[Federal Register Volume 62, Number 96 (Monday, May 19, 1997)]
[Notices]
[Pages 27426-27452]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-12954]
[[Page 27425]]
_______________________________________________________________________
Part III
Department of Health and Human Services
_______________________________________________________________________
Administration for Children and Families
_______________________________________________________________________
Fiscal Year 1997 Discretionary Announcement for Head Start-University
Research Projects, Head Start Research Scholars and Head Start
Partnerships With Historically Black Colleges and Universities;
Availability of Funds and Request for Applications; Notice
Federal Register / Vol. 62, No. 96 / Monday, May 19, 1997 / Notices
[[Page 27426]]
DEPARTMENT OF HEALTH AND HUMAN SERVICES
Administration for Children and Families
[Program Announcement No. ACF/ACYF/HS-URP&RS 97-7]
Fiscal Year 1997 Discretionary Announcement for Head Start-
University Research Projects, Head Start Research Scholars and Head
Start Partnerships with Historically Black Colleges and Universities;
Availability of Funds and Request for Applications
AGENCY: Administration on Children, Youth and Families, ACF, DHHS.
ACTION: Announcement of the availability of funds and request for
applications for four priority areas related to Head Start.
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SUMMARY: The Administration for Children and Families (ACF),
Administration on Children, Youth and Families (ACYF) announces the
availability of funds to support research activities in three research
areas, two Head Start-University Partnerships (Translating Research
into Practice and Mental Health Within Head Start) and Head Start
Research Scholars, and one training area, Head Start Partnerships with
Historically Black Colleges and Universities.
DATES: The closing time and date for receipt of applications is 5:00
p.m. (Eastern Time Zone) July 18, 1997. Applications received after
5:00 p.m. will be classified as late.
ADDRESSES: Mail applications to: Operations Center, 3030 Clarendon
Blvd., Suite 240, Arlington, Va. 22201. Application for Head Start
Discretionary Research: (Head Start-University Partnerships [Priority
Area 1.01 or 1.02], Head Start Research Scholars, and Applications for
Head Start Partnerships with Historically Black Colleges and
Universities.)
Hand delivered, courier or overnight delivery applications are
accepted during the normal working hours of 8:00 a.m. to 5:00 p.m.,
Monday through Friday, on or prior to the established closing date at:
ACFY Operations Center, 3030 Clarendon Blvd., Suite 240, Arlington, Va.
22201. Application for Head Start Discretionary Research: (Head Start-
University Partnerships or Head Start Research Scholars and
Applications for Head Start Partnerships with Historically Black
Colleges and Universities. (HBCUs))
FOR FURTHER INFORMATION CONTACT: The ACYF Operations Center, Technical
Assistance Team (1-800-351-2293), is available to answer questions
regarding application requirements and to refer you to the appropriate
contact person in ACYF for programmatic questions.
In order to determine the number of expert reviewers that will be
necessary, if you are going to submit an application, you must send a
post card or call with the following information: the name, address,
telephone and fax number, and e-mail address of the principal
investigator and the name of the university at least four weeks prior
to the submission deadline date to: Administration on Children, Youth
and Families, Operations Center, 3030 Clarendon Blvd., Suite 240,
Arlington, VA 22201, (1-800-351-2293).
Part I. General Information, Purpose and Background
A. General Information
This announcement is divided into four parts, plus appendices:
Part I provides information on the purpose of the discretionary
research effort and a discussion of issues particularly relevant to the
research under this announcement.
Part II contains key information on the statutory authority and
each of the four priority areas such as eligible applicants, project
periods, special conditions and other information. Each priority area
description is composed of the following sections:
Eligible Applicants--This section specifies the type of
organization which is eligible to apply under the particular priority
area.
Purpose--This section presents the basic focus and/or
broad goal(s) of the priority area.
Background and Information--This section briefly discusses
the legislative background and/or the social context that supports the
need for this particular priority area.
Program Narrative--This section describes any necessary
explanations of or deletions to the instructions given in the narrative
section of Appendix A to make it appropriate for research applications
or training applications for Historically Black Colleges and
Universities.
Special Conditions--This section lists any special
conditions with which the applicant must comply in order for the
application to be considered for review.
Project Duration--This section specifies the maximum
allowable length of time for the project period; it refers to the
amount of time for which Federal funding is available
Federal Share of Project Costs--This section specifies the
maximum amount of Federal support for the project.
Matching Requirement--This section specifies the minimum
non-Federal contribution, either through cash or in-kind match.
Anticipated Number of Projects to be Funded--This section
specifies the number of projects that ACYF anticipates it will fund in
the priority area.
CFDA--This section identifies the Catalog of Federal
Domestic Assistance (CFDA) number and title of the program under which
applications in this priority area will be funded.
Part III presents the criteria upon which the proposals will be
reviewed and evaluated.
Part IV contains information for preparing the fiscal year 1997
application.
Appendix A includes the relevant forms, certifications, disclosures
and assurances necessary for completing and submitting the application.
Appendix B lists the Single Points of Contact for Each State and
Territory.
Appendix C lists the Early Head Start programs that do not have
Early Head Start Local Research cooperative agreements.
B. Purpose
The purpose of this announcement is to (1) support research
conducted by universities on behalf of faculty or doctoral-level
graduate students who form partnerships with Head Start or Early Head
Start programs in their communities for the purposes of contributing
new knowledge or testing research applications which will improve
services for low income young children and their families or (2) to
utilize the capabilities of HBCUs to improve the quality and long term
effectiveness of Head Start and Early Head Start by developing models
of academic training and forming partnerships between HBCUs and Head
Start (including Early Head Start) grantees and delegate agencies.
Priority Areas 1.01 and 1.02 Head Start-University Partnerships provide
support to Universities on behalf of faculty members in universities.
Priority Area 1.03 Head Start Research Scholars provides support to
universities on behalf of doctoral-level graduate students. Priority
Area 1.04 provides support to Historically Black Colleges and
Universities on behalf of faculty.
C. Background
Part of Head Start's mission is to serve as a national laboratory
for exploring new ideas, testing and demonstrating state-of-the-art
techniques, and
[[Page 27427]]
disseminating research findings for the purpose of improving services
for low-income children and their families. In order to accomplish that
mission, Head Start supports and encourages partnerships between Head
Start programs (including Early Head Start) and universities. These
partnerships present new opportunities to learn from each other, to
test practical applications of theoretical concepts and translate
research into practice.
Past competitions for either Head Start-University Partnerships or
Head Start Research Scholars grants have been limited to Head Start
programs that serve mostly three and four-year old children. However,
in fiscal year 1995 Head Start initiated a new program, Early Head
Start, which serves children and their families from the prenatal
period to age three. Therefore, in fiscal year 1996, the Head Start-
University Partnerships and Head Start Research Scholars announcement
contained new opportunities to conduct research with this younger age
group. Presently, there are 143 Early Head Start programs. Of these, 16
are participating in both the national research study and local
research studies. These 16 sites are not eligible for partnerships
under priority areas 1.01 and 1.02 in this announcement. However,
partnerships may be formed with the other 127 Early Head Start sites
that are presently funded by Head Start (See Appendix C) or any Head
Start program that serves preschool children. For the purposes of this
announcement, any further reference to Head Start is meant to include
both Head Start and Early Head Start. Major issues for Head Start
include improving the quality of all Head Start services, in particular
for the purposes of this announcement, children's mental health,
gathering recent information on the long-term effects of Head Start and
exploring methods for enhancing the cognitive, language and social
development of infants and toddlers. Improvement in quality includes
the application of-state-of-the-art techniques that have evolved from
advanced theoretical concepts and new research findings. It also
involves the conduct of new research to ensure that Head Start services
remain at the cutting edge. For HBCUs, improvement in quality is
directed at testing state-of-the-art training models.
Longitudinal research involves forming partnerships with Head Start
programs to identify Head Start graduates and track their progress into
elementary school. With new opportunities for research with younger
populations, and ACYF's interest in longitudinal research on Head Start
graduates and testing or demonstrating state-of-the-art techniques in
all Head Start services, Head Start's FY 1997 research priorities
present a number of interesting research challenges.
Part II. Priority Areas
Statutory Authority
The Head Start Act, as amended, 42 U.S.C. 9801 et seq.
1.01 Head Start-University Partnerships--Translating Research Into
Practice
Eligible Applicants: Universities and four-year colleges.
Purpose: (1) To improve the quality of Head Start/Early Head Start
practices, particularly with regard to children's cognitive, language
or social-emotional development; or (2) to conduct longitudinal
research on Head Start graduates' status after entry into school.
Background Information: In addition to Head Start's primary role as
a national program of comprehensive services for young low-income
children and their families, it also serves as a national laboratory,
which develops, demonstrates, and tests best practices based on
scientifically sound research and encourages and supports both new
research and the development of new methods for conducting research.
Because of its recognition as a national, federally-sponsored program,
and the access it provides to a multi-cultural, low-income population,
Head Start has been a major source of research. This research, which
has been conducted both with Federal support and other resources,
constitutes a significant portion of the child development research
literature that includes low-income and multi-cultural populations.
In the main, the ever-increasing body of child development research
literature contains studies that fall into the domains of basic
research and evaluation. Although these studies have made a significant
contribution to our scientific, policy and general program knowledge,
very little has reached service providers in terms of implementable
applications within the context of their programs. Therefore, with the
increase in our knowledge base, there is a concomitant increase in the
gap between research and its translation into practice. Within this
priority area, ACYF is interested in funding projects that translate
theory-driven research into programmatic applications in partnership
with the staff and families of Head Start programs. In addition to the
translation of research into practice, these partnerships are intended
to demonstrate new ways of conducting research where the researchers,
the program staff and program families work as a cooperative research
team. Projects under this priority area will test theory-driven
approaches intended to enhance children's cognitive, language and/or
social-emotional development. These approaches may include those that
focus on the child or focus on the primary caregiver(s) and the child
as a dyad. The chosen approach should reflect theory and previous
research and be documented through a review of the literature. In
addition, the approach may be developed for appropriate use with either
infants and toddlers or preschool children.
A second area of major concern is longitudinal data on Head Start
graduates. Although Head Start is over thirty years old, little
research has been accumulated on Head Start graduates' experiences and
status after they enter school. Although the Head Start population of
today is very different from the population thirty years ago, the data
that exist on Head Start children's status as they enter school and
their subsequent experiences are primarily based on the earlier
population. What are the effects of Head Start children's status at
kindergarten entry on their later school performance? How is Head Start
children's performance in school influenced by the socio-economic
environment of the school and the classroom? What variables within the
child, family, Head Start program and community mediate success in
school? These and other longitudinal questions are important areas for
research.
Narrative: Please see the Program Narrative section in Appendix A
to prepare this section of the application. Explanations of and
exceptions to the narrative for the purposes of preparing a research
proposal are listed below.
Objectives and Need for Assistance--The justification for
a research proposal is based upon a review of the literature and either
the need for new research or for the application of basic research in
an applied setting. Do not include letters of support or testimonials
other than those required below under special conditions.
Results or Benefits Expected--For research applications,
it is the contribution to the field the research will make or the
improvement in the quality of services for children and families.
Approach--For research applications, this is the
methodology section including design, sample size and description,
identification of
[[Page 27428]]
measures, data collection schedules and types of analyses to be
performed.
Evaluation--This section is not needed for research
applications.
Geographical Location--Not needed.
Additional Information--Use the sections on Staff and
Position Data and Dissemination Plan only. Biographical sketches are
needed for only the principal investigator or co-principal
investigators and other key staff.
Special Conditions:
The applicant must enter into a partnership with a Head
Start or Early Head Start program for the purposes of conducting the
research.
The application must contain a letter from the Head Start
or Early Head Start program certifying that they have entered into a
partnership with the applicant and the application has been reviewed
and approved by the Policy Council.
The applicant must agree to attend two meetings of the
research grantees each year including Head Start's Fourth National
Research Conference in July of 1998 and June of 2000. The budget should
reflect travel funds for such purposes.
The applicant must apply the University's off-campus
research rates for indirect costs.
