improvement and expansion. It
recommended that Head Start (1) Strive to achieve quality and
excellence in every local Head Start program, (2) respond flexibly to
the needs of the children served and their families and (3) forge new
partnerships at the community, State and Federal levels. The Committee
found that most Head Start grantees provide high quality services;
however, the quality of programs is uneven across the country.
In renewing the Head Start vision in a way that responds more
effectively to a changing world, Head Start is continuing to provide
high quality comprehensive services and to strive for excellence. As
Head Start is expanding and renewing itself, there is a concomitant
need for assistance from institutions and organizations that can
provide effective and responsive training and technical assistance that
support the work of the grantee and delegate agencies that directly
provide the services to children and their families.
The Head Start Quality Improvement Centers (HSQICs) created through
this announcement will form a regionally-based system, composed of
institutions and organizations whose common purpose will be to work
with local Head Start programs through training and technical
assistance (T/TA). This nationwide T/TA effort is designed to support
the continuous improvement of all grantees and delegate agencies as
they work to provide high quality and effective services to children
and families and address the emerging priorities of child care
partnerships, Head Start expansion and welfare reform. The T/TA system
reflects a national commitment to quality improvement, local capacity-
building and ongoing evaluation.
In previous years, ACF operated its national Head Start T/TA system
through contracts, acquiring the services of qualified providers to
meet the training and technical assistance needs of local Head Start
programs. In this announcement, ACF responds to the recommendations of
the Secretary's Advisory Committee on Head Start Quality and Expansion
and to consultations with more than 1,000 people in the field of Head
Start and early childhood development to redesign its T/TA system. This
cooperative agreement approach will provide assistance to institutions
and organizations with expertise in the field of early childhood
development and education to: Respond to the needs of grantees and
delegate agencies and of communities for flexible technical assistance;
expand the influence of Head Start as a national laboratory to other
community- and academically-based early childhood programs; and to work
with grantees and delegate agencies and with communities in
[[Page 16841]]
achieving continuous quality improvement of their services for children
and low-income families. Rather than a system of T/TA that relies
principally on Federal direction and decision-making, this new approach
seeks to assist experts in the communities where Head Start programs
provide services in becoming collaborators in a renewed quality
improvement effort.
This revised Head Start T/TA system will promote excellence by
supporting a continuous learning environment for Head Start staff. It
will foster partnerships among Head Start programs, communities,
academic institutions (two or four year colleges and universities) and
governments to engage them in helping children, parents, and staff
develop their full potential.
The HSQICs are to work with Head Start grantees to enable Head
Start programs to develop the following capacities:
Provide effective early childhood education programs
that model a comprehensive child development approach;
Enhance the quality of life and maximize the potential
of Head Start-eligible children and their families;
Identify and effectively access a wide variety of
resources available to the grantees and delegate agencies, both
within and outside Head Start;
Integrate all of the component resources available to a
Head Start program so as to enhance and reinforce a comprehensive
approach to families and children;
Establish and maintain linkages with the child care
community to assure effective partnerships among providers of child
development programs; and
Maintain the unique qualities of Head Start and help
sustain these qualities through periods of growth and change.
Among the services the HSQICs will provide are the following:
Provide joint training opportunities with academic
institutions for clusters of grantees that have the same needs based
on an in-depth needs assessment.
Interact with Head Start State Associations and
American Indian and Migrant Head Start Associations, State agencies
and community organizations to coordinate services and to track
relevant State legislation and regulations.
Focus upon management, coordination and facilitation of
T/TA services within the Region or sub-Region.
Enhance local program capacity to ensure continuous
improvement.
Establish and maintain a cadre of qualified, locally-
based consultants to provide T/TA.
Customize services based upon research and supported by
state-of-the-art technology.
Facilitate information sharing and collaboration with
stakeholders in Head Start and in the early child care communities
as well as academic communities.
Engage in an ongoing strategic planning process that
will allow the system to adapt to a demanding and changing
environment.
The HSQICs will each establish structures for the delivery of
services that meet the needs of their service area. We expect these
structures will vary from HSQIC to HSQIC. These structures might
involve creating one or more satellite sites to serve the Head Start
grantees in a State, in several States or a cluster of grantees in
parts of one or more States. Such State or cluster sites may be used to
establish a presence closer to grantee communities. Large States may
have more than one cluster site and smaller States may share a cluster
site. The American Indian Programs Branch's HSQIC may have up to three
cluster sites and the Migrant Programs Branch's HSQIC may have up to
two cluster sites. In other instances, a HSQIC might assign staff
within its central office to serve as liaison to grantees in a State or
part of a State. Applicants are encouraged to propose efficient and
effective approaches to achieving this kind of geographic proximity.
It is assumed that Head Start grantees and delegate agencies will
have varying levels of T/TA needs and will, therefore, seek varying
levels of assistance from this project.
HSQICs will be responsible for fulfilling the program goals and
objectives outlined in their applications, including responsibilities
for directing, managing and implementing programs of training and
technical assistance for the Regions that they serve. These programs
should be tailored to meet the needs of the various Head Start
grantees, the state of the field of early childhood, and the existing
resources within the Region or sub-Region.
Additional information about the range of program areas and needs
of Head Start grantees and guidance to approaches to training and
technical assistance is provided in Appendix B.
Federal Involvement
Federal involvement in the HSQICs will include substantial roles
for the Head Start Bureau, which includes the American Indian Programs
Branch and the Migrant Programs Branch, and the ACF Regional Offices.
Substantial Head Start Bureau and ACF Regional Office involvement with
the HSQIC will occur when:
Changes in initiatives or national Head Start policy
need to be communicated to the HSQIC because of the effect on the
Head Start programs with which the HSQICs are working;
Federal approval is needed for the HSQIC to select or
award a subgrant or contract;
Federal consultation and approval is needed in the
selection of a project director;
Federal collaboration or joint planning and
participation in conferences or meetings with Head Start programs
and child development professionals will achieve efficiencies and
more effective agendas; and
Participation on the HSQIC's Regional T/TA Coordinating
Council with others, as described in Appendix B, will assist the
HSQIC provider in setting overall policies and in conducting an
ongoing evaluation of the T/TA provided.
The roles of the Head Start Bureau and ACF Regional Offices are as
follows:
The Head Start Bureau will:
Provide leadership and support for the national Head
Start T/TA system, which includes the use of national contractors
and HSQICs to support meetings, program monitoring, materials
development and other specific needs;
Set Head Start program priorities and formulate new
initiatives that may affect the plans and priorities of the HSQICs,
and consult regularly with the HSQICs to ensure that they are fully
informed of these national priorities and initiatives;
Set standards for the HSQICs in the provision of
quality Head Start T/TA services for children and families;
Foster collaboration within and outside of Head Start,
develop partnerships among Federal programs, and promote
partnerships with the business community;
Conduct semiannual T/TA meetings, to which the HSQICs
will be invited; and
Monitor the HSQICs to ensure accountability and fiscal
responsibility throughout the T/TA system.
The ACF Regional Offices and the Head Start Bureau's American
Indian Programs Branch and Migrant Programs Branch will each:
Appoint a T/TA coordinator to coordinate Regional or
sub-Regional T/TA services and to serve as a liaison with the HSQIC;
Participate in the HSQIC's Regional or sub-Regional
Coordinating Council, as described in Appendix B;
Review a summary of the needs assessments and the T/TA
plans for grantees in the Region or sub-Region in order to
effectively coordinate T/TA activities;
Conduct bimonthly (every other month) conference calls
or Regional or sub-Regional T/TA coordinating meetings;
Attend national T/TA meetings;
Seek out collaborations within and outside the Head
Start program by participating on the HSQIC's Regional or sub-
Regional Coordinating Council; exhibiting leadership in coordinating
child care/Head Start partnerships and working with the Head Start
State Collaboration grantees;
Annually review all services performed by the Regional
HSQIC prior to submission of the continuation application in order
to provide relevant consultation to the HSQIC and Regional or sub-
Regional coordination;
[[Page 16842]]
Conduct reviews and manage the follow-up process for
deficient grantees, i.e., carry out joint planning with the HSQIC
designed to address identified deficiencies and to identify the T/TA
needed by deficient grantees in order to implement their Quality
Improvement Plans (QIPs); and
Encouraging well-performing grantees to develop their
own T/TA plans and to implement their own T/TA.
