[Federal Register Volume 62, Number 74 (Thursday, April 17, 1997)]
[Notices]
[Pages 18966-19005]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-9910]


      

[[Page 18965]]

_______________________________________________________________________

Part IV





Department of Health and Human Services





_______________________________________________________________________



Administration for Children and Families



_______________________________________________________________________



Early Head Start Program Grant Availability; Notice

  Federal Register / Vol. 62, No. 74 / Thursday, April 17, 1997 / 
Notices  

[[Page 18966]]


=======================================================================
-----------------------------------------------------------------------


DEPARTMENT OF HEALTH AND HUMAN SERVICES

Administration for Children and Families
[Program Announcement No. ACYF-HS-93600-97-03]


Early Head Start Program Grant Availability

AGENCY: Administration on Children, Youth and Families (ACYF), ACFD, 
HHS.

ACTION: Announcement of financial assistance to be competitively 
awarded to public and non-profit private entities--including Head Start 
grantees, Parent and Child Centers and Comprehensive Child Development 
Programs--to provide child and family development services for low-
income families with children under age three and pregnant women.

-----------------------------------------------------------------------

SUMMARY: Section 645A of the Head Start Act, as amended, 42 U.S.C. 9801 
et seq., requires that, beginning in fiscal year 1995, the Secretary of 
Health and Human Services award grants competitively to agencies and 
organizations to implement programs which we call ``Early Head Start.'' 
These programs provide early, continuous, intensive, and comprehensive 
child development and family support services on a year-round basis to 
low-income families with children under age three and pregnant women. 
The purpose of the program is to enhance children's physical, social, 
emotional, and intellectual development; to support parents' efforts to 
fulfill their parental roles; and to help parents move toward self-
sufficiency. Thus, the goals for Early Head Start are to:
     Promote the physical, cognitive, social and emotional 
growth of infants and toddlers and prepare them for future growth and 
development;
     Support parents--mothers, fathers, and guardians--in their 
role as the primary caregivers and educators of their children, and in 
meeting family goals and achieving self-sufficiency across a wide 
variety of domains;
     Strengthen community supports for families with young 
children; and
     Develop highly-trained, caring and adequately compensated 
program staff, because the quality of staff and their relationships 
with children and parents are critical to achieving all the other 
goals.

DATES: The CLOSING TIME AND DATE FOR RECEIPT of applications is 4:30 pm 
(Eastern Time Zone), June 16, 1997. Applications received after 4:30 pm 
will not be accepted.
    Applications transmitted to ACF in any electronic form will not be 
accepted regardless of date of time of submission and time of receipt. 
All applications must be in hard copy form to be considered acceptable.

ADDRESSES: Applications may be mailed to:
    Early Head Start Program Category ____________, ACYF Operations 
Center, 3030 Clarendon Blvd., Suite 240, Arlington, Virginia 22201.
    Hand Delivered, Courier or Overnight delivery applications are 
received during the normal working hours of 8:00 a.m. to 4:30 p.m., 
Monday through Friday, on or prior to the established closing date at 
the above address.
    If you plan to submit an application, we ask that you 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 category of funding for which you may submit an application, 
within two weeks of receipt of this announcement to: Early Head Start, 
Administration on Children, Youth and Families Operations Center, 3030 
Clarendon Boulevard, Suite 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.

FOR FURTHER INFORMATION CONTACT: For questions related to the Program 
Announcement, please contact the Administration on Children, Youth and 
Families 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.
    For a copy of the application kit, or for another copy of the 
program announcement, please call or fax your request to the ACYF 
Operations Center at 1-800-351-2293 (phone) or 1-800-351-4490 (fax).

