[Federal Register Volume 60, Number 52 (Friday, March 17, 1995)]
[Notices]
[Pages 14548-14579]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-6545]
[[Page 14547]]
_______________________________________________________________________
Part IV
Department of Health and Human Services
_______________________________________________________________________
Administration for Children and Families
_______________________________________________________________________
Early Head Start Program Grant Availability; Notice
Federal Register / Vol. 60, No. 52 / Friday, March 17, 1995 / Notices
[[Page 14548]]
DEPARTMENT OF HEALTH AND HUMAN SERVICES
Administration for Children and Families
[Program Announcement No. ACYF-HS-93600.952]
Early Head Start Program Grant Availability
AGENCY: Administration on Children, Youth and Families (ACYF),
Administration for Children and Families (ACF), HHS.
ACTION: Announcement of financial assistance to be competitively
awarded to current Head Start programs--including Head Start Parent and
Child Centers and Comprehensive Child Development programs--and other
public and non-profit private entities to provide child and family
development services for low-income families with children under age
three and pregnant women.
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SUMMARY: Section 645A of the Head Start Act, as amended, 42 U.S.C. 9801
et seq., requires that, beginning in Fiscal Year 1995, the Secretary of
Health and Human Services will award grants competitively to agencies
and organizations to implement programs which we call ``Early Head
Start.'' These programs will provide early, continuous, intensive, and
comprehensive child development and family support services on a year-
round basis to low-income families with children under age three and
pregnant women. The purpose of the program is to enhance children's
physical, social, emotional, and intellectual development; to assist
parents in fulfilling their parental roles; and to help parents move
toward self-sufficiency. Thus, the goals for Early Head Start are to:
Promote the physical, cognitive, social and emotional
growth of infants and toddlers and prepare them for future growth and
development;
Support parents--mothers, fathers, and guardians--in their
role as primary caregivers and educators of their children, and in
meeting family goals and achieving self-sufficiency across a wide
variety of domains;
Strengthen community supports for families with young
children; and
Develop highly-trained, caring and adequately compensated
program staff, because the quality of staff and their relationships
with children and parents are critical to achieving all the other
goals.
DATES: The closing date for submission of applications is May 31, 1995.
ADDRESSES: Applications may be mailed to: Early Head Start Program,
Ellsworth Associates, Inc., 3030 Clarendon Blvd., Suite 240, Arlington,
Virginia 22201.
Hand delivered applications are accepted at the above address
during the normal working hours of 8 a.m. and 4:30 p.m., Monday through
Friday, on or before the closing date.
FOR FURTHER INFORMATION: For questions related to the Program
Announcement, please contact the ACYF Operations Center, Technical
Assistance Team at 1-800-351-2293. Staff at this center will answer
questions regarding the application requirements or refer you to the
appropriate contact person in ACYF for programmatic questions.
For a copy of the application kit, or for another copy of the
program announcement please call or fax your request to the ACYF
Operations Center at 1-800-351-2293 (phone) or 1-800-351-4490 (fax).
SUPPLEMENTARY INFORMATION:
Part I. General Information
A. Table of Contents
This program announcement is divided into five sections:
Part I is an introductory section which contains the
history and background for the Early Head Start program and the
principles and program description that will guide the development,
implementation and operation of the programs.
Part II contains key program information such as a
description of eligible applicants, project periods, applicable Head
Start regulations, and Early Head Start as a learning community.
Part III presents requirements for information that must
be included in each application.
Part IV presents the criteria upon which applications will
be reviewed and evaluated.
Part V contains instructions for preparing the Fiscal Year
1995 application. This section notes that the Commissioner of the
Administration on Children, Youth, and Families, depending on the
availability of funds and an adequate number of acceptable
applications, may choose to fund the Fiscal Year 1996 cohort of
programs out of the pool of applications submitted as a response to
this program announcement.
Appendix A includes the relevant forms necessary for completing the
application.
Appendix B lists the Single Points of Contact for each State and
Territory.
Appendix C is The Statement of the Advisory Committee on Services
for Families with Infants and Toddlers which guided the development of
this program announcement and will be referred to throughout.
An application kit containing applicable Head Start Regulations,
State Contact lists (e.g. Part H Lead Agency Coordinators) and other
useful information must be obtained by applicants. (See address listed
earlier in this announcement.)
B. Program Purpose
With the reauthorization of the Head Start Act in 1994, Congress
established a new program for low income families with infants and
toddlers and pregnant women which we are calling Early Head Start.
Beginning in Fiscal Year 1995, the Secretary of Health and Human
Services will award grants to competing agencies and organizations to
implement ``Early Head Start'' to provide early, continuous, intensive,
and comprehensive child development and family support services.
In creating this program, the Congress acted upon evidence from
research and practice which illustrates that high quality programs
enhance children's physical, social, emotional, and cognitive
development; enable parents to be better caregivers and teachers to
their children; and help parents meet their own goals, including
economic independence. Such programs answer an undeniable need. As
pointed out in The Report of the Carnegie Task Force on Meeting The
Needs of Young Children, many of the 12 million children under three
and their families in the United States today face a ``quiet crisis.''
The numerous indicators of this crisis include: One in four infants and
toddlers live in families with incomes below the poverty line; nine out
of every thousand infants die before the age of one; and, more than
five million children under three receive child care from other adults
while their parents work, much of that care is of poor quality.
The Early Head Start program will provide resources to community
programs to address such needs and to achieve the purposes set forth by
Congress. The local programs funded through Early Head Start will also
operate as a national laboratory to demonstrate the impact that can be
gained when early, continuous, intensive and comprehensive services are
provided early on to pregnant women and very young children and their
families.
Programs participating in this demonstration effort will:
Provide early, individualized child development and parent
education [[Page 14549]] services to low-income infants and toddlers
and their families according to a plan developed jointly by the parents
and staff;
Provide these services through an appropriate mix of home
visits, experiences at the Early Head Start center, and experiences in
other settings such as family- or center-based child care;
Provide early opportunities for infants and toddlers with
and without disabilities to grow and develop together in warm,
nurturing and inclusive settings;
Ensure that the Early Head Start center is a welcoming
setting for families in the community;
Respond to the needs of families, including the need for
full-time child care for working families;
Connect with other service providers at the local level to
ensure that a comprehensive array of health, nutrition, and other
services is provided to the program's pregnant women, very young
children, and their families;
Recruit, train, and supervise high quality staff to ensure
the kind of warm and continuous relationships between caregivers and
children that are crucial to learning and development for infants and
toddlers;
Ensure parent involvement in policy and decision making,
similar to parent involvement in preschool Head Start programs;
Coordinate with local Head Start programs in order to
ensure continuity of services for these children and families;
Ensure quality by focusing on all four cornerstones of
successful early childhood programs: Child development, family
development, community building, and staff development; and
Participate actively in a research and evaluation effort
to learn from the Early Head Start experience.
C. History and Background
1. Legislation
In May 1994 the President signed into law the bipartisan Head Start
Reauthorization Act of 1994. This reauthorization established within
the Head Start Bureau a new program for low-income pregnant women and
families with infants and toddlers. The reauthorization sets aside
funds from the overall Head Start budget for the next four years at a
rate of three percent in FY 1995; four percent in FY 1996 and 1997; and
five percent in FY 1998. Consolidated into the new initiative were the
Parent and Child Centers Program and the Comprehensive Child
Development Program.
This section of the legislation had a number of sources, including
the recommendations of The Advisory Committee on Head Start Quality and
Expansion, as well as recent lessons from research and practice.
2. The Advisory Committee on Head Start Quality and Expansion
In June 1993, the Secretary of the Department of Health and Human
Services formed an Advisory Committee to look at Head Start quality and
expansion. The recommendations of that committee centered around:
Striving for excellence in staffing, management,
oversight, facilities, and research;
Expanding to better meet the needs of children and
families; and
Forging new partnerships with communities, schools, the
private sector, and other national initiatives.
Included in the report was a recommendation that the Department
develop a new initiative for expanded Head Start supports to families
with infants and toddlers, as well as convene a high-level committee
charged with developing guidelines for this new effort. This
recommendation was fueled by relevant research findings and recognition
in the field that a good deal more could be accomplished with earlier
more sustained support for very young children and their families.
3. Relevant Research
Findings from more than three decades of research in child and
family development illustrate that the time from conception to age
three is critical for human development. The basic cognitive, social,
and emotional foundation is established in these early years. The
research also indicates that for infants and toddlers to develop
optimally, they must have healthy beginnings and the continuity of
responsive and caring relationships. Together, these supports help
promote optimal cognitive, social, emotional, physical, and language
development. When these supports are missing, the immediate and future
development of the child may be compromised. Fortunately, recent
research identifies characteristics of effective programs that enhance
both child and family development. This growing body of knowledge
provides a foundation upon which the Early Head Start program is based.
A more detailed discussion about the research in maternal and
infant health, child-caregiver relationships, and characteristics of
successful programs can be found in the Statement of the Advisory
Committee on Services for Families with Infants and Toddlers which is
included as Appendix C.
4. Precursor Program Experiences
In enacting Early Head Start, Congress was building on lessons
learned through Federal, State, local and community programs that serve
some of our country's very young children and their families.
Most notable among the early Federal efforts include the following:
Maternal and Child Health Services Block Grant has its
roots in Title V of the Social Security Act which was enacted in 1935.
It is administered by the Maternal and Child Health Bureau (MCHB) of
the Public Health Service which provides leadership for building the
infrastructure for health care services delivery to all mothers and
children in the U.S., with particular responsibility for serving those
low-income or isolated populations who would otherwise have limited
access to care.
The Parent and Child Centers Program (PCC) was established
in 1967 to provide an array of services for pregnant women, infants/
toddlers, parents, and families as a whole. There are currently 106
PCC's across all 50 States, the District of Columbia and Puerto Rico.
Services include health, education, personal and interpersonal
development, and family assistance.
The Migrant Head Start program was established in 1969 in
order to meet the needs of mobile farmworker children and their
families. The program provides age appropriate infant, toddler and
preschool programming, full-day services (8 to 12 hours per day), and
full week services (five to six days per week). These services are
offered in center-based and family child care settings during
agricultural seasons. There are currently 76 Migrant Head Start
programs operating in 35 states. Infant and toddlers comprise over 40
percent of the children served annually.
Child and Family Resource Program (CFRP) operated as a
demonstration from 1973 to 1983. Ten CFRP programs linked community
resources in efforts to enhance families abilities to provide safe,
stable, nurturing environments for their children.
Part H of what is now known as the Individuals with
Disabilities Education Act was initiated in 1986 as an early
intervention program for children birth to three who have or are at
risk for developmental disability. Part H supports comprehensive,
statewide programs which identify and coordinate needed services within
the context of a family-centered services delivery model.
[[Page 14550]]
The Comprehensive Child Development Program (CCDP) was
enacted in 1988 to provide and coordinate a wide range of services to
children and families involving child development, health care,
education, economic self-sufficiency, mental health, substance abuse
treatment and prevention and other services to strengthen the home and
family.
Even Start Literacy Program, administered by the
Department of Education, integrates early childhood education and adult
education for parents into a unified program.
Healthy Start Initiative started in 1991 as a
demonstration program to combat infant mortality through community
coalitions.
In addition to these Federal efforts, several States and
foundations are focusing on the special needs of very young children
and their families. Among the States active in this area are Colorado,
Kentucky, Maryland, Minnesota, Missouri and Vermont. Carnegie and Ford
are among the foundations addressing the needs of pregnant women and
families with infants and toddlers.
D. Consultation
In the statute establishing the new program which we call Early
Head Start, Congress called on the Secretary to develop program
guidelines in consultation with experts in early childhood development,
experts in health, and experts in family services; and taking into
consideration the knowledge and experience gained from other early
childhood programs including the Comprehensive Child Development
Programs, Head Start Parent Child Centers and Migrant Head Start
programs that serve large numbers of infants and toddlers. As a result,
the Secretary formed the Advisory Committee on Services for Families
with Infants and Toddlers. The Committee was charged with advising the
Department on the development of program approaches for the initiative.
In September 1994, the Advisory Committee unanimously agreed to a
statement that sets forth the vision, goals, principles, and program
cornerstones for Early Head Start (the Statement, which includes the
Advisory Committee membership list, is included as Appendix C).
In addition, Federal staff conducted approximately 30 focus groups
during the summer of 1994 to hear from parents, practitioners,
researchers, advocates, and representatives of professional
organizations. Further, Federal staff met with or received materials
and recommendations from a number of other parents, practitioners, and
researchers. The suggestions, guidance, and information received
through this consultation process helped shape the development of this
program announcement.
E. Principles Recommended by the Field
The Advisory Committee on Services for Families with Infants and
Toddlers identified nine principles that are characteristic of
successful programs for families with very young children. These
principles are consistent with the themes that emerged from the broader
consultation conducted by the Department. Therefore, applicants are
expected to design their programs around these principles:
1. High Quality: Programs will ensure high quality in both the
services provided to children and families directly, and the services
provided through referral. Programs will recognize that the conception-
to-three age period is unique both in the rate of development and in
the way young children's physical and mental growth reflects and
absorbs experiences with caregivers and the surroundings. Because of
this, the experiences and environments need to be of highest quality to
promote child development.
2. Prevention and Promotion: Recognizing that windows of
opportunity open and close quickly for very young children and their
families, programs will seek out opportunities to promote the physical,
social, emotional, cognitive and language development of young children
and families before conception, prenatally, upon birth, and during the
early years. Program staff will seek to prevent and detect problems at
their earliest stages, rallying the services needed to help the child
and family anticipate and overcome problems before they interfere with
healthy development.
3. Positive Relationships and Continuity: Programs will support and
enhance strong, caring, continuous relationships among the child,
parents, family, and caregiving staff. Programs will support the
mother-child, father-child bond by recognizing each parent as his or
her child's first and primary source of love, nurturance and guidance.
Programs will ensure that relationships between caregiving staff and
young children support infant and toddler attachment to a limited
number of skilled and caring individuals, thus maintaining
relationships with caregivers over time and avoiding the trauma of loss
experienced with frequent turnover of key people in the child's life.
4. Parent Involvement: Programs will ensure the highest level of
partnership with parents, both mothers and fathers. Programs will
support parents as primary nurturers, educators, and advocates for
their children; assure that each parent has an opportunity for an
experience that supports his or her own growth and goals, including
that of parenting; encourage independence and self-sufficiency for
parents; and provide a policy-making and decision-making role for
parents.