Program Duration
This announcement is soliciting applications for project periods up
to five years. Awards, on a competitive basis, will be for a one-year
budget period. Applications for continuation cooperative agreements
funded under these awards beyond the one-year budget period, but within
the five-year project period, will be entertained in subsequent years
on a noncompetitive basis, subject to the availability of funds,
satisfactory progress of the cooperative agreement grantee and a
determination that continued funding would be in the best interest of
the government.
Eligible Applicants
Public, private nonprofit, and private for-profit organizations are
eligible to apply for these cooperative agreements. It should be noted
that for-profit organizations must waive their fee/profit.
Only incorporated agencies and organizations, not individuals, are
eligible to apply. On all applications developed jointly by more than
one agency or organization, the application must identify only one
organization as the lead organization and the official applicant. The
other organizations may be included as participants, subgrantees or
subcontractors.
Before the applications are reviewed, each application will be
screened to determine that the applicant organization is an eligible
applicant as specified. Ineligible applicants will be notified at that
time.
Project Development
Applicants are urged to discuss their interests and ideas for
developing HSQICs early in the planning stage with local Head Start
grantees and appropriate State, Regional, and local agencies. Community
support should be encouraged by providing opportunities for public and
private participation in the planning and development phases.
This program is covered under Executive Order 12372,
``Intergovernmental Review of Federal Programs,'' and 45 CFR Part 100,
``Intergovernmental Review of Health and Human Services Program and
Activities.''
Under the Executive Order, States may design their own processes
for reviewing and commenting on proposed Federal assistance under
covered programs. All jurisdictions which participate in the Executive
Order process have established Single Points of Contact (SPOCs). A list
of the Single Points of Contact for each State and Territory is
included in this program announcement as Appendix C. Applicants from
participating jurisdictions should contact their SPOCs as soon as
possible to alert them to the prospective applications and to receive
instructions. Applicants must submit any required material to the SPOCs
as soon as possible so that the ACF program office can obtain and
review SPOC comments as part of the award process. The applicant must
submit all required materials, if any, to the SPOC and indicate the
date of this submittal (or the date of contact if no submittal is
required) on the Standard Form 424, item 16a. Under 45 CFR 100.8(a)(2),
a SPOC has 60 days from the application deadline to comment on proposed
new and 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 may trigger the ``accommodate or
explain'' rule. When comments are submitted directly to ACF, they
should be addressed to: Department of Health and Human Services, Head
Start Bureau, Administration on Children, Youth and Families, P.O. Box
1182, 330 C Street, S.W., Washington, D.C. 20201.
Completing the Application
In preparing the application, use standard English language and
avoid jargon. For the program narrative, type using black print no
smaller than 12 pitch or 12 point size. An application may not exceed
250 double-spaced pages inclusive of resumes, charts and appendices. If
applications exceed 250 double-spaced pages, the other pages will be
removed from the application and not considered by the reviewers.
Each copy should be secured with a binder clip in the upper left-
hand corner. The application must be paginated beginning with the
Standard Form 424 (SF-424) and also contain a table of contents listing
each section of the application with the respective pages. To
facilitate handling, do not use covers, ring binders or tabs.
Applicants are requested not to send pamphlets, brochures, or other
printed materials as these pose xeroxing difficulties nor should any
video material be submitted. These materials, if submitted, will not be
included in the review process if they exceed the page limitation. Each
page of the application will be counted to determine total length.
Applicants are advised that the copies of application submitted, not
the original, will be reproduced by the Federal government for review.
Instructions for completing the forms are found either on the
reverse sides of the forms or on supplemental pages.
Additional guidance may be provided in the program announcement. If
more space is needed than is provided, use a blank sheet of paper to
complete the item, using the identical format. Clearly identify the
continuation page as such, and the information items contained thereon,
and attach the page after the appropriate page of the application.
Computer-generated facsimiles may be substituted for any of the forms
provided in this packet. Such substitute forms should be printed in
black ink and must maintain the exact wording and format of the
government-printed forms, including all captions and spacing. Any
deviations may be grounds for ACF to reject the entire application.
Additional note: For SF-424 item ``Federal Identifier,'' if the
applicant organization currently has a payment account with the
Department of Health and Human Services, cite the Payee EIN or PIN in
the ``Federal Identifier'' block.
Assembling
To facilitate the review and processing of the application by the
awarding office, all pages should be numbered and preceded by a table
of contents. Assemble the application with the cover letter (if
provided) on top followed by a table of contents, the SF-424 series
forms, the program narrative, and any remaining documents. Completed
applications should be signed and dated in ink by the authorized
official of the applicant organization. An original and two copies of
the application should be provided. Applicants may omit from the
application copies which will be made available to the non-Federal
reviewers that specify salary rates or amounts for individuals
identified in the application budget. Rather, only summary information
is required.
Applicants are encouraged to use the least costly, but most
efficient method for binding and securing their application documents.
Application Submission
Mail or hand deliver completed applications in accordance with the
instructions in this announcement. Be
[[Page 16843]]
aware that the deadline specified in this announcement is either a
`receipt date' or a `postmark date' deadline. Also note that there are
different instructions and addresses for mail delivery and hand
delivery of applications. ACF cannot accommodate transmissions of
applications by fax or through other electronic media. Therefore,
applications transmitted to ACF electronically will not be accepted
regardless of date or time of submission and time of receipt.
An applicant should submit an original and two copies of its
application by mail to: ACYF Operations Center, 3030 Clarendon Blvd.,
Room 240, Arlington, Virginia 22201, (703) 351-7676, (703) 528-0716
(FAX).
An applicant may apply for more than one Regional or sub-Regional
service area, but must submit a separate application for each service
area for which it is applying.
Applications hand-carried by applicants, applicant couriers, or by
overnight/express mail couriers shall be considered as meeting an
announced deadline date if delivered between the normal working hours
of 8 a.m. and 4:30 p.m., to Room 240, 3030 Clarendon Blvd., Arlington,
Virginia, Monday through Friday, (excluding Federal holidays).
(Applicants are cautioned that express/overnight mail services do not
always deliver as agreed.)
The closing date for the submission of applications under this
announcement is June 9, 1997.
Deadlines: Applications will be considered as meeting the above
deadline if they are either:
1. received on or before the deadline date at the receipt point
specified in this program announcement, or
2. sent on or before the deadline date and received by ACF in
time for the independent review.
Applicants are responsible for mailing applications well in
advance, when using all mail services, to ensure that applications are
received on or before the deadline date.
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 above are considered
late applications. ACF will notify each late applicant that its
application will not be considered in the current competition.
ACF may extend the deadline for all applicants because of acts of
God such as floods, hurricanes, etc., or when there is a widespread
disruption of the mails. However, if ACF does not extend the deadline
for all applicants, it may not waive or extend the deadline for any
applicants.
Intent To Apply
If you are going to submit an application, send a postcard or call
in the following information: the name, address, and telephone number
of the contact person; the name of the organization; and the Regional
or sub-Regional service area in which you may submit an application
within two weeks of receipt of this announcement to: Administration on
Children, Youth and Families, Operations Center, 3030 Clarendon
Boulevard, Room 240, Arlington, Va. 22201. The telephone number is 1-
800-351-2293. This information will be used to determine the number of
expert reviewers needed and to update the mailing list of persons to
whom the program announcement is sent.
Acknowledgement of Receipt
Each applicant will be sent a written acknowledgement of receipt by
ACF as soon as possible after receipt of an application. Applicants are
welcome to provide a mailing label with their application to help
expedite this process. If provided, the mailing label should reflect
the mailing address of the authorizing official who is applying on
behalf of the organization. If acknowledgment of receipt of your
application is not received within eight weeks after the deadline date,
please notify the ACYF Operations Center by telephone at 1-800-351-
2293.
Nonconforming Applications
Applications which are determined to be nonconforming shall not be
accepted for processing and shall be returned to the applicant. A grant
application may be classified as nonconforming if it does not meet the
requirements of this program announcement.