Project Duration: The announcement for priority area 1.01 is
soliciting applications for project periods up to three years. Awards,
on a competitive basis, will be for a one-year budget period, although
project periods may be for three years. Applications for continuation
grants funded under these awards beyond the one-year budget period, but
within the three-year project period, will be entertained in subsequent
years on a non-competitive basis, subject to availability of funds,
satisfactory progress of the grantee and a determination that continued
funding would be in the best interest of the Government.
Federal Share of Project Costs: The maximum Federal share is
approximately $150,000 for the first 12-month budget period or
approximately $450,000 for a 3-year project period. The Federal share
is inclusive of indirect costs.
Matching Requirement: There is no matching requirement.
Anticipated Number of Projects to be Funded: It is anticipated that
4-6 projects will be funded.
CFDA: 93.600 Head Start: Head Start Act, as amended.
1.02 Head Start-University Partnerships-- Mental Health Within Head
Start
Eligible Applicants: Universities and four-year colleges.
Purpose: The purpose of this priority area is to invite applicants
to submit proposals for competitive cooperative agreements to develop
and/or test applications of theory-based research or state-of-the-art
techniques for the prevention, identification and/or treatment of young
children's mental health disorders. The goal is to create a consortium
of researchers focused on improving the provision of mental health
services within Head Start programs.
A cooperative agreement is a funding mechanism which allows
substantial Federal involvement in the activities undertaken with
Federal financial support. Details of the responsibilities,
relationships, and governance of the cooperative agreement will be
spelled out in the terms and conditions of the award. The specific
responsibilities of the Federal staff and grantee staff are tentatively
listed below under Special Conditions and will be agreed upon prior to
the award of each cooperative agreement.
Background and Information: Along with pediatric primary health
care providers, Head Start, as a comprehensive service delivery
program, serves as one of the earliest mechanisms for identification
and intervention with a vulnerable population of young low-income
children and their families. Whether one advocates the importance of
early identification and treatment of ``at-risk'' children or children
with actual manifestations of emotional and/or behavioral difficulties,
or one stresses the fundamental importance of promoting ``wellness''
via preventive intervention approaches, it is clear that Head Start
plays a crucial role in any such discussion.
Based upon a recent review of the research literature, there are
key gaps in the extant knowledge base that call for additional research
in this area. First, there is the need to improve the understanding of
the identification of early onset mental, emotional or behavioral
disabilities in this low-income population of young children,
especially in comparison to the rates of identification of disabilities
(which include mental health problems) in Head Start programs.
There also is the need to expand the understanding of the
trajectories of social and emotional development in very young, low-
income children, including a better understanding of the prevalence of
risk and protective factors. This is especially the case given the
overarching context of dramatic increases in the frequency, intensity
and severity of exposure to risk factors (e.g., community violence,
substance abuse, physical and sexual abuse, neglect, etc.) for young
children growing up in poverty.
Head Start programs are the point of entry for low-income children
into community service delivery networks. Head Start programs, within
the context of the larger network of other community service providers,
can be organized to promote efficient, accurate, and high quality
screening, assessment, intervention and/or referral, as necessary. The
proactive universal screening of all enrolled children, that is
required by Head Start Performance Standards, is one of the best
mechanisms for ensuring the earliest detection of difficulties.
However, the effectiveness of such an approach undoubtedly will be
a function of certain key programmatic indicators of quality mental
health service provision, such as the use of on-site mental health
professionals (versus outside mental health professionals and/or
consultants), high ratios of mental health professional staff to
children served, adequate educational/professional training of mental
health staff, and strong, established collaborative relationships with
relevant community mental health providers, as well as involvement of
families and staff in the development and implementation of services
that are appropriate and acceptable to the families and communities
they serve.
Within this priority area, ACYF is interested in funding a
Consortium of research projects that will generate new knowledge
through research, that will advance our current level of understanding
and that will facilitate efforts to improve the capacity of Head Start
and related early childhood programs to deliver high quality,
comprehensive, developmentally appropriate, prevention and intervention
services to support the mental health of Head Start and other young
children, families and staff, across the country. Lessons learned from
these research projects would be linked with Head Start's training and
technical assistance network to maximize benefits across all programs.
Mental health is defined broadly as ``promoting the healthy
emotional development of children, supporting family strengths,
identifying early signs of emotional and behavioral difficulties, and
assisting families with special
[[Page 27429]]
needs'' (Yoshikawa and Knitzer, 1997). This definition incorporates a
balanced emphasis that includes prevention as a cornerstone of early
intervention efforts. While the primary focus is on the child, this
ecological approach acknowledges the importance of addressing the
mental health needs of the parents and staff, as well.
This Head Start/early childhood mental health research initiative
builds upon a number of recent efforts, including: (1) The Task Force
on Head Start and Mental Health supported by the American
Orthopsychiatric Association; (2) the recently-completed Descriptive
Study of the Head Start Health Component, which included an examination
of mental health issues for a nationally-representative sample of Head
Start programs and the families served; (3) the recently published Head
Start Program Performance Standards, which stress collaborative
relationships between programs and parents to share concerns about
their children's mental health, identify appropriate responses to
children's behavior, help parents to understand mental health issues,
and create supportive environments and relationships in their homes and
at Head Start; and (4) the recently completed study, Lessons from the
Field: Head Start Mental Health Strategies to Meet Changing Needs
(Yoshikawa and Knitzer, 1997), on the mental health service delivery
systems of care in 73 Head Start programs across the country.
The Administration on Children, Youth and Families is currently in
negotiation with the National Institute of Mental Health (NIMH) about
the possibility of expanding the Consortium to include similar research
projects currently supported by ACYF and/or NIMH. Applicants should be
aware that there is also a possibility that NIMH may make available
supplementary funding in subsequent grant years to facilitate a set of
cross-cutting, coordinated research efforts within a consortium
framework. Any supplemental funding would be contingent upon ACYF and
NIMH review and approval of the consortium's workplan for the set of
cross-cutting, coordinated research activities.
Narrative: Please see the Program Narrative Section in Appendix A
to prepare the narrative section of the application. Explanations of
and exceptions to the narrative for the purposes of preparing a
research proposal are listed below.
Objectives and Need for Assistance--The justification for
a research proposal is based upon a review of the literature and either
the need for new research or for the application of basic research in
an applied setting. Do not include letters of support or testimonials
other than those required below under special conditions.
Results or Benefits Expected--For research applications,
it is the contribution to the field the research will make or the
improvement in the quality of services for children and families.
Approach--For research applications, this is the
methodology section including design, sample size and description,
identification of measures, data collection schedules and types of
analyses to be performed.
Evaluation--This section is not needed for research
applications.
Geographical Location--Not needed.
Additional Information--Use the sections on Staff and
Position Data and Dissemination Plan only. Biographical sketches are
needed for only the principal investigator or co-principal
investigators and other key staff.
Special Conditions:
These are five-year cooperative agreement projects in
which substantial Federal involvement is anticipated. ACYF is utilizing
a cooperative agreement mechanism to support close communication,
cooperation and coordination among participating projects. The specific
respective responsibilities of Federal staff and the awardees are
tentatively listed below under Cooperative Agreements and will be
agreed upon prior to the award of each cooperative agreement.
The applicant must enter into a partnership with a Head
Start or Early Head Start program for the purposes of conducting the
research.
The application must contain a letter from the Head Start
or Early Head Start program certifying that they have entered into a
partnership with the applicant and the application has been reviewed
and approved by the Head Start Program Policy Council.
The applicant must agree to participate as a member of a
Consortium of research projects focused on Head Start mental health
efforts, which will include, but not necessarily be limited to,
successful applicants under this announcement and similar research
projects currently supported by ACYF and/or NIMH (e.g., the Head Start
Quality Research Centers Consortium, related Head Start University
Partnerships, among others). A Steering Committee will be formed
consisting of principal investigators from each of the participating
projects, as well as representatives from ACYF and NIMH. The ACYF
Federal Project Officer will serve as the chairperson for the Steering
Committee. The Steering Committee will advise ACYF and NIMH on the
design, implementation, and management of the cross-cutting research
activities (e.g., common assessment approaches and intervention
activities) which may be implemented by the participating projects. It
will also provide a forum for the discussion of issues raised by the
Consortium members, ACYF and NIMH. NIMH will provide logistical support
for the cross-cutting work of the Consortium.
The principal investigator and at least one other key
staff member must agree to attend up to four (4), two-day meetings of
the research grantees in the Washington, D.C. area each year including
Head Start's Fourth National Research Conference in July of 1998 and
June of 2000. The budget should reflect travel funds for such purposes.
Participation in the broader consortium activities with other similar
research projects, as described above, likely will involve
approximately two of the four annual meetings.
The applicant must apply the University's off-campus
research rates for indirect costs.
Cooperative Agreements:
The following represents a tentative list of the reponsibilities
under the cooperative agreement.
1. Responsibilities of the Grantee
The Grantee
Enters into a partnership with a Head Start or Early Head
Start program for the purposes of conducting research, including
certification of review and approval of the application by the Policy
Council.
Conducts a local research study which develops and/or
tests applications of theory-based research or state-of-the-art
techniques for the prevention, identification and/or treatment of
children's mental health disorders.
Participates as a member of the Consortium of research
projects focused on Head Start mental health efforts, which will
include, but not necessarily be limited to, successful applicants under
this announcement and similar research projects currently supported by
ACYF and/or NIMH, such as the Head Start Quality Research Centers, and
Head Start University Partnership research grants, among others.
Agrees to participate in a Consortium governance structure
consisting of a steering committee chaired by the ACYF Federal Project
Officer, and including principal
[[Page 27430]]
investigators from each of the participating projects, as well as
representatives from ACYF and NIMH.
Agrees to participate in the design and testing of a
Consortium workplan, consisting of a set of cross-cutting, coordinated
research activities, and to consider participation in the
implementation of this Consortium workplan, contingent upon ACYF and
NIMH review and approval, should supplementary funding become available
in subsequent years.
2. Responsibilities of the Federal Staff
The Federal Staff
Provide guidance in the development of the Consortium
workplan, including review and decision-making about the feasibility of
implementing the workplan, should supplementary funding become
available in subsequent years.
Participate as members of the Consortium, including Chair
of the steering committee, and on any policy or working groups
established at the Consortium level to facilitate the accomplishment of
project goals.
Facilitate communication among Consortium members,
including research partners and Federal staff, the Head Start training
and technical assistance network, the Quality Research Centers
Consortium, and related Head Start University Partnerships.
Provide logistical support to facilitate conferences,
meetings, special consultation activities, commissioned papers, and
meetings of the Consortium.
Project Duration: The announcement for priority area 1.02 is
soliciting applications for project periods up to five years. Awards,
on a competitive basis, will be for a one-year budget period, although
project periods may be for five years. Applications for continuation
grants 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 non-competitive basis, subject to availability of funds,
satisfactory progress of the grantee and a determination that continued
funding would be in the best interest of the Government. Criteria for
continuation of funding beyond the first three years may include
participation in the cross-cutting, coordinated research activities
developed through the consortium framework.
Federal Share of Project Costs: The maximum Federal share for the
base cooperative agreements is approximately $200,000 for the first 12-
month budget period or a maximum of $1,000,000 for a five-year project
period. (The Federal share is inclusive of indirect costs.) In addition
to the base funding level of each cooperative agreement, there is the
possibility that NIMH may make available supplemental funds in
subsequent years to some or all of the grantees, through a
collaborative, interagency agreement, to support a potential set of
cross-cutting, coordinated research activities developed during the
first year of the project period. These supplements would be subject to
the availability of NIMH funds and contingent upon NIMH review and
approval of a consortium workplan for the set of cross-cutting,
coordinated research activities.
Matching Requirement: There is no matching requirement.
Anticipated Number of Projects to be Funded: It is anticipated that
4-6 projects will be funded.
CFDA: 93.600 Head Start: Head Start Act, as amended.
1.03 Support for Graduate Students: The Head Start Research Scholars
Program
Eligible Applicants: Institutions of higher education on behalf of
qualified doctoral candidates enrolled in the sponsoring institution.
To be eligible to administer the grant on behalf of the student, the
institution must be fully accredited by one of the regional accrediting
commissions recognized by the Department of Education and the Council
on Post-Secondary Accreditation. In addition, the specific graduate
student on whose behalf the application is made must be identified and
any resultant grant award is not transferable to another student. Funds
from this grant may not be used to make any payments to other students
at the university.