5. Inclusion: Programs will develop services and create an
environment which builds upon and responds to the unique strengths and
needs of each child and family. Further, programs will support
participation in community life by young children with disabilities and
their families; families of very young children with significant
disabilities will be fully included in all program services.
6. Culture: Programs will demonstrate an understanding of, respect
for, and responsiveness to the home culture of children and families as
culture is the context for healthy identity development in the first
years of life.
7. Comprehensiveness, Flexibility, Responsiveness, and Intensity:
Programs will respond in flexible ways to the unique strengths,
abilities, and needs of the children, families and communities they
serve. Developmental opportunities provided to each infant and toddler
will address the whole child and be continually adapted to keep pace
with his or her developmental growth. Programs also need to be
responsive to the distinct needs and experiences of parents whose
children are disabled and those parents who have disabilities.
8. Transition: Programs will be responsible for ensuring the smooth
transition of children and their families into Head Start or other
preschool programs which are of high quality and provide consistent and
responsive caregiving.
9. Collaboration: Recognizing that no one program will be able to
meet all of a child's and family's needs, programs will build strong
connections to other service providers and to community sources of
support for families. These efforts will foster a caring, comprehensive
and integrated community-wide response to families with young children,
maximize scarce financial resources, and avoid duplication of agency
effort.
These principles (explained in more detail) are included in the
Statement of the Advisory Committee on Services for Families with
Infants and Toddlers which is attached as Appendix C. [[Page 14551]]
F. Program Description
In addition to the principles outlined above, a description of the
Early Head Start program also emerged during consultation with the
field. The Advisory Committee members set forth the formal framework
for the program which includes four cornerstones: child development;
family development; community building; and staff development.
1. Child Development
To develop fully, children need individualized support that honors
the unique characteristics and pace of their physical, social,
emotional, cognitive and language development. Critical to this
development are the promotion of child health; positive relationships
between the child and parents and other significant caregivers;
opportunities for children's active engagement in appropriately
stimulating environments; and enhancement of each parent's knowledge
about the development of their child within healthy, safe,
environments. The services that programs must provide to support the
child development cornerstone include:
High quality early education services provided both in and
out of the home in a range of developmentally appropriate settings for
infants and toddlers;
Home visits (especially for families with newborns and
other infants, as needed);
Parent education, including parent-child activities;
Comprehensive health and mental health services for
children; and
Part- and full-day child care services, as needed by
children and families (the ACF does not expect Early Head Start
grantees to pay for off-site child care but instead envisions the role
of the grantee being a broker to help the family identify and access
child care services from appropriate providers in the community as
needed); the Early Head Start program must assume responsibility for
ensuring that the child care settings meet standards for high quality,
developmentally appropriate care.
In addition, Early Head Start programs would be responsible for
helping the family identify and access the services of a consistent
health professional who can provide ongoing care for the family, child
and pregnant woman. Further, Early Head Start programs would be
responsible for coordinating with programs providing services in
accordance with Part H of the Individuals with Disabilities Education
Act so that children and families served by these two programs can
experience a seamless system of services.
2. Family Development
Healthy child development depends on the ability of parents and
families to support and nurture children, while at the same time
meeting other critical social and economic needs. Therefore, programs
must work to help parents set and achieve goals for themselves and
their children through individualized family development plans, which
are collaboratively designed and updated by families and staff, and are
responsive to the goals and ideals of the families. When families are
served by additional programs which also require an individualized
family development/service plan, such as Part H of the Individuals with
Disabilities Education Act and family employability plans, then a
single coordinated plan should be developed so families experience a
seamless system of services.
The types of services that programs must provide directly or
through referral include:
Ongoing support to parents, through case management, peer
support groups, or other approaches;
Child development information;
Health services, including services for women prior to,
during, and after pregnancy;
Mental health services;
Services to improve health behavior such as smoking
cessation and substance abuse treatment;
Services to adults to support progress towards economic
independence, such as adult education and basic literacy skills, job
training, assistance in obtaining income support, food, and decent,
safe housing, and emergency cash or in-kind assistance; and
Transportation to program services.
Programs also must provide directly opportunities for parent
involvement in the program so that parents can be involved as decision-
makers, volunteers, and/or employees. Additional services not listed
above, but identified by families through community assessments and
mappings, may be provided either directly or through referral at local
option.
3. Community Building
Children develop within the context of the family and the family
develops within the context of the community. Therefore, to support
children's development, Early Head Start must establish collaborative
relationships with other community providers and strength-building
organizations to create an environment that shares responsibility for
the healthy development of its children and their families.
The goal of these community relationships will be three-fold:
Increasing access to high quality services for program families;
assuring that the program's approach to serving families with infants
and toddlers fits into the existing constellation of services in the
community so that there is a coherent, integrated approach to
supporting families with very young children; and encouraging systemic
improvements in service delivery for all the families in a community.
All programs will be required to conduct an in-depth assessment of
existing community resources and needs and engage in an ongoing
collaborative planning process with a range of stakeholders, including
parents and residents of the community. If the community recently
conducted such an assessment, the program would be able to use the
results from that study and then proceed with the collaborative
planning process.
4. Staff Development
Programs are only as good as the individuals who staff them. Thus
staff development will be a key element of Early Head Start programs.
To ensure the recruitment and development of high quality staff,
all programs will be required to:
Select staff who, together, cover the spectrum of skills,
knowledge and professional competencies necessary to provide high
quality, comprehensive, inclusive, culturally appropriate, and family-
centered services to young children and their families;
Select staff who are capable of entering into one-to-one
caregiving relationships with infants and toddlers, and caring,
respectful and empowering relationships with families and other
coworkers;
Select program directors who possess the above
characteristics and are highly skilled administrators who exemplify
leadership qualities such as integrity, warmth, intuition and holistic
thinking;
Provide ongoing staff training, supervision and mentoring
for both line staff and supervisors that reflects an interdisciplinary
approach and an emphasis on relationship building and employs
techniques and opportunities for practice, feedback and reflection;
Provide training so staff are ``cross-trained'' in the
areas of child development, family development and community building,
in addition to the areas of home visiting, caregiving
[[Page 14552]] relationships, effective communication with parents,
family literacy, healthy/safe environments and caregiving practices,
early identification of unhealthy behaviors or health problems, service
coordination, and the provision of services and support to diverse
populations, including families and children with disabilities and
developmental delays; and
Recognize that high quality performance and development
occur when they are linked to rewards such as salary, compensation, and
career advancement.
These cornerstones (explained in more detail) are included in the
Statement of the Advisory Committee on Services for Families with
Infants and Toddlers which is attached as Appendix C. Applicants who
become Early Head Start grantees will be expected to build their
program around these four cornerstones.
Part II. Program Information and Requirements
A. Statutory Authority
The Head Start Act, as amended, 42 U.S.C. 9801 et seq.
B. Eligible Applicants
Those who may apply to become an Early Head Start program include:
Entities operating Head Start programs and other public entities and
nonprofit private entities capable of providing community-based child
and family services that are consistent with recognized best practices
and other requirements as established by the Secretary. Priority will
be given to entities with a record of providing early, continuous, and
comprehensive child and family development services. In awarding grants
to eligible applicants, the Secretary shall ensure an equitable
national geographic distribution of the grants and award grants to
applicants proposing to serve communities in rural areas and to
applicants proposing to serve communities in urban areas.
C. Eligible Participants
Persons who may participate in the Early Head Start program include
pregnant women and families with children under age three who meet the
income criteria specified for families in the Head Start regulations
(See Part II, Section G). The report from Congress discussing the
creation of this program encouraged that participants in programs
funded through this initiative should be identified while pregnant or
while their children are infants.
While Early Head Start programs will be targeted primarily toward
families who have incomes at or below the poverty line or who are
eligible for public assistance, regulations permit up to 10 percent of
children in local programs to be from families which do not meet these
low-income criteria. Head Start regulations also require that a minimum
of 10 percent of enrollment opportunities in each program be made
available to children with disabilities. Such children are expected to
be enrolled in the full range of services and activities in inclusive
settings with their non-disabled peers and to receive individualized
services.
As a comprehensive family development program, Early Head Start
will be expected to assess the strengths and needs of the whole family
and develop strategies for ensuring services are available. For
example, grantees would be responsible for recognizing the child care
needs of older siblings (i.e., children in the family age three or
older) but would not be expected or authorized to pay for such
services. Instead, the role of Early Head Start would be to work with
the family and community providers to identify programs where the older
sibling may be served.
D. Target Populations
There will be no required target populations other than that
specified in Part II, Section C. However, applicants may choose to
focus on special populations such as teen parents or design a program
linked to welfare reform initiatives if they wish. In future years, the
ACF may look at programs focusing on these populations for more in-
depth study and evaluation.
E. Project Period, Funding and Project Sizes
A total of approximately $17 million in ACF funds will be available
for funding approximately 15-25 new Early Head Start programs in FY
1995. Applicants will be required to enroll at least 75 families. In
order to fund as many different projects as possible, the ACF does not
intend to fund any applicant to serve more than 150 families, unless it
is the judgment of the selecting official that a higher enrollment
level will enable the ACF to better meet the stated purposes of Early
Head Start. 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 first 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. Continuation funds will be available to
serve eligible families who were initially enrolled and eligible
families which replaced starting families who left the program during
any single year.
Parent and Child Center Programs and Cohort I of the Comprehensive
Child Development Programs (Cohort I) are eligible to apply for this
money according to the terms of this announcement but are not required
to do so.
Note: The statute creating Early Head Start allows Cohort II of
the Comprehensive Child Development Programs (Cohort II) to continue
in their demonstration phase and receive funding for the duration of
the project period.
If they do not choose to apply, they will generally continue to
receive financial assistance in fiscal years 1995, 1996, and 1997 as
permitted by section 645A(e) of the Act. When a Parent and Child Center
Program or Cohort I competes successfully for an Early Head Start
grant, the current grant will be replaced by the new Early Head Start
grant. Thus, the grantee's current base funding will be folded into the
new award and its current project period will be replaced by a new
Early Head Start project period that extends a full five years. If a
Parent and Child Center Program or a Cohort I chooses to compete for
Early Head Start and does not succeed, the Parent and Child Center
Program or Cohort I will generally continue to receive financial
assistance through FY 1997 and may recompete to become an Early Head
Start program as new funds become available in FY 1996, 1997, and 1998.
Parent and Child Center Programs and Cohort I and Cohort II of the
Comprehensive Child Development Program are receiving additional
information about the terms affecting them as a result of this program
announcement.
Allowable costs for developing and administering an Early Head
Start program may not exceed 15 percent of the total approved costs of
the program. Costs classified as development and administrative costs
are those costs related to the overall management of the program.
Additional information pertaining to limitations of costs on
development and administration of Early Head Start programs can be
found in Head Start Grants Administration regulation 45 CFR 1301.32,
Limitations on Costs of Development and [[Page 14553]] Administration
of a Head Start Program, which is available in the application kit.
All programs will be thoroughly reviewed at the end of the first
year to determine their suitability for receiving continued funding.
Programs will be expected to submit an ongoing operation plan and
revised budget. Federal staff also may ask for additional material as
part of the review.
Given the importance of planning, selecting high quality staff and
setting in place training mechanisms, and coordinating with other
programs within the community, we expect that programs will spend some
portion of the first year focusing on start-up activities. Programs are
strongly encouraged to begin serving children and families within the
first year. Programs should plan to be fully operational no later than
October 1, 1996. Because the first year is unlikely to include 12
months of full operation, it is assumed that first year budgets will be
lower than budgets for future years.
Subject to the availability of additional resources in FY 1996 and
to the number of acceptable applications received as a result of this
program announcement, the selecting official may elect to select
recipients for the FY 1996 cohort of programs out of the pool of
applications submitted for FY 1995 funds.
F. Required Match
Grantees that operate Early Head Start programs must provide at
least 20 percent of the total approved costs of the project. The total
approved cost of the project is the sum of the ACF share and the non-
Federal share. The non-Federal share may be met by cash or in-kind
contributions, fairly evaluated, including facilities, equipment or
volunteer services. Therefore, a project requesting $100,000 in Federal
funds (based on an award of $125,000 per budget period), must include a
match of at least $25,000 (20 percent of total project costs).
Applicants are encouraged to provide more than the minimum 20 percent
non-Federal share.
In certain instances, the requirement for a 20 percent non-federal
match may be waived in part or in whole, if the circumstances described
in Section 640(b) of the Head Start Act exist. This section states that
``For the purpose of making such determination, the Secretary shall
take into consideration with respect to the Head Start program
involved--(1) the lack of resources available in the community that may
prevent the Head Start agency from providing all or a portion of the
non-Federal contribution that may be required under this subsection;
(2) the impact of the cost the Head Start agency may incur in initial
years it carries out such program; (3) the impact of an unanticipated
increase in the cost the Head Start agency may incur to carry out such
program; (4) whether the Head Start agency is located in a community
adversely affected by a major disaster; and (5) the impact on the
community that would result if the Head Start agency ceased to carry
out such program.''
G. Applicable Head Start Standards
Agencies that receive funding through this announcement must adhere
to those standards set forth in certain regulations that govern Head
Start programs in addition to Department of Health and Human Services
regulations that govern discretionary grants generally. The relevant
Head Start regulations are: Head Start Grants Administration, 45 CFR
part 1301; Head Start Program Performance Standards, 45 CFR part 1304;
and Eligibility, Recruitment, Selection, Enrollment and Attendance in
Head Start, 45 CFR part 1305.
There are a number of specific provisions in the foregoing Head
Start regulations that relate only to children ages three to five. For
example, the Head Start Performance Standards, Subpart B--Education
Services in large part describes services that are to be provided to
older preschool children and are not appropriate for children under age
three. As is currently the case for Head Start Parent and Child Center
programs and Migrant Head Start programs that serve children under
three years of age, such provisions do not apply to Early Head Start
programs.
New Performance Standards for Head Start programs are currently
being developed. After a period of public comment, this regulation will
be issued in final form in FY 1996 when agencies selected to become
Early Head Start programs are beginning to provide services. At that
time, programs will be expected to comply with the Performance
Standards, as applicable under the time frames specified in the
regulation.
Copies of the current applicable Head Start regulations are
available in the application kit.
H. Early Head Start as a Learning Community
1. Overview
On both the local and national level, Early Head Start is
envisioned as a learning community for how quality services should be
delivered to pregnant women and families with infants and toddlers.