Application Review
Applications will be evaluated and rated according to criteria and
priorities which are established for the particular grant program
involved and which are described in this announcement (see below).
ACF anticipates awarding cooperative agreements for the T/TA grants
described in this announcement. A cooperative agreement is a financial
assistance award that allows substantial Federal involvement in the
activities undertaken with Federal financial support. Supporting the
HSQICs through cooperative agreements will ensure cooperation and
coordination in the provision of T/TA to Head Start programs and
related community child development efforts between the Federal
government and the organizations and institutions that operate HSQICs.
Timely applications from eligible applicants will be reviewed and
scored competitively. Experts in the field, generally persons from
outside the Federal government, will use the evaluation criteria listed
below to review and score the applications. The results of this review
are the primary factor in making funding decisions. ACYF may also
solicit written comments from ACF Regional Offices, the Head Start
Bureau and other Federal agencies with knowledge of the applicant's
capability and expertise. These comments, along with those of the
expert reviewers, will be considered in making funding decisions and
will be a part of the official application file.
The applicant must demonstrate capacities to work with community-
based, family-centered programs, low-income families, and the public
and private organizations that relate to them. There must be a
congruence of the applicant's mission or purpose with the basic mission
of the Head Start program to provide comprehensive child development
services for the children of low-income families.
Evaluation Criteria
All timely applications from eligible applicants will be evaluated
on the extent to which they meet the following criteria:
a. Objectives and Need for Assistance (10 points) The applicant
clearly and concisely identifies and documents relevant economic,
social, financial, institutional and other problems requiring
training and technical assistance; and states the principal and
subordinate objectives of the proposed HSQIC. Supporting
documentation or other testimony from concerned interests other than
the applicant on the need for assistance may be used.
b. Results or Benefits Expected (10 points) The applicant
clearly and concisely identifies the specific and measurable results
and benefits to be achieved by the proposed HSQIC, which are
consistent with the objectives of the proposal, and indicates
anticipated contributions to the quality of Head Start services,
policy, and practice.
c. Approach (40 points) The applicant describes how the project
will be conducted. The applicant describes: How grantees will be
supported in moving toward higher levels of quality and excellence;
the levels of training and technical assistance service that will be
provided to different categories of
[[Page 16844]]
grantees and how grantees will be selected for each level of
service; the uses that will be made of communication technology and
learning modules; how priorities will be set among competing
demands; and how work assignments will be managed. The applicant
proposes a realistic and comprehensive plan of action for achieving
the objectives of the proposed HSQIC; details how the proposed
training and technical assistance would be accomplished and lists
organizations, consultants, and other key individuals who will work
on the project; and describes its approach to ensuring continuous
improvement in its efforts to meet the identified needs and to
achieve the identified results and benefits.
d. Staff Background and Organization's Experience (20 points)
The applicant identifies qualified staff with the necessary
educational and experiential backgrounds and documents the
background of the proposed project director and other proposed
project staff (providing name, address, training, most relevant
educational background and other qualifying experiences along with
resumes and short descriptions of their proposed responsibilities or
contributions to the applicant's work plan); the experience of the
applicant in administering a project like the one proposed; and the
applicant's ability to effectively and efficiently administer this
project.
e. Budget Appropriateness and Reasonableness (20 Points) The
applicant clearly describes and justifies as reasonable and
realistic the project's costs in view of the activities to be
carried out and the anticipated outcomes.
Funding Decisions
After a decision has been reached to disapprove or not fund a grant
submission during a given review cycle, a written notice shall be sent
to the unsuccessful applicant by the responsible program official
within 30 days after that decision.
After Federal funds are exhausted for a grant competition,
applications which have been independently reviewed and ranked but have
no final disposition (neither approved nor disapproved for funding) may
again be considered for funding. Reconsideration may occur at any time
funds become available within 12 months following ranking. ACF does not
select from multiple ranking lists for a program. Therefore, should a
new competition be scheduled and applications remain ranked without
final disposition, applicants are informed of their opportunity to
reapply for the new competition, to the extent practical.
The anticipated annual funding for the HSQICs will range from a
minimum of approximately $775,000 to a maximum of approximately
$2,400,000, depending upon the service area. These amounts are
generally proportionate to a combination of the number of Head Start
children and the number of Head Start grantees in each service area, as
compared to other service areas. Below is a list of the projected
annual funding level for the initial funding year for each service
area. It is anticipated that funding for each of the four possible
subsequent years of funding will, at a minimum, equal the funds
available for the first year.
------------------------------------------------------------------------
Number of
grantees in Estimated
Service areas service funding
area
------------------------------------------------------------------------
Region I...................................... 80 $1,164,170
Region II(a).................................. 92 1,718,000
Region II(b).................................. 14 778,050
Region III.................................... 146 1,970,700
Region IV(a).................................. 118 1,711,000
Region IV(b).................................. 115 2,330,000
Region V(a)................................... 88 1,519,000
Region V(b)................................... 125 2,188,500
Region VI(a).................................. 86 1,431,490
Region VI(b).................................. 94 1,656,000
Region VII.................................... 73 1,204,350
Region VIII................................... 75 1,273,390
Region IX..................................... 79 2,374,520
Region X...................................... 64 922,040
American Indian Programs...................... 130 1,512,500
Migrant Programs.............................. 25 1,696,290
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Program income must be reported to ACF, and its use, accounted for
on the SF 269, must enhance the ACF cooperative agreement projects and
benefit the Head Start grantees. The income must be added to funds
committed to the cooperative agreement and must be used to further
eligible program objectives. There is no requirement to request prior
approval to defer the use of program income for a later period of time.
It is anticipated that eight Regional and eight sub-Regional HSQICs
will be funded under this announcement. ACYF intends to award the new
cooperative agreements under this announcement during the third or
fourth quarters of FY 1997.
Program Narrative
The program narrative provides a major means by which the
application is evaluated and ranked to compete with other applications
for available assistance. It should be concise and complete and should
address the activity for which Federal funds are being requested.
Supporting documents should be included when they can present
information clearly and succinctly. Applicants are encouraged to
provide information on their organization structure, staff, related
experience, and other information considered to be relevant. Awarding
offices use this and other information to determine whether the
applicant has the capability and resources necessary to carry out the
proposed project. It is important, therefore, that this information be
included in the application. However, in the narrative, the applicant
must distinguish between resources directly related to the proposed
project and those which will not be used in the support of the specific
project for which funds are being requested.
Cross-referencing should be used rather than repetition. ACF is
particularly interested in specific factual information and statements
of measurable goals in quantitative terms. Narratives are evaluated on
the basis of substance, not length. Extensive exhibits are not
required. (Supporting information concerning activities which will not
be directly funded by the grant or information which does not directly
pertain to an integral part of the grant funded activity should be
placed in an appendix.) Pages should be numbered for easy reference.
Prepare the program narrative statement using the following format
and guidance:
1. Project Summary/Abstract. A summary of the project description
(usually a page or less) with reference to the funding request should
be placed directly behind the table of contents or SF-424.
2. Objectives and Need for Assistance. Applicants must clearly
identify the physical, economic, social, financial, institutional or
other T/TA problems requiring solutions. The need for assistance must
be demonstrated and the principal and subordinate objectives of the
project must be clearly stated; supporting documentation, such as
letters of support and testimonials from concerned interests other than
the applicant, may be included. Any relevant data based on planning
studies should be included or referenced in the endnotes/footnotes.
Incorporate demographic data and participant/beneficiary information,
as needed. In developing the narrative, the applicant is requested to
provide information on the total range of projects currently conducted
and supported (or to be initiated), some of which may be outside the
scope of the program announcement.
3. Results or Benefits Expected. Identify the results and benefits
to be derived from the T/TA services to be provided.
4. Approach. Outline a plan of action that describes the scope and
detail of how the proposed work would be accomplished. Account for all
functions or activities identified in the
[[Page 16845]]
application. Cite factors which might accelerate or decelerate the work
and state your reasons for taking your approach rather than others.
Describe unusual features of the project such as use of
technological innovations, reductions in costs or time, or
extraordinary social and community involvement.