Purpose: To provide support for graduate students to encourage the
conduct of research with Head Start populations which will contribute
to the knowledge base for improving services for Head Start children
and families.
Background and Information: A large body of literature exists on
the early years of the Head Start program. A significant number of
these studies are dissertations and other research conducted by
graduate students. Many of these graduate students continued to make
significant contributions to Head Start as they pursued their careers.
As Head Start has continued to grow, its population has become more
diverse and societal problems have become more complex. In order to
meet the challenges Head Start faces today, it is more than ever in
need of the information that only sophisticated research conducted by
well trained researchers can provide. Therefore, as part of a research
capacity building effort, Head Start is interested in supporting
doctorate-level graduate students with diverse backgrounds and from
diverse fields to conduct research in Head Start programs.
A new generation of Head Start research is needed that recognizes
the great diversity among Head Start programs and the populations which
it serves. Although Head Start delivers a core set of services which
are defined by the Head Start Program Performance Standards, there is
wide variability across programs in terms of the methods by which these
services are delivered. Within programs, moreover, children and
families vary in their levels of functioning, ethnicity and other
variables which interact with program interventions. The Head Start
population offers a unique opportunity for research which will
contribute to understanding the differences in this diverse population
and how to effectively tailor services and interventions for children
and families with different characteristics. Research is needed on the
particular learning styles, the cognitive and social development, and
the developmental trajectories of children as well as on indicators of
family functioning as they are manifested in specific cultural and/or
linguistic groups, children with specific disabilities, and families at
different levels of functioning. In addition, suitable measures of
child, adult and family functioning must be identified and adapted for
specific subgroups of this diverse population. ACYF is interested in
supporting doctoral-level students, through their sponsoring
institutions, who are now conducting or wish to conduct research on the
Head Start population, and which will contribute to our knowledge about
the best approaches for delivering services to diverse populations.
Doctoral-level graduate students who are representative of Head Start's
diverse populations are particularly encouraged to apply.
Research projects include independent studies conducted by the graduate
students or well-defined portions of a larger study currently being
conducted by a principal investigator holding a faculty position and
for which the graduate student will have primary responsibility.
Narrative: Please see the Program Narrative section in Appendix A
to prepare the narrative section of the application. Explanations of
and exceptions to the narrative for the
[[Page 27431]]
purposes of preparing a research proposal are listed below.
Objectives and Need for Assistance--The justification for
a research proposal is based upon a review of the literature and either
the need for new research or for the application of basic research in
an applied setting. Do not include letters of support or testimonials
other than those required below under special conditions.
Results or Benefits Expected--For research applications,
it is the contribution to the literature the research will make or the
improvement in the quality of services for children and families.
Approach--For research applications, this is the
methodology section including design, sample size and description,
identification of measures, data collection schedules and types of
analyses to be performed.
Evaluation--This section is not needed for research
applications.
Geographical Location--Not needed.
Additional Information--Use the sections on Staff and
Position Data and Dissemination Plan only. Biographical sketches are
needed for only the principal investigator or co-principal
investigators.
Special Conditions:
The applicant must enter into a partnership with a Head
Start or Early Head Start program for the purposes of conducting the
research.
The application must contain a letter from the Head Start
program certifying that they have entered into a partnership with the
applicant and the application has been reviewed and approved by the
Policy Council.
The applicant must agree to attend one meeting of the
research grantees each year and Head Start's Fourth National Research
Conference in July of 1998. The budget should reflect travel funds for
such purposes.
Considering the size of the grant, the university must
waive indirect costs.
A university faculty member must serve as a mentor to the
graduate student. The application must include a letter from the
faculty member stating that s/he has reviewed and approved the proposal
and a description of how the faculty member will monitor the student's
work.
Contact information, including an e-mail address, for the
graduate student applicant must be included in the proposal.
The proposal must be written by the graduate student.
Project Duration: The announcement for priority area 1.03 is
soliciting applications for project periods up to two years. Awards, on
a competitive basis, will be for a one-year budget period, although
project periods may be for two years. Applications for continuation
grants funded under these awards beyond the one-year budget period, but
within the two-year project period, will be entertained in the
subsequent year on a non-competitive basis, subject to availability of
funds, satisfactory progress of the grantee and a determination that
continued funding would be in the best interest of the Government.
Federal Share of Project Costs: The maximum Federal share is not to
exceed $15,000 for the first 12-month budget period or a maximum of
$30,000 for a 2-year project period.
Matching Requirement: There is no matching requirement.
Anticipated Number of Projects to be Funded: It is anticipated that
10 projects will be funded. No individual university will be funded for
more than one candidate unless 10 applications from different
institutions do not qualify for support.
CFDA: 93.600 Head Start: Head Start Act, as amended.
1.04 Head Start Partnerships With Historically Black Colleges and
Universities
Eligible Applicants: Historically Black Colleges and Universities
(HBCUs) as defined in Executive Order 12677, which offer courses of
study in the areas of human services delivery, early childhood
education and care, health care services, community development and/or
human resource development.
Purpose: Announcement of financial assistance to be competitively
awarded to Historically Black Colleges and Universities to utilize the
capabilities of HBCUs to improve the quality and long term
effectiveness of Head Start and Early Head Start by developing models
of academic training and forming partnerships between HBCUs, and Head
Start (including Early Head Start) grantees and delegate agencies.
Background Information: The overall goal of Head Start is to bring
about a greater degree of social competence in the children of low-
income families. In order to accomplish this goal, Head Start provides
comprehensive services to low-income children and their families. Head
Start enhances children's physical, intellectual, social and emotional
development. It supports parents in their efforts to fulfill their
parental roles and provides for their involvement in implementing the
Head Start program. Another goal of Head Start is to strengthen
community supports for families with young children. Early Head Start
provides comprehensive services to pregnant women, infants and
toddlers.
Under this announcement, priority will be given to those HBCUs that
indicate that they have formed partnerships with one or more Head Start
or Early Head Start grantee and delegate agencies to provide training
and mentorship to the Head Start and Early Head Start agencies.
The partnership agreements must be beneficial to each partner, that
is, HBCUs must benefit and participating Head Start and Early Head
Start grantees must benefit. Partnership agreements can take many
forms; however, at a minimum they must provide academic training for a
specified number of Head Start/Early Head Start staff members. For
example, a Head Start grantee may form a partnership with an HBCU that
agrees to provide training for all Head Start staff members; including
food service workers, classroom staff, home visitors and management
staff. Another HBCU may agree to train mental health staff at several
grantees, and provide modeling of sound child development practices
with follow-up training and mentoring for center-based staff that may
want to improve the overall learning environment of their classrooms.
Other Head Start grantees may form partnerships with HBCUs that would
provide training for all classroom staff, home visitors and Head Start
Family Child Care providers that would lead to academic credit. In
addition, if the Head Start grantee has formed partnerships with local
child care agencies, training by the HBCU can be offered to those child
care staff members.
Narrative: Please see the Program Narrative Section in Appendix A
to prepare the narrative section of the application.
Special Conditions:
The applicant must provide letters of commitment from the
Head Start grantee(s) and relevant child care agencies.
The applicant must currently offer credit courses in the
areas of community Mental Health, Mental Health, Education and Early
Childhood Development, including infant/toddler development, social
work and social services and human resources development.
The planning period before implementation of the program
must not be more than five months.
Project Duration: The announcement for priority area 1.04 is
soliciting applications for project periods up to four years. Awards,
on a competitive
[[Page 27432]]
basis, will be for a one-year budget period, although project periods
may be for four years. Applications for continuation grants funded
under these awards beyond the one-year budget period, but within the
four-year project period, will be entertained in the subsequent years
on a non-competitive basis, subject to availability of funds,
satisfactory progress of the grantee and a determination that continued
funding would be in the best interest of the Government.
Federal Share of Project Costs: The maximum Federal share is not to
exceed $125,000 for the first 12-month budget period or a maximum of
$500,000 for a 4-year project period.
Matching Requirement: There is no matching requirement. However,
applicants are encouraged to provide non-Federal contributions to the
project.
Anticipated Number of Projects to be Funded: It is anticipated that
up to five projects will be funded.
Part III. Criteria and Review Process
Two sets of criteria are presented below. In order to select
successful applicants, the criteria for Head Start-University
Partnerships and Head Start Research Scholars will be applied by the
reviewers to the applicant's submissions in priority areas 1.01, 1.02
and 1.03. The criteria for HBCU's will be applied to priority area
1.04.
A. Criteria
Head Start-University Partnerships and Head Start Research Scholars
1. Objectives and Significance--25 points
The extent to which the objectives of the research are
important and relevant to Head Start and the field of early childhood.
The extent to which the research study makes a significant
contribution to the broader field.
The extent to which the related literature review supports
the study objectives, the questions to be addressed or the hypotheses
to be tested.
The extent to which the questions that will be addressed
or the hypotheses that will be tested are sufficient for meeting the
stated objectives.
2. Approach--40 points
The extent to which the planned approach reflects
sufficient input from and partnership with the Head Start or Early Head
Start program.
The extent to which the research design is appropriate and
sufficient for addressing the questions of the study.
The extent to which the planned approach allows for the
identification of specific outcomes.
The extent to which the planned research includes
quantitative and qualitative methods.
The extent to which the planned measures and analyses both
reflect knowledge and use of state-of-the-art measures and analytic
techniques and advance the state of-the art.
The extent to which the statistical approaches are
appropriate for the question under consideration.
The adequacy of the anticipated research sample size for
the requirements of the study.
For longitudinal studies the extent to which the site in
which the research will be conducted has a method of tracking Head
Start or Early Head Start graduates.
The applicant has provided all required assurances.
The reasonableness of the budget for the work proposed.
3. Staffing--35 points
The extent to which the principal investigator and other
key research staff possess the research expertise necessary to conduct
the study as demonstrated in the application and information contained
in their vitae.
The principal investigator(s) has earned a doctoral degree
in an appropriate field. (Not applicable for Head Start Research
Scholars.)
The extent to which the proposed staff reflect an
understanding of and sensitivity to the issues of working in a
community setting and in partnership with program staff and parents.
The adequacy of the time devoted to this project by the
principal investigator and other key staff in order to ensure a high
level of professional input and attention.
For graduate students, the adequacy of the supervision
provided by the graduate student's mentor.
Historically Black Colleges and Universities
1. Objectives and Significance--25 points
The extent to which the application demonstrates a clear
need for the training and a documents a sufficient number of potential
trainees.
The extent to which the proposed projects will produce
substantial benefits to Head Start and the HBCU that go beyond those
provided by Head Start's existing training system.
2. Approach--40 points
The extent to which the applicant demonstrates a
partnership between the HBCU, Head Start and relevant child care
agencies.
The extent to which the proposed course work is relevant
to the established needs and whether it contributes to the continuing
education of the trainees in terms of college credits or degrees.
The extent to which courses are planned at times
convenient to the students, are held in accessible locations and
support is provided to the students such as text books, chid care and
transportation.
The appropriateness of the methods for recruiting students
and the assignment of faculty.
The quality of the applicants plan for evaluation of the
project.
The adequacy of the applicant's plan for continuous
involvement with the Head Start or Early Head Start program.
The appropriateness of the budget for the project
proposed.
3. Staffing--35 points
The extent to which the project director and other key
staff possess the expertise necessary to conduct the project as
demonstrated in the application and information contained in their
vitae.
The extent to which the proposed staff reflect an
understanding of and sensitivity to the issues of working in a
community setting and in partnership with program staff and parents.
The adequacy of the time devoted to this project by the
project director and other key staff in order to ensure a high level of
professional input and attention.
B. The Review Process
Applications received by the due date will be reviewed and scored
competitively. Experts in the field, generally persons from outside the
Federal government, will use the evaluation criteria listed in Part III
of this announcement to review and score the applications. The results
of this review are a primary factor in making funding decisions. ACYF
may also solicit comments from ACF Regional Office staff and other
Federal agencies. These comments, along with those of the expert
reviewers, will be considered in making funding decisions. In selecting
successful applicants, consideration may be given to other factors
which at the time of funding, may cause ACYF to consider certain
research topics of higher priority or give less priority to current or
past principal investigators who were recipients of Head Start
discretionary research funds, or for Priority Area 1.03, universities
which are current grant recipients in behalf of graduate students.
