[Federal Register Volume 62, Number 67 (Tuesday, April 8, 1997)]
[Notices]
[Pages 16816-16840]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-8839]
[[Page 16816]]
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Administration for Children and Families
[Program Announcement No. 93600-97-2]
Head Start Bureau: Fiscal Year 1997 Discretionary Announcement
for Cooperative Agreements to support Head Start Disability Services
Quality Improvement Centers; Availability of Funds and Request for
Applications
AGENCY: Administration on Children, Youth and Families, ACF, DHHS.
ACTION: Notice.
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SUMMARY: The Administration for Children and Families, Administration
on Children Youth and Families' Head Start Bureau announces the
availability of competitively awarded cooperative agreements to assist
qualified institutions and organizations in the provision of training
and technical assistance (T/TA) on Head Start disabilities services
activities in 12 service areas. The cooperative agreements will support
Head Start Disabilities Services Quality Improvement Centers (DSQICs).
ACF Regions I through X, and the American Indian Program and Migrant
Program Branches will each have one DSQIC. The States included in each
of these 12 service areas are listed in Appendix A.
DATES: The closing date for the submission of applications under this
announcement is June 9, 1997.
FOR FURTHER INFORMATION CONTACT: 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. You may
also locate frequently asked questions about this program announcement
on the ACYF Website at http:\\www.acf.dhhs.gov.
Background
Head Start is a national program that provides comprehensive
developmental services for preschool children, ages three to five from
low-income families and, under the Early Head Start program, for
infants, toddlers and pregnant women. An essential feature of every
Head Start program is the involvement of parents, both in the
development of their children and in the direction of the program at
the local level.
Now administered by the Administration for Children and Families,
the Head Start program began in 1965 in the Office of Economic
Opportunity as an innovative way to serve children and their low-income
families. For FY 1997, $3,981,000,000 is available for Head Start and
approximately 800,000 children are expected to be enrolled.
Approximately 1,480 community-based, public and private non-profit
organizations receive Head Start grants and develop unique and
innovative programs within a framework of national standards to meet
their specific local needs. Head Start links families with other
community institutions and local education agencies through both center
and home-based programs.
In FY 1994 the Advisory Committee on Head Start Quality and
Expansion issued its recommendations for improvement and expansion. It
recommended that Head Start (1) strive to achieve quality and
excellence in every local Head Start program, (2) respond flexibly to
the needs of the children served and their families and (3) forge new
partnerships at the community, State and Federal levels. The Committee
found that most Head Start grantees provide high quality services;
however, the quality of programs is uneven across the country.
In renewing the Head Start vision in a way that responds more
effectively to a changing world, Head Start is continuing to provide
high quality comprehensive services and to strive for excellence. As
Head Start is expanding and renewing itself, there is a concomitant
need for assistance from institutions and organizations that can
provide effective and responsive training and technical assistance that
support the work of the grantee and delegate agencies that directly
provide the services to children and their families.
Program Purpose
The Head Start Disabilities Services Quality Improvement Centers
(DSQICs) created through this announcement will form a regionally-based
system, composed of institutions and organizations whose common purpose
will be to work with local Head Start programs through training and
technical assistance. This nationwide T/TA effort is designed to
support the continuous improvement of all grantees and delegate
agencies as they work to provide high quality and effective services to
children and families and address the emerging priorities of child care
partnerships, Head Start expansion and welfare reform. The T/TA system
reflects a national commitment to quality improvement, local capacity-
building and ongoing evaluation.
The major purpose of the DSQICs is to provide Head Start and Early
Head Start grantees with technical assistance and training to enable
them to include children with disabilities into these programs so that
the special needs resulting from their disabilities and the special
needs of their parents are met.
Head Start programs are required to make at least ten percent of
their enrollment opportunities available to children with disabilities.
In the 1995-96 program year children with disabilities comprised
approximately 13% of the children enrolled in Head Start. Head Start
programs provide services to children with disabilities and their
families in a manner which includes them in all aspects of the program
and supports collaborative arrangements with other community programs,
particularly local education agencies (LEAs), to deliver needed special
services. Head Start programs must comply with the Performance
Standards in designing and delivering services for children with
disabilities.
Quality Improvement Centers
In previous years, ACF operated its national Head Start T/TA system
through contracts, acquiring the services of qualified providers to
meet the training and technical assistance needs of local Head Start
programs. In this announcement, ACF responds to the recommendations of
the Secretary's Advisory Committee on Head Start Quality and Expansion
and to consultations with more than 1,000 people in the field of Head
Start and early childhood development to redesign its T/TA system. This
cooperative agreement Quality Improvement Center will provide
assistance to institutions and organizations with expertise in the
field of early child development and education to: respond to the needs
of grantees and delegate agencies and of communities for flexible
technical assistance; expand the influence of Head Start as a national
laboratory to other community- and academically-based early childhood
development and education programs; and to work with grantees and
delegate agencies and with communities in achieving continuous quality
improvement of their services for children and low-income families.
Rather than a system of T/TA that relies principally on Federal
direction and decision-making, this new approach seeks to assist
experts in the communities where Head Start programs provide services
in becoming
[[Page 16817]]
collaborators in a renewed quality improvement effort.
This revised Head Start T/TA system will promote excellence by
supporting a continuous learning environment for Head Start staff. It
will foster partnerships among Head Start programs, communities,
academic institutions (two or four year colleges and universities) and
governments to engage them in helping children, parents, and staff
develop their full potential.
DSQICs Roles and Responsibilities
The DSQICs are to work with Head Start grantees to enable Head
Start programs to develop the following capacities:
Provide effective early childhood education programs that
model an inclusive and collaborative approach to disabilities services;
Enhance the quality of life and maximize the potential of
Head Start-eligible children and their families;
Identify and effectively access a wide variety of
resources available to support quality disabilities services, both
within and outside Head Start;
Integrate all of the component resources available to a
Head Start program so as to enhance and reinforce a comprehensive
approach to families and children;
Establish and maintain linkages with the child care
community to assure effective partnerships among providers of services
to children with disabilities and their families; and
Maintain the unique qualities of Head Start and help
sustain these qualities through periods of growth and change.
Among the services the DSQICs will provide are the following:
Provide joint training opportunities with academic
institutions for clusters of grantees that have the same needs based on
an in-depth needs assessment.
Interact with Head Start State Associations and American
Indian and Migrant Head Start Associations, State agencies and
community organizations to coordinate services and to track relevant
State legislation and regulations affecting disabilities services.
Enhance Head Start program capacity to ensure continuous
improvement in disabilities services.
Establish and maintain a cadre of qualified, locally-based
consultants to provide T/TA on disabilities services.
Promote quality improvements in disabilities services for
all grantees.
Customize services based upon research and supported by
state-of-the-art technology.
Facilitate the development and implementation of State-
level interagency agreements between Head Start/Early Head Start
programs and the local educational agencies and Part H providers
responsible for assuring the implementation of the Individuals with
Disabilities Education Act (IDEA).
Facilitate information sharing and collaboration with
stakeholders in Head Start and in the early child care communities as
well as academic communities as it relates to disabilities services.
DSQICs Structure and Design
The DSQICs will each establish structures for the delivery of
services that meet the needs of their service area based on the
training needs identification process. We expect these structures will
vary from DSQIC to DSQIC. These structures might involve creating one
or more satellite offices to serve the Head Start grantees in a State,
in several States or a cluster of grantees in parts of one or more
States. Such State or cluster sites may be used to establish a presence
closer to grantee communities, to provide training, technical
assistance or networking with grantees with similar needs. Large States
may have more than one cluster office and smaller States may share a
cluster office. The DSQIC is encouraged to consider establishing
satellite offices with other Head Start T/TA providers. The American
Indian Programs Branch's DSQIC may have up to three cluster offices and
the Migrant Programs Branch's DSQIC may have up to two cluster offices.
In other instances, a DSQIC might assign staff within its central
office to serve as a liaison to grantees in a State or part of a State.
Applicants are encouraged to propose efficient and effective approaches
to achieving this kind of geographic proximity.
It is assumed that Head Start grantees and delegate agencies will
have varying levels of T/TA needs and will, therefore, seek varying
levels of assistance from this project.
DSQICs will be responsible for fulfilling the program goals and
objectives outlined in their applications, including responsibilities
for directing, managing and implementing programs of training and
technical assistance for the Regions that they serve. These programs
should be tailored to meet the disability services T/TA needs of the
various Head Start grantees.
Additional information about the range of program areas and needs
of Head Start grantees and guidance to approaches to training and
technical assistance is provided in Appendix B.
Federal Involvement Roles and Responsibilities
Federal involvement in the DSQICs will include substantial roles
for the Head Start Bureau, which includes the American Indian Programs
Branch and the Migrant Programs Branch, and the ACF Regional Offices.
Substantial Head Start Bureau and ACF Regional Office involvement with
the DSQIC will occur when:
Changes in initiatives or national Head Start policy need
to be communicated to the DSQIC because of their effect on the Head
Start programs with which the DSQICs are working;
Federal approval is needed for the DSQIC to select or
award a subgrant or contract;
Federal consultation and approval is needed in the
selection of a project director;
Federal collaboration or joint planning and participation
in conferences or meetings with Head Start programs and child
development professionals will achieve efficiencies and more effective
agendas; and
Participation on the Regional T/TA Coordinating Council
with other T/TA providers, as described in Appendix B, will assist the
DSQIC provider in setting overall policies and in conducting an ongoing
evaluation of the T/TA provided.