SUPPLEMENTARY INFORMATION:

Part I. General Information

A. Introduction

    This program announcement is divided into five sections:
     Part I contains general information and an introductory 
section which contains the history and background of the Early Head 
Start program and the principles and program description that will 
guide the development, implementation and operation of the program.
     Part II contains key program information such as a 
description of competitive categories, eligible applicants, project 
periods, applicable Head Start regulations, and Early Head Start as a 
learning community.
     Part III presents requirements for information that must 
be included in each application.
     Part IV presents the criteria upon which applications will 
be reviewed and evaluated.
     Part V contains instructions for preparing the fiscal year 
1997 application. This section notes that the Commissioner of the 
Administration on Children, Youth and Families, depending on the 
availability of funds and an adequate number of acceptable 
applications, may choose to fund a fiscal year 1998 cohort of programs 
out of the pool of applications submitted as a response to this program 
announcement.
    Appendix A--ACF Uniform Discretionary Grant Application Form--This 
material includes the relevant forms, certifications, disclosures and 
assurances necessary for completing and submitting the application.
    Appendix B lists the Single Points of Contact for each State and 
Territory.
    Appendix C is The Statement of the Advisory Committee on Services 
for Families with Infants and Toddlers.
    Appendix D--Category One--New Early Head Start Awards provides a 
list of the geographic areas not open for competition under Category 
One.
    Appendix E--Category Two--New Awards to Communities Served by 
Parent and Child Centers provides a list of geographic areas open to 
competition under Category Two.
    An application kit containing the ACF Uniform Discretionary Grant 
Application Form, applicable Head Start Regulations, State Contact 
lists (e.g., Part H Lead Agency Coordinators) and other useful 
information should be obtained by applicants. (See address listed 
earlier in this announcement under ``For Further Information.'')

B. Program Purpose

    With the reauthorization of the Head Start Act in 1994, Congress 
established a new program for low-income families with infants and 
toddlers and pregnant women which is called Early Head Start. Beginning 
in fiscal year 1995, 68 grants were awarded and, in fiscal year 1996, 
an additional 75 grants were selected from among competing

[[Page 18967]]

agencies and organizations to implement Early Head Start programs which 
provide early, continuous, intensive, and comprehensive child 
development and family support services.
    In creating this program, the Congress acted upon evidence from 
research and practice which illustrates that early intervention through 
high quality programs enhances children's physical, social, emotional, 
and cognitive development; enables parents to be better caregivers and 
teachers to their children; and helps parents meet their own goals, 
including economic independence. Such programs answer an undeniable 
need. As pointed out in ``The Report of the Carnegie Task Force on 
Meeting The Needs of Young Children,'' many of the 12 million children 
under three and their families in the United States today face a 
``quiet crisis.'' The numerous indicators of this crisis include: one 
in four infants and toddlers live in families with incomes below the 
poverty line; nine out of every thousand infants die before the age of 
one; and, more than five million children under three receive child 
care from other adults while their parents work, much of that care 
being of poor quality.
    The Early Head Start program provides resources to community 
programs to address such needs and to achieve the purposes set forth by 
Congress. The local programs funded through Early Head Start operate as 
a national laboratory to demonstrate the impact that can be gained when 
early, continuous, intensive and comprehensive services are provided to 
pregnant women and very young children and their families.
    Programs participating in this demonstration effort will:
     Ensure quality by meeting the requirements in the Head 
Start Program Performance Standards and other applicable regulations;
     Provide early, individualized child development and parent 
education services to low-income infants and toddlers and their 
families according to a plan developed jointly by the parents and 
staff;
     Provide these services through an appropriate mix of home 
visits, experiences at the Early Head Start center, and experiences in 
other settings such as family-or center-based child care;
     Provide early opportunities for infants and toddlers with 
and without disabilities to grow and develop together in nurturing and 
inclusive settings;
     Ensure that the Early Head Start program is supportive and 
nurturing of families;
     Respond to the needs of families, including the need for 
full-time child care for working families;
     Connect with other service providers at the local level to 
ensure that a comprehensive array of health, nutrition, and other 
services is provided to the program's pregnant women, very young 
children, and their families;
     Recruit, train, and supervise high quality staff to ensure 
the kind of warm and continuous relationships between caregivers and 
children that are crucial to learning and development for infants and 
toddlers;
     Ensure parent involvement in policy and decision making; 
and
     Coordinate with local Head Start and other child 
development programs in order to ensure continuity of services for 
these children and families.