Thus, continuous improvement, evaluation, research and dissemination
activities play a critical role in this initiative. These activities
include, but are not limited to:
Continuous review and measurement of program processes to
determine progress toward stated objectives and for the purpose of
program improvement;
Studies of program processes including services offered to
and received by families and descriptions of how the services are
delivered;
Qualitative studies of individual families and programs;
Studies of child, family, program and community variables
that contribute to program outcomes;
Studies of program quality and the relationship of quality
to program outcomes;
Studies of program variations and their relationship to
impacts;
National impact studies, conducted by a national
contractor;
Establishment of longitudinal research in a sample of
Early Head Start national impact study sites; and
Documentation of the program models and development of
materials for dissemination purposes.
2. Requirement on the Use of an Automated Information System
In order to facilitate learning community activities, all Early
Head Start programs will be required to use an automated information
system to collect program information on families, services,
collaborative arrangements, staff, training, services utilization and
costs. The Head Start Family Information System (HSFIS), which is Head
Start's new automated record keeping system, is currently being
modified to accommodate the needs of Early Head Start. The HSFIS
software and User's Manual will be made available to Early Head Start
grantees at the time of award and grantees will be responsible for
coordinating the collection of data for and management of HSFIS.
As Early Head Start sites will be in the first wave of HSFIS
implementation in the field, technical assistance for implementation
issues, including linkages to existing systems, will be provided
through the ACYF-supervised contractor responsible for implementing
HSFIS and through mentor sites from the pilot phase of the HSFIS
project.
3. Continuous Improvement and Formative Evaluation Requirements
In order to enter fully into the learning community environment on
both the national and local level, all [[Page 14554]] Early Head Start
programs will be required to:
Conduct a local assessment of progress toward stated
objectives and program improvement using the automated information
system and other sources of data which will measure progress toward
stated objectives and contribute to a process of continuous improvement
within the program and sponsoring agency;
Provide information from the Early Head Start automated
information system as requested by a National Contractor;
Collect qualitative information on the program and on
individual families;
Participate in the program variation and quality studies,
if requested to do so by the ACYF; and
Document the program model and develop dissemination
materials.
All Early Head Start programs are required to have the capacity to
carry out the activities listed above. Thus, applicants for Early Head
Start funds will need access to expertise in developing and using
performance measures, as well as in conducting qualitative evaluation.
Applicants are strongly encouraged to form partnerships with
representatives of local universities or other research organizations
who can assist them in the conduct of formative evaluation and
continuous improvement activities, and who can become potential
candidates for the research and impact studies discussed below.
4. Impact Study and Research Site Requirements
Any Early Head Start program could be required to participate in
the national impact study and therefore should be prepared to
participate in random assignment over a specified time period. A
limited number of funded Early Head Start programs will be selected by
the ACF as special research sites in FY 1996. Selected sites shall
fulfill all of the continuous improvement and other evaluation
requirements listed above, and, in addition:
Serve as a research site where a university or research
organization will conduct research on the child, family, program and
community variables that affect outcomes; and, as such, become eligible
to participate in the Early Head Start/Head Start longitudinal study.
Collaborate with the university or research organization
in the development of relevant research questions and in the design of
the local study; and/or,
Serve as a national impact study site and accept
assignment under either an experimental or quasi-experimental condition
and/or cooperate with a national contractor and the ACF in establishing
comparison groups appropriate for answering questions of impact,
recruitment and/or generalizability.
The ACF will award approximately $2 million for local research
activities in FY 1996. Early Head Start programs which are chosen by
the ACF as impact evaluation and special research sites will be
required to cooperate in carrying out intensive research and evaluation
activities (e.g. random assignment of recruited families to comparison
and program groups). The Request for Proposal for research site
competition involving original or newly identified research partners,
will be released in the Fall of 1995. Selection of research sites will
be based on a combination of factors that may include proposed study
design, research partner qualifications, location, program composition,
and projected program readiness for evaluation.
Part III. Application Requirements
Applicants must address the following requirements in their
applications for financial assistance. For the convenience of the
applicants, these requirements have been organized according to the
evaluation criteria presented in Part IV.
A. Objectives and Need for Assistance
1. State the objectives for the program and indicate how these
objectives relate to the four Early Head Start Program Goals (see the
Summary Section of this Announcement or Appendix C), and demonstrate
that there is a need for the program that relates to these objectives
and is based on an assessment of the community (conducted by the
applicant or resulting from a recent study of the community) and
consultation with consumers. Provide letters of support for your
program from community leaders and residents.
2. Identify the population to be served by the project and explain
why this population is most in need of the program. Identify the target
enrollment size (number of families and estimated number of infants and
toddlers) and provide assurances that the population the program
intends to recruit and enroll will meet Early Head Start eligibility
criteria.
3. Identify the geographic location to be served by the program.
Describe the key characteristics of the targeted area and explain what
makes the area an identifiable community or neighborhood. Describe what
services and resources are/are not currently available in the area
which serve pregnant women and families with infants and toddlers.
Provide demographic and other information on the target area which
demonstrates that there are a sufficient number of eligible, unserved
families in the area to justify the target enrollment size. In
addition, demonstrate that the program will be able to recruit at least
twice as many eligible families to be enrolled from the target area
should the program be selected as a national impact study site and be
required to establish a randomly assigned comparison group (See Part
II, Section H, Number 4). Attach relevant maps or other geographic
aids.
B. Results or Benefits
1. Identify the specific results or benefits that could be expected
for families and children participating in the program. Identify the
specific community-wide results or benefits. Identify the specific
results or benefits that could be expected for the staff working in the
Early Head Start program as well as other child development caregivers
and family development staff working in a variety of relevant community
agencies.
2. Identify the kinds of qualitative and quantitative data the
program will collect to measure progress towards the stated results or
benefits.
3. Provide assurances that the program will collect data on groups
of individuals and geographic areas served, types of services to be
furnished, service utilization information, types and nature of needs
identified and met, and such other information as may be required
periodically by the ACF for purposes of the national evaluation.
4. Describe how the lessons learned from the program will benefit
national policy, practice, theory and research.
C. Approach
1. Describe the method used to undertake the community assessment
and consumer consultation process that caused the applicant to conclude
that there is a need for the proposed program as discussed in Part III,
Section A. An applicant need not conduct an independent assessment of
the community if such an assessment already exists. In this case, the
applicant should describe the method of the recently conducted
assessment and explain any additional consultation with consumers as it
relates to the development of the proposed program. In addition, all
applicants must describe the planning the program will do during the
start-up period to prepare for implementation of the program and
explain how consumers and other [[Page 14555]] stakeholders in the
community will be involved in the planning.
2. Explain the approach to recruiting and enrolling the number and
type of children and families from the target recruitment area, as
discussed in Part III, Section A. Discuss any special efforts you will
make to recruit and enroll pregnant women and families with children
under age one. Provide assurances that you will carry-out random
assignment should your program be selected to participate in the
national impact study.
3. Describe how the program will ensure that at least 10 percent of
enrollment and participation opportunities will be made available to
children with disabilities (as defined by the IDEA Part H Lead Agency
for the State). Describe the policies and practices the program will
have in place to assure that a child will not be denied enrollment or
participation in the program on the basis of a disability or the
severity of such a condition. Describe how the program will work with
the Part H local lead agency or, if available, the local Interagency
Coordinating Council to arrange or provide for special services needed
by these children and their families. Describe how staff will
coordinate their efforts with others to ensure children with
disabilities and their families receive high quality services.
4. Describe the approach to providing child development services
and explain the rationale for choosing the approach. Identify and
describe the specific approaches that will be used for assuring the
intellectual, social, emotional and physical development of the infants
and toddlers served. Describe the philosophy, curricula, staffing
patterns, staff qualifications, types and quality of settings and any
other relevant information that will comprise the program's model for
supporting the growth and development of very young children. Clearly
explain how your model will meet the developmental needs of very young
children (including children from non-English speaking families).
5. Explain how the program's child development approach will
promote parent/guardian-child interaction and support the mother-child
and/or father-child bond. Also explain how caregiving will be provided
in ways that support infant and toddler attachment to a limited number
of skilled and caring individuals.
6. Describe how high-quality infant and toddler full- and part-day
child care will be provided to children of parents who are working or
in training or to children who require out-of-home care due to special
parental circumstances like substance abuse treatment. Discuss the
relationship between these resources and the program's overall child
development approach. Describe the process the program will use to
determine that child care (provided either directly or through
referral) will be of high quality. In addition, describe the program's
approach to building capacity in communities where high quality infant/
toddler child care is lacking.
7. Describe the program's approach to ensuring the continuation of
developmentally-appropriate services for children, including those with
disabilities, and their families once the children reach the age of
three and the family exits the Early Head Start Program.
8. Describe the specific approaches for providing, either directly
or through referral, ongoing well-baby and well-child health services
such as early and periodic screening, diagnosis, treatment,
immunizations, nutritional assessment, developmental surveillance and
anticipatory guidance. In addition, describe the approach for ensuring
that children are cared for in safe and hygienic environments.
9. Describe the approach for supporting family growth and
development and explain the rationale for choosing the approach.
Explain the framework of and procedures for developing each family's
individualized plan. Explain how you intend to work with other service
delivery systems which require a similar plan, such as the Part H
Individualized Family Service Plan (IFSP), to ensure that the family
only need to complete one plan and that one plan can be used by all
relevant programs to ensure a seamless service delivery system for the
child and family. Describe how your family development approach will
assist families and individual family members in identifying, pursuing
and achieving goals and overcoming obstacles on the way to achieving
those goals.
10. Describe how the program will develop relationships with
parents which promote their involvement with the program. Describe the
strategy and the opportunities for parent involvement providing
assurances that it meets or exceeds the parent involvement standards
described in 45 CFR Part 1304 Instruction I-30, Section B-2, 70.2, the
Parents. Explain what special efforts the program will make to reach
out to and involve fathers.
11. Describe what services the program will provide, either
directly or through referral, to promote adult and family health and
wellness. Identify and explain the mental and physical health services
which will be made available to and accessible by the parents, siblings
and other significant family members of the infants and toddlers served
by the program. Describe what the program will do to promote women's
health and wellness prior to, during and after pregnancy. In addition,
describe what the program will do to provide access to smoking
cessation and substance abuse prevention and treatment services for
affected families.
12. Describe what services the program will provide, either
directly or through referral, to promote progress toward economic self-
sufficiency for parents. Describe the program's approach for basic
literacy training, adult basic education, employability skills training
and job development and placement services.
13. Describe what assistance the program will provide, either
directly or through referral, to families in obtaining needed income
support, food, and decent, safe housing.
14. Identify the existing transportation resources available to
families in reaching services provided at the program site and in off-
site locations. Describe any transportation arrangements the program
will make to ensure that families and children are able to access
needed services.
15. Describe the program's approach to community building and
explain the rationale for choosing the approach. Describe how the
program will be coordinated with other programs and services in the
community which serve pregnant women, infants, toddlers and their
families and how the program will assist in the development of local
community capability, expertise and commitment to carry out
comprehensive service programs built around the needs of pregnant women
and families with very young children. Describe any barriers to
collaboration in your community and explain your strategy for
addressing these. Identify by name specific providers, agencies and
organizations with which the applicant will coordinate in order to
carry out the requirements of this project. Applicants should furnish
formal interagency agreements or contracts (if available) indicating
which services will be provided to which program participants for what
periods of time, by each of those provider agencies and/or
organizations.
16. Describe linkages that the program will make with the following
communities during the planning, implementation and operation of the
program: Health and nutrition (e.g., public health departments and
other [[Page 14556]] health providers and programs including Title V,
Supplemental Food Program for Women, Infants and Children (WIC) and
Medicaid prenatal care services and the Medicaid Early and Periodic
Screening, Diagnosis and Treatment program (EPSDT)); early intervention
(e.g., Part H local lead agency or, if available, local interagency
coordinating councils and University Affiliated Programs); mental
health and substance abuse prevention and treatment; education (e.g.,
local preschool, child care, Head Start, and elementary schools); child
care resource and referral agencies and their networks; business (e.g.,
the local Private Industry Council); parent groups; and other strength-
building organizations.
17. Describe the approach to staff selection and explain the
rationale for choosing the approach. Describe what staffing patterns
and mix of staff qualifications and language/cultural competencies the
program will require to ensure that staff, together, cover the spectrum
of skills, knowledge and professional competencies necessary to provide
quality, comprehensive, inclusive and family-centered services to young
children and families. Describe the process the applicant will use to
identify and select individual staff--from directors to caregivers to
data management staff--who demonstrate the personal characteristics,
competencies and skills necessary to provide quality services and
promote quality relationships with and among children, families, the
community and other staff. Explain how the program will ensure that all
infant/toddler caregivers are qualified, with sufficient grounding in
infant/toddler development and care, and parent/caregiver relations
prior to working with children and families enrolled in the program.
18. Describe the approach to staff development and the rationale
for choosing the approach. Describe the training, technical assistance,
and supervision that will be provided to ensure continued enhancement
of staff skills and teamwork. Describe how training and technical
assistance opportunities will be coordinated with other service
providers in the community so that Early Head Start both provides and
benefits from the knowledge, expertise, and training opportunities of
other relevant community programs and service delivery systems.
Describe how the program will ensure that staff are knowledgeable about
the rights of children with disabilities and are capable of providing
such infants and toddlers with high quality care in a supportive and
developmentally appropriate environment.
19. Identify and explain the management and continuous improvement
plan(s) for implementing the program. Include: An outline of the time
frames and milestones for all key activities that the program will
engage in during the first year of operation, as well as a preliminary
outline of time frames and milestones for key activities in the
remaining years of the project; a description of the procedures for
assessment of progress toward stated objectives including how
collection of data on the results and benefits identified in Part III,
Section B will contribute to a process of continuous improvement within
the program and the sponsoring agency; a description of how an
automated information system will become an integral component in the
management and continuous improvement of the program; a description of
how confidentiality of user data will be maintained; a description of
the applicant's capacity (e.g. facilities, administrative and support
personnel, etc.) to support the program at the proposed target
enrollment size; a description of the strategy for reducing staff
turnover; and a description of how the program will go about
establishing a Policy Council (as described by Head Start Regulation,
45 CFR part 1304) and a Health Services Advisory Committee (as
described by Head Start Regulation, 45 CFR part 1304).