The roles of the Head Start Bureau and ACF Regional Offices are as
follows:
The Head Start Bureau will:
Provide leadership and support for the national Head Start
T/TA system, which includes the use of national contractors and DSQICs
to support meetings, program monitoring, materials development and
other specific needs;
Set Head Start program priorities and formulate new
initiatives that may affect the plans and priorities of the DSQICs, and
consult regularly with the DSQICs to ensure that they are fully
informed of these national priorities and initiatives;
Set standards for the DSQIC centers in the provision of
quality Head Start T/TA services for children and families based on
Human Resource Development principles of adult learning, on-going needs
identification, interactive skill development and evaluation;
Foster collaboration within and outside of Head Start,
develop partnerships among Federal programs, and promote partnerships
with the business community;
Conduct semiannual T/TA meetings, to which the DSQIC
centers will be invited; and
Monitor the DSQICs to ensure accountability and fiscal
responsibility throughout the T/TA system.
[[Page 16818]]
The ACF Regional Offices and the Head Start Bureau's American
Indian Programs Branch and Migrant Programs Branch will each:
Appoint a T/TA coordinator to coordinate Regional T/TA
services and to serve as a liaison with the DSQIC center;
Participate in the Regional Coordinating Council, as
described in Appendix B;
Review a summary of the needs assessments and the T/TA
plans related to disabilities services for grantees in the Region in
order to effectively coordinate T/TA activities;
Conduct bimonthly (every other month) conference calls or
Regional T/TA coordinating meetings;
Attend national T/TA meetings;
Seek out collaborations within and outside the Head Start
program by participating on the Regional Coordinating Council;
exhibiting leadership in coordinating child care/Head Start
partnerships and working with the Head Start State Collaboration
grantees.
Exhibit leadership in coordinating interagency agreements
with State Departments of Education, State Part H Lead Agencies, and
other relevant agencies.
Annually review all services performed by the Regional
DSQIC prior to submission of the continuation application in order to
provide relevant consultation to the DSQIC and Regional coordination;
Conduct reviews and manage the follow-up process for
deficient grantees, i.e., carry out joint planning with the DSQIC
designed to address identified deficiencies and to identify the T/TA
needed by deficient grantees in order to implement their Quality
Improvement Plans (QIPs); and
Encourage well-performing grantees to develop their own T/
TA plans and to implement their own T/TA.
Program Duration
This announcement is soliciting applications for project periods up
to five years. Awards, on a competitive basis, will be for a one-year
budget period. Applications for continuation cooperative agreements
funded under these awards beyond the one-year budget period, but within
the five-year project period, will be entertained in subsequent years
on a noncompetitive basis, subject to the availability of funds,
satisfactory progress of the cooperative agreement grantee and a
determination that continued funding would be in the best interest of
the government.
Eligible Applicants
Public, private nonprofit, and private for-profit organizations are
eligible to apply for these cooperative agreements. It should be noted
that for-profit organizations must waive their fee/profit.
Only incorporated agencies and organizations, not individuals, are
eligible to apply. On all applications developed jointly by more than
one agency or organization, the application must identify only one
organization as the lead organization and the official applicant. The
other organizations may be included as participants, subgrantees or
subcontractors.
An applicant may apply for more than one service area, but must
submit a separate application for each service area for which it is
applying.
Before the applications are reviewed, each application will be
screened to determine that the applicant organization is an eligible
applicant as specified. Ineligible applicants will be notified at that
time.
Project Development
Applicants are urged to discuss their interests and ideas for
developing DSQICs early in the planning stage with local Head Start
grantees and appropriate State, Regional, and local agencies. Community
support should be encouraged by providing opportunities for public and
private participation in the planning and development phases.
This program is covered under Executive Order 12372,
``Intergovernmental Review of Federal Programs,'' and 45 CFR Part 100,
``Intergovernmental Review of Health and Human Services Program and
Activities.''
Under the Executive Order, States may design their own processes
for reviewing and commenting on proposed Federal assistance under
covered programs. All jurisdictions which participate in the Executive
Order process have established Single Points of Contact (SPOCs). A list
of the Single Points of Contact for each State and Territory is
included in this program announcement as Appendix C. Applicants from
participating jurisdictions should contact their SPOCs as soon as
possible to alert them to the prospective applications and to receive
instructions. Applicants must submit any required material to the SPOCs
as soon as possible so that the ACF program office can obtain and
review SPOC comments as part of the award process. The applicant must
submit all required materials, if any, to the SPOC and indicate the
date of this submittal (or the date of contact if no submittal is
required) on the Standard Form 424, item 16a. Under 45 CFR 100.8(a)(2),
a SPOC has 60 days from the application deadline to comment on proposed
new and competing continuation awards. SPOCs are encouraged to
eliminate the submission of routine endorsements as official
recommendations. Additionally, SPOCs are requested to clearly
differentiate between mere advisory comments and those official State
process recommendations which may trigger the ``accommodate or
explain'' rule. When comments are submitted directly to ACF, they
should be addressed to: Department of Health and Human Services,
Administration for Children, Youth and Families, Head Start Bureau,
P.O. Box 1182, 330 C Street, S.W., Washington, D.C. 20201.
Completing the Application
In preparing the application, use standard English language and
avoid jargon. For the program narrative, type using black print no
smaller than 12 pitch or 12 point size. An application may not exceed
250 double-spaced pages inclusive of resumes, charts and appendices. If
applications exceed 250 double-spaced pages, the other pages will be
removed from the application and not considered by the reviewers.
Each copy should be secured with a binder clip in the upper left-
hand corner. The application must be paginated beginning with the Form
424 and also contain a table of contents listing each section of the
application with the respective pages. To facilitate handling, do not
use covers, ring binders or tabs. Applicants are requested not to send
pamphlets, brochures, or other printed materials as these pose xeroxing
difficulties nor should any video material be submitted. These
materials, if submitted, will not be included in the review process if
they exceed the page limitation. Each page of the application will be
counted to determine total length. Applicants are advised that the
copies of application submitted, not the original, will be reproduced
by the Federal government for review.
Instructions for completing the forms are found either on the
reverse sides of the forms or on supplemental pages. Additional
guidance may be provided in the program announcement. If more space is
needed than is provided, use a blank sheet of paper to complete the
item, using the identical format. Clearly identify the continuation
page as such, and the information items contained thereon, and attach
the page after the appropriate page of the application. Computer-
generated facsimiles may be
[[Page 16819]]
substituted for any of the forms provided in this packet. Such
substitute forms should be printed in black ink and must maintain the
exact wording and format of the government-printed forms, including all
captions and spacing. Any deviations may be grounds for ACF to reject
the entire application.
Additional note: For SF-424 item ``Federal Identifier,'' if the
applicant organization currently has a payment account with the
Department of Health and Human Services, cite the Payee EIN or PIN
in the ``Federal Identifier'' block.
Assembling
To facilitate the review and processing of the application by the
awarding office, all pages should be numbered and preceded by a table
of contents. Assemble the application with the cover letter (if
provided) on top followed by a table of contents, the SF-424 series
forms, the program narrative, and any remaining documents. Completed
applications should be signed and dated in ink by the authorized
official of the applicant organization. An original and two copies of
the application should be provided. Applicants may omit from the
application copies specific salary rates or amounts for individuals
identified in the application budget. This information will be made
available to the non-Federal reviewers. Rather, only summary
information is required.
Applicants are encouraged to use the least costly, but most
efficient method for binding and securing their application documents.
Application Submission
Mail or hand deliver completed applications in accordance with the
instructions in this announcement. Be aware that the deadline specified
in this announcement is either a receipt date or a postmark date
deadline. Also note that there are different instructions and addresses
for mail delivery and hand delivery of applications. ACF cannot
accommodate transmissions of applications by fax or through other
electronic media. Therefore, applications transmitted to ACF
electronically will not be accepted regardless of date or time of
submission and time of receipt.
An applicant should submit an original and two copies of its
application by mail to: ACYF Operations Center, 3030 Clarendon Blvd.,
Suite 240, Arlington, Virginia 22201, (703) 351-7676, (703) 528-0716
(FAX).
An applicant may apply for more than one Regional service area, but
must submit a separate application for each service area for which it
is applying.
Applications hand-carried by applicants, applicant couriers, or by
overnight/express mail couriers shall be considered as meeting an
announced deadline date if delivered between the normal working hours
of 8 a.m. and 4:30 p.m., to Room 2100, Switzer Building, 330 C St.,
S.W., Washington, D.C. 20201, Monday through Friday, (excluding Federal
holidays). (Applicants are cautioned that express/overnight mail
services do not always deliver as agreed.)
Deadlines: Applications will be considered as meeting the above
deadline if they are either:
1. received on or before the deadline date at the receipt point
specified in this program announcement, or
2. sent on or before the deadline date and received by ACF in time
for the independent review.
Applicants are responsible for mailing applications well in
advance, when using all mail services, to ensure that applications are
received on or before the deadline date.
Applicants are cautioned to request a legibly dated U.S. Postal
Service postmark or to obtain a legibly dated receipt from a commercial
carrier or U.S. Postal Service. Private Metered postmarks shall not be
acceptable as proof of timely mailing.
Late Applications
Applications which do not meet the criteria above are considered
late applications. ACF will notify each late applicant that its
application will not be considered in the current competition.
ACF may extend the deadline for all applicants because of acts of
God such as floods, hurricanes, etc., or when there is a widespread
disruption of the mails. However, if ACF does not extend the deadline
for all applicants, it may not waive or extend the deadline for any
applicants.