C. History and Background

1. Legislation
    In May 1994, the President signed into law the bipartisan Head 
Start Reauthorization Act of 1994. This reauthorization established 
within the Head Start Bureau a new program for low-income pregnant 
women and families with infants and toddlers. The reauthorization sets 
aside funds from the total Head Start budget for the subsequent four 
years at a rate of three percent in FY 1995; four percent in FY 1996 
and 1997; and five percent in FY 1998. Consolidated into the new 
initiative were the Parent and Child Centers Program and the 
Comprehensive Child Development Program.
    This section of the legislation had a number of sources, including 
the recommendations of the Advisory Committee on Head Start Quality and 
Expansion, as well as recent lessons from research and practice.
2. The Advisory Committee on Head Start Quality and Expansion
    In June 1993, the Secretary of the Department of Health and Human 
Services formed an Advisory Committee to look at Head Start quality and 
expansion. The recommendations of that Committee centered around:
     Striving for excellence in staffing, management, 
oversight, facilities, and research;
     Expanding to better meet the needs of children and 
families; and
     Forging new partnerships with communities, schools, the 
private sector, and other national initiatives.
    Included in the report was a recommendation that the Department 
develop a new initiative for expanded Head Start supports to families 
with infants and toddlers, as well as convene a high-level committee 
charged with developing guidelines for this new effort. This 
recommendation was fueled by relevant research findings and recognition 
in the field that much more could be accomplished with earlier, more 
sustained support for very young children and their families.
3. Relevant Research
    Findings from more than three decades of research in child and 
family development illustrate that the time from conception to age 
three is critical for human development. The basic cognitive, social, 
and emotional foundation is established in these early years. The 
research also indicates that, to develop optimally, infants and 
toddlers must have healthy beginnings and the continuity of responsive 
and caring relationships. Together, these supports help promote optimal 
cognitive, social, emotional, physical, and language development. When 
these supports are missing, the immediate and future development of the 
child may be compromised. Recent research identifies the 
characteristics of effective programs that enhance both child and 
family development. This growing body of knowledge provides a 
foundation upon which the Early Head Start program is based.
    A more detailed discussion about the research in maternal and 
infant health, child-caregiver relationships, and the characteristics 
of successful programs can be found in the Statement of the Advisory 
Committee on Services for Families with Infants and Toddlers, which is 
included as Appendix C.
    In FY 1995 a contract was awarded to Mathematica Policy Research, 
Inc. to conduct a cross-site evaluation of Early Head Start. In FY 
1996, 16 university partners of the initial 68 Early Head Start 
grantees were selected to conduct site-specific research. Thus, those 
16 sites became the participants in the national cross-site evaluation 
conducted by Mathematica. Results are not yet available. Because the 
evaluation of Early Head Start is already underway, the FY 1997-1998 
Cohort of Early Head Start grantees will not participate in the cross-
site evaluation.
4. Precursor Program Experiences
    In enacting Early Head Start, Congress was building on lessons 
learned through Federal, State, and community programs that serve some 
of our country's very young children and their families.
    Most notable among the early Federal efforts include the following:

[[Page 18968]]