Successful applicants will present approaches for providing
training and technical assistance to Head Start programs that take into
account that some grantees and delegate agencies may have self-
sufficient, well-developed and multifaceted T/TA efforts, while other
grantees and delegate agencies may have a greater need for T/TA from
Regionally-based providers. Additional guidance on project design is
provided in Appendix B.
Describe the approaches to be taken and the issues taken into
consideration for establishing close working relationships at State
levels or with geographically defined clusters of grantees.
Describe how the T/TA services would be designed for or could be
adapted for local Head Start programs in a variety of settings
including center-based, home-based, combination, part-and full-day
programs.
Describe a strategy for working in cooperation with the ACF
Regional Office responsible for the service area in which the
application proposes to provide T/TA or with the American Indian
Program Branch and Migrant Programs Branch, respectively.
5. Geographic Location. Give the precise location of the HSQIC and/
or State/cluster sites and the boundaries of the area to be served by
the proposed project. Maps or other graphic aides may be attached.
6. Additional Information. Staffing and Position Data--Provide
biographical sketches for key personnel proposed and a job description
for each vacant key position.
Organization Profiles--Describe your institutional/organizational
capability and background in early childhood development/early
childhood education, Head Start programs, child care, family support,
community building, higher education/training and T/TA delivery.
Include information on applicant organizations and their
cooperating partners such as organizational charts, financial
statements, audit reports or statements from a CPA/Licensed Public
Accountant, Employer Identification Numbers, names of bond carriers,
contact persons and telephone numbers for chief organizational
officer(s).
Any nonprofit organization submitting an application must submit
proof of its nonprofit status in its application at the time of
submission. The nonprofit agency can accomplish this by providing a
copy of the applicant's listing in the Internal Revenue Service's (IRS)
most recent list of tax-exempt organizations described in Section
501(c)(3) of the IRS code or by providing a copy of the currently valid
IRS tax exemption certificate, or by providing a copy of the articles
of incorporation bearing the seal of the State in which the corporation
or association is domiciled.
For profit organizations submitting an application must include a
written statement which certifies that they operate as a corporation
incorporated under the laws of the State of [fill in the blank], and
must provide proof of this status.''
Third-Party Agreements--Provide written agreements between grantees
and subgrantees or subcontractors or other cooperating entities. These
agreements may detail scope of work, work schedules, remuneration, and
other terms and conditions that structure or define the relationship.
Letters of Support--Provide statements from community, public and
commercial leaders who support the project proposed for funding.
Reporting--Provide quarterly progress reports for seriously
deficient grantees, and describe how they were generated and
coordinated with the Federal Project Officer and the Regional
Coordinator i.e., quarterly statistics on: the number of on-site T/TA
visits, the number of conferences/workshops, the number of local T/TA
resources accessed, the number of child care programs receiving T/TA
services.
Provide a quarterly financial statement which includes information
on the amount of funds expended during the quarter, the cumulative
amount expended, and the amount of funds remaining available.
Note: Eligible applicants must submit a complete application
including the required forms included at the end of this program
announcement.
In order to be considered for a cooperative agreement under this
announcement, an application must be submitted on the forms and follow
the directions provided in this announcement, all of which are approved
by the Office of Management and Budget under Control Number 0970-0139.
Required forms include the Standard Form 424 application form and
Standard Form 424B, ``Assurances: Non-Construction Programs.''
Applicants must provide a certification concerning lobbying on the
form provided (OMB-0348-0046). Prior to receiving an award in excess of
$100,000, applicants shall furnish an executed copy of the lobbying
certification. Applicants must sign and return the certifications with
their application.
Applicants must make the appropriate certification of their
compliance with the Drug-Free Work Place Act of 1988. By signing and
submitting the application, applicants are providing the certification
and need not mail back the certification with the application.
Applicants must make the appropriate certification that they are
not presently debarred, suspended or otherwise ineligible for award. By
signing and submitting the application, applicants are providing the
certification and need not mail back the certification with the
application.
Applicants must also understand that they will be held accountable
for the smoking prohibition included within P.L. 103-227, The Pro-
Children's Act of 1994. A copy of the Federal Register notice which
implements the smoking prohibition is included with the forms.
Paperwork Reduction Act of 1995
Under the Paperwork Reduction Act of 1995 (Pub. L. 104-13), the
Department is required to submit to the Office of Management and Budget
(OMB) for review and approval any reporting and record-keeping
requirement or program announcements. This program announcement meets
all information collection requirements approved for ACF grant
applications under OMB Control Number 0970--139.
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.
Additional Information To Assist Applicants in Preparing Their
Applications
For an information kit which identifies the Head Start grantees in
each Regional and sub-Regional service area and which includes a copy
of the revised Head Start Performance Standards, a copy of the Head
Start regulations and other materials that may be useful in preparing
of a response to this announcement, please contact: ACYF Operations
Center, 3030 Clarendon Blvd., Suite 240, Arlington, Virginia 22201,
703-351-7676, 703-528-0716 (FAX).
Six information sharing meetings will be conducted in person or via
video-
[[Page 16846]]
conference in the following locations and at the following times:
(Please call the telephone numbers below for information about exact
time and place):
Washington, D.C., Switzer Building, Room 2100, 330 C
Street, S.W., Contact: Rosalind Dailey, (202) 205-8347.
New York, NY, ACF Region II, (212) 264-2974.
Atlanta, GA, ACF Region IV, (404) 331-2398.
Chicago, IL, ACF Region V, (312) 353-8322.
Dallas, TX, ACF Region VI, (214) 767-9648.
San Francisco, CA, ACF Region IX, (415) 437-8481.
The questions and responses discussed at these meetings will be
shared with all participating parties as well as organizations
expressing an interest in receiving copies.
Statutory Authority: Catalog of Federal Domestic Assistance
(CFDA) number 93.600.
Dated: March 31, 1997.
James A. Harrell,
Deputy Commissioner, Administration on Children, Youth and Families.
Appendix A--Regional and Sub-Regional Service Areas To Be Served by
Individual Head Start Quality Improvement Centers
Region I Connecticut, Maine, Massachusetts, New Hampshire, Rhode
Island, Vermont
Region II
Sub-region (a): New Jersey, New York
Sub-region (b): Puerto Rico, Virgin Islands
Region III Delaware, Maryland, Pennsylvania, Virginia, Washington,
D.C., West Virginia
Region IV
Sub-region (a): Kentucky, North Carolina, South Carolina,
Tennessee
Sub-region (b): Alabama, Florida, Georgia, Mississippi
Region V
Sub-region (a): Michigan, Minnesota, Wisconsin
Sub-region (b): Illinois, Indiana, Ohio
Region VI
Sub-region (a): Arkansas, Louisiana, Oklahoma
Sub-region (b): New Mexico, Texas
Region VII Iowa, Kansas, Missouri, Nebraska
Region VIII Colorado, Montana, North Dakota, South Dakota, Utah,
Wyoming
Region IX Arizona, California, Hawaii, Nevada, American Samoa,
Commonwealth of the Marianas, Guam, Trust Territories
Region X Idaho, Oregon, Washington; and a satellite center located
in Alaska, serving both Region X and American Indian Program
grantees.
American Indian Programs Branch
American Indian Head Start grantees in Alaska, Arizona,
California, Colorado, Florida, Idaho, Kansas, Michigan, Minnesota,
Mississippi, Montana, Nebraska, Nevada, New Mexico, New York, North
Carolina, North Dakota, Oklahoma, Oregon, South Dakota, Utah,
Washington, Wisconsin, Wyoming
Migrant Programs Branch
Migrant Head Start grantees in Alabama, Arizona, Arkansas,
California, Colorado, Delaware, Florida, Georgia, Idaho, Illinois,
Indiana, Maryland, Michigan, Minnesota, New Jersey, New Mexico, New
York, North Carolina, Ohio, Oregon, Pennsylvania, South Carolina,
Tennessee, Texas, Utah, Virginia, Washington, Wisconsin
Appendix B--Guidance for the Project Design of a Head Start Quality
Improvement Center
The Regional or sub-Regional Head Start Quality Improvement Centers
(HSQICs) are envisioned to be coordinator/information hubs at the
Regional/American Indian Programs Branch (AIPB)/Migrant Programs Branch
(MPB) level, disseminating and collecting information from the ACF
Regional and National Offices, the American Indian Programs and Migrant
Programs Branches, and Head Start grantees, as well as the broader
child care community. The HSQICs are encouraged to work with local
agencies to develop interagency agreements and partnerships for the
delivery of T/TA.