[[Page 27433]]
Part IV. Instructions for Submitting Applications
A. Availability of Forms
Eligible applicants interested in applying for funds must submit a
complete application including the required forms included at the end
of this program announcement in Appendix A. In order to be considered
for a grant under this announcement, an application must be submitted
on the Standard Form 424 (approved by the Office of Management and
Budget under Control Number 0348-0043). A copy has been provided. Each
application must be signed by an individual authorized to act for the
applicant and to assume responsibility for the obligations imposed by
the terms and conditions of the grant award. Applicants requesting
financial assistance for non-construction projects must file the
Standard Form 424B, Assurances: Non-Construction Programs (approved by
the Office of Management and Budget under control number 0348-0340).
Applicants must sign and return the Standard Form 424B with their
application. Applicants must provide a certification concerning
lobbying. Prior to receiving an award in excess of $100,000, applicants
shall furnish an executed copy of the lobbying certification (approved
by the Office of Management and Budget under control number 0348-0046).
Applicants must sign and return the certification with their
application.
Applicants must make the appropriate certification of their
compliance with the Drug-Free Workplace 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, Part C
Environmental Tobacco Smoke (also known as The Pro-Children's Act of
1994). A copy of the Federal Register notice which implements the
smoking prohibition is included with the forms. By signing and
submitting the application, applicants are providing the certification
and need not mail back the certification with the application.
All applicants for research projects must provide a Protection of
Human Subjects Assurance as specified in the policy described on the
HHS Form 596 (approved by the Office of Management and Budget under
control number 0925-0137) in Appendix A. If there is a question
regarding the applicability of this assurance, contact the Office for
Protection from Research Risks of the National Institutes of Health at
(301) 496-7041. Those applying for or currently conducting research
projects are further advised of the availability of a Certificate of
Confidentiality through the National Institute of Mental Health of the
Department of Health and Human Services. To obtain more information and
to apply for a Certificate of Confidentiality, contact the Division of
Extramural Activities of the National Institute of Mental Health at
(301) 443-4673.
B. Proposal Limits
The proposal should be double-spaced and single-sided on 8\1/2\''
x 11'' plain white paper, with 1'' margins on all sides. Use only a
standard size font no smaller than 12 pitch throughout the proposal.
All pages of the proposal (including appendices, resumes, charts,
references/footnotes, tables, maps and exhibits) must be sequentially
numbered, beginning on the first page after the budget justification,
the principal investigator contact information and the Table of
Contents. The length of the proposal starting with page 1 as described
above and including appendices and resumes must not exceed 60 pages.
Anything over 60 pages will be removed and not considered by the
reviewers. The project summary should not be counted in the 60 pages.
Applicants should not submit reproductions of larger sized paper that
is reduced to meet the size requirement. Applicants are requested not
to send pamphlets, brochures, or other printed material along with
their applications as these pose copying difficulties. These materials,
if submitted, will not be included in the review process. In addition,
applicants must not submit any additional letters of endorsement beyond
any that may be required.
Applicants are encouraged to submit curriculum vitae using
``Biographical Sketch'' forms used by some government agencies.
Please note that applicants that do not comply with the
requirements in the section on ``Eligible Applicants'' will not be
included in the review process.
C. Checklist for a Complete Application
The checklist below is for your use to ensure that the application
package has been properly prepared.
--One original, signed and dated application plus two copies.
--Attachments/Appendices, when included, should be used only to provide
supporting documentation such as resumes, and letters of agreement/
support.
--A complete application consists of the following items in this order:
Front Matter:
Cover Letter
Table of Contents
Contact information for Principal Investigator including
telephone number, fax number and e-mail address. (In the case of
graduate students, include this information for both the graduate
student and the supervisor.)
Project Abstract
(1) Application for Federal Assistance (SF 424);
(2) Budget information-Non-Construction Programs (SF424A & B);
(3) Budget Justification, including subcontract agency budgets;
(4) Letter from the Head Start or Early Head Start program
certifying that the program is a research partner of the respective
applicant and that the Policy Council had reviewed and approved the
application;
(5) Application Narrative and Appendices (not to exceed 60 pages);
(6) Proof of non-profit status. Any non-profit organization
submitting an application must submit proof of its non-profit status in
its application at the time of submission. The non-profit organization
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 incorporation of the State in which the corporation or
association is domiciled.
(7) Assurances Non-Construction Programs;
(8) Certification Regarding Lobbying;
(9) Where appropriate, a completed SPOC certification with the date
of SPOC contact entered in line 16, page 1 of the SF 424;
(10) Certification of Protection of Human Subjects.
D. Due Date for the Receipt of Applications
1. Deadline: Mailed applications shall be considered as meeting an
announced deadline if they are received on or before the deadline time
and date at: Operations Center, 3030 Clarendon Blvd., Suite 240,
Arlington, Va. 22201.
Application for Head Start Discretionary Research: (Head Start--
[[Page 27434]]
University Partnerships [Priority Area 1.01 or 1.02], Head Start
Research Scholars or Historically Black Colleges and Universities)
Applicants are responsible for mailing applications well in
advance, when using all mail services, to ensure that the applications
are received on or before the deadline time and date.
Applications handcarried by applicants, applicant couriers, or by
overnight/express mail couriers shall be considered as meeting an
announced deadline if they are received on or before the deadline date,
between the hours of 8:00 a.m. and 5:00 p.m., Monday-Friday (excluding
holidays) at the address above. (Applicants are cautioned that express/
overnight mail services do not always deliver as agreed.) ACF cannot
accommodate transmission of applications by fax or e-mail. Therefore,
applications faxed or e-mailed to ACF will not be accepted regardless
of date or time of submission and time of receipt.
2. Late applications: Applications which do not meet the criteria
above are considered late applications. ACF shall notify each late
applicant that its application will not be considered in the current
competition.
3. Extension of deadlines: ACF may extend the deadline for all
applicants because of acts of God such as floods, hurricanes, etc.,
widespread disruption of the mails or when it is anticipated that many
of the applications will come from rural or remote areas. However, if
ACF does not extend the deadline for all applicants, it may not waive
or extend the deadline for any applicants.
E. Paperwork Reduction Act of 1995
Under the Paperwork Reduction Act of 1995, Public Law 104-13, the
Department is required to submit to OMB for review and approval any
reporting and record keeping requirements in regulations including
program announcements. This program announcement does not contain
information collection requirements beyond those currently approved
under OMB Control Numbers 0348-0043, 0348-0044, 0348-00400, 0348-0046,
0925-0137 and 0970-0139.
F. Required Notification of the State Single Point of Contact
This program is covered under Executive Order 12372,
Intergovernmental Review of Federal Programs, and 45 CFR part 100,
Intergovernmental Review of Department of Health and Human Services
Program and Activities. Under the Order, States may design their own
processes for reviewing and commenting on proposed Federal assistance
under covered programs.
All States and Territories except Alabama, Alaska,
Colorado, Connecticut, Hawaii, Idaho, Kansas, Louisiana, Massachusetts,
Minnesota, Montana, Nebraska, New Jersey, Oklahoma, Oregon,
Pennsylvania, South Dakota, Tennessee, Vermont, Virginia, Washington,
American Samoa and Palau have elected to participate in the Executive
Order process and have established Single Points of Contact (SPOCs).
Applicants from these twenty-three jurisdictions need take no action
regarding E.O. 12372. Applicants for projects to be administered by
Federally-recognized Indian Tribes are also exempt from the
requirements of E.O. 12372. Otherwise, applicants should contact their
SPOCs as soon as possible to alert them of the prospective applications
and receive any necessary instructions. Applicants must submit any
required material to the SPOCs as soon as possible so that the program
office can obtain and review SPOC comments as part of the award
process. It is imperative that the applicant submit all required
materials, if any, to the SPOC and indicate the date of this submittal
(or 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 or competing continuation awards.
SPOCs are encouraged to eliminate the submission of routine
endorsements as official recommendations.
Additionally, SPOCs are requested to clearly differentiate between
mere advisory comments and those official State process recommendations
which may trigger the accommodate or explain rule.
When comments are submitted directly to ACF, they should be
addressed to: Lynda Perez, Head Start Bureau, P.O. Box 1182,
Washington, D.C. 20013, Attn: Head-Start University Partnerships, Head
Start Research Scholars or Historically Black Colleges and
Universities. A list of the Single Points of Contact for each State and
Territory is included in Appendix B.
Dated: May 8, 1997.
Helen H. Taylor,
Associate Commissioner, Head Start Bureau, Administration on Children,
Youth and Families.
BILLING CODE 4184-01-P
[[Page 27435]]
[GRAPHIC] [TIFF OMITTED] TN19MY97.002
BILLING CODE 4184-01-C
[[Page 27436]]
Instructions for the SF 424
Public reporting burden for this collection of information is
estimated to average 45 minutes per response, including time for
reviewing instructions, searching existing data sources, gathering
and maintaining the data needed, and completing and reviewing the
collection of information. Send comments regarding the burden
estimate or any other aspect of this collection of information,
including suggestions for reducing this burden, to the Office of
Management and Budget. Paperwork Reduction Project (0348-0043),
Washington, DC 20503.
PLEASE DO NOT RETURN YOUR COMPLETED FORM TO THE OFFICE OF
MANAGEMENT AND BUDGET, SEND IT TO THE ADDRESS PROVIDED BY THE
SPONSORING AGENCY.
-----------------------------------------------------------------------
This is a standard form used by applicants as a required
facesheet for preapplications and applications submitted for Federal
assistance. It will be used by Federal agencies to obtain applicant
certification that States which have established a review and
comment procedure in response to Executive Order 12372 and have
selected the program to be included in their process, have been
given an opportunity to review the applicant's submission.
Item and Entry
1. Self-explanatory.
2. Date application submitted to Federal agency (or State, if
applicable) & applicant's control number (if applicable).
3. State use only (if applicable).
4. If this application is to continue or revise an existing
award, enter present Federal identifier number. If for a new
project, leave blank.
5. Legal name of applicant, name of primary organizational unit
which will undertake the assistance activity, complete address of
the applicant, and name and telephone number of the person to
contact on matters related to this application.
6. Enter Employer Identification Number (EIN) as assigned by the
Internal Revenue Service.
7. Enter the appropriate letter in the space provided.
8. Check appropriate box and enter appropriate letter(s) in the
space(s) provided:
--``New'' means a new assistance award.
--``Continuation'' means an extension for an additional funding/
budget period for a project with a projected completion date.
--``Revision'' means any change in the Federal Government's
financial obligation or contingent liability from an existing
obligation.
9. Name of Federal agency from which assistance is being
requested with this application.
10. Use the Catalog of Federal Domestic Assistance number and
title of the program under which assistance is requested.
11. Enter a brief descriptive title of the project. If more than
one program is involved, you should append an explanation on a
separate sheet. If appropriate (e.g., construction or real property
projects), attach a map showing project location. For
preapplications, use a separate sheet to provide a summary
description of this project.
12. List only the largest political entities affected (e.g.,
State, counties, cities).
13. Self-explanatory.
14. List the applicant's Congressional District and any
District(s) affected by the program or project.
15. Amount requested or to be contributed during the first
funding/budget period by each contributor. Value of in-kind
contributions should be included on appropriate lines as applicable.
If the action will result in a dollar change to an existing award,
indicate only the amount of the change. For decreases, enclose the
amounts in parentheses. If both basic and supplemental amounts are
included, show breakdown on an attached sheet. For multiple program
funding, use totals and show breakdown using same categories as item
15.
16. Applicants should contact the State Single Point of Contact
(SPOC) for Federal Executive Order 12372 to determine whether the
application is subject to the State intergovernmental review
process.
17. This question applies to the applicant organization, not the
person who signs as the authorized representative. Categories of
debt include delinquent audit allowances, 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.)