D. Staff Background and Organizational Experience
1. Describe the applicant's experience in providing comprehensive
child development and family development services to families with
infants and toddlers, as well as the applicant's experience in
collaborating with local, State and Federal partners. Describe the
applicant's history and relationship with the target community. Include
a complete discussion of relevant program, administrative and fiscal
management experience.
2. If the applicant represents a consortium of partner agencies,
explain the relevant background of each partner and the partners'
experience in planning and implementing programs to serve children and
families. Each partner must provide a letter of commitment which
authorizes the applicant to apply on behalf of the consortium.
3. Identify and provide a brief description of key staff who are
proposed to work in the program and indicate their educational training
and experience working with similar programs. Provide resumes. Build on
the answer to Part III, Section C, Number 17 by explaining how these
particular staff persons comprise a multi-disciplinary team of experts.
In addition, explain how the ethnic and racial composition and language
proficiencies of these particular staff persons is reflective of the
community where the program is located.
4. Describe the expertise the organization will utilize in
conducting the formative evaluation and continuous improvement
activities described in Part II, Section H, Number 3. Describe the
experience of and provide resumes from the individuals who will assist
the program with continuous improvement and formative evaluation
activities.
5. Provide assurances that the applicant will cooperate with a
multi-site evaluation contractor and any other contractor the ACF may
fund to provide management support or technical assistance services to
Early Head Start programs.
E. Budget Appropriateness
1. Provide two detailed, line-item budgets: one that accounts for
all relevant start-up and operating costs to be incurred in the first
year of the project and one that reflects ongoing operating costs. In
the proposed budgets, applicants must set aside sufficient funds so
that 5 staff can travel to Washington, D.C. for two annual meetings to
be convened by ACYF (i.e., 5 staff x 2 trips = 10 trips). Each budget
should include the required non-Federal share of the cost of the
project (See Part II, Section F).
2. Describe how these budgets reflect high quality, ongoing
services provided at a reasonable cost. Include discussions on the
appropriateness of staff compensation levels and funds set aside to
promote staff development (programs are encouraged to set aside up to
10% of the annual budget for staff development purposes), costs
associated with special equipment needs and the removal of
architectural barriers for disabled families and children, renovation
costs associated with providing environments conducive to the high
quality provision of child and family development services, costs
associated with family transportation and emergency resource needs,
etc. Explain what efforts the applicant has made or will make to secure
other community cash and in-kind resources, besides those shown in the
budgets, and what additional resources will be used to support the
provision of Early Head Start services to children and families.
[[Page 14557]]
Part IV. Evaluation Criteria
In considering how applicants will carry out the responsibilities
addressed under Part III of this announcement, competing applications
for financial assistance will be reviewed and evaluated against the
following five criteria. The point values following each criterion
indicate the numerical weight each criterion will be accorded in the
review process.
A. Criterion 1. Objectives and Need for Assistance (15 Points)
The extent to which, based on community assessment information, the
applicant identifies any relevant physical, economic (e.g., poverty in
the community), social, financial, institutional, or other issues which
demonstrate a need for the Early Head Start program; in addition, the
extent to which the applicant identifies the strengths of the community
the project will serve. The extent to which the applicant lists
relevant program objectives that adequately address the strengths and
needs of the community. The extent to which the applicant describes the
population to be served by the project and explains why this population
is most in need of the program. The extent to which the applicant gives
a precise location and rationale for the project site(s) and area(s) to
be served by the proposed project.
Information provided in response to Part III, Section A of this
announcement will be used to evaluate applicants on this criterion.
B. Criterion 2. Results or Benefits Expected (10 Points)
The extent to which the applicant identifies the results and
benefits to be derived from the project and links these to the stated
objectives. The extent to which the applicant describes the kinds of
data to be collected and how it will be utilized to measure progress
towards the stated results or benefits. The extent to which the
applicant describes how the lessons learned from the program will
benefit national policy, practice, theory and research.
Information provided in response to Part III, Section B of this
announcement will be used to evaluate applicants on this criterion.
C. Criterion 3. Approach (50 Points)
The extent to which the applicant outlines a workable plan of
action which relates to the four Early Head Start program cornerstones
(see Part I, Section F or Appendix C), reflects the nine program
principles (see Part I, Section E or Appendix C), and details how the
proposed work will be accomplished. The extent to which the applicant
explains why the approach chosen makes sense in light of the needs,
objectives, results and benefits described above. The extent to which
the approach is grounded in recognized standards and/or guidelines for
high quality service provision or is defensible from a research or
``best practices'' standpoint.
The extent to which the applicant's management plan demonstrates
sufficient management capacity to implement a high-quality Early Head
Start program.
Information provided in Part III, Section C of this announcement
will be used to evaluate applicants on this criterion.
D. Criterion 4. Staff Background and Organizational Experience (15
Points)
The extent to which the proposed program director, proposed key
project staff, and the organization's experience and history with the
community demonstrate the ability to effectively and efficiently
administer a project of this size, complexity and scope. The extent to
which the organization's (and/or university/research organization
partner's) experience demonstrates an ability to carry out the
continuous improvement and qualitative evaluation activities described
in Part II, Section H, Number 3.
Information provided in response to Part III, Section D of this
announcement will be used to evaluate applicants on this criterion.
E. Criterion 5. Budget Appropriateness (10 Points)
The extent to which the program's costs are reasonable in view of
the planning and activities to be carried out and the anticipated
outcomes. The extent to which the salaries and fringe benefits reflect
the level of compensation appropriate for the responsibilities of
staff. The extent to which assurances are provided that the applicant
can and will contribute the non-Federal share of the total project
cost. The extent to which the program has attempted to and/or succeeded
in garnering cash or in-kind resources from other sources in the
community.
Information provided in response to Part III, Section E of this
announcement will be used to evaluate applicants on this criterion.
Part V. The Application Process
A. Availability of Forms
Eligible applicants interested in applying for funds must submit
all of the required forms included at the end of this 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 which has been
approved by the Office of Management and Budget (OMB) under Control
Number 0348-0043. A copy has been provided (see Appendix A). Each
application must be signed by an individual authorized to act for the
applicant and to assume responsibility for the obligations imposed by
the terms and conditions of the grant award.
Applicants requesting financial assistance for a non-construction
project must file the Standard Form 424B, ``Assurances: Non-
Construction Programs.'' 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. 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, The Pro-
Children's Act of 1994. A copy of the Federal Register notice which
implements the smoking prohibition is included in the application kit.
B. Application Submission
Applicants submitting proposals should use the following format
guidelines: Proposals should be organized according to the evaluation
criteria located in Part IV of this Federal Register announcement. For
each of the five specified criteria, applicants should provide
information in response to the application requirements described in
Part III of this announcement. These application requirements are
cross-referenced by number in the last paragraph of each criterion. All
persons [[Page 14558]] who prepared sections of the proposal should be
identified along with those sections, as well as identified according
to their responsibilities with regard to the proposed program.
One signed original and two copies of the grant application,
including all attachments, are required. The program announcement
number (ACYF-HS-93600.952) must be clearly identified on the
application. Each application must be limited to no more than 125
double-spaced pages of program narrative (not including the forms which
make up the SF-424 and resumes) including the one-page project summary.
If the narrative portion of the application is more than 125 double-
spaced pages, the other pages will be removed from the application and
not considered by the reviewers. The attachments/appendices to each
application must be limited to no more than 100 pages. If the
attachments/appendices to each application are more than 100 pages, the
other pages will be removed from the application and not considered by
the reviewers.
The application must be paginated beginning with the Form 424 and
also contain a table of contents listing each section of the
application with the respective pages identified. Only one application
per applicant will be accepted.
C. Application Consideration
Applicants will be scored against the evaluation criteria described
above. The review will be conducted in Washington, DC by a panel
consisting of experts in the areas of child and family development and
other related fields.
To further inform the Associate Commissioner of the Head Start
Bureau and the Commissioner of ACYF, representatives from the Federal
government may conduct site visits to programs whose applications fall
within a certain range of competitive rankings (i.e., all programs
which have made the ``first cut'', but which the Commissioner of ACYF
will not approve without additional data). This site visit will take
place following the competitive review and before the award decision
for the purpose of obtaining additional information, clarifying
programmatic strategies and other issues which surfaced in the
applications, and identifying any problem areas needing to be resolved.
The results of the competitive review will be taken into
consideration by the Associate Commissioner, Head Start Bureau, in
recommending the project to be funded. The Commissioner of ACYF will
make the final selection of the applicants to be funded. An application
may be funded in whole or in part, depending on the relative need for
services, applicant ranking, geographic location and funds available.
The Commissioner may elect not to provide funding to applicants
experiencing problems in providing quality services identified either
through the panel review or the site visit.
Successful applicants will be notified through the issuance of a
Financial Assistance Award which sets forth the amount of funds
granted, the terms and conditions of the grant, the effective date of
the grant, the budget period for which support is given, and the total
project period for which support is provided.
Subject to availability of additional resources in FY 1996 and the
number of acceptable applications received as a result of this program
announcement, the Commissioner may elect to select recipients for the
FY 1996 cohort of programs out of the pool of applications submitted
for FY 1995 funds.
D. 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.
--The narrative portion of the application does not exceed 125 double-
spaced pages in a 12-pitch font with 1\1/2\ inch margins at the top and
1 inch at the bottom and both sides.
--Attachments/Appendices to the application do not exceed 100 pages.
Attachments/appendices should be used only to provide supporting
documentation such as maps, administration charts, position
descriptions, resumes, and letters of intent/agreement. Please do not
include books or video tapes as they are not easily reproduced and are
therefore inaccessible to the reviewers. Each page should be numbered
sequentially.
--A complete application consists of the following items in this order:
(1) Application for Federal Assistance (SF 424, REV.4-88);
(2) Table of Contents;
(3) Budget information--Non-Construction Programs (SF 424A&B
REV.88);
(4) Budget justification for Section B--Budget Categories,
including subcontract agency budgets;
(5) Project Summary (not to exceed one page);
(6) Application Narrative and Appendices;
(7) 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.
(8) Assurances Non-Construction Programs;
(9) Certification Regarding Lobbying;
(10) Where appropriate, a completed SPOC certification with the
date of SPOC contact entered in line 16, page 1 of the SF 424, REV.4-
88).
E. Due Date for the Receipt of Applications
Deadlines: Applications shall be considered as meeting an announced
deadline if they are received on or before the deadline date at the
address or receipt point specified in this program announcement.
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 date. (Applicants are cautioned that
postmarks will not be considered as a methodology for meeting the
deadline.)
Late applications: Applications which do not meet the criteria
above are considered late applications. ACF shall notify each late
applicant that its application will not be considered in the current
competition.
Extension of deadlines: ACF may extend the deadline for all
applicants because of acts of God such as floods, hurricanes, etc., or
when there is a widespread disruption of the mails. However, if ACF
does not extend the deadline for all applicants, it may not waive or
extend the deadline for any applicants.
F. Paperwork Reduction Act of 1980
Under the Paperwork Reduction Act of 1980, Public Law 96-511, the
Department is required to submit to OMB for review and approval any
reporting and record keeping requirements in regulations, including
program announcements. This program announcement does not contain
information collection requirements beyond those approved for ACF grant
applications under OMB Control Number 0348-0043. [[Page 14559]]
G. Executive Order 12372--Notification Process
This program is covered under Executive Order 12372,
``Intergovernmental Review of Federal Programs,'' and 45 CFR part 100,
``Intergovernmental Review of Department of Health and Human Services
Programs and Activities.'' Under 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, Minnesota, Montana,
Nebraska, Oklahoma, Oregon, Pennsylvania, South Dakota, Virginia,
Washington, American Samoa, and Palau have elected to participate in
the Executive Order process and have established Single Points of
Contact (SPOCs). Applicants from these nineteen jurisdictions areas
need not take action regarding Executive Order 12372.
Applications for projects to be administered by Federally-
recognized Indian Tribes are also exempt from the requirements of
Executive Order 12372. Otherwise, applicants should contact their SPOC
as soon as possible to alert them to the prospective application and to
receive any necessary instructions. Applicants must submit any required
material to the SPOC as early as possible so that the program office
can obtain and review SPOC comments as part of the award process. It is
imperative that the applicant submit all required materials, if any, to
the SPOC and indicate the date of this submittal (or date of contact if
no submittal is required) on the 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 the ACF, they should be
addressed to: Department of Health and Human Services, Administration
for Children and Families, OFM/DDG 6th Floor East, 370 L'Enfant
Promenade SW., Washington, DC 20447.
A list of Single Points of Contact for each State and territory is
included as Appendix B of this announcement.
H. Closing Date
The closing date for submission of applications is May 31, 1995.
(Catalog of Federal Domestic Assistance Program Number 93.600,
Project Head Start)
Dated: March 10, 1995.
Olivia A. Golden,
Commissioner, Administration on Children, Youth and Families.
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Instructions for the SF 424
This is a standard form used by applicants as a required
facesheet for preapplications and applications submitted for Federal
assistance. It will be used by Federal agencies to obtain applicant
certification that States which have established a review and
comment procedure in response to Executive Order 12372 and have
selected the program to be included in their process, have been
given an opportunity to review the applicant's submission.
Item and Entry:
1. Self-explanatory.
2. Date application submitted to Federal agency (or State if
applicable) & applicant's control number (if applicable).
3. State use only (if applicable).
4. If this application is to continue or revise an existing
award, enter present Federal identifier number. If for a new
project, leave blank.
5. Legal name of applicant, name of primary organizational unit
which will undertake the assistance activity, complete address of
the applicant, and name and telephone number of the person to
contact on matters related to this application.
6. Enter Employer Identification Number (EIN) as assigned by the
Internal Revenue Service.
7. Enter the appropriate letter in the space provided.
8. Check appropriate box and enter appropriate letter(s) in the
space(s) provided:
--``New'' means a new assistance award.
--``Continuation'' means an extension for an additional funding/budget
period for a project with a projected completion date.
--``Revision'' means any change in the Federal Government's financial
obligation or contingent liability from an existing obligation.
9. Name of Federal agency from which assistance is being
requested with this application.
10. Use the Catalog of Federal Domestic Assistance number and
title of the program under which assistance is requested.
11. Enter a brief descriptive title of the project. If more than
one program is involved, you should append an explanation on a
separate sheet. If appropriate (e.g., construction or real property
projects), attach a map showing project location. For
preapplications, use a separate sheet to provide a summary
description of this project.
12. List only the largest political entities affected (e.g.,
State, counties, cities).
13. Self-explanatory.
14. List the applicant's Congressional District and any
District(s) affected by the program or project.