Intent to Apply
If you are going to submit an application, you are asked to send a
postcard or call in the following information: the name, address, and
telephone number of the contact person; the name of the organization;
and the Regional service area in which you may submit an application
within two weeks of receipt of this announcement to: Administration on
Children, Youth and Families, Operations Center, 3030 Clarendon
Boulevard, Room 240, Arlington, Va. 22201. The telephone number is 1-
800-351-2293. This information will be used to determine the number of
expert reviewers needed and to update the mailing list of persons to
whom the program announcement is sent.
Acknowledgement of Receipt
Each applicant will be sent a written acknowledgement of receipt by
ACF as soon as possible after receipt of an application. Applicants are
welcome to provide mailing labels with their applications to help
expedite this process. If provided, the mailing label(s) should reflect
the mailing address of the authorizing official who is applying on
behalf of the organization. If acknowledgement of receipt of your
application is not received within eight weeks after the deadline date,
please notify the ACYF Operations Center by telephone at 1-800-351-
2293.
Nonconforming Applications
Applications which are determined to be nonconforming shall not be
accepted for processing and shall be returned to the applicant. A grant
application may be classified as nonconforming if it does not meet the
requirements of this program announcement.
Application Review
Applications will be evaluated and rated according to criteria and
priorities which are described in this announcement (see below).
ACF anticipates awarding cooperative agreements for the T/TA grants
described in this announcement. A cooperative agreement is a financial
assistance award that allows substantial Federal involvement in the
activities undertaken with Federal financial support. Supporting the
DSQICs through cooperative agreements will ensure cooperation and
coordination in the provision of T/TA to Head Start programs and
related community child development efforts between the Federal
government and the organizations and institutions that operate DSQICs.
Timely applications from eligible applicants will be reviewed and
scored competitively. Experts in the field, generally persons from
outside the Federal government, will use the evaluation criteria listed
below to review and score the applications. The results of this review
are the primary factor that will be used in making funding decisions.
ACYF may also solicit written comments from ACF Regional Offices, the
Head Start Bureau and other Federal agencies with knowledge of the
applicant's capability and expertise. These comments, along with those
of the expert reviewers, will be considered in making funding
[[Page 16820]]
decisions and will be a part of the official application file.
The applicant must demonstrate capacities to work with community-
based, family-centered programs, low-income families, and the public
and private organizations that relate to them. There must be a
congruence of the applicant's mission or purpose with the basic mission
of the Head Start program to provide comprehensive child development
services for the children of low-income families.
Evaluation Criteria
All timely applications from eligible applicants will be evaluated
on the extent to which they meet the following criteria:
a. Objectives and Need for Assistance (10 points)
The applicant clearly and concisely identifies and documents
relevant economic, social, financial, institutional and other problems
requiring training and technical assistance; and states the principal
and subordinate objectives of the proposed DSQIC. Supporting
documentation or other testimony from concerned interests other than
the applicant on the need for assistance may be used.
b. Results or Benefits Expected (10 points)
The applicant clearly and concisely identifies the specific and
measurable results and benefits to be achieved by the proposed DSQIC,
which are consistent with the objectives of the proposal, and indicates
anticipated contributions to the quality of Head Start services,
policy, and practice.
c. Approach (40 points)
The applicant describes how the project will be conducted. The
applicant describes: how grantees will be supported in moving toward
higher levels of quality and excellence; the levels of T/TA service
that will be provided to different categories of grantees and how
grantees will be selected for each level of service; the uses that will
be made of communication technology and learning modules; how
priorities will be set among competing demands; and how work
assignments will be managed. The applicant proposes a realistic and
comprehensive plan of action for achieving the objectives of the
proposed DSQIC; details how the proposed T/TA would be accomplished and
lists organizations, consultants, and other key individuals who will
work on the project; and describes its approach to ensuring continuous
improvement in its efforts to meet the identified needs and to achieve
the identified results and benefits.
d. Staff Background and Organization's Experience (20 Points)
The applicant identifies qualified staff with the necessary
educational and experiential backgrounds and documents the background
of the proposed project director and other proposed project staff
(providing name, address, training, most relevant educational
background and other qualifying experiences along with resumes and
short descriptions of their proposed responsibilities or contributions
to the applicant's work plan); the experience of the applicant in
administering a project like the one proposed; and the applicant's
ability to effectively and efficiently administer this project.
e. Budget Appropriateness and Reasonableness (20 Points)
The applicant clearly describes and justifies as reasonable and
realistic the project's costs in view of the activities to be carried
out and the anticipated outcomes.
Funding Decisions
After a decision has been reached to disapprove or not fund a grant
submission during a given review cycle, a written notice shall be sent
to the unsuccessful applicant by the responsible program official
within 30 days after that decision.
The anticipated annual funding for the DSQICs will range from a
minimum of approximately $475,000 to a maximum of approximately
$1,025,000, depending upon the service area. These amounts are
generally proportionate to a combination of the number of Head Start
children and the number of Head Start grantees in each service area, as
compared to other service areas. Below is a list of the projected
annual funding level for the initial funding year for each service
area. It is anticipated that funding for each of the four possible
subsequent years of funding will, at a minimum, equal the funds
available for the first year.
------------------------------------------------------------------------
Number of
grantees in Estimated
Service areas service funding
area
------------------------------------------------------------------------
Region I...................................... 80 $540,000
Region II..................................... 106 820,000
Region III.................................... 146 710,000
Region IV..................................... 233 1,025,000
Region V...................................... 213 1,025,000
Region VI..................................... 180 860,000
Region VII.................................... 73 550,000
Region VIII................................... 75 575,000
Region IX..................................... 79 725,000
Region X...................................... 64 475,000
American Indian Program....................... 130 650,000
Migrant Program............................... 25 650,000
------------------------------------------------------------------------
Program income must be reported to ACF, and its use, accounted for
on the SF 269, must enhance the ACF cooperative agreement projects and
benefit the Head Start grantees. The income must be added to funds
committed to the cooperative agreement and must be used to further
eligible program objectives. There is no requirement to request prior
approval to defer the use of program income for a later period of time.
It is anticipated that twelve Regional DSQICs will be funded under
this announcement. ACYF intends to award the new cooperative agreements
under this announcement during the fourth quarter of FY 1997.
Program Narrative
The program narrative provides a major means by which the
application is evaluated and ranked to compete with other applications
for available assistance. It should be concise and complete and should
address the activity for which Federal funds are being requested.
Supporting documents should be included when they can present
information clearly and succinctly. Applicants are encouraged to
provide information on their organization structure, staff, related
experience, and other information considered to be relevant. Awarding
offices use this and other information to determine whether the
applicant has the capability and resources necessary to carry out the
proposed project. It is important, therefore, that this information be
included in the application. However, in the narrative, the applicant
must distinguish between resources directly related to the proposed
project and those which will not be used in the support of the specific
project for which funds are being requested.
Cross-referencing should be used rather than repetition. ACF is
particularly interested in specific factual information and statements
of measurable goals in quantitative terms. Narratives are evaluated on
the basis of substance, not length. Extensive exhibits are not
required. (Supporting information concerning activities which will not
be directly funded by the grant or information which does not directly
pertain to an integral part of the grant
[[Page 16821]]
funded activity should be placed in an appendix.) Pages should be
numbered for easy reference.
Prepare the program narrative statement using the following format
and guidance:
1. Project Summary/Abstract. A summary of the project description
(usually a page or less) with reference to the funding request should
be placed directly behind the table of contents or SF-424.
2. Objectives and Need for Assistance. Applicants must clearly
identify the physical, economic, social, financial, institutional or
other T/TA problems requiring solutions. The need for assistance must
be demonstrated and the principal and subordinate objectives of the
project must be clearly stated; supporting documentation, such as
letters of support and testimonials from concerned interests other than
the applicant, may be included. Any relevant data based on planning
studies should be included or referenced in the endnotes/footnotes.
Incorporate demographic data and participant/beneficiary information,
as needed. In developing the narrative, the applicant is requested to
provide information on the total range of projects currently conducted
and supported (or to be initiated), some of which may be outside the
scope of the program announcement.
3. Results or Benefits Expected. Identify the results and benefits
to be derived from the T/TA services to be provided.
4. Approach. Outline a plan of action that describes the scope and
detail of how the proposed work would be accomplished. Account for all
functions or activities identified in the application. Cite factors
which might accelerate or decelerate the work and state your reasons
for taking your approach rather than others. Describe unusual features
of the project such as use of technological innovations, reductions in
costs or time, or extraordinary social and community involvement.
Successful applicants will present approaches for providing
training and technical assistance to Head Start programs that take into
account that some grantees and delegate agencies may have self-
sufficient, well-developed and multifaceted T/TA efforts, while other
grantees and delegate agencies may have a greater need for T/TA from
Regionally-based providers. Additional guidance on project design is
provided in Appendix B.
Describe the approaches to be taken and the issues taken into
consideration for establishing close working relationships at State
levels or with geographically defined clusters of grantees.
Describe how the T/TA services would be designed for or could be
adapted for local Head Start programs in a variety of settings
including center-based, home-based, combination, part-and full-day
programs.
Describe a strategy for working in cooperation with the ACF
Regional Office responsible for the service area in which the
application proposes to provide T/TA or with the American Indian
Program Branch and Migrant Programs Branch, respectively.
5. Geographic Location. Give the precise location of the project
and the boundaries of the area to be served by the proposed project.