As partners with the Head Start Bureau and ACF Regional Offices,
the recipients of these awards are encouraged to propose plans that
define strategies to meet the needs of Head Start grantees and delegate
agencies as well as the child development field in the areas that they
will serve. The strategies should provide for some level of support for
all grantees and delegate agencies. The provision of T/TA should begin
with a strategic planning process that will include a needs assessment
and plan development and will continue with steps for the
implementation of T/TA services and for the evaluation of those
services. Information may be shared among the HSQICs and with the Head
Start Bureau and ACF Regional Offices.
The HSQICs will have responsibility for assuring T/TA that can be
provided statewide and to clusters of grantees, as well as to
individuals at the grantee level. The HSQICs may consider the
development of State/cluster sites. The State/cluster sites, suggested
to ACF in consultations carried out in the preparation of this program
announcement, are envisioned as extensions of the HSQICs. The number of
skilled staff located at the State/cluster site would be dependent upon
the size and number of grantees and delegate agencies and within the
geographic area covered. Current teaching centers or State/American
Indian/Migrant Head Start Association offices might be considered as
possible State/cluster sites.
In addition, the Regional and sub-Regional HSQICs should work with
the ACF Regional Offices, the American Indian Programs and Migrant
Programs Branches to implement T/TA in the following areas:
Quality improvement:
* Core Head Start Services
+ T/TA resources needed to assure compliance with the Head Start
Program Performance Standards in each content area and to implement
program improvement plans and best practices.
+ Needs Assessments using information collected, analyses and
syntheses from National Head Start T/TA providers, the Head Start
Bureau and ACF Regional Offices, State/cluster sites and local Head
Start grantees themselves.
+ Regional or sub-Regional training based on needs assessments
and emerging priorities shared by many grantees.
+ Short- and long-range Regional T/TA plans developed by the
Regional Coordinating Council, based on assessments, national and
Regional program improvement plans, State/cluster information and
national initiatives.
+ Model evaluation plans for grantees and States/clusters to
obtain assessments of the quality and effectiveness of T/TA services
provided on-site, in workshops, and in direct consultation and the
use of the evaluation data in planning future T/TA activities.
+ Assistance to grantees in developing and implementing T/TA
funded directly to Head Start grantees by Program Account #20 and
other funds.
+ In collaboration with the American Indian Programs and the
Migrant Programs Branches, T/TA especially directed to meet the
needs of American Indian and Migrant grantees for information on
relevant Regional/State issues, regulations, and available resources
or services.
+ Emerging literacy and numeric development through materials
and activities according to the developmental level of each child.
* Early Head Start (EHS)
+ Collaboration with the Early Head Start-National Resource
Contract (EHS-NRC) to enhance and reinforce a comprehensive approach
to meeting the multiple needs of pregnant women, and families with
infants and toddlers.
+ Assistance in ensuring that EHS child and family development
program models provide early opportunities for infants and toddlers
to grow and develop in warm, nurturing and inclusive settings.
+ State and Regional networks for the exchange of models,
strategies and materials on partnership approaches to the funding
and delivery of high quality, comprehensive early childhood services
among and across Head Start grantees, child care centers and homes,
school-based early childhood programs and other providers and
settings serving young children and families.
[[Page 16847]]
+ Assistance to EHS programs to identify and assess a wide
variety of resources available in communities.
+ Assistance to EHS programs to ensure continuous learning
opportunities for training, supervision and mentoring in response to
the ongoing development of new knowledge across disciplines and to
enable the staff to recognize and respond to the best practices,
lessons learned and quality goals of EHS.
* Child Development Associate (CDA) Certification
+ Assistance to grantee and delegate agencies to locate staff
training with academic credit, as feasible, to help ensure:
renewal of CDA credentials;
qualified staff as defined in the Head Start Program
Performance Standards, including teachers of infants and toddlers
and teachers of preschool age children;
+ Assistance to grantee and delegate agencies in identifying
qualified and experienced experts capable of providing on-site
training and mentoring to teachers of infants and toddlers, teachers
of preschool age children, home visitors, and family child care
providers, and their respective supervisors over substantial periods
of time.
+ Assistance to grantee and delegate agencies in implementing a
curriculum suitable for the ages and stages of development of the
children served which is consistent with the definition in the Head
Start Program Performance Standards.
+ Identification of training resources and consultants to
implement CDA requirements for home-based programs.
* Quality Improvement Plans and Monitoring Follow-up
+ Assistance to grantees found to be deficient to ensure that
Quality Improvement Plans (QIPs) are implemented and identified
deficiencies addressed, at the grantee's request.
+ Use of information from monitoring reviews, Program
Information Reports (PIR), and data provided by the ACF Regional
Office, the American Indian Programs and the Migrant Programs
Branches to plan T/TA for grantees.
+ Development of procedures for grantees to communicate their
special needs for T/TA to their Regional or sub-Regional and cluster
coordinators.
In providing T/TA in the above-outlined areas, HSQICs may use the
following approaches:
Forms of collaboration and assistance
* On-site collaboration/assistance
+ On-site T/TA in response to needs identified during the needs
assessment process.
+ Special projects to meet Regional or sub-Regional service area
needs.
* Workshops and conferences
+ Regional or sub-Regional training workshops and institutes for
grantees on Head Start-specific topics and other topics as
determined by need, including fiscal management, management training
(strategic long-range planning, communication systems,
organizational structure, systems theory and program self-
assessment), the Head Start Financial Information System (HSFIS),
Program Information Report (PIR) orientation for new directors and
coordinators and orientation on the Head Start Program Performance
Standards (historically, these have been held at least annually).
+ Development of topics and schedules of workshops provided at
State/cluster sites.
+ Presentations/workshops for State and National Head Start
Association conferences and national Head Start Bureau events.
+ Participation in meetings/events sponsored by public and
private organizations offering opportunities to provide T/TA-related
information to appropriate constituencies.
+ Use of current technologies/approaches, such as distance
learning, interactive systems computers, videos, satellite down
links, internet, etc., for maximizing the dissemination and
provision of T/TA.
* Training and technical assistance institutes
+ Training provided to grantees on-site, in clusters, and/or at
State- or Region-wide settings, including use of the train-the-
trainer model.
+ Development and implementation of opportunities for distance
learning.
+ Training on newly developed Head Start materials.
+ Development and implementation of procedures for grantee staff
to engage in inquiry research and in program/curriculum development
opportunities.
* Information dissemination/networking
+ Regional information dissemination on T/TA to grantees and
State/cluster sites.
+ Technological networks at the Regional level using innovative
communication technology, particularly to disseminate information on
Head Start policies and regulations.
+ Shared information and results of evaluations of consultants
through the National T/TA Information Resource Bank.
+ Demonstrations of, and information on, and dissemination of
materials developed by national contractors and Regional and sub-
Regional HSQICs.
+ Collaboration with Head Start-sponsored or related national
initiatives, such as Medicaid, immunizations, substance abuse
prevention and treatment, transportation, facilities and mental
health.
+ Information and/or training about Head Start Bureau
publications, such as training guides.
+ Assistance in developing Head Start Family Information System
(HSFIS) reports for local use, maintaining contact with the HSFIS
contractor regarding the usage of the system.
+ Working with HSFIS sites, encouraging the use of the HSFIS by
Head Start programs in the Region or sub-Region through the
distribution of reports and other information; assisting programs in
determining hardware requirements, staffing requirements, and data
entry methods; maintaining contact with the Head Start mentor
programs; assisting mentor programs in arranging for cluster
training involving one or more mentor groups; assisting at cluster
training events; maintaining contact with the HSFIS contractor
regarding the performance of the software and other aspects of
ongoing usage of the system; and recommending improvements in the
system.
+ Maintaining and publishing information on statewide T/TA
resources including Child Care Resource and Referral programs.
+ Maintaining a video/materials resource library.