15. Amount requested or to be contributed during the first
funding/budget period by each contributor. Value of in-kind
contributions should be included on appropriate lines as applicable.
If the action will result in a dollar change to an existing award,
indicate only the amount of the change. For decreases, enclose the
amounts in parentheses. If both basic and supplemental amounts are
included, show breakdown on an attached sheet. For multiple program
funding, use totals and show breakdown using same categories as item
15.
16. Applicants should contact the State Single Point of Contact
(SPOC) for Federal Executive Order 12372 to determine whether the
application is subject to the State intergovernmental review
process.
17. This question applies to the applicant organization, not the
person who signs as the authorized representative. Categories of
debt include delinquent audit disallowances, loans and taxes.
18. To be signed by the authorized representative of the
applicant. A copy of the governing body's authorization for you to
sign this application as official representative must be on file in
the applicant's office. (Certain Federal agencies may require that
this authorization be submitted as part of the application.)
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Instructions for the SF-424A
General Instructions
This form is designed so that application can be made for funds
from one or more grant programs. In preparing the budget, adhere to
any existing Federal grantor agency guidelines which prescribe how
and whether budgeted amounts should be separately shown for
different functions or activities within the program. For some
programs, grantor agencies may require budgets to be separately
shown by function or activity. For other programs, grantor agencies
may require a breakdown by function or activity. Sections A, B, C,
and D should include budget estimates for the whole project except
when applying for assistance which requires Federal authorization in
annual or other funding period increments. In the latter case,
Sections A, B, C, and D should provide the budget for the first
budget period (usually a year) and Section E should present the need
for Federal assistance in the subsequent budget periods. All
applications should contain a breakdown by the object class
categories shown in Lines a-k of Section B.
Section A. Budget Summary
Lines 1-4, Columns (a) and (b)
For applications pertaining to a single Federal grant program
(Federal Domestic Assistance Catalog number) and not requiring a
functional or activity breakdown, enter or Line 1 under Column (a)
the catalog program title and the catalog number in Column (b).
For applications pertaining to a single program requiring budget
amounts by multiple functions or activities, enter the name of each
activity or function on each line in Column (a), and enter the
catalog number in Column (b). For applications pertaining to
multiple programs where none of the programs require a breakdown by
function or activity, enter the catalog program title on each line
in Column (a) and the respective catalog number on each line in
Column (b).
For applications pertaining to multiple programs where one or
more programs require a breakdown by function or activity, prepare a
separate sheet for each program requiring the breakdown. Additional
sheets should be used when one form does not provide adequate space
for all breakdown of data required. However, when more than one
sheet is used, the first page should provide the summary totals by
programs.
Lines 1-4, Columns (c) Through (g.)
For new applications, leave Columns (c) and (d) blank. For each
line entry in Columns (a) and (b), enter in Columns (e), (f), and
(g) the appropriate amounts of funds needed to support the project
for the first funding period (usually a year).
For continuing grant program applications, submit these forms
before the end of each funding period as required by the grantor
agency. Enter in Columns (c) and (d) the estimated amounts of funds
which will remain unobligated at the end of the grant funding period
only if the Federal grantor agency instructions provide for this.
Otherwise, leave these columns blank. Enter in columns (e) and (f)
the amounts of funds needed for the upcoming period. The amount(s)
in Column (g) should be the sum of amounts in Columns (e) and (f).
For supplemental grants and changes to existing grants, do not
use Columns (c) and (d). Enter in Column (e) the amount of the
increase or decrease of Federal funds and enter in Column (f) the
amount of the increase or decrease of non-Federal funds. In Column
(g) enter the new total budgeted amount (Federal and non-Federal)
which includes the total previous authorized budgeted amounts plus
or minus, as appropriate, the amounts shown in Columns (e) and (f).
The amount(s) in Column (g) should not equal the sum of amounts in
Columns (e) and (f).
Line 5--Show the totals for all columns used.
Section B. Budget Categories
In the column headings (1) through (4), enter the titles of the
same programs, functions, and activities shown on Lines 1-4, Column
(a), Section A. When additional sheets are prepared for Section A,
provide similar column headings on each sheet. For each program,
function or activity, fill in the total requirements for funds (both
Federal and non-Federal) by object class categories.
Lines 6a-i--Show the totals of Lines 6a to 6h in each column.
Line 6j--Show the amount of indirect cost.
Line 6k--Enter the total of amounts on Lines 6i and 6j. For all
applications for new grants and continuation grants the total amount
in column (5), Line 6k, should be the same as the total amount shown
in Section A, Column (g), Line 5. For supplemental grants and
changes to grants, the total amount of 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
Line 8-11--Enter amounts of non-Federal resources that will be
used on the grant. If in-kind contributions are included, provide a
brief explanation on a separate sheet.
Column (a)--Enter the program titles identical to Column (a),
Section A. A breakdown by function or activity is not necessary.
Column (b)--Enter the contribution to be made by the applicant.
Column (c)--Enter the amount of the State's cash and in-kind
contribution if the applicant is not a State or State agency.
Applicants which are a State or State agencies should leave this
column blank.
Column (d)--Enter the amount of cash and in-kind contributions
to be made from all other sources.
Column (e)--Enter totals of Columns (b), (c), and (d).
Line 12--Enter the total for each of 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 expense.
Line 23--Provide any other explanations or comments deemed
necessary.
ASSURANCES--NON-CONSTRUCTION PROGRAMS
Note: Certain of these assurances may not be applicable to your
project or program. If you have questions, please contact the
awarding agency. Further, certain Federal awarding agencies may
require applicants to certify to additional assurances. If such is
the case, your will be notified.
As the duly authorized representative of the applicant I certify
that the applicant:
1. Has the legal authority to apply for Federal assistance, and
the institutional, managerial and financial capability (including
funds sufficient to pay the non-Federal share of project costs) to
ensure proper planning, management and completion of the project
described in this application.
2. Will give the awarding agency, the Comptroller General of the
United States, and if appropriate, the State, through any authorized
representative, access to and the right to examine all records,
books, papers, or documents related to the award; and will
[[Page 14565]] 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. Secs. 6101-6107), which prohibits discrimination
on the basis of age;
(e) the Drug Abuse Office and Treatment Act of 1972 (P.L. 92-
255), as amended, relating to nondiscrimination on the basis of drug
abuse; (f) the Comprehensive Alcohol Abuse and Alcoholism
Prevention, Treatment and Rehabilitation Act of 1970 (P.L. 91-616),
as amended, relating to nondiscrimination on the basis of alcohol
abuse or alcoholism; (g) Secs. 523 and 527 of the Public Health
Service Act of 1912 (42 U.S.C. 290 dd-3 and 290 ee-3), as amended,
relating to confidentiality of alcohol and drug abuse patient
records; (h) Title VIII of the Civil Rights Act of 1968 (42 U.S.C.
Sec. 3601 et seq.), as amended, relating to nondiscrimination in the
sale, rental or financing of housing; (i) any other
nondiscrimination provisions in the specific statute(s) under which
application for Federal assistance is being made; and (j) the
requirements of any other nondiscrimination statute(s) which may
apply to the application.
7. Will comply, or has already complied, with the requirements
of Titles II and III of the Uniform Relocation Assistance and Real
Property Acquisition Policies Act of 1970 (P.L. 91-646) which
provide for fair and equitable treatment of persons displaced or
whose property is acquired as a result of Federal or federally
assisted programs. These requirements apply to all interests in real
property acquired for project purposes regardless of Federal
participation in purchases.
8. Will comply with the provisions of the Hatch Act (5 U.S.C.
Secs. 1501-1508 and 7324-7328) which limit the political activities
of employees whose principal employment activities are funded in
whole or in part with Federal funds.
9. Will comply, as applicable, with the provisions of the Davis-
Bacon Act (40 U.S.C. Secs. 276a to 276a-7), the Copeland Act (40
U.S.C. Sec. 276c and 18 U.S.C. Secs. 874), and the Contract Work
Hours and Safety Standards Act (40 U.S.C. Secs. 327-333), regarding
labor standards for federally assisted construction subagreements.
10. Will comply, if applicable, with flood insurance purchase
requirements of Section 102(a) of the Flood Disaster Protection Act
of 1973 (P.L. 93-234) which requires recipients in a special flood
hazard area to participate in the program and to purchase flood
insurance if the total cost of insurable construction and
acquisition is $10,000 or more.
11. Will comply with environmental standards which may be
prescribed pursuant to the following: (a) institution of
environmental quality control measures under the National
Environmental Policy Act of 1969 (P.L. 91-190) and Executive Order
(EO) 11514; (b) notification of violating facilities pursuant to EO
11738; (c) protection of wetlands pursuant to EO 11990; (d)
evaluation of flood hazards in floodplains in accordance with EO
11988; (e) assurance of project consistency with the approved State
management program developed under the Coastal Zone Management Act
of 1972 (16 U.S.C. Secs. 1451 et seq.); (f) conformity of Federal
actions to State (Clear Air) Implementation Plans under Section
176(c) of the Clear Air Act of 1955, as amended (42 U.S.C. Sec. 7401
et seq.); (g) protection of underground sources of drinking water
under the Safe Drinking Water Act of 1974, as amended, (P.L. 93-
523); and (h) protection of endangered species under the Endangered
Species Act of 1973, as amended, (P.L. 93-205).
12. Will comply with the Wild and Scenic Rivers Act of 1968 (16
U.S.C. Secs. 1271 et seq.) related to protecting components or
potential components of the national wild and scenic rivers system.
13. Will assist the awarding agency in assuring compliance with
Section 106 of the National Historic Preservation Act of 1966, as
amended (16 U.S.C. 470), EO 11593 (identification and protection of
historic properties), and the Archaeological and Historic
Preservation Act of 1974 (16 U.S.C. 469a-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.
18. Will comply with all applicable requirements of all other
Federal laws, executive orders, regulations and policies governing
this program.
Signature of Authorized Certifying Official
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Applicant Organization
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Certification Regarding Debarment, Suspension, and Other
Responsibility Matters--Primary Covered Transactions
By signing and submitting this proposal, the applicant, defined as
the primary participant in accordance with 45 CFR Part 76, certifies to
the best of its knowledge and belief that it and its principals:
(a) Are not presently debarred, suspended, proposed for debarment,
declared ineligible, or voluntarily excluded from covered transactions
by any Federal department or agency;
(b) Have not within a 3-year period preceding this proposal been
convicted of or had a civil judgment rendered against them for
commission of fraud or a criminal offense in connection with obtaining,
attempting to obtain, or performing a public (Federal, State, or local)
transaction or contract under a public transaction; violation of
Federal or State antitrust statutes or commission of embezzlement,
theft, forgery, bribery, falsification or destruction of records,
making false statements, or receiving stolen property:
(c) Are not presently indicted or otherwise criminally or civilly
charged by a governmental entity (Federal, State or local) with
commission of any of the offenses enumerated in paragraph (1)(b) of
this certification; and
(d) Have not within a 3-year period preceding this application/
proposal had one or more public transactions (Federal, State, or local)
terminated for cause or default.
The inability of a person to provide the certification required
above will not necessarily result in denial of participation in this
covered transaction. If necessary, the prospective participant shall
submit an explanation of why it cannot provide the certification. The
certification or explanation will be considered in connection with the
Department of Health and Human Services (HHS) determination whether to
enter into this transaction. However, a failure of the prospective
primary participant to furnish a certification or an explanation shall
disqualify such person from participation in this transaction.
The prospective primary participant agrees that by submitting this
proposal, it will include the clause entitled ``Certification Regarding
Debarment, Suspension, Ineligibility, and Voluntary Exclusion--Lower
Tier Covered Transaction'' provided below without modification in all
lower tier covered transactions and in all solicitations for lower tier
covered transactions.
Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion--Lower Tier Covered Transactions
(To Be Supplied to Lower Tier Participants)
By signing and submitting this lower tier proposal, the prospective
lower tier participant, as defined in 45 CFR Part 76, certifies to the
best of its knowledge and belief that it and its principals:
(a) Are not presently debarred, suspended, proposed for debarment,
declared ineligible, or voluntarily excluded from participation in this
transaction by any Federal department or agency.
(b) Where the prospective lower tier participant is unable to
certify to any of the above, such prospective participant shall attach
an explanation to this proposal.
The prospective lower tier participant further agrees by submitting
this proposal that it will include this clause entitled ``Certification
Regarding Debarment, Suspension, Ineligibility, and Voluntary
Exclusion--Lower Tier Covered Transactions.'' without modification in
all lower tier covered transactions and in all solicitations for lower
tier covered transactions.
Certification Regarding Lobbying
Certification for Contracts, Grants, Loans, and Cooperative Agreements
The undersigned certifies, to the best of his or her knowledge and
belief, that:
(1) No Federal appropriated funds have been paid or will be paid,
by or on behalf of the undersigned, to any person for influencing or
attempting to influence an officer or employee of any agency, a Member
of Congress, an officer or employee of Congress, or an employee of a
Member of Congress in connection with the awarding of any Federal
contract, the making of any Federal grant, the making of any Federal
loan, the entering into of any cooperative agreement, and the
extension, continuation, renewal, amendment, or modification of any
Federal contract, grant, loan, or cooperative agreement.
(2) If any funds other than Federal appropriated funds have been
paid or will be paid to any person for influencing or attempting to
influence an officer or employee of any agency, a Member of Congress,
an officer or employee of Congress, or an employee of a Member of
Congress in connection with this Federal contract, grant, loan or
cooperative agreement, the undersigned shall complete and submit
Standard Form-LLL, ``Disclosure Form to Report Lobbying,'' in
accordance with its instructions.
(3) The undersigned shall require that the language of this
certification be included in the award documents for all subawards at
all tiers (including subcontracts, subgrants, and contracts under
grants, loans, and cooperative agreements) and that all subrecipients
shall certify and disclose accordingly.
This certification is a material representation of fact upon which
reliance was placed when this transaction was made or entered into.
Submission of this certification is a prerequisite for making or
entering into this transaction imposed by section 1352, title 31, U.S.
Code. Any person who fails to file the required certification shall be
subject to a civil penalty of not less than $10,000 and not more than
$100,000 for each such failure.
State for Loan Guarantee and Loan Insurance
The undersigned states, to the best of his or her knowledge and
belief, that:
If any funds have been paid or will be paid to any person for
influencing or attempting to influence an officer or employee of any
agency, a Member of Congress, an officer or employee of Congress, or an
employee of a Member of Congress in connection with this commitment
providing for the United States to insure or guarantee a loan, the
undersigned shall complete and submit Standard Form-LLL ``Disclosure
Form to Report Lobbying,'' in accordance with its instructions.