BILLING CODE 4184-01-P
[[Page 27437]]
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[[Page 27438]]
[GRAPHIC] [TIFF OMITTED] TN19MY97.004
BILLING CODE 4184-01-C
[[Page 27439]]
Instructions for the SF 424A
Public reporting burden for this collection of information is
estimated to average 180 minutes per response, including time for
reviewing instructions, searching existing data sources, gathering
and maintaining the data needed, and completing and reviewing the
collection of information. Send comments regarding the burden
estimate or any other aspect of this collection of information,
including suggestions for reducing this burden, to the Office of
Management and Budget, Paperwork Reduction Project (0348-0043),
Washington, DC 20503.
PLEASE DO NOT RETURN YOUR COMPLETED FORM TO THE OFFICE OF
MANAGEMENT AND BUDGET, SEND IT TO THE ADDRESS PROVIDED BY THE
SPONSORING AGENCY.
-----------------------------------------------------------------------
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. Section 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 function 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 of each line 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 same of amounts in
Columns (e) and (f)
Line 5--Show the total for all columns used.
Section B. Budget Categories
In the column headings (1) through (4), enter the titles of the
same programs, functions, and activities shown on Lines 1-4, Column
(a), Section A. When additional sheets are prepared for Section A,
provide similar column headings on each sheet. For each program,
function or activity, fill in the total requirements for funds (both
Federal and Non-Federal) by object class categories.
Lines 6a-i--Show the totals of Lines 6a to 6h in each column.
Line 6j--Show the amount of indirect cost.
Line 6K--Enter the total of amounts on Lines 6i and 6j. For all
applications for new grants and continuation grants the total amount
in column (5), Line 6k, should be the same as the total amount shown
in Section A, Column (g), Line 5. For supplemental grants and
changes to grants, the total amount of the increase or decrease as
shown in Columns (1)-(4), Line 6K, should be the same as the sum of
the amounts in Section A, Columns (e) and (f) on Line 5.
Line 7--Enter the estimated amount of income, if any, expected
to be generated from this project. Do not add or subtract this
amount from the total project amount. Show under the program
narrative statement the nature and source of income. The estimated
amount of program income may be considered by the federal grantor
agency in determining the total amount of the grant.
Section C. Non-Federal Resources
Lines 8-11 Enter amounts of non-Federal resources that will be
used on the grant. If in-kind contributions are included provide a
brief explanation on a separate sheet.
Column (a)--Enter the program titles identical to Column (a),
Section A. A breakdown by function or activity is not necessary.
Column (b)--Enter the contribution to be made by the applicant.
Column (c)--Enter the amount of the State's cash and in-kind
contribution if the applicant is not a State or State agency.
Applicants which are a State or State agencies should leave this
column blank.
Column (d)--Enter the amount of cash and in-kind contributions
to be made from all other sources.
Column (e)--Enter totals in Columns (b), (c), and (d).
Line 12--Enter the total for each of Columns (b)-(e). The amount
in Column (e) should be equal to the amount on Line 5, Column (f),
Section A.
Section D. Forecasted Cash Needs
Line 13--Enter the amount of cash needed by quarter from the
grantor agency during the first year.
Line 14--Enter the amount of cash from all other sources needed
by quarter during the first year.
Line 15--Enter the totals of amounts on Lines 13 and 14.
Section E. Budget Estimates of Federal Funds Needed for Balance of
the Project
Lines 16-19--Enter in Column (a) the same grant program titles
shown in Column (a), Section A. A breakdown by function or activity
is not necessary. For new applications and continuation grant
applications, enter in the proper columns amounts of Federal funds
which will be needed to complete the program or project over the
succeeding funding periods (usually in years). This section need not
be completed for revisions (amendments, changes, or 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 expenses.
Line 23--Provide any other explanations or comments deemed
necessary.
Assurances--Non-Construction Programs
Public reporting burden for this collection of information is
estimated to average 15
[[Page 27440]]
minutes per response, including time for reviewing instructions,
searching existing data sources, gathering and maintaining the data
needed, and completing and reviewing the collection of information.
Send comments regarding the burden estimate or any other aspect of
this collection of information, including suggestions for reducing
this burden, to the Office of Management and Budget, Paperwork
Reduction Project (0348-0043), Washington, DC 20503.
PLEASE DO NOT RETURN YOUR COMPLETED FORM TO THE OFFICE OF
MANAGEMENT AND BUDGET, SEND IT TO THE ADDRESS PROVIDED BY THE
SPONSORING AGENCY.
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Note: Certain of these assurances may not be applicable to your
project or program. If you have questions, please contact the
awarding agency. Further, certain Federal awarding agencies may
require applicants to certify to additional assurances. If such is
the case, you will be notified.
As the duly authorized representative of the applicant I certify
that the applicant:
1. Has the legal authority to apply for Federal assistance and
the institutional, managerial and financial capability (including
funds sufficient to pay the non-Federal share of project costs) to
ensure proper planning, management and completion of the project
described in this application.
2. Will give the awarding agency, the Comptroller General of
United States, and if appropriate, the State, through any authorized
representative, access to and the right to examine all records,
books, papers, or documents related to the award; and will establish
a proper accounting system in accordance with generally accepted
accounting standards or agency directives.
3. Will establish safeguards to prohibit employees from using
their positions for a purpose that constitutes or presents the
appearance of personal or organizational conflict of interest, or
personal gain.
4. Will initiate and complete the work within the applicable
time frame after receipt of approval of the awarding agency.
5. Will comply with the Intergovernmental Personnel Act of 1970
(42 U.S.C. Secs. 4728-4763) relating to prescribed standards for
merit systems for programs funded under one of the nineteen statutes
or regulations specified in Appendix A of OPM's Standards for a
Merit System of Personnel Administration (5 CFR 900, Subpart F).
6. Will comply with all Federal statutes relating to
nondiscrimination. These include but are not limited to: (a) Title
VI of the Civil Rights Act of 1964 (P.L. 88-352) which prohibits
discrimination on the basis of race, color or national origin; (b)
Title IX of the Education Amendments of 1972, as amended (20 U.S.C.
Secs. 1681-1683, and 1685-1686), which prohibits discrimination on
the basis of sex; (c) Section 504 of the Rehabilitation Act of 1973,
as amended (29 U.S.C. Sec. 794), which prohibits discrimination on
the basis of handicaps; (d) the Age Discrimination Act of 1975, as
amended (42 U.S.C. Sec. 6101-6107), which prohibits discrimination
on the basis of age; (e) the Drug Abuse Office and Treatment Act of
1972 (P.L. 92-255), as amended, relating to nondiscrimination on the
basis of drug abuse; (f) the Comprehensive Alcohol Abuse and
Alcoholism Prevention, Treatment and Rehabilitation Act of 1970
(P.L. 91-616), as amended, relating to nondiscrimination on the
basis of alcohol abuse or alcoholism; (g) Secs. 523 and 527 of the
Public Health Service Act of 1912 (42 U.S.C. 290 dd-3 and 290 ee-3),
as amended, relating to confidentiality of alcohol and drug abuse
patient records; (h) Title VIII of the Civil Rights Act of 1968 (42
U.S.C. Sec. 3601 et seq.), as amended, relating to non-
discrimination in the sale, rental or financing of housing; (i) any
other nondiscrimination provisions in the specific statute(s) under
which application for Federal assistance is being made; and (j) the
requirements of any other nondiscrimination statute(s) which may
apply to the applicant.
7. Will comply, or has already complied, with the requirements
of Titles II and III of the Uniform Relocation Assistance and Real
Property Acquisition Policies Act of 1970 (P.L. 91-646) which
provide for fair and equitable treatment of persons displaced or
whose property is acquired as a result of Federal or federally
assisted programs. These requirements apply to all interests in real
property acquired for project purposes regardless of Federal
participation in purchases.
8. Will comply, as applicable, with the provisions of the Hatch
Act (5 U.S.C. Secs. 1501-1508 and 7324-7328) which limit the
political activities of employees whose principal employment
activities are funded in whole or in part with Federal funds.
9. Will comply, as applicable, with the provisions of the Davis-
Bacon Act (40 U.S.C. Secs. 276a to 276a-7), the Copeland Act (40
U.S.C. Secs. 276c and 18 U.S.C. Secs. 874), and the Contract Work
Hours and Safety Standards Act (40 U.S.C. Secs. 327-333), regarding
labor standards for federally assisted construction subagreements.
10. Will comply, if applicable, with flood insurance purchase
requirements of Section 102(a) of the Flood Disaster Protection Act
of 1973 (P.L. 93-234) which requires recipients in a special flood
hazard area to participate in the program and to purchase flood
insurance if the total cost of insurable construction and
acquisition is $10,000 or more.
11. Will comply with environmental standards which may be
prescribed pursuant to the following: (a) institution of
environmental quality control measures under the National
Environmental Policy Act of 1969 (P.L. 91-190) and Executive Order
(EO) 11514; (b) notification of violating facilities pursuant to EO
11738; (c) protection of wetlands pursuant to EO 11990; (d)
evaluation of flood hazards in floodplains in accordance with EO
11988; (e) assurance of project consistency with the approved State
management program developed under the Coastal Zone Management Act
of 1972 (16 U.S.C. Secs. 1451 et seq.); (f) conformity of Federal
actions to State (Clear Air) Implementation Plans under Section
176(c) of the Clear Air Act of 1955, as amended (42 U.S.C.
Secs. 7401 et seq.); (g) protection of underground sources of
drinking water under the Safe Drinking Water Act of 1974, as
amended, (P.L. 93-523); and (h) protection of endangered species
under the Endangered Species Act of 1973, as amended, (P.L. 93-205).
12. Will comply with the Wild and Scenic Rivers Act of 1968 (16
U.S.C. Secs. 1271 et seq.) related to protecting components or
potential components of the national wild and scenic rivers system.
13. Will assist the awarding agency in assuring compliance with
Section 106 of the National Historic Preservation Act of 1966, as
amended (16 U.S.C. 470), EO 11593 (identification and protection of
historic properties), and the Archaeological and Historic
Preservation Act of 1974 (16 U.S.C. 469a-1 et seq.).
14. Will comply with P.L. 93-348 regarding the protection of
human subjects involved in research, development, and related
activities supported by this award of assistance.
15. Will comply with the Laboratory Animal Welfare Act of 1966
(P.L. 89-544, as amended, 7 U.S.C. 2131 et seq.) pertaining to the
care, handling, and treatment of warm blooded animals held for
research, teaching, or other activities supported by this award of
assistance.
16. Will comply with the Lead-Based Paint Poisoning Prevention
Act (42 U.S.C. Secs. 4801 et seq.) which prohibits the use of lead
based paint in construction or rehabilitation of residence
structures.
17. Will cause to be performed the required financial and
compliance audits in accordance with the Single Audit Act of 1984 or
OMB circular No. A-133, Audits of Institutions of Higher Learning
and other Non-profit Institutions.
18. Will comply with all applicable requirements of all other
Federal laws, executive orders, regulations and policies governing
this program.
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Signature of Authorized Certifying Official
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Title
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Applicant Organization
----------------------------------------------------------------------
Date Submitted
Program Narrative
This program narrative section was designed for use by many and
varied programs. Consequently, it is not possible to provide
specific guidance for developing a program narrative statement that
would be appropriate in all cases. Applicants must refer the
relevant program announcement for information on specific program
requirements and any additional guidelines for preparing the program
narrative statement. The following are general guidelines for
preparing a program narrative statement.
The program narrative provides a major means by which the
application is evaluated and ranked to compete with other applicants
for available assistance. It should be concise and complete and
should address the activity for which Federal funds are requested.
Supporting documents should be included where they can present
information clearly
[[Page 27441]]
and succinctly. Applicants are encouraged to provide information on
their organizational structure, staff, related experience, and other
information considered to be relevant. Awarding offices use this and
other information to determine whether the applicant has the
capability and resources necessary to carry out the proposed
project. It is important, therefore, that this information be
included in the application. However, in the narrative the applicant
must distinguish between resources directly related to the proposed
project from those which will not be used in support of the specific
project for which funds are 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 in accordance with the
following instructions:
Applicants submitting new applications or competing
continuation applications should respond to Items A and D.
Applicants submitting noncompeting continuation
applications should respond to Item B.
Applicants requesting supplemental assistance should
respond to Item C.
A. Project Description--Components
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 problem(s) requiring a solution.