+ Contributing articles to the Head Start Bulletin.
+ Maintaining of up-to-date fact sheets on grantees and program
model descriptions.
+ Maintaining a Regional or sub-Regional calendar of T/TA
events.
+ Participating in semiannual national T/TA network meetings,
along with quarterly meetings/conference calls with the Federal
Project Officer (FPO) and the Regional HSQIC liaison.
HSQICs should organize and structure T/TA activities to
achieve maximum coordination, efficiency and effectiveness.
Suggested approaches include:
* A Regional or sub-Regional Coordinating Council comprised of
various stakeholders, such as ACF Regional Office staff, the Federal
Project Officer from the Head Start Bureau, State Collaboration
Project grantees, State Head Start Association representatives and
other T/TA providers in the areas of child care, early childhood
education, health, family development, community development and
program planning. The Council would support the HSQIC in identifying
needs for T/TA, developing a Regional or sub-Regional T/TA plan,
connecting and coordinating services in and among the different
levels of the system and to reach out to the community. It would
meet regularly to consult with the leadership of the HSQIC in
assessing needs, developing a fair balance for the provision of
services among grantees, and preparing and updating Regional or sub-
Regional T/TA plans.
* State-/cluster-based activities functioning as extensions of
the HSQIC to provide joint training opportunities to clusters of
grantees that have the same needs based on needs assessments. The
use of expert trainers and consultants to provide T/TA to grantees
within the cluster and to interact with American Indian, Migrant and
State Head Start Associations, State agencies and community
organizations to coordinate services and to track relevant State
legislation and regulations. Work with ``exemplary'' grantees to
help them move forward as the new system is designed. Trainers need
a knowledge base and an awareness of adult continuous learning and
applicability to issues in the community/program to be served. Large
States may have more than one cluster site and smaller States may
share clusters of grantees. The American Indian Programs Branch
grantees may have up to three cluster sites and the Migrant Programs
Branch grantees may have up to two cluster sites. State/cluster site
staff could be co-located with other T/TA providers.
* Regular meetings, communications:
+ Use of technology, such as satellites, computers, voice links,
internet, etc.
+ Use of interconnected feedback loops for the purpose of issue
identification, policy interpretations, evaluation, etc.
* Collaboration with Community-Based Child Care:
[[Page 16848]]
+ Assistance in creating and managing partnership strategies
with child care and early childhood agencies and providers to meet
the needs of working families and parent preparing for employment.
+ Assistance to Head Start grantees in managing multiple sources
of funding to support high quality, full-day/full-year services.
+ Assistance in adapting staffing patterns, classroom- and home-
based child development services and family involvement and support.
+ Assistance to State Head Start Associations, State
Collaboration Projects, state and community early childhood agencies
and Head Start grantees in systematic approaches to needs,
assessment, planning, funding, and staff development in early care
and education services.
* Linkages with Federal-State and other partners, such as the
U.S. Departments of Agriculture, Labor, Housing and Urban
Development, Transportation, Education, federally recognized Tribes,
and institutions of higher learning.
Geographic Coverage
* Types of grantees in service area: Large/small, rural/urban,
center-based, home-based, Early Head Start, full-day, part-day.
* Level of quality among grantees:
+ Assistance to well performing grantees in developing their own
T/TA services.
+ Identification of grantees to serve as mentors to new and/or
deficient and seriously deficient grantees. Assistance in the
management of supplementary grant funds for the mentoring grantees
and collection of evaluative information on the mentoring efforts.
+ Assistance in designing T/TA plans for deficient and seriously
deficient grantees, at their request and in collaboration with the
ACF Regional Office, American Indian Programs and Migrant Programs
Branches to enable them to meet the Head Start Program Performance
Standards.
Management and staffing issues (including consultant
banks)
+ Sufficient HSQIC staff to coordinate training, manage staff
and consultant resources, provide necessary subject-specific
expertise, and administer cooperative agreement fiscal resources.
* Sufficient leadership and consultant expertise to address
health responsibilities, including the specialty areas (medical,
dental, nutrition, mental health) at the Regional or sub-Regional
and State/cluster sites.
* Family and Community Partnership/Governance:
+ Skilled leadership in establishing linkages and effective
interactions with Federal and State partners, distributing resource
materials and conducting regular ongoing State/cluster Policy
Council training with an emphasis on the timely training of parents
who are new Policy Council members, arranging for follow-up on-site
and being fully knowledgeable of each State's unique approach to
Welfare Reform and providing on-site consultation regarding issues
or effects which may impact Head Start programs and their
operations/services.
* Management and Leadership
+ Sufficient staff and consultant support for ensuring training
and technical assistance opportunities in management, human
resources and leadership in addressing the Head Start Program
Performance Standards.
* Child Care Responsibilities
+ Skilled leadership and support on assessing needs for training
and technical assistance on Head Start/Child Care partnership
issues.
+ Assistance in locating and describing innovative and
successful Head Start/Child Care partnerships which expand the
availability of high quality full-day/full-year services.
+ Assistance in State and Regional networking strategies for
exchange of strategies and problem-solving around the challenges of
partnership approaches to funding and managing high quality full-
day/full-year services by Head Start grantees and other community-
based child care and early childhood agencies.
+ Collaboration with other Federal, State, and local child care
and early childhood agencies, programs and professional
organizations in training, technical assistance, professional
development, and planning efforts.
* HSFIS expertise to encourage its use by Head Start programs in
each service area.
+ Assisting programs in determining hardware requirements,
grantee staffing requirements, data entry methods, etc.
+ Maintaining contact with the mentor programs through e-mail,
conference calls, etc., in order to assist mentor programs in
arranging for cluster training.
* Transportation expertise:
+ Maintaining a resource library of transportation materials,
including such topics as vehicles, driver training, monitor
training, child restraints, model transportation plans, State pupil
transportation safety plans, etc.
+ Assisting programs in keeping abreast of various Regional or
sub-Regional and national conferences sponsored by school
transportation organizations and legislative activities at the State
and Regional level.
+ Familiarity with the driver training requirements for each
State in the Regional or sub-Regional service area; assisting
programs in accessing driver training needs and acquiring training
resources, including train-the-trainer programs.
+ Development of classroom materials and other guidance
materials for use in educating children and parents about safe
riding practices and safe pedestrian practices.
+ Assisting programs in determining the transportation option
most suitable for their program, e.g., coordinated systems, other
contract arrangements, fleet purchases.
* Facilities expertise:
+ Provide training for grantees and ACF staff in conducting cost
analysis when applying for funding for renovation, construction or
purchase of facilities.
* Child development expertise to help grantees provide quality
services for pregnant women, infant/toddlers, and children to age
five.
* Consultant Pool
+ A Regional or sub-Regional consultant pool, identified,
screened, contracted and linked to the National T/TA Information
Resource Bank.
+ Provision of orientation and ongoing training for consultants.
+ Management of on-site activities of consultants at the
Regional, sub-Regional or State/cluster site.
+ Monitoring and evaluation of Regional-level T/TA and the
performance of consultants through on-site observations, interviews
with grantee staff, reviews of workshop evaluations, etc.
+ Maintenance of evaluation data on consultants for the use of
national network.
+ Sufficient staff at State/cluster sites to broker/coordinate
local resources, strengthen training and staff development, assess
the needs of individual grantees and assist with the development of
grantee T/TA plans.
Appendix C--OMB State Single Point of Contact Listing
Arizona
Joni Saad, Arizona State Clearinghouse, 3800 N. Central Avenue,
Fourteenth Floor, Phoenix, Arizona 85012, Telephone (602) 280-1315,
FAX: (602) 280-8144.
Arkansas
Mr. Tracy L. Copelend, Manager, State Clearinghouse, Office of
Intergovernmental Services, Department of Finance and
Administration, 1515 W. 7th St., Room 412, Little Rock, Arkansas
72203, Telephone: (501) 682-1074, FAX: (501) 682-5206.
California
Grants Coordinator, Office of Planning & Research, 1400 Tenth
Street, Room 121, Sacramento, California 95814, Telehpone (916) 323-
7480, FAX (916) 323-3018.