Maps or other graphic aides may be attached.
6. Additional Information.
Staffing and Position Data--Provide biographical sketches for key
personnel proposed and a job description for each vacant key position.
Organization Profiles--Describe your institutional/organizational
capability and background in disabilities services, early childhood
development/early childhood education, Head Start programs, supporting
interagency collaboration in disabilities and T/TA delivery.
Include information on applicant organizations and their
cooperating partners such as organizational charts, financial
statements, audit reports or statements from a CPA/Licensed Public
Accountant, Employer Identification Numbers, names of bond carriers,
contact persons and telephone numbers for chief organizational
officer(s).
Any nonprofit organization submitting an application must submit
proof of its nonprofit status in its application at the time of
submission. The nonprofit agency can accomplish this by providing a
copy of the applicant's listing in the Internal Revenue Service's (IRS)
most recent list of tax-exempt organizations described in Section
501(c)(3) of the IRS code or by providing a copy of the currently valid
IRS tax exemption certificate, or by providing a copy of the articles
of incorporation bearing the seal of the State in which the corporation
or association is domiciled.
For-profit organizations submitting an application must include a
written statement which certifies that they operate as a corporation
incorporated under the laws of the State of (fill in the blank), and
must provide proof of this status.
Third-Party Agreements--Provide written agreements between grantees
and subgrantees or subcontractors or other cooperating entities. These
agreements may detail scope of work, work schedules, remuneration, and
other terms and conditions that structure or define the relationship.
Letters of Support--Provide statements from community, public and
commercial leaders who support the project proposed for funding.
Reporting--Provide quarterly progress reports for seriously
deficient grantees and, coordinated with the Federal Project Officer
and the Regional Coordinator, quarterly statistics on: The number of
on-site T/TA visits, the number of conferences/workshops, the number of
local T/TA resources accessed, the number of child care programs
receiving T/TA services. Provide a quarterly financial statement which
includes information on the amount of funds expended during the
quarter, the cumulative amount expended, and the amount of funds
remaining available.
Note: Eligible applicants must submit a complete application
including the required forms included at the end of this program
announcement.
In order to be considered for a cooperative agreement under this
announcement, an application must be submitted on the forms and
following the directions provided in this announcement, all of which
are approved by the Office of Management and Budget under Control
Number 0970-0139. Required forms include the Standard Form 424
application form and Standard Form 424B, ``Assurances: Non-Construction
Programs.''
Applicants must provide a certification concerning lobbying on the
form provided (OMB-0348-0046). Prior to receiving an award in excess of
$100,000, applicants shall furnish an executed copy of the lobbying
certification. Applicants must sign and return the certifications with
their application.
Applicants must make the appropriate certification of their
compliance with the Drug-Free Work Place Act of 1988. By signing and
submitting the application, applicants are providing the certification
and need not mail back the certification with the application.
Applicants must make the appropriate certification that they are
not presently debarred, suspended or otherwise ineligible for award. By
signing and submitting the application, applicants are providing the
certification and need not mail back the certification with the
application.
Applicants must also understand that they will be held accountable
for the smoking prohibition included within
[[Page 16822]]
Public Law 103-227, The Pro-Children's Act of 1994. A copy of the
Federal Register notice which implements the smoking prohibition is
included with the forms.
Paperwork Reduction Act of 1995
Under the Paperwork Reduction Act of 1995 (Pub. L. 104-13), the
Department is required to submit to the office of Management and Budget
(OMB) for review and approval any reporting and record-keeping
requirements or program announcements. This program announcement meets
all information collection requirements approved for ACF grant
applications under OMB Control Number 0970-0139.
An agency may not conduct or sponsor, and a person is not required
to respond to, a collection of information unless it displays a
currently valid OMB control number.
Additional Information to Assist Applicants in Preparing Their
Applications
For an information kit which identifies the Head Start grantees in
each Regional service area and which includes a copy of the revised
Head Start Performance Standards, a copy of the Head Start regulations
and other materials that may be useful in preparing of a response to
this announcement, please contact: ACYF Operations Center, 3030
Clarendon Blvd., Suite 240, Arlington, VA 22201, 703-351-7676, 703-528-
0716 (FAX).
Six information sharing meetings will be conducted in person or via
video-conference in the following locations. Please call the telephone
numbers provided for information about exact date, time and place of
the meetings:
Washington, D.C., at the Switzer Building, in Room 2100, 330 C St.,
S.W., the contact: Rosalind Dailey, 202-205-8347.
New York, New York, at Region II Office, call 212-264 2974.
Atlanta, GA, at Region IV Office, call 404-331-2398.
Chicago, Illinois, at Region V Office, call 312-353-8322.
Dallas, Texas, at Region VI Office, call 214-767-9648.
San Francisco, California, at Region IX Office, call 415-437-8481.
The questions and responses discussed at these meetings will be
typed and mailed to all participating parties as well as organizations
expressing an interest in receiving copies.
Statutory Authority
Catalog of Federal Domestic Assistance (CFDA) number 93.600, Project
Head Start.
42 U.S.C. Sec. 9801, et seq., The Head Start Act, as amended.
Dated: April 1, 1997.
James A. Harrell,
Acting Commissioner, Administration on Children, Youth and Families.
Appendix A--Regional Service Areas To Be Served by Disabilities
Services Head Start Quality Improvement Centers
Region I Connecticut, Maine, Massachusetts, New Hampshire, Rhode
Island, Vermont
Region II New Jersey, New York, Puerto Rico, Virgin Islands
Region III Delaware, Maryland, Pennsylvania, Virginia, Washington,
D.C., West Virginia
Region IV Kentucky, North Carolina, South Carolina, Tennessee,
Alabama, Florida, Georgia, Mississippi
Region V Michigan, Minnesota, Wisconsin, Illinois, Indiana, Ohio
Region VI Arkansas, Louisiana, Oklahoma, New Mexico, Texas
Region VII Iowa, Kansas, Missouri, Nebraska
Region VIII Colorado, Montana, North Dakota, South Dakota, Utah,
Wyoming
Region IX Arizona, California, Hawaii, Nevada, American Samoa,
Commonwealth of the Marianas, Guam, Trust Territories
Region X Idaho, Oregon, Washington
American Indian Programs Branch American Indian Head Start grantees in
Alaska, Arizona, California, Colorado, Florida, Idaho, Kansas,
Michigan, Minnesota, Mississippi, Montana, Nebraska, Nevada, New
Mexico, New York, North Carolina, North Dakota, Oklahoma, Oregon, South
Dakota, Utah, Washington, Wisconsin, Wyoming
Migrant Programs Branch Migrant Head Start grantees in Alabama,
Arizona, Arkansas, California, Colorado, Delaware, Florida, Georgia,
Idaho, Illinois, Indiana, Maryland, Michigan, Minnesota, New Jersey,
New Mexico, New York, North Carolina, Ohio, Oregon, Pennsylvania, South
Carolina, Tennessee, Texas, Utah, Virginia, Washington, Wisconsin
Appendix B--Guidance for the Project Design of a Disabilities Services
Head Start Quality Improvement Center
The Regional Disabilities Services Head Start Quality Improvement
Centers (DSQICs) are envisioned to be coordinator/information hubs at
the Regional/American Indian Programs Branch (AIPB)/Migrant Programs
Branch (MPB) level, disseminating and collecting information from the
ACF Regional and National Offices, the American Indian Programs and
Migrant Programs Branches, and Head Start grantees, as well as the
broader child care community to support the ongoing quality improvement
of Head Start (including Early Head Start) services to children with
disabilities and their families. The DSQICs are encouraged to work with
local agencies to develop interagency agreements and partnerships for
the delivery of T/TA.
As partners with the Head Start Bureau and ACF Regional Offices,
the recipients of these awards are encouraged to propose plans that
define strategies to meet the needs of Head Start grantees and delegate
agencies as well as the child development field in the areas that they
will serve. The strategies should provide for some level of support for
all grantees and delegate agencies. The provision of T/TA should begin
with a strategic planning process that will include a needs assessment
and plan development and will continue with steps for the
implementation of T/TA services and for the evaluation of those
services. Information may be shared among all T/TA providers and with
the Head Start Bureau and ACF Regional Offices.
The DSQICs will have responsibility for assuring that Head Start
grantees are informed and supported in efforts to acquire quality T/TA
on disabilities services and assuring that T/TA can be provided
statewide and to clusters of grantees, as well as to individuals at the
grantee level. The DSQICs may consider the development of State/cluster
sites. These State/cluster sites, suggested to ACF in consultations
carried out in the preparation of this program announcement, are
envisioned as extensions of the DSQICs. The number of skilled staff
located at the State/cluster site would be dependent upon the size and
number of grantees and delegate agencies and within the geographic area
covered. Current teaching centers or State/American Indian/Migrant Head
Start Association offices might be considered as possible State/cluster
sites.
As partners at the state level a significant focus for the DSQICs
will be to promote collaboration between Head Start grantees and other
programs and agencies in the development of plans for collaborative and
coordinated services for preschool children with disabilities. Since
1977 ACYF has charged the Head Start Disabilities T/TA Network to serve
as liaisons between Head Start and State Education Agencies (SEAs) for
the purpose of developing agreements that support coordinated efforts
to serve young children with disabilities. These agreements provide
leadership and
[[Page 16823]]
guidance for the development of local interagency agreements between
Head Start programs and the local education agencies in their
community. Written interagency agreements between Head Start
representatives and SEAs are in place in most States.