Submission of this statement is a prerequisite for making or
entering into this transaction imposed by section 1352, title 31, U.S.
Code. Any person who fails to file the required statement shall be
subject to a civil penalty of not less than $10,000 and not more than
$100,000 for each such failure.
Signature
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Organization
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Date
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Certification Regarding Environmental Tobacco Smoke
Public Law 103-227, Part C--Environmental Tobacco Smoke, also known
as the Pro-Children Act of 1994 (Act), requires that smoking not be
permitted in any portion of any indoor facility owned or leased or
contracted for by an entity and used routinely or regularly for the
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 $1000 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 children's services and that all subgrantees shall
certify accordingly.
Appendix B
Executive Order 12372--State Single Points of Contact
Arizona
Mrs. Janice Dunn, ATTN: Arizona State Clearinghouse, 3800 N. Central
Avenue, 14th Floor, Phoenix, Arizona 85012, Telephone (602) 280-1315
Arkansas
Tracie L. Copeland, Manager, State Clearinghouse, Office of
Intergovernmental Services, Department of Finance and
Administration, PO Box 3278, Little Rock, Arkansas 72203, Telephone
(501) 682-1074
California
Glenn Stober, Grants Coordinator, Office of Planning and Research,
1400 Tenth Street, Sacramento, California 95814, Telephone (916)
323-7480
Delaware
Ms. Francine Booth, State Single Point of Contact, Executive
Department, Thomas Collins Building, Dover, Delaware 19903,
Telephone (302) 736-3326
District of Columbia
Rodney T. Hallman, State Single Point of Contact, Office of Grants
Management and Development, 717 14th Street NW., Suite 500,
Washington, DC 20005, Telephone (202) 727-6551
Florida
Florida State Clearinghouse, Intergovernmental Affairs Policy Unit,
Executive Office of the Governor, Office of Planning and Budgeting,
The Capitol, Tallahassee, Florida 32399-0001, Telephone (904) 488-
8441
Georgia
Mr. Charles H. Badger, Administrator, Georgia State Clearinghouse,
254 Washington Street SW, Atlanta, Georgia 30334, Telephone (404)
656-3855
Illinois
Steve Klokkenga, State Single Point of Contact, Office of the
Governor, 107 Stratton Building, Springfield, Illinois 62706,
Telephone (217) 782-1671
Indiana
Jean S. Blackwell, Budget Director, State Budget Agency, 212 State
House, Indianapolis, Indiana 46204, Telephone (317) 232-5610
Iowa
Mr. Steven R. McCann, Division of Community Progress, Iowa
Department of Economic Development, 200 East Grand Avenue, Des
Moines, Iowa 50309, Telephone (515) 281-3725
Kentucky
Ronald W. Cook, Office of the Governor, Department of Local
Government, 1024 Capitol Center Drive, Frankfort, Kentucky 40601,
Telephone (502) 564-2382
Maine
Ms. Joyce Benson, State Planning Office, State House Station #38,
Augusta, Maine 04333, Telephone (207) 289-3261
Maryland
Ms. Mary Abrams, Chief, Maryland State Clearinghouse, Department of
State Planning, 301 West Preston Street, Baltimore, Maryland 21201-
2365, Telephone (301) 225-4490
Massachusetts
Karen Arone, State Clearinghouse, Executive Office of Communities
and Development, 100 Cambridge Street, room 1803, Boston,
Massachusetts 02202, Telephone (617) 727-7001
Michigan
Richard S. Pastula, Director, Michigan Department of Commerce,
Lansing, Michigan 48909, Telephone (517) 373-7356
Mississippi
Ms. Cathy Mallette, Clearinghouse Officer, Office of Federal Grant
Management and Reporting, 301 West Pearl Street, Jackson,
Mississippi 39203, Telephone (601) 960-2174
Missouri
Ms. Lois Pohl, Federal Assistance Clearinghouse, Office of
Administration, P.O. Box 809, room 430, Truman Building, Jefferson
City, Missouri 65102, Telephone (314) 751-4834
Nevada
Department of Administration, State Clearinghouse, Capitol Complex,
Carson City, Nevada 89710, Telephone (702) 687-4065, Attention: Ron
Sparks, Clearinghouse Coordinator
New Hampshire
Mr. Jeffrey H. Taylor, Director, New Hampshire Office of State
Planning, Attn: Intergovernmental Review, Process/James E. Bieber,
2\1/2\ Beacon Street, Concord, New Hampshire 03301, Telephone (603)
271-2155
New Jersey
Gregory W. Adkins, Acting Director, Division of Community Resources,
N.J. Department of Community Affairs, Trenton, New Jersey 08625-
0803, Telephone (609) 292-6613
Please direct correspondence and questions to: Andrew J. Jaskolka,
State Review Process, Division of Community Resources, CN 814, room
609, Trenton, New Jersey 08625-0803, Telephone (609) 292-9025
New Mexico
George Elliott, Deputy Director, State Budget Division, room 190,
Bataan Memorial Building, Santa Fe, New Mexico 87503, Telephone
(505) 827-3640, FAX (505) 827-3006
New York
New York State Clearinghouse, Division of the Budget, State Capitol,
Albany, New York 12224, Telephone (518) 474-1605
North Carolina
Mrs. Chrys Baggett, Director, Office of the Secretary of Admin.,
N.C. State Clearinghouse, 116 W. Jones Street, Raleigh, North
Carolina 27603-8003, Telephone (919) 733-7232
North Dakota
N.D. Single Point of Contact, Office of Intergovernmental
Assistance, Office of Management and Budget, 600 East Boulevard
Avenue, Bismarck, North Dakota 58505-0170, Telephone (701) 224-2094
Ohio
Larry Weaver, State Single Point of Contact, State/Federal Funds
Coordinator, State Clearinghouse, Office of Budget and Management,
30 East Broad Street, 34th Floor, Columbus, Ohio 43266-0411,
Telephone (614) 466-0698
Rhode Island
Mr. Daniel W. Varin, Associate Director, Statewide Planning Program,
Department of Administration, Division of Planning, 265 Melrose
Street, Providence, Rhode Island 02907, Telephone (401) 277-2656
Please direct correspondence and questions to: Review Coordinator,
Office of Strategic Planning.
South Carolina
Omeagia Burgess, State Single Point of Contact, Grant Services,
Office of the Governor, 1205 Pendleton Street, room 477, Columbia,
South Carolina 29201, Telephone (803) 734-0494 [[Page 14571]]
Tennessee
Mr. Charles Brown, State Single Point of Contact, State Planning
Office, 500 Charlotte Avenue, 309 John Sevier Building, Nashville,
Tennessee 37219, Telephone (615) 741-1676
Texas
Mr. Thomas Adams, Governor's Office of Budget and Planning, P.O. Box
12428, Austin, Texas 78711, Telephone (512) 463-1778
Utah
Utah State Clearinghouse, Office of Planning and Budget, ATTN:
Carolyn Wright, room 116 State Capitol, Salt Lake City, Utah 84114,
Telephone (801) 538-1535
Vermont
Mr. Bernard D. Johnson, Assistant Director, Office of Policy
Research & Coordination, Pavilion Office Building, 109 State Street,
Montpelier, Vermont 05602, Telephone (802) 828-3326
West Virginia
Mr. Fred Cutlip, Director, Community Development Division, West
Virginia Development Office, Building #6, room 553, Charleston, West
Virginia 25305, Telephone (304) 348-4010
Wisconsin
Mr. William C. Carey, Federal/State Relations, Wisconsin Department
of Administration, 101 South Webster Street, P.O. Box 7864, Madison,
Wisconsin 53707, Telephone (608) 266-0267
Wyoming
Sheryl Jeffries, State Single Point of Contact, Herschler Building,
4th floor, East Wing, Cheyenne, Wyoming 82002, Telephone (307) 777-
7574
Guam
Mr. Michael J. Reidy, Director, Bureau of Budget and Management
Research, Office of the Governor, P.O. Box 2950, Agana, Guam 96910,
Telephone (671) 472-2285
Northern Mariana Islands
State Single Point of Contact, Planning and Budget Office, Office of
the Governor, Saipan, CM, Northern Mariana Islands 96950
Puerto Rico
Norma Burgos/Jose H. Caro, Chairman/Director, Puerto Rico Planning
Board, Minillas Government Center, P.O. Box 41119, San Juan, Puerto
Rico 00940-9985, Telephone (809) 727-4444
Virgin Islands
Jose L. George, Director, Office of Management and Budget, #41
Norregade Emancipation Garden Station, Second Floor, Saint Thomas,
Virgin Islands 00802
Please direct correspondence to: Linda Clarke, Telephone (809) 774-
0750.
Appendix C--The Statement of the Advisory Committee on Services for
Families With Infants and Toddlers
Table of Contents
Overview
Background, Vision, and Goals
Research Rationale
Program Principles
Program Cornerstones
Federal Commitment
Conclusion
References
Overview
All children from birth to age three need early child development
experiences that honor their unique characteristics and provide love,
warmth, and positive learning experiences; and all families need
encouragement and support from their community so they can achieve
their own goals and provide a safe and nurturing environment for their
very young children. This recognition is guiding the design of the new
Early Head Start program.
Early Head Start marks a turning point in America's commitment to
our youngest children and their families. By focusing on child
development, family development, community building, and staff
development a new era of support to very young children and their
families is born, building on the experiences and lessons learned from
existing Head Start programs.
Early Head Start puts resources into a constellation of high
quality supports and services that will promote healthy child and
family development, and backs them with a Federal commitment to
training, standards and monitoring for high quality, research and
evaluation, and services coordination at the national level. It enables
families and communities to design flexible and responsive programs but
requires that, at a minimum, programs provide child development, family
support, health services for young children and pregnant women, and
home visits to families with newborns. This would include child care
services that respond to the needs of families. When services are
provided through referral, it requires that the Early Head Start
program assures the services to which families are referred are of
highest quality, available and accessible, and that needed followup
occurs. And although service delivery mechanisms may vary, a common
characteristic will be that each Early Head Start program will
establish a place which is recognized as a source of support for very
young children, families, and caregiving staff. Programs will be
encouraged to give this Early Head Start place visibility and identity.
With this design, the Early Head Start program will be suited to
last well into the next century, always reshaping itself to provide
high quality, responsive, and respectful services to America's youngest
children and their families.
Background, Vision, and Goals
The reauthorization of the Head Start Act in 1994 made it possible
to formally open a new chapter of Federal support for families with
infants and toddlers by establishing a special initiative within the
context of the Head Start program. Beginning in Fiscal Year 1995, the
Secretary of Health and Human Services will award grants to Early Head
Start programs which will provide early, continuous, intensive, and
comprehensive child development and family support services to low-
income families with children under age three. This initiative will
bring together under one umbrella Head Start's existing programs for
families with infants and toddlers, the Comprehensive Child Development
Program and the Parent and Child Centers; strengthen the Migrant Head
Start Program; and add new resources to model high quality child
development and family development services for very young children and
their families.
To help with the design of the new initiative, the Secretary formed
the Advisory Committee on Services for Families with Infants and
Toddlers. The Committee was charged with advising the Secretary and
Assistant Secretary for Children and Families on the development of
program approaches for the initiative that would address the parenting
and child development needs of low-income parents and their infants and
toddlers. We were to pay particular attention to the key principles and
array of models of effective culturally and developmentally appropriate
service delivery. To fulfill this commitment, we met three times during
the summer of 1994 to engage in discussions about our vision for a
national approach to high quality, responsive services for very young
children and their families. We outlined the Federal role for carrying
forth this vision, ensuring such programs can flourish.
We are excited about the fruits of these deliberative efforts and
confident that the resulting initiative will advance Head Start
leadership in realizing a national vision of communities where:
children, from birth, receive support through their
family and their community to achieve optimal growth and development
and build a foundation of security, self-confidence, [[Page 14572]] and
character strength which will in turn enable them to build successful
social relationships for learning and continued development through
later childhood and adulthood;
families receive support to meet their personal goals,
and resources and guidance to prepare for their child's birth and
provide a warm, caring, responsive environment for their very young
child;
communities embrace and support all families,
celebrating the birth of their children and creating an environment
where support and resources are mobilized to ensure a comprehensive,
integrated array of services are available and accessible for all very
young children and their families; and
staff receive the professional education and personal
support they need to provide high quality environments and experiences
and engage in responsive relationships that promote the healthy
development of infants, toddlers, and their families.
In keeping with this vision, the goals set forth by the Advisory
Committee for Early Head Start will be:
To provide safe and developmentally enriching
caregiving and environments which promote the physical, cognitive,
social and emotional growth of infants and toddlers and prepare them
for future growth and development;
To support parents, both mothers and fathers, in their
role as primary caregivers and educators of their children, and
families in meeting personal goals and achieving self-sufficiency
across a wide variety of domains;
To mobilize communities to provide the resources and
environment necessary to ensure a comprehensive, integrated array of
services and support for families, and to foster the systems change
necessary to summon forth the guiding vision of this initiative; and
To ensure the provision of high quality responsive
services to families with infants and toddlers through the development
of highly-trained, caring and adequately compensated program staff.
The Advisory Committee recognizes that the vision and goals
outlined above have also been shaped by the lessons learned from the
Comprehensive Child Development Program, Parent and Child Centers,
Migrant Head Start Programs, locally designed Head Start programs, and
other early child development and family support efforts serving
families with very young children. As part of the overall consultation
for the development of this initiative, Federal staff conducted over 30
focus groups with parents, practitioners, researchers, advocates, and
representatives of professional organizations. Focus groups were
designed to address topical areas such as child care, family services,
health care, support and services for children with disabilities and
their families, community mobilization, parent involvement and parent
advocacy. In addition, Federal staff met with or received materials and
recommendations from a number of other experts and practitioners in the
field. The suggestions, guidance, and information received through this
process have been invaluable to both the Advisory Committee and the
Administration on Children, Youth and Families.
Research Rationale
Findings from more than three decades of research in child and
family development support the vision and goals set forth for support
to families with infants and toddlers. We know that the time from
conception to age three is a critical period of human development, as
change occurs more rapidly than in any other period of the life span.