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 may volunteer or be 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 results and benefits to be derived. For example, when
applying for a grant to establish a neighborhood child care center,
describe who will occupy the facility, who will use the facility,
how the facility will be used, and how the facility will benefit the
community which it will serve.
4. Approach
Outline a plan of action which describes the scope and detail of
how the proposed work will be accomplished. Account for all
functions or activities identified in the application. Cite factors
which might accelerate of decelerate the work and state your reason
for taking this approach rather than others. Describe any unusual
features of the project such as design or technological innovations,
reductions in cost or time, or extraordinary social and community
involvement.
Provide quantitative monthly or quarterly projections of the
accomplishments to be achieved for each function or activity in such
terms as the number of people to be served and the number of
microloans made. When accomplishments cannot be quantified by
activity or function, list them in chronological order to show the
schedule of accomplishments and their target dates.
Identify the kinds of data to be collected, maintained, and/or
disseminated. (Note that clearance from the U.S. Office of
Management and Budget might be needed prior to an information
collection.) List organizations, cooperating entities, consultants,
or other key individuals who will work on the project along with a
short description of the nature of their effort or contribution.
5. Evaluation
Provide a narrative addressing how you will evaluate 1) the
results of your project and 2) the conduct of your program. In
addressing the evaluation of results, state how you will determine
the extent to which the program has achieved its stated objectives
and the extent to which the accomplishment of objectives can be
attributed to the program. Discuss the criteria to be used to
evaluate results; explain the methodology that will be used to
determine if the needs identified and discussed are being met and if
the project results and benefits are being achieved. With respect to
the conduct of your program, define the procedures you will employ
to determine whether the program is being conducted in a manner
consistent with the work plan you presented and discuss the impact
of the program's various activities upon the program's
effectiveness.
6. Geographic Location
Give the precise location of the project and boundaries of the
area to be served by the proposed project. Maps or other graphic
aids may be attached.
7. Additional Information (Include if applicable)
Additional information may be provided in the body of the
program narrative or in the appendix. Refer to the program
announcement and ``General Information and Instructions'' for
guidance on placement of application materials.
Staff and Position Data--Provide a biographical sketch for key
personnel appointed and a job description for each vacant key
position. Some programs require both for all positions. Refer to the
program announcement for guidance on presenting this information.
Generally, a biographical sketch is required for original staff and
new members as appointed.
Plan for Project Continuance Beyond Grant Support--A plan for
securing resources and continuing project activities after Federal
assistance has ceased.
Business Plan--When federal grant funds will be used to make an
equity investment, provide a business plan. Refer to the program
announcement for guidance on presenting this information.
Organization Profiles--Information on applicant organizations
and their cooperating partners such as organization charts,
financial statements, audit reports or statements from CPA/Licensed
Public Accountant, Employer Identification Numbers, names of bond
carriers, contact persons and telephone numbers, child care licenses
and other documentation of professional accreditation, information
on compliance with federal/state/local government standards,
documentation of experience in program area, and other pertinent
information. Any non-profit organization submitting an application
must submit proof of its non-profit status in its application at the
time of submission. The non-profit 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.
Dissemination Plan--A plan for distributing reports and other
project outputs to colleagues and the public. Applicants must
provide a description of the kind, volume and timing of
distribution.
Third-Party Agreements--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.
Waiver Request--A statement of program requirements for which
waivers will be needed to permit the proposed project to be
conducted.
Letters of Support--Statements from community, public and
commercial leaders which support the project proposed for funding.
B. Noncompeting Continuation Applications
A program narrative usually will not be required for
noncompeting continuation applications for nonconstruction programs.
Noncompeting continuation applications shall be abbreviated unless
the ACF Program Office administering this program has issued a
notice to the grantee that a full application will be required.
An abbreviated application consists of:
1. The Standard Form 424 series (SF 424, SF 424A, SF-424B)
2. The estimated or actual unobligated balance remaining from
the previous budget period should be identified on an accurate SF-
269 as well as in Section A, Columns (c) and (d) of the SF-424A.
[[Page 27442]]
3. The grant budget, broken down into the object class
categories on the 424A, and if category ``other'' is used, the
specific items supported must be identified.
4. Required certifications.
A full application consists of all elements required for an
abbreviated application plus:
1. Program narrative information explaining significant changes
to the original program narrative statement, a description of
accomplishments from the prior budget period, a projection of
accomplishments throughout the entire remaining project period, and
any other supplemental information that ACF informs the grantee is
necessary.
2. A full budget proposal for the budget period under
consideration with a full cost analysis of all budget categories.
3. A corrective action plan, if requested by ACF, to address
organizational performance weaknesses.
C. Supplemental Requests
For supplemental assistance requests, explain the reason for the
request and justify the need for additional funding. Provide a
budget and budget justification only for those items for which
additional funds are requested. (See Item D for guidelines on
preparing a budget and budget justification.)
D. Budget and Budget Justification
Provide line item detail and detailed calculations for each
budget object class identified on the Budget Information form.
Detailed calculations must include estimation methods, quantities,
unit costs, and other similar quantitative detail sufficient for the
calculation to be duplicated. The detailed budget must also include
a breakout by the funding sources identified in Block 15 of the SF-
424.
Provide a narrative budget justification which describes how the
categorical costs are derived. Discuss the necessity,
reasonableness, and allocability of the proposed costs.
The following guidelines are for preparing the budget and budget
justification. Both federal and non-federal resources should be
detailed and justified in the budget and narrative justification.
For purposes of preparing the program narrative, ``federal
resources'' refers only to the ACF grant for which you are applying.
Non-Federal resources are all other federal and non-federal
resources. It is suggested that for the budget, applicants use a
column format: Column 1, object class categories; Column 2, federal
budget amounts; Column 3, non-federal budget amounts, and Column 4,
total amounts. The budget justification should be a narrative.
Personnel. Costs of employee salaries and wages.
Justification: Identify the project director or principal
investigator, if known. For each staff person, show name/title, time
commitment to the project (in months), time commitments to the
project (as a percentage or full-time equivalent), annual salary,
grant salary, wage rates, etc. Do not include costs of consultants
or personnel costs of delegate agencies or of specific project(s) or
businesses to be financed by the applicant.
Fringe Benefits. Costs of employee fringe benefits unless
treated as part of an approved indirect cost rate.
Justification: Provide a breakdown of amounts and percentages
that comprise fringe benefit costs, such as health insurance, FICA,
retirement insurance, taxes, etc.
Travel. Costs of project related travel by employees of the
applicant organization (does not include costs of consultant
travel).
Justification: For each trip, show the total number of
traveler(s), travel destination, duration of trip, per diem, mileage
allowances, if privately owned vehicles will be used, and other
transportation costs and subsistence allowances. Travel costs for
key staff to attend ACF sponsored workshops as specified in this
program announcement should be detailed in the budget.
Equipment. Costs of all non-expendable, tangible personal
property to be acquired by the project where each article has a
useful life of more than one year and an acquisition cost which
equals the lesser of (a) the capitalization level established by the
applicant organization for financial statement purposes, or (b)
$5000.
Justification: For each type of equipment requested, provide a
description of the equipment, cost per unit, number of units, total
cost, and a plan for use on the project, as well as use or disposal
of the equipment after the project ends.
Supplies. Cost of all tangible personal property (supplies)
other than that included under the Equipment category.
Justification: Specify general categories of supplies and their
costs. Show computations and provide other information which
supports the amount requested.
Contractual. Costs of all contracts for services and goods
except for those which belong under other categories such as
equipment, supplies, construction, etc. Third-party evaluation
contracts (if applicable) and contracts with secondary recipient
organizations including delegate agencies and specific project(s) or
businesses to be financed by the applicant should be included under
this category.
Justification: All procurement transactions shall be conducted
in a manner to provide, to the maximum extent practical, open and
free competition. If procurement competitions were held or if a sole
source procurement is being proposed, attach a list of proposed
contractors, indicating the names of the organizations, the purposes
of the contracts, the estimated dollar amounts, and the award
selection process. Also provide back-up documentation where
necessary to support selection process.
Note: Whenever the applicant/grantee intends to delegate part of
the program to another agency, the applicant/grantee must provide a
detailed budget and budget narrative for each delegate agency by
agency title, along with the required supporting information
referenced in these instructions.
Applicants must identify and justify any anticipated procurement
that is expected to exceed the simplified purchase threshold
(currently set at $100,000) and to be awarded without competition.
Recipients are required to make available to ACF pre-award review
and procurement documents, such as request for proposals or
invitations for bids, independent cost estimates, etc. under the
conditions identified at 45 CFR Part 74.44(e).
Construction. Costs of construction by applicant or contractor.
Justification: Provide detailed budget and narrative in
accordance with instructions for other object class categories.
Identify which construction activity/costs will be contractual and
which will assumed by the applicant.
Other. Enter the total of all other costs. Such costs, where
applicable and appropriate, may include but are not limited to
insurance, food, medical and dental costs (noncontractual), fees and
travel paid directly to individual consultants, space and equipment
rentals, printing and publication, computer use, training costs,
including tuition and stipends, training service costs including
wage payments to individuals and supportive service payments, and
staff development costs.
Indirect Charges. Total amount of indirect costs. This category
should be used only when the applicant current has an indirect cost
rate approved by the Department of Health and Human Services or
another cognizant Federal agency.
Justification: With the exception of most local government
agencies, an applicant which will charge indirect costs to the grant
must enclose a copy of the current rate agreement if the agreement
was negotiated with a cognizant Federal agency other than the
Department of Health and Human Services (DHHS). If the rate
agreement was negotiated with the Department of Health and Human
Services, the applicant should state this in the budget
justification. If the applicant organization is in the process of
initially developing or renegotiating a rate, it should immediately
upon notification that an award will be made, develop a tentative
indirect cost rate proposed based on its most recently completed
fiscal year in accordance with the principles set forth in the
pertinent DHHS Guide for Establishing Indirect Cost Rates, and
submit it to the appropriate DHHS Regional Office. Applicants
awaiting approval of their indirect cost proposals may also request
indirect costs. It should be noted that when an indirect cost rate
is requested, those costs included in the indirect cost pool should
not be also charged as direct costs to the grant. Also, if the
applicant is requesting a rate which is less than what is allowed
under this program announcement, the authorized representative of
your organization needs to submit a signed acknowledgement that the
applicant is accepting a lower rate than allowed.
Program Income. The estimated amount of income, if any, expected
to be generated from this project. Separately show expected program
income generated from program support and income generated from
other mobilized funds. Do not add or subtract this amount from the
budget total. Show the nature and source of income in the program
narrative statement.
Justification: Describe the nature, source and anticipated use
of program income in the budget or reference pages in the program
narrative statement which contain this information.
[[Page 27443]]
Non-Federal Resources. Amounts of non-Federal resources that
will be used to support the project as identified in Block 15 of the
SF-424.
Justification: The firm commitment of these resources must be
documented and submitted with the application in order to be given
credit in the review process.
Total Direct Charges, Total Indirect Charges, Total Project
Costs. (self explanatory)
This certification is required by the regulations implementing
the Drug-Free Workplace Act of 1988: 45 CFR Part 76, Subpart, F.
Sections 76.630 (c) and (d)(2) and 76.645 (a)(1) and (b) provide
that a Federal agency may designate a central receipt point for
STATE-WIDE AND STATE AGENCY-WIDE certifications, and for
notification of criminal drug convictions. For the Department of
Health and Human Services, the central point is: Division of Grants
Management and Oversight, Office of Management and Acquisition,
Department of Health and Human Services, Room 517-D, 200
Independence Avenue, SW., Washington, DC 20201.
Certification Regarding Drug-Free Workplace Requirements
(Instructions for Certification)
1. By signing and/or submitting this application or grant
agreement, the grantee is providing the certification set out below.
2. The certification set out below is a material representation
of fact upon which reliance is placed when the agency awards the
grant. If it is later determined that the grantee knowingly rendered
a false certification, or otherwise violates the requirements of the
Drug-Free Workplace Act, the agency, in addition to any other
remedies available to the Federal Government, may take action
authorized under the Drug-Free Workplace Act.