Delaware
Francine Booth, State Single Point of Contact Executive
Department, Thomas Collins Building, P.O. box 1401, Dover, Delaware
19903, Telephone: (202) 739-3326, FAX (302) 739-5661.
District of Columbia
Charles Nichols, State Single Point of Contact, Office of Grants
Mgmt. & Dev., 717 14th Street, N.W.--Suite 500, Washington, D.C.
20005, Telephone: (202) 727-6554, FAX (202) 727-1617.
Florida
Florida State Clearinghouse, Department of Community Affairs,
2740 Centerview Drive, Tallahassee, Florida 32399-2100, Telephone:
(904) 922-5438, FAX (904) 487-2899.
Georgia
Tom L. Reid, III, Administrator, Georgia State Clearinghouse,
254 Washington Street, S.W.--Room 401J, Atlanta, Georgia 30334,
Telephone: (404) 656-3855 or (404) 656-3829, FAX (404) 656-7938.
Illinois
Virginia Bova, State Single Point of Contact, Department of
Commerce and Community Affairs, James R. Thompson Center, 100 West
Randolph, Suite 3-400, Chicago, Illinois 60601, Telephone: (312)
814-6028, FAX (312) 814-1800.
Indiana
Amy Brewer, State Budget Agency, 212 State House, Indianapolis,
Indiana
[[Page 16849]]
46204, Telephone: (317) 232-5619, FAX (317) 233-3323.
Iowa
Steven R. McCann, Division for Community Assistance, Iowa
Department of Economic Development, 200 East Grand Avenue, Des
Moines, Iowa 50309, Telephone: (515) 242-4719, FAX (515) 242-4859.
Kentucky
Ronald W. Cook, Office of the Governor, Department of Local
Government, 1024 Capitol Center Drive, Frankfort, Kentucky 40601-
8204, Telephone: (502) 573-2382, FAX: (502) 573-2512.
Maine
Joyce Benson, State Planning Office, State House Station #38,
Augusta, Maine 04333, Telephone: (207) 287-3261, FAX: (207) 287-
6489.
Maryland
William G. Carroll, Manager, State Clearinghouse for
Intergovernmental Assistance, Maryland Office of Planning, 301 W.
Preston Street--Room 1104, Baltimore, Maryland 21201-2365, Staff
Contact: Linda Janey, Telephone: (410) 225-4490, FAX: (410) 225-
4480.
Michigan
Richard Pfaff, Southeast Michigan Council of Governments, 1900
Edison Plaza, 660 Plaza Drive, Detroit, Michigan 48226, Telephone:
(313) 961-4266, FAX: (313) 961-4869.
Mississippi
Cathy Malette, Clearinghouse Officer, Department of Finance and
Administration, 455 North Lamar Street, Jackson, Mississippi 39202-
3087, Telephone: (601) 359-6762, FAX: (601) 359-6764.
Missouri
Lois Pohl, Federal Assistance Clearinghouse, Office of
Administration, P.O. Box 809, Room 760, Truman Building, Jefferson
City, Missouri 65102, Telephone: (314) 751-4834, FAX: (314) 751-
7819.
Nevada
Department of Administration, State Clearinghouse, Capitol
Complex, Carson City, Nevada 89710, Telephone: (702) 687-4065, FAX:
(702) 687-3983.
New Hampshire
Jeffrey H. Taylor, Director, New Hampshire Office of State
Planning, Attn: Intergovernmental Review Process, Mike Blake, 2\1/2\
Beacon Street, Concord, New Hampshire 03301, Telephone: (603) 271-
2155, FAX: (603) 271-1728.
New Mexico
Robert Peters, State Budget Division, Room 190 Bataan Memorial
Building, Santa Fe, New Mexico 87503, Telephone: (505) 827-3640.
New York
New York State Clearinghouse, Division of the Budget, State
Capitol, Albany, New York 12224, Telephone: (518) 474-1605.
North Carolina
Chrys Baggett, Director, N.C. State Clearinghouse, Office of the
Secretary of Admin., 116 West Jones Street, Raleigh, North Carolina
27603-8003, Telephone: (919) 733-7232, FAX: (919) 733-9571.
North Dakota
North Dakota Single Point of Contact, Office of
Intergovernmental Assistance, 600 East Boulevard Avenue, Bismarck,
North Dakota 58505-0170, Telephone: (701) 224-2094, FAX: (701) 224-
2308.
Ohio
Larry Weaver, State Single Point of Contact, State
Clearinghouse, Office of Budget and Management, 30 East Broad
Street, 34th Floor, Columbus, Ohio 43266-0411.
Please direct correspondence and questions about
intergovernmental review to: Linda Wise, Telephone: (614) 466-0698,
FAX: (614) 466-5400.
Rhode Island
Daniel W. Varin, Associate Director, Department of
Administration/Division of Planning, One Capitol Hill, 4th Floor,
Providence, Rhode Island 02908-5870, Telephone: (401) 277-2656, FAX:
(401) 277-2083.
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, FAX: (803) 734-
0385.
Texas
Tom Adams, Governors Office, Director, Intergovernmental
Coordination, P.O. Box 12428, Austin, Texas 78711, Telephone: (512)
463-1771, FAX: (512) 463-1888.
Utah
Carolyn Wright, Utah State Clearinghouse, Office of Planning and
Budget, Room 116, State Capitol, Salt Lake City, Utah 84114,
Telephone: (801) 538-1535, FAX: (801) 538-1547.
West Virginia
Fred Cutlip, Director, Community Development Division, W.
Virginia Development Office, Building #6, Room 553, Charleston, West
Virginia 25305, Telephone: (304) 558-4010, FAX: (304) 558-3248.
Wisconsin
Martha Kerner, Section Chief, State/Federal Regulations,
Wisconsin Department of Administration, 101 East Wilson Street--6th
Floor, P.O. Box 7868, Madison, Wisconsin 53707, Telephone: (608)
266-2125, FAX: (608) 267-6931.
Wyoming
Sheryl Jeffries, State Single Point of Contact, Office of the
Governor, State Capital, Room 124, Cheyenne, Wyoming 82002,
Telephone: (307) 777-5930, FAX: (307) 632-3909.
Territories
Guam
Mr. Giovanni T. Sgambelluri, Director, Bureau of Budget and
Management Research, Office of the Governor, P.O. Box 2950, Agana,
Guam 96910, Telephone: 011-671-472-2285, FAX: 011-671-472-2825.
Puerto Rico
Norma Burgos/Jose E. Caro, Chairwoman/Director, Puerto Rico
Planning Board, Federal Proposals Review Office, Minillas Government
Center, P.O. 41119, San Juan, Puerto Rico 00940-1119, Telephone:
(809) 727-4444, (809) 723-6190, FAX: (809) 724-3270, (809) 724-3103.
North Mariana Islands
Mr. Alvaro A. Santos, Executive Officer, State Single Point of
Contract, Office of Management and Budget, Office of the Governor,
Saipan, MP, Telephone: (670) 664-2256, FAX: (670) 664-2272.
Contact Person: Ms. Jacoba T. Seman, Federal Programs
Coordinator, Telephone: (670) 644-2289, FAX: (670) 644-2272.
Virgin Islands
Jose George, Director, Office of Management and Budget, #41
Norregade Emancipation Garden Station, Second Floor, Saint Thomas,
Virgin Islands 00802.
Please direct all questions and correspondence about
intergovernmental review to: Linda Clarke, Telephone: (809) 774-
0750, FAX: (809) 776-0069.
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BILLING CODE 4184-01-C
[[Page 16851]]
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, enclosed 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 Contract
(SPOC) for Federal Executive Order 12372 to determine whetter 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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BILLING CODE 4184-01-C
[[Page 16854]]
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).
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 no 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 (d)--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 Column (b)-(e). The amount
in Column (e) should be equal to the amount of 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 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.
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BILLING CODE 4184-01-C
[[Page 16859]]
Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion--Lower Tier Covered Transactions
Instructions for Certification
1. By signing and submitting this proposal, the prospective
lower tier participant is providing the certification set out below.
2. The certification in this clause is a material representation
of fact upon which reliance was placed when this transaction was
entered into. If it is later determined that the prospective lower
tier participant knowingly rendered an erroneous certification, in
addition to other remedies available to the Federal Government the
department or agency with which this transaction originated may
pursue available remedies, including suspension and/or debarment.