Growth in these early years establishes the basic foundation for future
development. For infants and toddlers to develop optimally, they must
have healthy beginnings and the continuity of responsive and caring
relationships. Together, these supports help promote optimal cognitive,
social, emotional, physical, and language development. When these
supports are missing, the immediate and future development of the child
may be compromised. Fortunately, recent research identifies
characteristics of effective programs that enhance both child and
family development. This growing body of knowledge provides a solid
base upon which the Early Head Start program can be founded.
Maternal and Infant Health
Maternal and infant health are essential for ensuring normal pre-
and post-natal development of very young children. Late or inadequate
prenatal care, malnutrition, stress and exposure to harmful substances
are associated with shortened gestation, reduced birthweight, birth
defects and underdeveloped brain growth (Osofsky, 1975; U.S. Department
of Health and Human Services, 1989; Carnegie Corporation, 1994). These,
in turn, have been associated with higher probabilities for infant
mortality, illness, disabilities, child abuse, difficulty in
relationships (Glasgow and Overall, 1979) and subsequent learning
disorders (Drillien, Thomson and Bargoyne, 1980). During the early
years of life, proper nutrition, routine well-child health care, timely
immunizations, safe environments and health-promoting behaviors are
necessary to support physical growth and development.
Given the paramount importance of health for very young children, a
major focus of the Early Head Start program must be to ensure women
receive the health services needed to promote a healthy pregnancy and
birth, and very young children receive early and ongoing well-baby
care, immunizations, and other essential health services to support
their development.
Child-Caregiver Relationships
The child-caregiver relationships with the mother, father,
grandparent and other caregivers are critical for providing infants and
toddlers support, engagement, continuity and emotional nourishment
necessary for healthy development, and the development of healthy
attachments (Ainsworth, Blehar, Waters and Wall, 1978). Within the
context of caregiving relationships, the infant builds a sense of what
is expected, what feels right in the world, as well as skills and
incentives for social turn-taking, reciprocity and cooperation (Emde,
Biringen, Clyman and Oppenheim, 1991; Isabella and Belsky, 1991). The
infant's activities are nourished and channeled in appropriate ways so
as to encourage a sense of initiative and self-directedness. During the
toddler period, the child, through repeated interactions with
emotionally-available caregivers, also begins to learn basic skills of
self-control, emotional regulation and negotiation (Kochanska, 1991;
Kopp, 1989; Suess, Grossman and Sroufe, 1992). Empathy for others and
prosocial tendencies for caring and helping also develop during
toddlerhood as well as the emotions of pride and shame; experiencing
and learning about these capacities require responsive caregiving
relationships in the midst of life's inevitable stresses and challenges
(Zahn-Waxler and Radke-Yarrow, 1990).
A sense of pleasure, interest in exploration, early imaginative
capacities, and the sharing of positive emotions also begin in
infancy--all of which require repeated and consistent caregiver
relationship experiences and form a basis for social competence that
carries through toddlerhood and the preschool period (Emde, 1989; Dix,
1991). The opportunities for play for both infant and caregiver, as
well as the skills that develop from play, are often under-appreciated
aspects of healthy development (Bruner, 1986; Elicker, Englund and
Sroufe, 1992). [[Page 14573]]
Finally, the importance of promoting a network of healthy
caregiving relationships for the very young child cannot be overstated
(Crockenberg, 1981; Egeland, Jacobvitz and Sroufe, 1988; Sameroff and
Emde, 1989; Tronick, Winn and Morelli, 1985). The network of caring
relationships provides an ever-expanding circle of support for both
child and family. Factors that undermine optimal child-caregiver
relationships include isolation, lack of support and maternal
depression (Crnic, Greenberg, Robinson and Ragozin, 1984), the latter
reported to be as high as 56% in some samples of low-income new mothers
(Hall, Gurley, Sachs and Kryscio, 1991). In child care settings, high
staff turnover, low staff wages, low quality programming and lack of
adequate staff training for substitute caregivers negatively affects
the quality of child-caregiver relationships (Zigler and Lang, 1991;
Whitebook, Howes and Phillips, 1989). This in turn further compromises
the nature and quality of the child's overall development.
Thus, it follows that a major focus for Early Head Start services
should be the development of healthy and skillful relationship building
between very young children and their parents and caregivers that
encourages interactions and promotes attention and activity in infants.
Hence, opportunities for sustained relationship-building over extended
periods of times will be an explicit goal throughout the program.
Characteristics of Successful Programs Serving Families with Infants
and Toddlers
The goal of many early child development programs is to enable the
child, with the support of the parents as primary caregivers and other
caregivers, to establish a developmental path that will prepare him or
her for long-term success. Hundreds of programs with a variety of
specific emphases have sought to achieve this goal. From these many
interventions, a picture of the critical ingredients for successful
programs has emerged. In short, we know effective programs often are
characterized by: early prenatal services to the expectant woman (Olds,
Henderson, Tatelbaum and Chamberlin, 1986); a two-generational focus
(Zuckerman and Brazelton, 1994; Administration on Children, Youth and
Families, 1994; Ramey and Campbell, 1984; Brooks-Gunn, Klebanov, Liaw,
Spiker, 1993); family-centered services that address self-sufficiency
through the provision of social services and parent education (Booth,
Barnard, Mitchell and Spieker, 1987; Olds, Henderson, Tatebaum and
Chamberlin, 1986; Olds, Henderson, Tatebaum and Chamberlin, 1988);
quality child development services that are coupled with family
services (Lally, Mangione and Honig, 1987; Brooks-Gunn, Klebanov, Liaw
and Spiker, 1993); continuity of service delivery for the child and
family that ensures the availability of support over a number of years
with smooth transitions to other service delivery systems (Campbell and
Ramey, 1994); continuity of caregivers (Howes and Hamilton, 1992);
intensity of service delivery in terms of availability, accessibility,
and usage of services (Booth, Barnard, Mitchell and Spieker, 1987;
Ramey, Bryant, Wasik, Sparling, Fendt and LaVange, 1992); and
consolidation or integration of service delivery systems. Further,
research tells us that communities have been found to become more
responsive to the needs of low-income families as a result of program
activities (Kirschner, 1970).
Clearly, research over the past three decades has shown that when
programs focus on both child development and family development through
early, high quality, comprehensive, continuous, intensive services,
opportunities for optimal child and family development can be realized,
even for the most vulnerable families and very young children. The
challenge for the Administration on Children, Youth and Families and
the programs which will receive funds through this initiative is to
translate these research findings into the design and operation of high
quality programs so all families with young children served by Early
Head Start will be able to grow and prosper. The following principles
and cornerstones establish the framework for this to occur.
Program Principles
In recognition that each child is an individual who is supported by
a family and that families are supported by neighborhoods and
communities, the Advisory Committee recommends that programs funded
under the new initiative be encouraged to develop a range of strategies
for supporting the growth of the very young child within the family and
the growth of the family within the community. Thus, each Early Head
Start program should be family-centered and community-based. We
recommend that the following principles serve as the conceptual
foundation for Early Head Start:
High Quality: Commitment to excellence will enable the
new programs to be models for services to families with infants and
toddlers from all socioeconomic strata of society. High quality will be
assured in the direct services provided, and in the services provided
through referral. To this end, each program will acknowledge and
utilize the bodies of knowledge, skills and professional ethics
surrounding the fields of child development, family development and
community building. In particular, programs will recognize that the
conception-to-three age period is unique in both the rate of
development and in the way young children's physical and mental growth
reflects and absorbs experiences with caregivers and the surroundings.
Thus, high quality caregiving practices will spring from the healthy
awareness that the unique nature of infant and toddler development not
only carries with it major opportunities for intervention, but also
leaves children especially vulnerable to negative inputs. The Federal
government will share in the commitment to high quality by providing
thorough and ongoing monitoring to assure program adherence to
performance standards; technical assistance that addresses each
program's individual needs and amplifies innovation and development
across all programs; evaluation which measures program success against
meaningful outcomes for young children and families; and research which
contributes to the state of the art on child development, family
development and community building.
Prevention and promotion: Recognizing that windows of
opportunity open and close quickly for families and young children,
programs will seek and pursue opportunities to play a positive role in
promoting the physical, social, emotional, cognitive and language
development of young children and families before conception,
prenatally, upon birth, and during the early years. By supporting the
promotion of their health and well-being, program staff will be able to
prevent and detect problems at their earliest stages, rallying the
services needed to help the child and family anticipate and overcome
problems before they interfere with healthy development. While early
and proactive promotion of healthy development and healthy behaviors
will be emphasized, programs will also need to be able to understand
and respond to family crises that may occur while the family is
enrolled in the program.
Positive Relationships and Continuity: The success of
each program will rest on its ability to support and enhance strong,
caring, continuous relationships which nurture the child, parents,
family, and caregiving staff. Programs will support the mother-child,
father-child bond by recognizing each [[Page 14574]] parent as his or
her child's first and primary source of love, nurturance and guidance.
Caregiving will be provided to families who need it in ways that
support infant and toddler attachment to a limited number of skilled
and caring individuals, thus maintaining relationships with caregivers
over time and avoiding the trauma of loss experienced with frequent
turnover of key people in the child's life. These relationships will
aim to respectfully enhance child interest, curiosity, play and
imagination, which, in turn, will develop a shared sense of trust,
confidence and esteem for both caregiver and child. In addition,
programs will model strong, mutually respectful relationships between
staff and families, among staff, and with other community organizations
and service providers. To do so, programs will be receptive to
individual strengths, perspectives and contributions; affirm the value
of the child and family's home culture; and support an environment
where very young children, parents and staff can teach and learn from
each other.
Parent Involvement: As in all Head Start efforts, a
hallmark of the new initiative will be the creation and sustenance of
an environment that supports the highest level of partnership with
parents, both mothers and fathers. As such, programs will support
parents as primary nurturers, educators, and advocates for their
children; assure that each parent has an opportunity for an experience
that supports his or her own growth and goals, including that of
parenting; and provide a policy- and decision-making role for parents.
Furthermore, opportunities for parent involvement will encourage
independence and self-sufficiency for parents. Special efforts will be
made to welcome and support fathers as parenting partners.
Inclusion: Program will seek to build communities that
respect each child and adult as an individual while at the same time
reinforcing a sense of belonging to the group. Programs will support
participation in community life by young children with disabilities and
their families; families of very young children with significant
disabilities will be fully included in all program services.
Culture: Children and their families will come to the
new programs rooted in a culture which gives them meaning and
direction. Programs will demonstrate an understanding of, respect for,
and responsiveness to the home culture and home language of every
child, thus affirming the values of each family's culture and providing
the context for healthy identity development in the early years of
life. Program staff will become aware of their own core beliefs and
values and be attuned to the role culture and language play in child
development, family development and the surrounding community values
and attitudes. Programs will pursue opportunities to support home
culture and language, while also recognizing the significance of a
common culture shared by all. In building a more harmonious and
peaceful community for children to grow in and for families to share,
programs will encourage and provide opportunities for families and
community members to engage in dialogue about culture, language,
cultural diversity and multiculturalism.
Comprehensiveness, Flexibility, Responsiveness, and
Intensity: Programs will honor and build upon the unique strengths and
abilities of the children, families and communities they serve and
continually adapt to meet emerging needs. Developmental opportunities
provided to each infant and toddler will address the whole child and be
continually adapted to keep pace with his or her developmental growth.
And just as programs need to be responsive and attentive to the special
needs of very young children with disabilities, they also need to be
responsive to parents with disabilities. Family development planning
and service provision will be grounded in the belief that families,
including those whose problems seem overwhelming, can identify their
own goals, strengths and needs, and are capable of growth and change.
Once these are identified, program resources of varied intensity will
be marshaled to support the whole family in an individualized and
responsive manner. Barriers which prevent families from accessing
needed supports will be overcome through the location, coordination,
and assurance by program staff that services are provided and received.
Attention will also be given to ensure programs meet the needs and
schedules of working parents. Ultimately, each parent's sense of
empowerment and ability to identify and address his or her family's
needs will be fostered by responsive and caring relationships with
program staff.
Transition: Programs will be responsible for ensuring
the smooth transition of children and their families into Head Start or
other preschool programs which are of high quality and provide
consistent and responsive caregiving. The Federal government must
support both Early Head Start and Head Start programs in carrying out
this responsibility. Transition is important for ensuring continued
accessibility to enriching early child development experiences and for
providing ongoing family support services that promote healthy family
development. To facilitate this transition, parents and caregivers
should jointly develop a family and child transition plan, identifying
services which will continue and new services and programs which will
be accessed. Caregivers from both Early Head Start and the new service
programs will share responsibility for coordinating and implementing
the plan.
Collaboration: Recognizing that no one program will be
able to meet all of a child's and family's needs, programs will
initiate or become embedded in an integrated community system of
service providers and strength building organizations such as churches
and other religious institutions, schools and civic groups. These
efforts will foster a caring, comprehensive and integrated community-
wide response to families with young children, thus maximizing scarce
financial resources and avoiding duplication of agency effort.
Likewise, the Federal Government will promote systems change and the
efficient use of resources through the active pursuit of local, State
and Federal partnerships which enhance the capacity of local programs
to collaborate and combine financial resources.
Program Cornerstones
The principles outlined above establish the foundation for Early
Head Start, a program that meets child development, family development,
and health related goals while striving to provide high quality,
comprehensive, and individualized support and services. In order to
accomplish this, the Advisory Committee recommends that the Secretary
of Health and Human Services adopt these key elements as the four
cornerstones for Early Head Start: child development, family
development, community building, and staff development.
Child Development
Programs will seek to enhance and advance each child's development
by providing individualized support that honors the unique
characteristics and pace of infant/toddler physical, social, emotional,
cognitive and language development, including early education and
health care. Critical to this development is the promotion of positive
parent-child interactions and the enhancement of each parent's
knowledge about the development of their child within healthy, safe
environments. An early step for [[Page 14575]] providing this support
to parents will be the provision of home visits to families with
newborns to offer early encouragement and support and build bridges for
families to other resources in the community. Also critical to the
child's development is access to and delivery of comprehensive health
and mental health services for children, including regular child health
care; screening for health problems such as hearing, anemia, lead
poisoning, metabolic problems; immunizations; nutritional assessment;
developmental surveillance and anticipatory guidance. All children
deserve a medical home that provides these and other prevention and
treatment services. To help facilitate this, Early Head Start programs
will collaborate with a variety of organizations and disciplines to
ensure health supervision for children and their families.