Since Head Start is a Federal program that directly funds local
grantees, there is a special need for support of the development of
State-level agreements which specifically outline the approach for Head
Start and local education agency (LEA) coordination to jointly meet the
needs of young children with disabilities, including infants and
toddlers, and their families. The SEAs are required by Individual with
Disabilities Education Act (IDEA) to develop and implement interagency
agreements with agencies serving young children with disabilities. For
most agreements, the State Head Start Association and the ACF Regional
Office are the Head Start representatives to the agreement.
Head Start programs need ongoing assistance in the development and/
or revision of agreements between the SEA and Head Start by soliciting
information from Head Start programs on needs and opportunities for
collaboration in their State: incorporating input from the Regional
Office Coordinator and the State Head Start Association; and preparing/
revising an agreement to be signed by the ACF Regional Administrator,
the appropriate SEA administrator, State Head Start Association
representative, and other agencies participating in the agreement.
These agreements typically describe, at a minimum, how Head Start
and the Local Education Agencies should collaborate to serve young
children with disabilities, including:
sharing information on Head Start and State regulations
regarding services to young children with disabilities;
joint Child Find and Screening Activities;
facilitating Head Start's Child Count report to the LEA;
coordinated screening, assessment and referral;
jointly developing and implementing Individualized
Education Programs (IEPs);
promoting smooth transitions from Part H early
intervention programs into Head Start, and from Head Start into
elementary school programs;
promoting resource sharing;
promoting joint training of Head Start and LEA staff and
parents on issues regarding disabilities services; and
addressing the disabilities services needs of children
served in that State by Head Start Migrant and Indian programs;
disseminating information about the agreement and describe
how local agencies may acquire assistance in implementing these
collaborative practices in their communities.
Additional efforts to support collaborative approaches to services
could include:
facilitating agreements between the Part H Lead Agency of
each State and the Head Start programs serving infants and toddlers.
collaboration between the DSQIC for Regions I-X and the
DSQICs for the American Indian Programs and the Migrant Programs to
ensure that needs and opportunities for collaboration with the Indian
and/or Migrant Programs in each State are represented in the State
interagency agreement, and that special issues affecting those
programs, are addressed in the agreement. As appropriate, a
representative of the Tribal organization will be included as a
cosigner to the agreement.
In addition, the DSQICs should work with their ACF Regional
Offices, or the American Indian Programs and Migrant Programs Branches
to implement T/TA in the following areas:
Quality improvement:
* Core Head Start Services
+ T/TA resources needed to assure compliance with the Head Start
Program Performance Standards in Disabilities Services and to implement
program improvement plans and best practices.
+ Needs Assessments using information collected, analyses and
syntheses from National Head Start T/TA providers, the Head Start
Bureau and ACF Regional Offices, State/cluster levels and local Head
Start Programs.
+ Needs assessment by State on needs for T/TA on implementation of
early childhood partnership strategies in funding and program delivery.
+ Assistance in designing and implementing a disabilities service
plan, through coordination with local education agencies and other
community partnerships.
+ Training based on needs assessments and emerging priorities
shared by many grantees, i.e. recruitment and enrollment of children
with disabilities, including those with more significant disabilities;
management practices which provide staff with the supervision,
information and support needed to meet identified needs of children and
families served; promoting the involvement of parents on all aspects of
the child's program, including the child's transition to public school.
+ In collaboration with the American Indian Programs and the
Migrant Programs Branches, T/TA especially directed to meet the needs
of American Indian and Migrant grantees for information on relevant
Regional/State issues, regulations, and available resources or
services; promote coordination of joint training opportunities to
support the exchange of information between grantees on areas of
disabilities service that require cooperation and interaction.
* Early Head Start (EHS)
+ Collaboration with the Early Head Start-National Resource
Contract (EHS-NRC) to enhance and reinforce a comprehensive approach to
providing T/TA in disabilities services in meeting the multiple needs
of families with infants and toddlers and pregnant women.
+ Assistance in ensuring that EHS child and family development
program models provide early opportunities for infants and toddlers
with disabilities to grow and develop in warm, nurturing and inclusive
settings.
+ State and Regional networks for the exchange of models,
strategies and materials on partnership approaches to the funding and
delivery of high quality, comprehensive early childhood disability
services among and across Head Start grantees, child care centers and
homes, school-based early childhood programs and other providers and
settings serving young children and families.
+ Assistance in the development of agreements between the Part H
Lead Agency of each State and the Head Start programs serving infants
and toddlers.
+ Assistance to EHS programs to identify and assess a wide variety
of resources on disabilities services available in communities.
+ Assistance to EHS programs to ensure continuous learning
opportunities for training, supervision and mentoring in response to
the ongoing development of new knowledge in disability services across
disciplines and to enable the staff to recognize and respond to the
best practices, lessons learned and quality goals of EHS.
* Quality Improvement Plans and Monitoring Follow-up
+ Assistance to grantees found to be deficient to ensure that
Quality Improvement Plans (QIPs) are implemented and identified
deficiencies addressed, when those deficiencies are related to
disabilities services.
+ Use of information from monitoring reviews, Program Information
Reports (PIR), and data provided by the ACF Regional Office, the
American Indian
[[Page 16824]]
Programs and the Migrant Programs Branches to plan T/TA for grantees.
+ Development of procedures for grantees to communicate their
special needs for T/TA to their Regional cluster coordinators.
In providing T/TA in the above-outlined areas, DSQICs may use the
following approaches:
Forms of collaboration and assistance
* On-site collaboration/assistance
+ On-site T/TA in response to needs identified during the needs
assessment process.
+ On-site T/TA to address the development and implementation of
local agreements between LEAs and Head Start in keeping with the
Performance Standards on disabilities services.
+ Special projects to meet Regional service area needs.
* Workshops and conferences
+ Regional training workshops and institutes for grantees on Head
Start-specific topics related to disabilities services as determined by
need.
+ Development of topics and schedules of workshops provided at
State/cluster levels.
+ Presentations/workshops for State and National Head Start
Association conferences and national Head Start Bureau events.
+ Participation in meetings/events sponsored by public and private
organizations offering opportunities to provide T/TA-related
information to appropriate constituencies.
+ Use of current technologies/approaches, such as distance
learning, interactive systems computers, videos, satellite down links,
internet, etc., for maximizing the dissemination and provision of T/TA.
* Training and technical assistance institutes
+ Training provided to grantees on-site, in clusters, and/or at
State-or Region-wide settings using the train-the-trainer model with
Head Start program personnel responsible for leadership on disabilities
services.
+ Development and implementation of opportunities for distance
learning.
+ Training on newly developed Head Start materials.
+ Assistance in monitor reviewer training.
+ Development and implementation of procedures for grantee staff to
engage in inquiry research and in program/curriculum development
opportunities.
* Information dissemination/networking
+ Regional information dissemination on T/TA to grantees and State/
cluster sites.
+ Technological networks at the Regional level using innovative
communication technology, particularly to disseminate information on
Head Start policies and regulations.
+ Facilitating Head Start/SEA interagency agreements; facilitating
development of agreements between the DSQICs for American Indian and
Migrant Programs and Regions I through X to ensure that the needs of
children and families in these programs are reflected in the
agreements.
+ Linkages with State partners of Head Start programs including the
State Education Agency program responsible for assuring implementation
of the requirements for special education services to preschool
children (under the Individuals with Disabilities Act IDEA) and with
the Lead state agency for implementation of Part H of IDEA services for
infants and toddlers with disabilities, University Affiliated Programs
(UAP) and Developmental Disabilities Councils.
Collaboration between regional DSQICs and the American
Indian and Migrant Programs DSQICs and the programs they serve in the
following ways:
+ Making information available to Indian and Migrant programs
serving children in their Regions on relevant State or Regional
disabilities services issues, e.g., new state regulations on
disabilities services, or State/Regional disabilities training or
service resources;
+ Inviting Indian and Migrant Head Start programs to participate in
DSQIC workshops and training;
+ Providing the Indian and Migrant DSQICs with existing Head Start/
SEA Interagency Agreements services in their Region, and the schedule
for their development/revision.
Sharing information and results of evaluations of
consultants through the National T/TA Information Resource Bank, such
as:
+ Demonstrations of, and information on, and dissemination of
materials developed by the national and Regional DSQICs.
+ Collaboration with Head Start-sponsored or related national
initiatives, such as Medicaid, immunizations, substance abuse
prevention and treatment, and mental health.
+ Information and/or training about Head Start Bureau publications,
such as training guides.
+ Maintaining and publishing resource information on statewide T/TA
resources directed to issues relevant for early childhood disabilities
services.
+ Maintaining a video/materials resource library.
+ Information and demonstrations on training resources which Head
Start programs could utilize.
+ Contributing articles to the Head Start Bulletin.
+ Maintaining of up-to-date fact sheets on grantees.
+ Assisting in developing a Regional calendar of T/TA events.
+ Participating in semiannual national T/TA network meetings, along
with meetings/conference calls with the Federal Project Officer (FPO).
+ Assisting Head Start programs to identify T/TA resources and
service providers in local community and state which may be
independently accessed to meet the special needs of Head Start eligible
children with disabilities or their parents.