3. The prospective lower tier participant shall provide
immediate written notice to the person to which this proposal is
submitted if at any time the prospective lower tier participant
learns that its certification was erroneous when submitted or had
become erroneous by reason of changed circumstances.
4. The terms covered transaction, debarred, suspended,
ineligible, lower tier covered transaction, participant, person,
primary covered transaction, principal, proposal, and voluntarily
excluded, as used in this clause, have the meaning set out in the
Definitions and Coverage sections of rules implementing Executive
Order 12549. You may contact the person to which this proposal is
submitted for assistance in obtaining a copy of those regulations.
5. The prospective lower tier participant agrees by submitting
this proposal that, [[Page 33043]] should the proposed covered
transaction be entered into, it shall not knowingly enter into any
lower tier covered transaction with a person who is proposed for
debarment under 48 CFR part 9, subpart 9.4, debarred, suspended,
declared ineligible, or voluntarily excluded from participation in
this covered transaction, unless authorized by the department or
agency with which this transaction originated.
6. The prospective lower tier participant further agrees by
submitting this proposal that it will include this clause titled
``Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion-Lower Tier Covered Transaction,'' without
modification, in all lower tier covered transactions and in all
solicitations for lower tier covered transactions.
7. A participant in a covered transaction may rely upon a
certification of a prospective participant in a lower tier covered
transaction that it is not proposed for debarment under 48 CFR part
9, subpart 9.4, debarred, suspended, ineligible, or voluntarily
excluded from covered transactions, unless it knows that the
certification is erroneous. A participant may decide the method and
frequency by which it determines the eligibility of its principals.
Each participant may, but is not required to, check the List of
Parties Excluded from Federal Procurement and Nonprocurement
Programs.
8. Nothing contained in the foregoing shall be construed to
require establishment of a system of records in order to render in
good faith the certification required by this clause. The knowledge
and information of a participant is not required to exceed that
which is normally possessed by a prudent person in the ordinary
course of business dealings.
9. Except for transactions authorized under paragraph 5 of these
instructions, if a participant in a covered transaction knowingly
enters into a lower tier covered transaction with a person who is
proposed for debarment under 48 CFR part 9, subpart 9.4, suspended,
debarred, ineligible, or voluntarily excluded from participation in
this transaction, in addition to other remedies available to the
Federal Government, the department or agency with which this
transaction originated may pursue available remedies, including
suspension and/or debarment.
Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion--Lower Tier Covered Transactions
(1) The prospective lower tier participant certifies, by
submission of this proposal, that neither it nor its principals is
presently debarred, suspended proposed for debarment, declared
ineligible, or voluntarily excluded from participation in this
transaction by any Federal department or agency.
(2) Where the prospective lower tier participant is unable to
certify to any of the statements in this certification, such
prospective participant shall attach an explanation to this
proposal.
Certification Regarding Debarment, Suspension, and Other Responsibility
Matters--Primary Covered Transactions
Instructions for Certification
1. By signing and submitting this proposal, the prospective
primary participant is providing the certification set out below.
2. The inability of a person to provide the certification
required below will not necessarily result in denial of
participation in this covered transaction. The prospective
participant shall submit an explanation of why it cannot provide the
certification set out below. The certification or explanation will
be considered in connection with the department or agency's
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.
3. The certification in this clause is a material representation
of fact upon which reliance was placed when the department or agency
determined to enter into this transaction. If it is later determined
that the prospective primary participant knowingly rendered an
erroneous certification, in addition to other remedies available to
the Federal Government, the department or agency may terminate this
transaction for cause or default.
4. The prospective primary participant shall provide immediate
written notice to the department or agency to which this proposal is
submitted if at any time the prospective primary participant learns
that its certification was erroneous when submitted or has become
erroneous by reason of changed circumstances.
5. The terms covered transaction, debarred, suspended,
ineligible, lower tier covered transaction, participant, person,
primary covered transaction, principal, proposal, and voluntarily
excluded, as used in this clause, have the meanings set out in the
Definitions and Coverage sections of the rules implementing
Executive Order 12549. You may contact the department or agency to
which this proposal is being submitted for assistance in obtaining a
copy of those regulations.
6. The prospective primary participant agrees by submitting this
proposal that, should the proposed covered transaction be entered
into, it shall not knowingly enter into any lower tier covered
transaction with a person who is proposed for debarment under 48 CFR
part 9, subpart 9.4, debarred, suspended, declared ineligible, or
voluntarily excluded from participation in this covered transaction,
unless authorized by the department or agency entering into this
transaction.
7. The prospective primary participant further agrees by
submitting this proposal that it will include the clause titled
``Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion-Lower Tier Covered Transaction,'' provided by
the department or agency entering into this covered transaction,
without modification, in all lower tier covered transactions and in
all solicitations for lower tier covered transactions.
8. A participant in a covered transaction may rely upon a
certification of a prospective participant in a lower tier covered
transaction that it is not proposed for debarment under 48 CFR part
9, subpart 9.4, debarred, suspended, ineligible, or voluntarily
excluded from the covered transaction, unless it knows that the
certification is erroneous. A participant may decide the method and
frequency by which it determines the eligibility of its principals.
Each participant may, but is not required to, check the List of
Parties Excluded from Federal Procurement and Nonprocurement
Programs.
9. Nothing contained in the foregoing shall be construed to
require establishment of a system of records in order to render in
good faith the certification required by this clause. The knowledge
and information of a participant is not required to exceed that
which is normally possessed by a prudent person in the ordinary
course of business dealings.
10. Except for transactions authorized under paragraph 6 of
these instructions, if a participant in a covered transaction
knowingly enters into a lower tier covered transaction with a person
who is proposed for debarment under 48 CFR part 9, subpart 9.4,
suspended, debarred, ineligible, or voluntarily excluded from
participation in this transaction, in addition to other
[[Page 16860]]
remedies available to the Federal Government, the department or
agency may terminate this transaction for cause or default.
Certification Regarding Debarment, Suspension, and Other Responsibility
Matters--Primary Covered Transactions
(1) The prospective primary participant 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 by any
Federal department or agency;
(b) Have not within a three-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 statues or commission of
embezzlement, theft, forgery, bribery, falsification or destruction
of records, making false statements or receiving stolen property;
(c) Are not presently indicated for 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 three-year period preceding this
application/proposal had one or more public transactions (Federal,
State or local) terminated for cause or default.
(2) Where the prospective primary participant is unable to
certify to any of the statements in this certification, such
prospective participant shall attach an explanation to this
proposal.
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, 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 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 fact 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 required statement shall
be subject to a civil penalty of not less than $10,000 and not more
than $100,000 for each such failure.
----------------------------------------------------------------------
Signature
----------------------------------------------------------------------
Title
----------------------------------------------------------------------
Organization
----------------------------------------------------------------------
Date
BILLING CODE 4184-01-P
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BILLING CODE 4184-01-C
[[Page 16862]]
Certification Regarding Environmental Tobacco Smoke
Public Law 103-227, Part C--Environmental Tobacco Smoke, also
known as the Pro-Children Act of 1994 (Act), requires that smoking
not be permitted in any portion of any indoor routinely owned or
leased or contracted for by an entity and used routinely or
regularly for provision of health, day care, education, or library
services to children under the age of 18, if the services are funded
by Federal programs either directly or through State or local
governments, by Federal grant, contract, loan, or loan guarantee.
The law does not apply to children's services provided in private
residences, facilities funded solely by Medicare or Medicaid funds,
and portions of facilities used for inpatient drug or alcohol
treatment. Failure to comply with the provisions of the law may
result in the imposition of a civil monetary penalty of up to $1,000
per day and/or the imposition of an administrative compliance order
on the responsible entity.
By signing and submitting this application the applicant/grantee
certifies that it will comply with the requirements of the Act. The
applicant/grantee further agrees that it will require the language
of this certification be included in any subawards which contain
provisions for the children's services and that all subgrantees
shall certify accordingly.
[FR Doc. 97-8840 Filed 4-7-97; 8:45 am]
BILLING CODE 4184-01-P