     The Maternal and Child Health Services Block Grant has its 
roots in Title V of the Social Security Act, which was enacted in 1935. 
It is administered by the Maternal and Child Health Bureau (MCHB) of 
the Health Resources and Services Administration in HHS which provides 
leadership for building the infrastructure for health care services 
delivery to all mothers and children in the U.S., with particular 
responsibility for serving those low-income or isolated populations who 
would otherwise have limited access to care.
     The Parent and Child Centers Program (PCC) was established 
in 1967 to provide an array of services for pregnant women, infants/
toddlers, parents, and families as a whole. Services include health, 
education, personal and interpersonal development, and family 
assistance. There are currently 58 PCCs across the country. Thirty-four 
others have been competitively selected and converted into Early Head 
Start programs.
     The Migrant Head Start program was established in 1969 to 
meet the needs of mobile farmworker children and their families. The 
program provides age-appropriate infant, toddler and preschool 
programming, full-day services (8 to 12 hours per day), and full week 
services (five to seven days per week) based on the needs of working 
families. These services are offered in center-based and family child 
care settings during peak agricultural seasons. There are currently 25 
Migrant Head Start grantees and 42 delegate agencies operating in 39 
States. Infants and toddlers comprise over 40 percent of the children 
served annually.
     The Child and Family Resource Program (CFRP) operated as a 
demonstration from 1973 to 1983. Ten CFRP programs linked community 
resources in efforts to enhance families' abilities to provide safe, 
stable, nurturing environments for their children.
     Part H of the Individuals with Disabilities Education Act 
was initiated in 1986 as an early intervention program for children 
birth to age three who have or are at risk for developmental 
disability. Part H supports comprehensive, statewide programs which 
identify and coordinate needed services within the context of a family-
centered services delivery model.
     The Comprehensive Child Development Program (CCDP) was 
enacted in 1988 to provide and coordinate a wide range of services to 
children and families including child development, health care, 
education, economic self-sufficiency, mental health, substance abuse 
treatment and prevention and other services to strengthen the home and 
family. There are currently 19 CCDPs in communities throughout the 
country. Eighteen others have been competitively selected to become 
Early Head Start programs.
     The Even Start Literacy Program, administered by the 
Department of Education, integrates early childhood education and adult 
education for parents into a unified program.
     The Healthy Start Initiative, administered by the Maternal 
and Child Health Bureau in HHS, started in 1991 as a demonstration 
program to combat infant mortality through community coalitions.
    In addition to these Federal efforts, many States and foundations 
are focusing on the special needs of very young children and their 
families. Carnegie and Ford are among the foundations addressing the 
needs of pregnant women and families with infants and toddlers.

D. Consultation

    In the statute establishing the new program called Early Head 
Start, Congress called on the Secretary to develop program guidelines 
in consultation with experts in early childhood development, health, 
and family services; and take into consideration the knowledge and 
experience gained from other early childhood programs that serve large 
numbers of infants and toddlers including the Comprehensive Child 
Development Program, Head Start Parent and Child Centers and the 
Migrant Head Start program. As a result, the Secretary formed the 
Advisory Committee on Services for Families with Infants and Toddlers. 
The Committee was charged with advising the Department on the 
development of program approaches for the Early Head Start initiative. 
In September 1994, the Advisory Committee unanimously agreed to a 
statement that sets forth the vision, goals, principles, and program 
cornerstones for Early Head Start (the Statement, which includes the 
Advisory Committee membership list, is included as Appendix C).
    In addition, Federal staff conducted approximately 30 focus groups 
during the summer of 1994 to hear from parents, practitioners, 
researchers, advocates, and representatives of professional 
organizations. Federal staff also met with or received materials and 
recommendations from a number of other parents, practitioners, and 
researchers. The suggestions, guidance, and information received 
through this consultation process helped shape the development of the 
original fiscal year 1995 program announcement as well as this 
announcement.
    The results of this consultation contributed significantly to the 
recently revised Head Start Program Performance Standards (45 CFR Part 
1304), which address services to infants, toddlers, and pregnant women 
as well as to preschool children and their families.