3. For grantees other than individuals, Alternate I applies.
4. For grantees who are individuals, Alternate II applies.
5. Workplaces under grants, for grantees other than individuals,
need not be identified on the certification. If known, they may be
identified in the grant application. If the grantee does not
identify the workplaces at the time of application, or upon award,
if there is no application, the grantee must kept the identity of
the workplace(s) on file in its office and make the information
available for Federal inspection. Failure to identify all known
workplaces constitutes a violation of the grantee's drug-free
workplace requirements.
6. Workplace identification must include the actual address of
buildings (or parts of buildings) or other sites where work under
the grant takes place. Categorical descriptions may be used (e.g.,
all vehicles of a mass transit authority or State highway department
while in operation, State employees in each local unemployment
office, performers in concert halls or radio studios).
7. If the workplace identified to the agency changes during the
performance of the grant, the grantee shall inform the agency of the
change(s), if it previously identified the workplaces in question
(see paragraph five).
8. Definitions of terms in the Nonprocurement Suspension and
Debarment common rule and Drug-Free Workplace common rule apply to
this certification. Grantees' attention is called, in particular, to
the following definitions from these rules:
Controlled substance means a controlled substance in Schedules I
through V of the Controlled Substances Act (21 U.S.C. 812) and as
further defined by regulation (21 CFR 1308.11 through 1308.15);
Conviction means a finding of guilt (including a plea of nolo
contendere) or imposition of sentence, or both, by any judicial body
charged with the responsibility to determine violations of the
Federal or State criminal drug statutes;
Criminal drug statute means a Federal or non-Federal criminal
statute involving the manufacture, distribution, dispensing, use, or
possession of any controlled substance;
Employee means the employee of a grantee directly engaged in the
performance of work under a grant, including: (i) All direct charge
employees; (ii) All indirect charge employees unless their impact or
involvement is insignificant to the performance of the grant; and,
(iii) Temporary personnel and consultants who are directly engaged
in the performance of work under the grant and who are on the
grantee's payroll. This definition does not include workers not on
the payroll of the grantee (e.g., volunteers, even if used to meet a
matching requirement; consultants or independent contractors not on
the grantee's payroll; or employees of subrecipients or
subcontractors in covered workplaces).
Certification Regarding Drug-Free Workplace Requirements
Alternate I. (Grantees Other Than Individuals)
The grantee certifies that it will or will continue to provide a
drug-free workplace by:
(a) Publishing a statement notifying employees that the unlawful
manufacture, distribution, dispensing, possession, or use of a
controlled substance is prohibited in the grantee's workplace and
specifying the actions that will be taken against employees for
violation of such prohibition;
(b) Establishing an ongoing drug-free awareness program to
inform employees about--
(1) The dangers of drug abuse in the workplace;
(2) The grantee's policy of maintaining a drug-free workplace;
(3) Any available drug counseling, rehabilitation, and employee
assistance programs; and
(4) The penalties that may be imposed upon employees for drug
abuse violations occurring in the workplace;
(c) Making it a requirement that each employee to be engaged in
the performance of the grant be given a copy of the statement
required by paragraph (a);
(d) Notifying the employee in the statement required by
paragraph (a) that, as a condition of employment under the grant,
the employee will--
(1) Abide by the terms of the statement; and
(2) Notify the employer in writing of his or her conviction for
a violation of a criminal drug statute occurring in the workplace no
later than five calendar days after such conviction;
(e) Notifying the agency in writing, within ten calendar days
after receiving notice under paragraph (d)(2) from an employee or
otherwise receiving actual notice of such conviction. Employers of
convicted employees must provide notice, including position title,
to every grant officer or other designee on whose grant activity the
convicted employee was working, unless the Federal agency has
designated a central point for the receipt of such notices. Notice
shall include the identification number(s) of each affected grant;
(f) Taking one of the following actions, within 30 calendar days
of receiving notice under paragraph (d)(2), with respect to any
employee who is so convicted--
(1) Taking appropriate personnel action against such an
employee, up to and including termination, consistent with the
requirements of the Rehabilitation Act of 1973, as amended; or
(2) Requiring such employee to participate satisfactorily in a
drug abuse assistance or rehabilitation program approved for such
purposes by a Federal, State, or local health, law enforcement, or
other appropriate agency;
(g) Making a good faith effort to continue to maintain a drug-
free workplace through implementation of paragraphs (a), (b), (c),
(d), (e) and (f).
(B) The grantee may insert in the space provided below the
site(s) for the performance of work done in connection with the
specific grant:
Place of Performance (Street address, city, county, state, zip code)
----------------------------------------------------------------------
----------------------------------------------------------------------
Check {time} if there are workplaces on file that are not
identified here.
Alternate II. (Grantees Who Are Individuals)
(a) The grantee certifies that, as a condition of the grant, he
or she will not engage in the unlawful manufacture, distribution,
dispensing, possession, or use of a controlled substance in
conducting any activity with the grant;
(b) If convicted of a criminal drug offense resulting from a
violation occurring during the conduct of any grant activity, he or
she will report the conviction, in writing, within 10 calendar days
of the conviction, to every grant officer or other designee, unless
the Federal agency designates a central point for the receipt of
such notices. When notice is made to such a central point, it shall
include the identification number(s) of each affected grant.
[[Page 27444]]
[55 FR 21690, 21702, May 25, 1990]
Certification Regarding Debartment, 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
[[Page 27445]]
voluntarily excluded from participation in this transaction, in
addition to other 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 an
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 statutes or commission of
embezzlement, theft, forgery, bribery, falsification or destruction
of records, making false statements, or receiving stolen property;
(c) Are not presently indicted 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.
BILLING CODE 4184-01-P
[[Page 27446]]
[GRAPHIC] [TIFF OMITTED] TN19MY97.005
BILLING CODE 4184-01-C
[[Page 27447]]
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 an
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.
Statement for Loan Guarantees 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
[[Page 27448]]
[GRAPHIC] [TIFF OMITTED] TN19MY97.006
BILLING CODE 4184-01-C
[[Page 27449]]
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
be not 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.
Appendix B--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) 280-1305
Arkansas
Mr. Tracy L. Copeland, 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, Telephone (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 (302) 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
Frances Williams, State Budget Agency, 212 State House,
Indianapolis, Indiana 46204-2796, 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
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, FAX: (518) 486-
5617
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
Kevin Nelson, Review Coordinator, 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
Rodney Grizzle, State Single Point of Contact, Grant Services,
Office of the Governor, 1205 Pendleton Street--Room 331, Columbia,
South Carolina 29201, Telephone: (803) 734-0494, FAX: (803) 734-0356
Texas
Tom Adams, Governor's 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
[[Page 27450]]
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
Jeff Smith, Section Chief, State/Federal Relations, Wisconsin
Department of Administration, 101 East Wilson Street--6th Floor,
P.O. Box 7868, Madison, Wisconsin 53707, Telephone: (608) 266-0267,
FAX: (608) 267-6931
Wyoming
Matthew Jones, State Single Point of Contact, Office of the
Governor, 200 West 24th Street, State Capitol, Room 124, Cheyenne,
Wyoming 82002, Telephone: (307) 777-7446, 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. Box 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
Contact, Ofice of Management and Budget, Office of the Governor,
Saipan, MP, Northern Mariana Islands 96950, 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
Nelson Bowry, Director, Office of Management and Budget, # 141
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.
In accordance with Executive Order #12372, ``Intergovernmental
Review of Federal Programs,'' this listing represents the designated
State Single Points of Contact. The jurisdications not listed no
longer participate in the process BUT GRANT APPLICANTS ARE STILL
ELIGIBLE TO APPLY FOR THE GRANT EVEN IF YOUR STATE, TERRITOTY,
COMMONWEALTH, ETC DOES NOT HAVE A ``STATE SINGLE POINT OF CONTACT.''
STATES WITHOUT ``STATE SINGLE POINTS OF CONTACT'' INCLUDE: Alabama,
Alaska, American Samoa, Colorado, Connecticut, Kansas, Hawaii,
Idaho, Louisiana, Massachusetts, Palau, Minnesota, Montana,
Nebraska, New Jersey, Oklahoma, Oregon, Pennsylvania, South Dakota,
Tennessee, Vermont, Virginia, and Washington. This list is based on
the most current information provided by the States. Information on
any changes or apparent errors should be provided to the Office of
Management and Budget and the State in question. Changes to the list
will only be made upon formal question. Changes to the list will
only be made upon formal notification by the State. Also, this
listing is published biannually in the Catalogue of Federal Domestic
Assistance.
Appendix C--List of Early Head Start Grantees
John Regitano, Fairbanks Native Association, 201 First Avenue, Suite
200, Fairbanks, AK 99701
Sharon Trish, Child Development Deputy Director, RurAL CAP; PO Box
925, Angayuqat MikeInguut-Ilu Eliitellerkait Program, Bethel, AK
99559
Vi Todd, Maricopa County Board of Supervisors, 3335 W. Durango,
Phoenix, AZ 85009
Jan Martner, Director, Early Head Start, Southwest Human
Development, Inc., 202 E. Earll Drive, Suite 140, Phoenix, AZ 85012
Susan St. Germaine, Butte County Office of Education, 1859 Bird
Street, Oroville, CA 95965
Jean Miner, Children's Services International, PO Box 1634, Salinas,
CA 93902
Sue Story, Child, Family and Community Services, Inc., 35699 Niles
Boulevard, Fremont, CA 94536
Gail Healy, El Dorado County Superintendent of Schools, 6767 Green
Valley Road, Placerville, CA 95667
Naomi Quiring-Mizumoto, Fresno County EOC, 1920 Mariposa Mall,
Fresno, CA 93721
Dolores Garcia, Executive Director, Placer Community Action Council,
Inc., 1166 High Street, Auburn, CA 95603
J'anne Kaussen, Head Start Director, 685 F. Street, Humboldt Del
Norte Head Start, Arcata, CA 95521
Amy Liew, Executive Director, The Institute for Human and Social
Development, 753 Del Monte Avenue, San Francisco, CA 94080
Catherine Goins, Education Specialist, SETA Head Start, 3750 Rosin
Court, Suite 100, Sacramento, CA 95834
Christine Lyle, Assistant Director, Community Partnership for Child
Development, 2132 E. Bijou Street, Colorado Springs, CO 80909
Pam Walker, Upper Arkansas Council of Governments, 1718 Brookside;
PO Box 510, Canon City, CO 81215-0510
Cynthia Faust, Early Head Start Project Director, Edward C. Mazique
Parent Child Center, Inc., 1719m 13th Street NW, Washington, DC
20009
Jan Yocum de Calderon, Rosemont Center, 2000 Rosemont Avenue, NW,
Washington, DC 20010
William Hughey, United Planning Organization, 941 North Capitol
Street, NE, 7th Floor, Washington, DC 20002
Alton Sears, Project Director, Metro-Dade County Community Action
Agency, 1325 NW 71st Street, Miami, FL 33147
Mimi Graham, FSU Center for Prevention and Early Intervention
Policy, 1139 East Lafayette, Tallahassee, FL 32301
Donna Glausser, Hillsborough Co. Bd. of Commissioners Head Start
Dept., 601 E. Kennedy Boulevard, 13th Floor, Tampa, FL 33602
Barbara Mainster, Redlands Christian Migrant Association, 402 W.