DSQICs should organize and structure T/TA activities to
achieve maximum coordination, efficiency and effectiveness. Suggested
approaches include:
+ Assisting in a Regional Coordinating Council comprised of various
stakeholders, such as ACF Regional Office staff, the Federal Project
Officer from the Head Start Bureau, State Collaboration Project
grantees, State Head Start Association representatives and other T/TA
providers in the areas of child care, early childhood education,
disabilities services, health, family development, community
development and program planning. The Council would support the DSQIC
in identifying needs for T/TA, developing a Regional T/TA plan,
connecting and coordinating services in and among the different levels
of the system and to reach out to the community. It would meet
regularly to consult with the leadership of the DSQIC in assessing
needs, developing a fair balance for the provision of services among
grantees, and preparing and updating Regional or T/TA plans.
* State-/cluster-based activities functioning as extensions of the
DSQIC to provide joint training opportunities to clusters of grantees
that have the same needs based on needs assessments. The use of expert
trainers and consultants to provide T/TA to grantees within the cluster
and to interact with American Indian, Migrant and State Head Start
Associations, State agencies and community organizations to coordinate
services and to track relevant State legislation and regulations. Work
with ``exemplary'' grantees to help them move forward as the new system
is designed. Trainers need a knowledge base and an awareness of adult
continuous learning and applicability to issues in the community/
program to be served. Large States may have more than
[[Page 16825]]
one cluster and smaller States may share clusters of grantees. The
American Indian Programs Branch grantees may have up to three cluster
offices and the Migrant Programs Branch grantees may have up to two
cluster offices. State/cluster site staff could be co-located with
other T/TA providers.
* Regular meetings, communications:
+ Use of technology, such as satellites, computers, voice links,
internet, etc.
+ Use of interconnected feedback loops for the purpose of issue
identification, policy interpretations, evaluation, etc.
* Collaboration with Community-Based Child Care:
+ Assistance to State Head Start Associations, State Collaboration
Projects, State and community early childhood agencies and Head Start
grantees in systematic approaches to needs, assessment, planning,
funding, and staff development in early care, education and disability
services.
* Linkages with Federal-State and other partners, such as the
Department of Education, federally recognized Tribes, and institutions
of higher learning.
Geographic Coverage
* Types of grantees in service area:
Large/small, rural/urban, center-based, home-based, Early Head
Start, full-day, part-day.
* Level of quality among grantees:
+ Assistance to well performing grantees in developing their own T/
TA services.
+ Identification of grantees to serve as mentors to new and/or
deficient and seriously deficient grantees. Assistance in the
management of supplementary grant funds for the mentoring grantees and
collection of evaluative information on the mentoring efforts.
+ Assistance in designing T/TA plans for deficient and seriously
deficient grantees, at their request and in collaboration with the ACF
Regional Office, American Indian and Migrant Programs Branches to
enable them to meet the Head Start Program Performance Standards.
Management and staffing issues (including consultant
banks)
* Sufficient DSQIC staff to coordinate training, manage staff and
consultant resources, provide necessary subject-specific expertise, and
administer cooperative agreement fiscal resources.
* Sufficient leadership and consultant expertise to address all
aspects of disabilities services T/TA responsibilities, including the
areas of infant.toddler services, accessibility, and developing and
implementing local interagency agreements with community partners
(e.g., Local Education Agencies, Part H providers) at the regional and
State/cluster sites.
* Skilled leadership and support on State disabilities services
policy issues, to support efforts of grantees to work with States in
planning, monitoring and meeting logistical needs; to participate in
State-wide meetings; to coordinate with community/local organizations
that provide child care and other services to low income families; and
assistance to States in implementing Federal programs that involve the
development of child care systems in partnership with communities.
+ Support at State meetings regarding disabilities services issues.
+ Supporting strategic planning and coordinating meetings among
State program administrators and community and local organizations that
collaborate with Head Start in serving children with disabilities in
the development of comprehensive systems.
* Child Care Responsibilities
+ Skilled leadership and support on assessing needs for training
and technical assistance on Head Start/Child Care partnership issues
related to including children with disabilities.
+ Collaboration with other Federal, State, and local child care and
early childhood agencies, programs and professional organizations in
training, technical assistance, professional development, and planning
efforts related to inclusive services for children with disabilities.
* Consultant Pool
+ A Regional consultant pool, identified, screened, contracted and
linked to the National T/TA Information Resource Bank.
+ Provision of orientation and ongoing training for consultants.
+ Management of onsite activities of consultants at the Regional,
or State/cluster level.
+ Monitoring and evaluation of Regional-level T/TA and the
performance of consultants through onsite observations, interviews with
grantee staff, reviews of workshop evaluations, etc.
+ Maintenance of evaluation data on consultants for the use of
national network.
* Sufficient staff at State/cluster sites to broker/coordinate
local resources, strengthen training and staff development, assess the
needs of individual grantees and assist with the development of grantee
T/TA plans.
Appendix C--OMB State Single Point of Contact Listing
Arizona
Joni Saad, Arizona State Clearinghouse, 3800 N. Central Avenue,
Fourteenth Floor, Phoenix, Arizona 85012, Telephone (602) 280-1315,
FAX: (602) 280-8144.
Arkansas
Mr. Tracy Copeland, Manager, State Clearinghouse, Office of
Intergovernmental Services, Department of Finance and
Administration, 1515 W. 7th St., Room 412, Little Rock, Arkansas
72203 Telephone: (501) 682-1074, FAX: (501) 682-5206.
California
Grants Coordinator, Office of Planning & Research, 1400 Tenth
Street, Room 121, Sacramento, California 95814, Telephone: (916)
323-7480, FAX: (916) 323-3018.
Delaware
Francine Booth, State Single Point of Contact Executive
Department, Thomas Collins Building, P.O. Box 1401, Dover, Delaware
19903, Telephone: (302) 739-3326, FAX: (302) 739-5661.
District of Columbia
Charles Nichols, State Single Point of Contact, Office of Grants
Mgmt. & Dev. 717 14th Street, N.W.-Suite 500, Washington, D.C.
20005, Telephone: (202) 727-6554, FAX: (202) 727-1617.
Florida
Florida State Clearinghouse, Department of Community Affairs,
2740 Centerview Drive, Tallahassee, Florida 32399-2100, Telephone:
(904) 922-5438, FAX: (904) 487-2899.
Georgia
Tom L. Reid, III, Administrator, Georgia State Clearinghouse,
254 Washington Street, S.W.-Room 401J, Atlanta, Georgia 30334,
Telephone: (404) 656-3855 or (404) 656-3829, FAX: (404) 656-7938.
Illinois
Virginia Bova, State Single Point of Contact, Department of
Commerce and Community Affairs, James R. Thompson Center, 100 West
Randolph, Suite 3-400, Chicago, Illinois 60601, Telephone: (312)
814-6028, FAX: (312) 814-1800.
Indiana
Amy Brewer, State Budget Agency, 212 State House, Indianapolis,
Indiana 46204, Telephone: (317) 232-5619, FAX: (317) 233-3323.
Iowa
Steven R. McCann, Division for Community Assistance, Iowa
Department of Economic Development, 200 East Grand Avenue, Des
Moines, Iowa 50309, Telephone: (515) 242-4719 FAX: (515) 242-4859.
Kentucky
Ronald W. Cook, Office of the Governor, Department of Local
Government, 1024 Capitol Center Drive, Frankfort, Kentucky 40601-
8204, Telephone: (502) 573-2382, FAX: (502) 573-2512.
Maine
Joyce Benson, State Planning Office, State House Station #38,
Augusta, Maine 04333, Telephone: (207) 287-3261, FAX: (207) 287-
6489.
Maryland
William G. Carroll, Manager, State Clearinghouse for
Intergovernmental Assistance, Maryland Office of Planning, 301 W.
Preston Street-Room 1104,
[[Page 16826]]
Baltimore, Maryland 21201-2365, Staff Contact: Linda Janey,
Telephone: (410) 225-4490, FAX: (410) 225-4480.
Michigan
Richard Pfaff, Southeast Michigan Council of Governments, 1900
Edison Plaza, 660 Plaza Drive, Detroit, Michigan 48226, Telephone:
(313) 961-4266, FAX: (313) 961-4869.
Mississippi
Cathy Malette, Clearinghouse Officer, Department of Finance and
Administration, 455 North Lamar Street, Jackson, Mississippi 39202-
3087, Telephone: (601) 359-6762, FAX: (601) 359-6764.
Missouri
Lois Pohl, Federal Assistance Clearinghouse, Office of
Administration, P.O. Box 809, Room 760, Truman Building, Jefferson
City, Missouri 65102, Telephone: (314) 751-4834, FAX: (314) 751-
7819.
Nevada
Department of Administration, State Clearinghouse, Capitol
Complex, Carson City, Nevada 89710, Telephone: (702) 687-4065, FAX:
(702) 687-3983.
New Hampshire
Jeffrey H. Taylor, Director, New Hampshire Office of State
Planning, Attn: Intergovernmental Review Process, Mike Blake, 2\1/2\
Beacon Street, Concord, New Hampshire 03301, Telephone: (603) 271-
2155, FAX: (603) 271-1728.
New Mexico
Robert Peters, State Budget Division, Room 190 Bataan Memorial
Building, Santa Fe, New Mexico 87503, Telephone: (505) 827-3640.
New York
New York State Clearinghouse, Division of the Budget, State
Capitol, Albany, New York 12224, Telephone: (518) 474-1605.
North Carolina
Chrys Baggett, Director, N.C. State Clearinghouse, Office of the
Secretary of Admin., 116 West Jones Street, Raleigh, North Carolina
27603-8003, Telephone: (919) 733-7232, FAX: (919) 733-9571.