E. Principles Recommended by the Field

    The Advisory Committee on Services for Families with Infants and 
Toddlers identified nine principles that are characteristic of 
successful programs for families with very young children. These 
principles are consistent with the themes that emerged from the broader 
consultation conducted by the Department. Therefore, applicants are 
expected to take into consideration these principles in designing their 
programs.
    1. High Quality: Programs will ensure high quality in both the 
services provided to children and families directly, and the services 
provided through referrals. Programs will recognize that the 
conception-to-three age period is unique both in the rate of 
development and in the way young children's physical and mental growth 
reflects and absorbs experiences with caregivers and the surroundings. 
Because of this, the experiences and environments provided need to be 
of highest quality to promote child development.
    2. Prevention and Promotion: Recognizing that windows of 
opportunity open and close quickly for very young children and their 
families, programs will seek out opportunities to promote the physical, 
social, emotional, cognitive and language development of young children 
and families before conception, prenatally, upon birth, and during the 
early years. Program staff will seek to prevent and detect problems at 
their earliest stages, rallying the services needed to help the child 
and family anticipate and overcome problems before they interfere with 
healthy development.
    3. Positive Relationships and Continuity: Programs will support and 
enhance strong, caring, continuous relationships among the child, 
parents, family, and caregiving staff. Programs will support the 
mother-child, father-child bond by recognizing each parent as his or 
her child's first and primary source of love, nurturance and guidance. 
Programs will ensure that relationships between caregiving staff and 
young children support infant and toddler attachment to a limited 
number of skilled and caring individuals, thus

[[Page 18969]]

maintaining relationships with caregivers over time and avoiding the 
trauma of loss experienced with frequent turnover of key people in the 
child's life.
    4. Parent Involvement: Programs will ensure the highest level of 
partnership with parents, both mothers and fathers. Programs will 
support parents as primary nurturers, educators, and advocates for 
their children; assure that each parent has opportunities for 
experiences that support his or her own growth and goals, including 
that of parenting; encourage independence and self-sufficiency for 
parents; and provide a policy-making and decision-making role in the 
program for parents.
    5. Inclusion: Programs will develop services and create an 
environment which builds upon and responds to the unique strengths and 
needs of each child and family. Further, programs will support 
participation in community life by young children with disabilities and 
their families; and families of very young children with significant 
disabilities will be fully included in all program services.
    6. Culture: Programs will demonstrate an understanding of, respect 
for, and responsiveness to the home culture of children and families as 
culture is the context for healthy identity development in the first 
years of life.
    7. Comprehensiveness, Flexibility, Responsiveness, and Intensity: 
Programs will respond in flexible ways to the unique strengths, 
abilities, and needs of the children, families and communities they 
serve. Developmental opportunities provided to each infant and toddler 
will address the whole child and be continually adapted to keep pace 
with his or her developmental growth. Programs also need to be 
responsive to the distinct needs and experiences of parents whose 
children are disabled and those parents who have disabilities.
    8. Transition: Programs will be responsible for ensuring the smooth 
transition of children and their families into Head Start or other 
preschool or child development programs which are of high quality and 
provide consistent and responsive caregiving.
    9. Collaboration: Recognizing that no one program will be able to 
meet all of a child's and family's needs, programs will build strong 
connections to other service providers and to community sources of 
support for families. These efforts will foster a caring, comprehensive 
and integrated community-wide response to families with young children, 
maximize scarce financial resources, and avoid duplication of agency 
effort.
    These principles are explained in more detail in the Statement of 
the Advisory Committee on Services for Families with Infants and 
Toddlers, which is attached as Appendix C.