Main Street, Immokalee, FL 34142-3633
Merian Washington, Supervisor, Project Development, School Board of
Alachua County, 620 East University Avenue, Gainesville, FL 32601
Willowdean Mors, Director, Berry Chattooga Early Development Center,
702 S. Congress Street, Summerville, GA 30747
Linda Hassan, Education Coordinator, Clark Atlanta University Head
Start, 350 Autumn Lane SW, Atlanta, GA 30310
Donna Bibulia, Deputy Director, Save the Children Child Support
Center, 1447 Peachtree Street NE, Suite 700, Atlanta, GA 30309
Momi Kamau, Hawaii Depart of Health, Maternal and Child Health
Branch, 741-A Sunset Avenue, Honolulu, HI 96816
Kuukei Richard, Parents and Children Together, 1475 Linapuni Street,
Room 117-A, Honolulu, HI 96819
Ann Bardwell, Drake University, 3929 Bel Aire Road, Des Monines, IA
50310
Mary Jo Madvag, EHS Director, Upper Des Monies Opportunity, Inc.,
101 Robbins Avenue, Box 519, Graettinger, IA 51342
Connie Guillory, Nez Perce, PO Box 365, Lapwai, ID 83540-0365
Gary Mayberry, Better Boys Foundation, 1512 S. Pulaski Road,
Chicago, IL 60623
Pat Wildner, CEDA of Cook County, 224 N. DesPlaines Street, Chicago,
IL 60661-1195
Gwen Kenner Johnson, Manager, Child Care Program, City of Chicago
Dept. of Human Services, 510 Peshtigo Court, Chicago, IL 60611
Anita Rash, Family Service and Visiting Nurse Association, 550
Landmark Boulevard, Alton, IL 62002
McFarland Bragg, Peoria Citizens Committee for Economic Opportunity,
711 W. McBean Street, Peoria, IL 61605
Howard Veal, Springfield Urban League, Inc., 1225 East Lawrence,
Springfield, IL 62703
Brenda Dobbins-Noel, The Ounce of Prevention Fund, 122 S. Michigan
Avenue, Suite 2050, Chicago, IL 60603
Donna Emmons, Director, Wabash Area Development, Inc., 100 North
Latham, Enfield, IL 62835
Kathleen Liffick, Child Adult Resource Service, Inc., 620 Tennessee
Street, Greencastle, IN 46135
Anita Lascelles, Coordinator, Healthy Beginnings 620 8th Avenue,
Terre Haute, IN 47804
Ken Swenson, Hopewell Center, Inc., PO Box 3150, Anderson, IN 46018
Glenda Wilcox, Early Head Start Director, Child Care Association,
1069 Parklane, Wichita, KS 67218
Korey Powell Hensley, EHS Director, Heartland Healthy Families, 700
Jupiter, Salina, KS 67401
[[Page 27451]]
Aubrey Nehring, Audobon Area Community Services, Inc., 1800 West
Fourth Street, PO Box 20004, Owensboro, KY 42304
Cleo Lowry, Executive Director, Breckinridge-Grayson Programs, Inc.,
201 E. Walnut Street, PO Box 63, Leitchfield, KY 42754
Paul Dole, Kentucky Communities Economic Opportunity Council, PO Box
490, Barbourville, KY 40906
Judy Whitten, Head Start Director, Murray Head Start 208 South 13th
Street, Murray, KY 42071
Vivian Maddox, Whitley County Communities for Children, PO Box 733,
Williamsburg, KY 40769
James Houlares, Community Teamwork, Inc., 125 Phoenix Avenue,
Lowell, MA 01852
Linda Gaither, Deputy Director, Friends of the Family, Inc., 1001
Eastern Ave, 2nd Floor, Baltimore, MD 21202
Carol Sutton, EHS Director, The Family Services Agency, Inc., 640
East Diamond Avenue, Suite A, Gaithersburg, MD 20877
Sandy Scoville, University of Maryland University College,
University Boulevard at Adelphi Road, College Park, MD 20742-1600
Deborah Richardson, Director, Community Concepts, Inc., 35 Market
Street, PO Box 278, So Paris, ME 04281
Steve Russell, Western Maine Community Action, PO Box 200, East
Wilton, ME 04234
Carolyn Rutledge, Carman-Ainsworth Community Schools, G-3475 W Court
Street, Flint, MI 48532
Kim Hamburg, Child Development Services of Ottawa County, Inc., 77
West 11th Street, Holland, MI 49423
Virginia Burns, City of Detroit, 5031 Grandy, Detroit, MI 48211
Norma Yoder, Menominee-Delta-Schoolcraft CAA, 507 First Avenue
North, Escanaba, MI 49829-3998
Jill Sutton, Mid-Michigan Community Action 1141 N McEwan, Clare, MI
48617-1109
Kathy Kundratt, Northwest Michigan Human Services, 3963 Three Mile
Road, Taverse City, MI 49686
Antonio Wilcoxon, Model Cities Family Development Center, 580 Fuller
Avenue, St. Paul, MN 55103
Gertrude Buckanaga, Upper Midwest American Indian Center, 1113 West
Broadway, Minneapolis, MN 55411
Beverly Dyson, Branch Manager, Early Head Start, Human Development
Corp of Metropolitan St Louis, 929 North Spring Avenue, St. Louis,
MO 63108
Regina Battle, Executive Director, Friends of Children of
Mississippi, 4880 McWillie Circle, Jackson, MS 39206
Robbie Angell, Director, Asheville City Schools Preschool and Family
Literacy Center, 441 Haywood Rd., Asheville, NC 28806
Beverly Graywater, Director, Little Hoop Community College, PO Box
89, Fort Totten, ND 58335-0089
Marcella Yellow Hammer, Standing Rock Sioux Tribe, PO Box 473, Fort
Yates, ND 58538
Mary Afrank, EHS Director, Central Nebraska Community Services, PO
Box 509, Loup City, NE 68853
Jo Anne Begley, Panhandle Community Services, 3350 10th Street,
Gering, NE 69341
Pam Fisher, The Salvation Army, 3612 Cuming Street, Omaha, NE 68131-
1998
Rebecca Johnson, Head Start Director, Belknap-Merrimack Head Start,
PO Box 1016, Concord, NH 03302-1016
Gina Ogburn, EHS Director, Babyland Family Service, Inc. 755 South
Orange Ave, Newark, NJ 07106
Gina M. Johnson, EHS Interim Director, East Orange Child Development
Corp, PO Box 890; 50 Washington Street, East Orange, NJ 07019
Shirley Williams, Executive Director, Group Homes of Camden County,
35 South 29th Street; PO Box 1538, Camden, NJ 08105
Linda Kane, Head Start Director, NORWESCAP, Inc., 481 Memorial
Parkway, Phillipsburg, NJ 08865
Charles Kalthoff, ACCORD, 84 Schuyler Street; PO Box 573, Belmont,
NY 14813
Patricia Heidelmark, Director, Ballston Spa Central School District,
70 Malta Avenue, Ballston Spa, NY 12020
Grace Knaak, Head Start Director, Chautauqua Opportunities, Inc.,
610 W. 3rd Street, Jamestown, NY 14701
Carol Bradwell, Asst. Exec. Director, Grand Street Settlement, 80
Pitt Street, New York, NY 10002
Lori Spector, Kingsbridge Heights Community Center, Inc., 3101
Kingsbridge Terrace, Bronx, NY 10463
Ursula Lehmann, New Square Community Improvement Council, 766 North
Main Street, Suite 108, Spring Valley, NY 10977
Moira Irons, Interim Early Head Start Director, P.E.A.C.E. Inc.,
1153 W. Fayette Street, Syracuse, NY 13204
Bartholomew O'Conner, Project Director, Project Chance, 136 Lawrence
Street, Brooklyn, NY 11201
Elizabeth Colkin, Head Start Director, The Astor Home for Children,
36 Mill Street Box 5005, Rhinebeck, NY 12572-5005
James Langford, The Chidren's Aid Society, 105 East 22nd Street, New
York, NY 10010
Michael Zisser, University Settlement Society of New York, 184
Eldridge Street, New York, NY 10002
Mattie Brown, Utica Head Start Children and Families, Cornerstone
Building: 1100 Miller Street, Utica, NY 13501
Andrea Battaylia, Visting Nurse Service of New York, 107 E 70th
Street, New York, NY 10021
Robert Moman, CEO in Greater Cleveland, 668 Eucild Avenue,
Cleveland, OH 44114
Terrie Hare, Director, Clemont County Head Start, 555 Cincinnati-
Batavia Pike, Cincinnati, OH 45244
Verline Dotson, Director, Cincinnati-Hamilton Community Action, 2904
Woodburn Avenue, Cincinnati, OH 45206
Mary Burns, Council on Rural Services Programs, Inc., 116 East Third
Street, Box 459, Greenville, OH 54331
Verna Thompson, Cherokee Nation, PO Box 948, Talequah, OK 74465
Talley Dunn, Early Head Start Program Coordinator, Southern Oregon
Head Start, 505 Oak Street, PO Box 3819, Central Point, OR 97502
Maria Frontera, Allegheny University of the Health Sciences,
Division of Community Health; 1302 Race Street, Philadelphia, PA
19107
Carolyn Markesich, Civic Senior Citizens, Inc., 1200 Main Street,
Allquippa, PA 15001
Particia Levin, Community Services for Children, 431 E. Locust
Street, Bethlehem, PA 18018
Jewel Morrissette-Ndulula, Executive Director, The Philadelphia
Parent Child Center, Inc., 2515 Germantown Avenue, Philadephia, PA
19133
Leslie Vierling-Bassegio, WHO, Inc., 1011 Old Salem Road, Suite 109,
Greenburg, PA 15601
Edme Torres, Program Director, Aspira, Inc. of Puerto Rico, PO Box
29132; 65th Infantry Station, Rio Piedras, PR 00929
Zaida Fernandez, The New York Founding Hospital, 590 Avenue of the
Americas, New York, NY, PR 10011
Lynda Dickerson, Executive Director, Child Inc., 160 Draper Avenue,
Warwick, RI 02889
Arlene Dion, Comprehensive Community Action, 311 Dorie Avenue,
Crantston, RI
Vennie Jones, Child and Development Director, Sunbelt Human
Advancement, Resources, Inc., PO Box 10204, Greenville, SC 29603
Kathryn Natwick, Inter Lakes Community Action, Box 268, Madison, SD
57042
Susan Fedell, Youth and Family Services, PO Box 2813, Pennington, SD
57709-2813
Donna Ginn, Director, Early Head Start, Department of Human Services
2302, Ocoee Street, Chatanooga, TN 37406
Eric Dupree, Northwest Tennessee Head Start, 938 Walnut Avenue West,
McKenzie, TN 38201
Barbara Nye, Project Executive Director, Tennesse State University,
Tennessee CARES Early Head Start, 330 10th Avenue N., Box 141,
Nashville, TN 37203
Richard Zorola, Program Manager, Early Head Start Project, Avance,
San Antonio Chapter, Inc., 1921 Buena Vista, San Antonio, TX 78207
Corina Jaimes, C.A. Inc. of Hays, Caldwell & Blanco Counties, PO Box
1246, San Marcos, TX 18667-1246
Nori Colecio, CAC of South Texas, 73 N. Reynolds; PO Drawer 1820,
Alice, TX 78332
James Stickland, Child Inc., 818 East 53rd Street, Austin, TX 78751
Adelina Fritz, Head Start Child Care Director, Parent/Child Inc.
1000 W. Harriman Place, San Antonio, TX 78207
Mary Lynn, Early Head Start Coordinator, Head Start of Greater
Dallas, Inc., 1349 Empire Central, Suite 900, Dallas, TX 75247-4045
Norma Gonzales, Head Start Director, Interstate Migrant Head Start,
PO Box 2579, Laredo, TX 78044-2579
Sherry Ruddick, East Coast Migrant Project, 4200 Wilson Boulevard,
Suite 740, Arlington, VA 22203
Rob Goldsmith, People Inc. of Southwest Virginia, 1173 West Main
Street, Abingdon, VA 24210
Marianne Miller, Head Start Director, CVCAC, 36 Barre-Montpelier
Road, Barre, VT 05641
[[Page 27452]]
Connie Zwick, North East Kingdom Community Action, PO Box 630; 10
Main Street, Newport, VT 05855
Jaclyn Haight, Early Childhood Program Director, Port Gamble
S'Klallam Tribe, 31912 Little Boston Road, Kingston, WA 98346
Patt Earley, Director, Spokane County Head Start/ECEAP, Washington
Community College #17; 4410 N. Market, Spokane, WA 99207
Barb Wehman, CESA, 225 Ostermann Drive, Turtle Lake, WI 54013
Barbara Gardner, Next Door Foundation, Inc., 2545 North 29th Street,
Milwaukee, WI 53210
Suzanne Hoppe, Head Start Director, Renewal Unlimited, Inc., N6510
Highway 51 South, Portage, WI 53901-9603
Marie Alsop, Director, Monongalia County Head Start, 1433 Dorsey
Avenue, Morgantown, WV 26505
[FR Doc. 97-12954 Filed 5-16-97; 8:45 am]
BILLING CODE 4184-01-P