North Dakota
North Dakota Single Point of Contact, Office of
Intergovernmental Assistance, 600 East Boulevard Avenue, Bismarck,
North Dakota 58504-0170, Telephone: (701) 224-2094, FAX: (701) 224-
2308.
Ohio
Larry Weaver, State Single Point of Contact, State
Clearinghouse, Office of Budget and Management, 30 East Broad
Street, 34th Floor, Columbus, Ohio 43266-0411.
Please direct correspondence and questions about
intergovernmental review to: Linda Wise, Telephone: (614) 466-0698,
FAX: (614) 466-5400.
Rhode Island
Daniel W. Varin, Associate Director, Department of
Administration/Division of Planning, One Capitol Hill, 4th Floor,
Providence, Rhode Island 02908-5870, Telephone: (401) 277-2656 FAX:
(401) 277-2083.
Please direct correspondence and questions to: Review
Coordinator, Office of Strategic Planning.
South Carolina
Omeagia Burgess, State Single Point of Contact, Grant Services,
Office of the Governor, 1205 Pendleton Street--Room 477, Columbia,
South Carolina 29201, Telephone: (803) 734-0494 FAX: (803) 734-0385.
Texas
Tom Adams, Governors Office, Director, Intergovernmental
Coordination, P.O. Box 12428, Austin, Texas 78711, Telephone: (512)
463-1771, FAX: (512) 463-1888.
Utah
Carolyn Wright, Utah State Clearinghouse, Office of Planning and
Budget, Room 116, State Capitol, Salt Lake City, Utah 84114,
Telephone: (801) 538-1535, FAX: (801) 538-1547.
West Virginia
Fred Cutlip, Director, Community Development Division, W.
Virginia Development Office, Building #6, Room 553, Charleston, West
Virginia 25305, Telephone: (304) 558-4010, FAX: (304) 558-3248.
Wisconsin
Martha Kerner, Section Chief, State/Federal Relations, Wisconsin
Department of Administration, 101 East Wilson Street--6th Floor,
P.O. Box 7868, Madison, Wisconsin 53707, Telephone: (608) 266-2125,
FAX: (608) 267-6931.
Wyoming
Sheryl Jeffries, State Single Point of Contact, Office of the
Governor, State Capital, Room 124, Cheyenne, Wyoming 82002,
Telephone: (307) 777-5930, FAX: (307) 632-3909.
Territories
Guam
Mr. Giovanni T. Sgambelluri, Director, Bureau of Budget and
Management Research, Office of the Governor, P.O. Box 2950, Agana,
Guam 96910, Telephone: 011-671-472-2285, FAX: 011-671-472-2825.
Puerto Rico
Norma Burgos/Jose E. Caro, Chairwoman/Director, Puerto Rico
Planning Board, Federal Proposals Review Office, Minillas Government
Center, P.O. Box 41119, San Juan, Puerto Rico 00940-1119, Telephone:
(809) 727-4444, (809) 723-6190, FAX: (809) 724-3270, (809) 724-3103.
North Mariana Islands
Mr. Alvaro A. Santos, Executive Officer, State Single Point of
Contact, Office of Management and Budget, Office of the Governor,
Saipan, MP, Telephone: (670) 664-2256, FAX: (670) 664-2272.
Contact Person: Ms. Jacoba T. Seman, Federal Programs
Coordinator, Telephone: (670) 644-2289, FAX: (670) 644-2272.
Virgin Islands
Jose George, Director, Office of Management and Budget, #41
Norregade Emancipation Garden Station, Second Floor, Saint Thomas,
Virgin Islands 00802
Please direct all questions and correspondence about
intergovernmental review to: Linda Clarke, Telephone: (809) 774-
0750, FAX: (809) 776-0069.
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BILLING CODE 4184-01-C
[[Page 16828]]
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, of the
person who signs as the authorized representative. Categories of
debt include delinquent audit disallowances, loans and taxes.
18. To be signed by the authorized representative of the
applicant. A copy of the governing body's authorization for you to
sign this application as official representative must be on file in
the applicant's office. (Certain Federal agencies may require that
this authorization be submitted as part of the application.)
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BILLING CODE 4184-01-C
[[Page 16830]]
Instructions for the SF-424A
General Instructions
This form is designed so that application can be made for funds
from one or more grant programs. In preparing the budget, adhere to
any existing Federal grantor agency guidelines which prescribe how
and whether budgeted amounts should be separately shown for
different functions or activities within the program. For some
programs, grantor agencies may require budgets to be separately
shown by function or activity. For other programs, grantor agencies
may require a breakdown by function or activity. Sections A,B,C, and
D should include budget estimates for the whole project except when
applying for assistance which requires Federal authorization in
annual or other funding period increments. In the latter case,
Sections A,B,C, and D should provide the budget for the first budget
period (usually a year) and Section E should present the need for
Federal assistance in the subsequent budget periods. All
applications should contain a breakdown by the object class
categories shown in Lines a-k of Section B.
Section A. Budget Summary Lines 1-4, Columns (a) and (b)
For applications pertaining to a single Federal grant program
(Federal Domestic Assistance Catalog number) and not requiring a
functional or activity breakdown, enter on Line 1 under Column (a)
the catalog program title and the catalog number in Column (b).
For applications pertaining to a single program requiring budget
amounts by multiple functions or activities, enter the name of each
activity or function on each line in Column (a), and enter the
catalog number in Column (b). For applications pertaining to
multiple programs where none of the programs require a breakdown by
function or activity, enter the catalog program title on each line
in Column (a) and the respective catalog number on each line in
Column (b).
For applications pertaining to multiple programs where one or
more programs require a breakdown by function or activity, prepare a
separate sheet for each program requiring the breakdown. Additional
sheets should be used when one form does not provide adequate space
for all breakdown of data required. However, when more than one
sheet is used, the first page should provide the summary totals by
programs.
Lines 1-4, Columns (c) through (g.)
For new applications, leave Columns (c) and (d) blank. For each
line entry in Columns (a) and (b), enter in Columns (e), (f), and
(g) the appropriate amounts of funds needed to support the project
for the first funding period (usually a year).
For continuing grant program applications, submit these forms
before the end of each funding period as required by the grantor
agency. Enter in Columns (c) and (d) the estimated amounts of funds
which will remain unobligated at the end of the grant funding period
only if the Federal grantor agency instructions provide for this.
Otherwise, leave these columns blank. Enter in columns (e) and (f)
the amounts of funds needed for the upcoming period. The amount(s)
in Column (g) should be the sum of amounts in Columns (e) and (f).
For supplemental grants and changes to existing grants, do not
use Columns (c) and (d). Enter in Column (e) the amount of the
increase or decrease of Federal funds and enter in Column (f) the
amount of the increase or decrease of non-Federal funds. In Column
(g) enter the new total budgeted amount (Federal and non-Federal)
which includes the total previous authorized budgeted amounts plus
or minus, as appropriate, the amounts shown in Columns (e) and (f).
The amount(s) in Column (g) should not equal the sum of amounts in
Columns (e) and (f).
Line 5--Show the totals for all columns used.
Section B. Budget Categories
In the column headings (1) through (4), enter the titles of the
same programs, functions, and activities shown on Lines 1-4, Column
(a), Section A. When additional sheets are prepared for Section A,
provide similar column headings on each sheet. For each program,
function or activity, fill in the total requirements for funds (both
Federal and non-Federal) by object class categories.
Lines 6a-i--Show the totals of Lines 6a to 6h in each column.
Line 6j--Show the amount of indirect cost.
Line 6k--Enter the total of amounts on Lines 6i and 6j. For all
applications for new grants and continuation grants the total amount
in column (5), Line 6k, should be the same as the total amount shown
in Section A, Column (g), Line 5. For supplemental grants and
changes to grants, the total amount of the increase or decrease as
shown in Columns (1)-(4), Line 6k should be the same as the sum of
the amounts in Section A, Columns (e) and (f) on Line 5.
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BILLING CODE 4184-01-C
[[Page 16832]]
Line 7--Enter the estimated amount of income, if any, expected
to be generated from this project. Do not add or substract 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 determinimg the total amount of the grant.
Section C. Non-Federal-Resources
Lines 8-11--Enter amounts of non-Federal resources that will be
used on the grant. If in-kind contributions are included, provide a
brief explanation on a separate sheet.
Column (a)--Enter the program titles identical to Column (a),
Section A. A breakdown by function or activity is not necessary.
Column (b)--Enter the constribution 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 form 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.
Lines 20--Enter the total for each of the Columns (b)-(e). When
additional schedules are prepared for this Section, annotate
accordingly and show the overall totals on this line.
Section F. Other Budget Information
Line 21--Use this space to explain amounts for individual direct
object-class cost categories that may appear to be out of the
ordinary or to explain the details as required by the Federal
grantor agency.
Line 22--Enter the type of indirect rate (provisional,
predetermined, final or fixed) that will be in effect during the
funding period, the estimated amount of the base to which the rate
is applied, and the total indirect expense.
Line 23--Provide any other explanations or comments deemed
necessary.
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[[Page 16834]]
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[GRAPHIC] [TIFF OMITTED] TN08AP97.006
BILLING CODE 4184-01-C
[[Page 16837]]
Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion--Lower Tier Covered Transactions
Instructions for Certification
1. By signing and submitting this proposal, the prospective
lower tier participant is providing the certification set out below.