F. Program Description

    In addition to the principles outlined above, a description of the 
Early Head Start program also emerged during consultation with the 
field. The Advisory Committee members conceptualized the program as 
having four cornerstones: child development; family development; 
community building; and staff development.
1. Child Development
    To develop fully, children need individualized support that honors 
the unique characteristics and pace of their physical, social, 
emotional, cognitive and language development. Critical to this 
development are the promotion of child health; positive relationships 
between the child and parents and other significant caregivers; 
opportunities for children's active involvement in appropriately 
stimulating environments; and enhancement of each parent's knowledge 
about the development of their child within healthy, safe environments. 
The services that programs must provide to support the child 
development cornerstone include:
     High quality early education services provided both in and 
out of the home in a range of developmentally appropriate settings for 
infants and toddlers;
     Home visits (especially for families with newborns and 
other infants, as needed);
     Parent education, including parent-child activities;
     Comprehensive health and mental health services for 
children; and
     Part-and full-day child care services, as needed by 
children and families.
    In addition, Early Head Start programs will be responsible for 
helping the family identify and access the services of a consistent 
health professional who can provide ongoing care for the family, child 
and pregnant woman. Further, Early Head Start programs will be 
responsible for coordinating with programs providing services in 
accordance with Part H of the Individuals with Disabilities Education 
Act so that children and families served by these two programs can 
experience a seamless system of services.
2. Family Development
    Healthy child development depends on the ability of parents and 
families to support and nurture children while, at the same time, 
meeting other critical social and economic needs. Therefore, programs 
must work to help parents set and achieve goals for themselves and 
their children through individualized family development plans, which 
are collaboratively designed and updated by families and staff, and are 
responsive to the goals and ideals of the families. When families are 
served by additional programs which also require an individualized 
family development or service plan, such as a family employability plan 
or a plan under Part H of the Individuals with Disabilities Education 
Act, then a single coordinated plan should be developed so families 
experience a seamless system of services.
    The types of services that programs must provide directly or 
through referrals include:
     Ongoing support to parents through case management, peer 
support groups, or other approaches;
     Child development information and services;
     Health services, including services for women prior to, 
during, and after pregnancy;
     Mental health services;
     Services to improve health behavior such as smoking 
cessation and substance abuse treatment;
     Services to adults to support progress towards economic 
independence, such as adult education and basic literacy skills, job 
training, job placement services, assistance in obtaining income 
support, child support or related assistance, food, and decent, safe 
housing, and emergency cash or in-kind assistance; and
     Transportation to program services.
    Programs also must directly provide opportunities for parent 
involvement in the program so that parents can be involved as decision-
makers, volunteers, and/or employees. Additional services not listed 
above, but identified by families through community assessments and 
mappings, may be provided either directly or through referral at local 
option.
3. Community Building
    Children develop within the context of the family and the family 
develops within the context of the community. Therefore, to support 
children's development, Early Head Start programs must establish 
collaborative relationships with other community providers to create an 
environment that shares responsibility for the healthy development of 
its children and their families.

[[Page 18970]]

    The goal of these community relationships is three-fold: increasing 
access to high quality services for program families; assuring that the 
program's approach to serving pregnant women and families with infants 
and toddlers fits into the existing constellation of services in the 
community so that there is a coherent, integrated approach to 
supporting families with very young children; and encouraging systemic 
improvements in service delivery for all the families in a community.
    All programs will be required to conduct an in-depth assessment of 
existing community resources and needs and engage in an ongoing 
collaborative planning process with a range of stakeholders, including 
parents and residents of the community. If the community recently 
conducted such an assessment, the program would be able to use the 
results from that study and then proceed with the collaborative 
planning process.
4. Staff Development
    Programs are only as good as the individuals who staff them. Thus, 
staff development is a key element of Early Head Start programs.
    To ensure the recruitment and development of high quality staff, 
all programs will be required to:
     Select staff who, together, cover the spectrum of skills, 
knowledge and professional competencies necessary to provide high 
quality, comprehensive, inclusive, culturally appropriate, and family-
centered services to young children and their families;
     Select staff who are capable of entering into one-to-one 
caregiving relationships with infants and toddlers, and caring, 
respectful and empowering relationships with families and other 
coworkers;
     Select program directors who possess the above 
characteristics and are highly skilled administrators who exemplify 
leadership qualities such as integrity, warmth, intuition and holistic 
thinking;
     Provide ongoing staff training, supervision and mentoring 
for both line staff and supervisors that reflects an interdisciplinary 
approach and an emphasis on relationship building and employs 
techniques and opportunities for practice, feedback and reflection;
     Provide training so that staff are ``cross-trained'' in 
the areas of child development, family development and community 
building in addition to the areas of home visiting, caregiving 
relationships, effective communication with parents, family literacy, 
healthy/safe environments and caregiving practices, early 
identification of unhealthy behaviors or health problems, service 
coordination, and the provision of services and support to diverse 
populations, including families and children with disabilities and 
developmental delays; and
     Recognize that high quality performance and development 
occur when they are linked to rewards such as salary, compensation, and 
career advancement.
    These cornerstones are explained in more detail in the Statement of 
the Advisory Committee on Services for Families with Infants and 
Toddlers, which is attached as Appendix C. Applicants are expected to 
take into consideration these four cornerstones, the Head Start Program 
Performance Standards and other applicable regulations when designing 
their programs.