It is particularly important that Early Head Start ensure
coordination and continuity of services for infants and toddlers with
or at risk of a disability, who are eligible for services through Early
Head Start and Part H of the Individuals with Disabilities Education
Act. These two service systems should be coordinated and integrated so
that families and their children experience a seamless system of
services, as identified in their family development plan or
individualized service plan.
As programs provide child development services, they must ensure
that infants and toddlers who need child care receive high quality
part- and full-day services. Such child care can be provided directly
or in collaboration with other community providers as long as the Early
Head Start program assumes responsibility for ensuring that all
settings meet the Early Head Start performance standards.
In general, the setting where these services are delivered is left
to local option and the preferences of families as identified through
their individual family development plan. Settings can represent a
range of options including home visiting; family support centers;
family child care homes; child care centers; centers where families are
engaged in education, training, or employment; community health
centers; and others.
Family Development
Programs must recognize that the key to optimal child development
and family development is the empowerment of parents in goal setting
for themselves and their children. Therefore, families and staff will
collaboratively design and update individualized family development
plans which ensure that service delivery strategies are rooted in the
foundation principles and are responsive to the goals and ideals of the
families. When families are served by additional programs which also
require an individualized family service plan, such as Part H of the
Individuals with Disabilities Education Act and family employability
plans, then a single coordinated plan should be developed so families
experience a seamless system of services. Based on the plan, programs
will ensure the provision of a full range of family services which
consider the different support and educational opportunities needed by
new parents, pregnant women and expectant fathers, and potential
parents, as well as by siblings and extended family members who
influence the development of the family and very young child.
It is particularly important that parental health is linked to
children's health and development. As such, health services for parents
need to be included as part of a two-generational model of health care.
Health services must be accessible for parents with a special emphasis
on women's health that occurs prior to, during, and after pregnancy.
Services which programs must provide directly or through referral,
and which local Early Head Start programs must actively ensure are of
high quality and appropriately followed up include: child development
information; health services, including services for women prior to,
during, and after pregnancy; mental health services; services to
improve health behavior such as smoking cessation and substance abuse
treatment; services to adults to support self-sufficiency, including
adult education and basic literacy skills, job training, assistance in
obtaining income support, food, and decent, safe housing, and emergency
cash or in-kind assistance; and transportation to program services.
Programs must provide direct opportunities for parent involvement in
the program so that parents can be involved as decisionmakers,
volunteers, and/or employees. Additional services not listed above, but
identified by families through community needs assessments and
mappings, may be provided either directly or through referral at local
option.
Community Building
The commitment of programs to high quality care for very young
children and their families serves as a catalyst for creating a
community environment that shares responsibility for the healthy
development of its children. A program approach that exemplifies
openness and caring is the start of community building. Programs should
function in communities in a way that mirrors the principles that are
the foundation of the program itself: parents become a vital resources
for each other and the community at large; staff nurture networks of
support; and programs develop relationships of trust with other
community institutions, businesses, and with community leaders. By
becoming a key actor in the life of the community, programs can serve
to mobilize community resources and energies on behalf of children and
families.
Essential to community building is ensuring a comprehensive network
of services and supports for very young children and their families
which are culturally responsive. Programs will be expected to establish
collaborative relationships with other community providers and
strength-building organizations such as churches and other religious
institutions, schools and civic groups. The goal of these relationships
will be threefold: increased access to high quality services for
program families; assurance that the program's approach to serving
families with infants and toddlers fits into the existing constellation
of services in the community so that there is a coherent, integrated
approach to supporting families with very young children; and systems
change which will spark community caring and responsive service
delivery for all the families with young children who live there. Thus,
all programs will be required to conduct an in-depth assessment of
existing community resources and needs and engage in an ongoing
collaborative planning process with a range of stakeholders, including
parents and residents of the community.
Staff Development
Programs are only as good as the individuals who staff them. This
is particularly true of programs which serve young children, since the
potential to do harm during the vulnerable years of infancy and
toddlerhood is so great. Thus, staff development has been included as a
key element in order to underscore its centrality to the success of the
initiative.
Programs will be required to select staff who, together, cover the
spectrum of skills, knowledge and professional competencies necessary
to provide high quality, comprehensive, culturally appropriate, and
family-centered services to young children and families. Equally
critical will be each program's ability to recognize individuals
capable [[Page 14576]] of entering into one-to-one caregiving
relationships with infants and toddlers which support the positive
formation of their identities. Likewise, programs will need to identify
the capacity of potential staff members to develop caring, respectful
and empowering relationships with families and other coworkers. Such
individuals will demonstrate characteristics such as high self-esteem,
personal strength, and the capacity for being emotionally available.
The program directors who make these selections will, themselves, need
to possess these characteristics in addition to being highly skilled
administrators who exemplify leadership qualities such as integrity,
warmth, intuition and holistic thinking.
Ongoing staff training, supervision and mentoring of both line
staff and supervisors will be an integral part of staff development.
Such training, supervision, and mentoring will reflect an
interdisciplinary approach and emphasis on relationship building. Staff
training programs will ensure that staff are ``cross-trained'' in the
areas of child development, family development and community building.
Particular emphasis will be placed on building skills in the areas of
home visiting; caregiving relationships; effective communication with
parents; family literacy; healthy/safe environments and caregiving
practices; early identification of unhealthy behaviors or health
problems; service coordination; and the provision of services and
support to diverse populations, including families and children with
disabilities and developmental delays. In addition, training efforts
and supervision will be designed to develop each staff person's
capacity to function as a member of a well-integrated, diverse and
mutually supportive team comprised of families and other staff. To this
end, training and supervision will support opportunities for practice,
feedback and reflection. Another strategy for training is the
development of multi-disciplinary teams of caregivers who can engage in
team teaching, sharing concerns and problems, exploring different
approaches, and learning practical skills for working with participants
of the program and service providers from other relevant delivery
systems. As such, training will model and reinforce the foundation
principles of this initiative.
And finally, staff selection, training and supervision will be
grounded in the knowledge that high quality performance and development
occurs when they are linked to rewards such as salary, compensation,
and career advancement; provided in environments that spark curiosity,
excitement and openness to new ideas; and grounded in best practices
revealed by ongoing research, evaluation and monitoring.
Federal Commitment
Both individual programs and the Federal government must work hand
in hand to realize the vision, principles, and program concept outlined
above the Early Head Start program. The Advisory Committee believes
that a Federal commitment to training, monitoring, research and
evaluation, and partnership building which respects and supports local
program responsibility, initiative, and flexibility is paramount for
the programs' success. In addition, Federal commitment is also needed
to support and learn from existing Federal programs serving families
with infants and toddlers so that they will have the opportunity to
achieve excellence and meet the standards that will be set forth for
this initiative. With this commitment, we feel the initiative for
families with infants and toddlers will be able to serve as a national
laboratory both testing and exemplifying quality child development and
family development programs.
Training
Clearly the quality of programs is contingent upon the ongoing
support and development of program staff who are trained in the various
disciplines which support the principles of family-centered services.
As described earlier, program staff need to be able to facilitate both
the development of very young children and the development of families.
But in too many communities, staff who can play this dual role are few
or nonexistent.
The Advisory Committee urges the Secretary to engage in public-
private partnerships aimed at establishing a cadre of highly trained
practitioners and trainers who will be able to support the development
of very young children and their families. Such an effort should extend
beyond the scope of the new initiative for families with infants and
toddlers, so that children cared for in a variety of settings will
benefit from this commitment to enhancing the quality and quantity of
caregivers. An example of such a partnership would be a commitment on
the part of the Federal government to work with institutions of higher
learning to ensure multi-disciplinary pre-service education and field
work experience is available for students who wish to work in family-
focused programs serving very young children and their families.
Another example would be partnering with the foundation or
philanthropic community to develop scholarship programs for low-income
students desiring but unable to enter the field. A further example is
coordinating with organizations of professional trainers to ensure they
have the skills, resources and supports needed to work with programs
providing early, continuous, intensive and comprehensive services and
support to very young children and their families.
When designing the specific training and technical assistance plan
for Early Head Start, the Federal government must focus on the whole
spectrum of support and services that are needed for developing and
advancing high quality staff, from pre-service and in-service training
to supervision and monitoring. These supports and services must be
provided in a continuous, holistic, responsive manner with the goal of
building and nurturing the highest quality caregiving in all programs.
In addition to the focus on training, the Federal government also
needs to take the lead in modeling a commitment to and respect for the
importance of the caregiving profession. Given this, the Advisory
Committee urges the Secretary to implement the Early Head Start program
so that it models appropriate competencies, institutionalization of
career ladders for staff working within the programs, and provision of
staff salaries that are comparable to the importance of the job.
Monitoring
All programs need support and guidance to engage in continuous
improvement. As directed by the legislation, the Secretary of the
Department of Health and Human Services must provide this support and
guidance through ongoing monitoring of the operation of these programs,
evaluating their effectiveness, and providing training and technical
assistance tailored to the particular needs of such programs.
The Advisory Committee reminds the Secretary that performance
standards must be developed and issued in order to set forth the
expectation of high quality services and environments for programs
serving families with infants and toddlers. It is recommended that
there be consistency in the principles and framework of the Early Head
Start and Head Start performance standards, with the goal being a
seamless approach to Federal performance standards for children from
birth to age five. While the goal should be a seamless approach,
clearly the content of the standards will vary to reflect the
differences in development of children during this age span. Once these
are issued, monitoring [[Page 14577]] should become a tool for both
measuring progress toward these high quality standards and for engaging
in continuous improvement.
Research and Evaluation
Evaluation of Early Head Start is essential for determining the
effectiveness of the initiative and for advancing our understanding
about which services work best for different families under different
circumstances. Evaluation data and information collected at the local
level as part of management information systems and ethnographic
research are helpful to provide ongoing feedback to programs and
support staff in packaging and delivering a comprehensive array of
services which are responsive to and reflective of the individual needs
of very young children and their families.
The Advisory Committee believes that the Secretary must approach
evaluation not just as a mechanism for producing summary statistics and
reports about the changes in child and family development as a result
of these new efforts, but as a tool for individual programs so that
they can continuously refine their practices based on feedback from
their own program evaluation. This feedback is essential to identify
the particular conditions and activities that enable parents and other
caregivers to most successfully support children's development. It is
also essential to test and refine as appropriate the quality of
planning, training, staff selection, supervision and program management
that is crucial to program success. These lessons learned will benefit
local Early Head Start programs, add new knowledge to the fields of
child and family development, and will help shape future efforts at the
Federal level for very young children and their families.
In keeping with the Head Start national laboratory role, we
encourage research that examines variations in Early Head Start
experiences on child development to learn more about the effectiveness
of different interventions for very young children and their families.
Accordingly, we encourage the testing of new models which might focus
on linkages between this initiative and welfare reform, special
coordination with Part H of the Individuals with Disabilities Education
Act, or efforts to support teen parents who are either in school or
training. Equally important will be research that identifies features
of intervention which optimize relationship building, and research that
examines variations in caregiving experiences as they influence child
development.
We also recommend that research and evaluation for this initiative
be part of an overall research agenda for Head Start which places Head
Start in the broader context of research on young children, families,
and communities; ensures a commitment to ongoing themes; and has the
flexibility to respond to new and emerging developments in the broader
early childhood and family development fields.
Partnership Building
Just as local programs will be required to coordinate services in
the State and community to ensure a comprehensive array of services,
the Federal government must also build partnerships across programs,
agencies and departments to facilitate effective integration and
coordination of resources and services.
The Advisory Committee points out that it is especially important
that the Head Start Bureau work with the U.S. Maternal and Child Health
Bureau and the Medicaid program to enhance the availability of and
access to comprehensive health services for pregnant women, and very
young children and their families. The Advisory Committee particularly
recommends Federal leadership in the development of services that are
scarce in communities, such as mental health services that meet the
needs of families with infants and toddlers. It is equally important
that linkages be made with the U.S. Department of Education, Office of
Special Education and Rehabilitative Services and the Federal
Interagency Coordination Council so that there is a clear message from
the Federal government about the importance of partnership around early
intervention at the Federal, State and community levels, especially
between this initiative and Part H of the Individuals with Disabilities
Education Act. The formation of a single Federal Interagency
Coordination Council to address services for families with infants and
toddlers who are served by Head Start and/or by Part H is recommended.
Further, the Head Start Bureau is advised to develop partnerships with
the National Institute of Child Health and Development and the National
Institute of Mental Health so that programmatic and research activities
can be coordinated and the results benefit and influence the work of
all institutions.
Beyond coordination and partnership building among the many
programs, agencies, and departments of the Federal government, the
Advisory Committee advises the Head Start Bureau to continue
consultation with professional organizations from relevant child and
family development disciplines. Such consultation will help staff of
the Head Start Bureau learn about emerging knowledge and apply this to
the planning, implementation, and evaluation of this and other
programs.
Finally, it is equally important that the Head Start Bureau re-
evaluate its own regulations and procedures to support local creativity
and responsiveness to the needs of very young children and their
families. As a first step, the Advisory Committee recommends that the
Secretary explore opportunities for Early Head Start programs to
combine these resources with other public and private funding sources
in order to serve more very young children and their families who might
benefit from Early Head Start services and support. This is especially
important as many Advisory Committee members feel that all children
within a very low income community should be afforded access to these
services. By allowing and encouraging Early Head Start communities to
partner with other funding streams, it may be possible in some
communities to provide access to most or all families with very young
children.
Funding
All of the above issues--from the principles to the program concept
and Federal commitments--are moot when there are not adequate resources
to develop and sustain high quality in each program. Advisory Committee
members see the role of Early Head Start as a national laboratory and
catalyst for change. The members point out that a Federal commitment is
needed to ensure that resources are available in the short- and long-
term to support the provision of high quality, well-integrated
services.
Conclusion
Early Head Start represents a new era of support for America's
youngest children and their families. It sets forth a vision that
honors the unique strengths of very young children, their families and
communities, and the staff who work with them. It calls for programs to
provide family-centered and community-based services and supports that
are individualized, of highest quality, and that promote positive
health and development. And it commands significant attention at the
Federal level for training, technical assistance, monitoring, and
research and evaluation to ensure these programs can
flourish. [[Page 14578]]
The members of the Advisory Committee on Services for Families with
Infants and Toddlers are proud to set forth this vision and
implementation design for Early Head Start. We call on the Secretary
and the nation to move ahead rapidly with a series of steps to make
this vision a reality. So much is at stake for our youngest children
and their families.
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[FR Doc. 95-6545 Filed 3-16-95; 8:45 am]
BILLING CODE 4184-01-M