2. The certification in this clause is a material representation
of fact upon which reliance was placed when this transaction was
entered into. If it is later determined that the prospective lower
tier participant knowingly rendered an erroneous certification, in
addition to other remedies available to the Federal Government the
department or agency with which this transaction originated may
pursue available remedies, including suspension and/or debarment.
3. The prospective lower tier participant shall provide
immediate written notice to the person to which this proposal is
submitted if at any time the prospective lower tier participant
learns that its certification was erroneous when submitted or had
become erroneous by reason of changed circumstances.
4. The terms covered transaction, debarred, suspended,
ineligible, lower tier covered transaction, participant, person,
primary covered transaction, principal, proposal, and voluntarily
excluded, as used in this clause, have the meaning set out in the
Definitions and Coverage sections of rules implementing Executive
Order 12549. You may contact the person to which this proposal is
submitted for assistance in obtaining a copy of those regulations.
5. The prospective lower tier participant agrees by submitting
this proposal that, [[Page 33043]] should the proposed covered
transaction be entered into, it shall not knowingly enter into any
lower tier covered transaction with a person who is proposed for
debarment under 48 CFR part 9, subpart 9.4, debarred, suspended,
declared ineligible, or voluntarily excluded from participation in
this covered transaction, unless authorized by the department or
agency with which this transaction originated.
6. The prospective lower tier participant further agrees by
submitting this proposal that it will include this clause titled
``Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion--Lower Tier Covered Transaction,'' without
modification, in all lower tier covered transactions and in all
solicitations for lower tier covered transactions.
7. A participant in a covered transaction may rely upon a
certification of a prospective participant in a lower tier covered
transaction that it is not proposed for debarment under 48 CFR part
9, subpart 9.4, debarred, suspended, ineligible, or voluntarily
excluded from covered transactions, unless it knows that the
certification is erroneous. A participant may decide the method and
frequency by which it determines the eligibility of its principals.
Each participant may, but is not required to, check the List of
Parties Excluded from Federal Procurement and Nonprocurement
Programs.
8. Nothing contained in the foregoing shall be construed to
require establishment of a system of records in order to render in
good faith the certification required by this clause. The knowledge
and information of a participant is not required to exceed that
which is normally possessed by a prudent person in the ordinary
course of business dealings.
9. Except for transactions authorized under paragraph 5 of these
instructions, if a participant in a covered transaction knowingly
enters into a lower tier covered transaction with a person who is
proposed for debarment under 48 CFR part 9, subpart 9.4, suspended,
debarred, ineligible, or voluntarily excluded from participation in
this transaction, in addition to other remedies available to the
Federal Government, the department or agency with which this
transaction originated may pursue available remedies, including
suspension and/or debarment.
Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion--Lower Tier Covered Transactions
(1) The prospective lower tier participant certifies, by
submission of this proposal, that neither it nor its principals is
presently debarred, suspended, proposed for debarment, declared
ineligible, or voluntarily excluded from participation in this
transaction by any Federal department or agency.
(2) Where the prospective lower tier participant is unable to
certify to any of the statements in this certification, such
prospective participant shall attach an explanation to this
proposal.
Certification Regarding Debarment, Suspension, and Other Responsibility
Matters--Primary Covered Transactions
Instructions for Certification
1. By signing and submitting this proposal, the prospective
primary participant is providing the certification set out below.
2. The inability of a person to provide the certification
required below will not necessarily result in denial of
participation in this covered transaction. The prospective
participant shall submit an explanation of why it cannot provide the
certification set out below. The certification or explanation will
be considered in connection with the department or agency's
determination whether to enter into this transaction. However,
failure of the prospective primary participant to furnish a
certification or an explanation shall disqualify such person from
participation in this transaction.
3. The certification in this clause is a material representation
of fact upon which reliance was placed when the department or agency
determined to enter into this transaction. If it is later determined
that the prospective primary participant knowingly rendered an
erroneous certification, in addition to other remedies available to
the Federal Government, the department or agency may terminate this
transaction for cause or default.
4. The prospective primary participant shall provide immediate
written notice to the department or agency to which this proposal is
submitted if at any time the prospective primary participant learns
that its certification was erroneous when submitted or has become
erroneous by reason of changed circumstances.
5. The terms covered transaction, debarred, suspended,
ineligible, lower tier covered transaction, participant, person,
primary covered transaction, principal, proposal, and voluntarily
excluded, as used in this clause, have the meanings set out in the
Definitions and Coverage sections of the rules implementing
Executive Order 12549. You may contact the department or agency to
which this proposal is being submitted for assistance in obtaining a
copy of those regulations.
6. The prospective primary participant agrees by submitting this
proposal that, should the proposed covered transaction be entered
into, it shall not knowingly enter into any lower tier covered
transaction with a person who is proposed for debarment under 48 CFR
part 9, subpart 9.4, debarred, suspended, declared ineligible, or
voluntarily excluded from participation in this covered transaction,
unless authorized by the department or agency entering into this
transaction.
7. The prospective primary participant further agrees by
submitting this proposal that it will include the clause titled
``Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion-Lower Tier Covered Transaction,'' provided by
the department or agency entering into this covered transaction,
without modification, in all lower tier covered transactions and in
all solicitations for lower tier covered transactions.
8. A participant in a covered transaction may rely upon a
certification of a prospective participant in a lower tier covered
transaction that it is not proposed for debarment under 48 CFR part
9, subpart 9.4 debarred, suspended, ineligible, or voluntarily
excluded from the covered transaction, unless it knows that the
certification is erroneous. A participant may decide the method and
frequency by which it determines the eligibility of its principals.
Each participant may, but is not required to, check the List of
Parties Excluded from Federal Procurement and Nonprocurement
Programs.
9. Nothing contained in the foregoing shall be construed to
require establishment of a system of records in order to render in
good faith the certification required by this clause. The knowledge
and information of a participant is not required to exceed that
which is normally possessed by a prudent person in the ordinary
course of business dealings.
10. Except for transactions authorized under paragraph 6 of
these instructions, if a participant in a covered transaction
knowingly enters into a lower tier covered transaction with a person
who is proposed for debarment under 48 CFR part 9, subpart 9.4,
suspended, debarred, ineligible, or voluntarily excluded from
participation in this transaction, in addition to other remedies
available to the Federal Government, the department or agency may
[[Page 16838]]
terminate this transaction for cause or default.
Certification Regarding Debarment, Suspension, and Other Responsibility
Matters--Primary Covered Transactions
(1) The prospective primary participant certifies to the best of
its knowledge and belief, that it and its principals:
(a) Are not presently debarred, suspended, proposed for
debarment, declared ineligible, or voluntarily excluded by any
Federal department or agency;
(b) Have not within a three-year period preceding this proposal
been convicted of or had a civil judgment rendered against them for
commission of fraud or a criminal offense in connection with
obtaining, attempting to obtain, or performing a public (Federal,
State or local) transaction or contract under a public transaction;
violation of Federal or State antitrust statutes or commission of
embezzlement, theft, forgery, bribery, falsification or destruction
of records, making false statements, or receiving stolen property;
(c) Are not presently indicted for or otherwise criminally or
civilly charged by a governmental entity (Federal, State or local)
with commission of any of the offenses enumerated in paragraph
(1)(b) of this certification; and
(d) Have not within a three-year period preceding this
application/proposal had one or more public transactions (Federal,
State or local) terminated for cause or default.
(2) Where the prospective primary participant is unable to
certify to any of the statements in this certification, such
prospective participant shall attach an explanation to this
proposal.
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 impose by section 1352, title 31
U.S. Code. Any person who fails to file the required certification
shall be subject to a civil penalty of not less than $10,000 and not
more than $100,000 for each such failure.
State for Loan Guarantee and Loan Insurance
The undersigned states, to the best of his or her knowledge and
belief, that:
If any funds have been paid or will be paid to any person for
influencing or attempting to influence an officer or employee of any
agency, a Member of Congress, an officer or employee of Congress, or
an employee of a Member of Congress in connection with this
commitment providing for the United States to insure or guarantee a
loan, the undersigned shall complete and submit Standard Form-LLL
``Disclosure Form to Report Lobbying,'' in accordance with its
instructions.
Submission of this statement is a prerequisite for making or
entering into this transaction imposed by section 1352, title 31,
U.S. Code. Any person who fails to file the require statement shall
be subject to a civil penalty of not less than $10,000 and not more
than $100,000 for each such failure.
----------------------------------------------------------------------
Signature
----------------------------------------------------------------------
Title
----------------------------------------------------------------------
Organization
----------------------------------------------------------------------
Date
BILLING CODE 4184-01-P
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BILLING CODE 4184-01-C
[[Page 16840]]
Certification Regarding Environmental Tobacco Smoke
Public Law 103-227, Part C--Environmental Tobacco Smoke, also
known as the Pro-Children Act of 1994 (Act), requires that smoking
not be permitted in any portion of any indoor routinely owned or
leased or contracted for by an entity and used routinely or
regularly for provision of health, day care, education, or library
services to children under the age of 18, if the services are funded
by Federal programs either directly or through State or local
governments, by Federal grant, contract, loan, or loan guarantee.
The law does not apply to children's services provided in private
residences, facilities funded solely by Medicare or Medicaid funds,
and portions of facilities used for inpatient drug or alcohol
treatment. Failure to comply with the provisions of the law may
result in the imposition of a civil monetary penalty of up to $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 the children's services and that all subgrantees
shall certify accordingly.
[FR Doc. 97-8839 Filed 4-7-97; 8:45 am]
BILLING CODE 4184-01-P