Part II. Program Information and Requirements

A. Statutory Authority

    The Head Start Act, as amended, 42 U.S.C. 9801 et seq.

B. Grant Competition

    The funds available for Early Head Start grants in fiscal years 
1997-1998 will be awarded through competitions in two categories:
1. Category One--New Awards to Unserved Areas
    Grants will be competitively awarded to eligible applicants to 
operate Early Head Start programs in geographic areas not currently 
served by Head Start Parent and Child Centers (PCC) and existing Early 
Head Start (EHS) programs. See Appendix D for a list of the geographic 
areas not open to competition under Category One. Applicants in 
Category One will compete on a national basis with all other 
organizations that apply to serve currently unserved areas.
    In awarding grants in this category, ACYF shall ensure an equitable 
geographic distribution of the grants. ACYF will consider the benefit 
to communities of funding new providers.
2. Category Two--New Awards to Communities Served by PCCs
    Grants will be competitively awarded to operate Early Head Start 
programs in geographic areas currently served by existing Head Start 
Parent and Child Centers (PCCs). See Appendix E for a list of the 
geographic areas. In awarding grants in this category, ACYF is 
interested in assuring that communities currently served by PCCs will 
have an opportunity to continue receiving services to low-income 
families with infants and toddlers through Early Head Start programs 
after the authority for funding the PCCs expires in FY 1997.
    Applicants in each geographic area will compete for funds against 
other applicants wishing to serve the same geographic area. There are 
58 such competitive areas (see Appendix E).

C. Eligible Applicants

    Applicants eligible to apply to become an Early Head Start program 
are public agencies and private non-profit agencies. Eligible 
applicants include agencies that operate Comprehensive Child 
Development Programs (CCDPs). Before applications are reviewed, each 
application will be screened to determine whether the applicant 
organization is eligible as specified under this section. Applications 
from organizations which do not meet eligibility requirements will not 
be considered or reviewed in this competition and the applicant will be 
so informed. In addition, inadequate preparation or omission of 
essential components of the application or failure to comply with 
format specifications as described in Parts III and IV will result in 
applications being withdrawn from further consideration.
    On all applications developed jointly by more than one 
organization, the application must identify only one organization as 
the lead organization and official applicant. The lead organization 
must meet the criteria of an ``Eligible Applicant.'' The other 
participating agencies and organizations can be included as co-
participants such as contractors or delegate agencies. Only 
organizations, not individuals, are eligible to apply under this 
announcement.

D. Eligible Participants

    Persons who may participate in the Early Head Start program include 
pregnant women and families with children under age three who have 
incomes at or below the poverty line. Head Start regulations permit, 
however, up to 10 percent of children in local programs to be from 
families which do not meet these low-income criteria. Head Start 
regulations also require that a minimum of 10 percent of enrollment 
opportunities in each program be made available to children with 
disabilities. Such children are expected to be enrolled in the full 
range of services and activities in inclusive settings with their non-
disabled peers and to receive individualized services as needed. The 
report from Congress discussing the creation of this program encouraged 
that participants in programs funded

[[Page 18971]]

through this initiative be identified while pregnant or while their 
children are infants.

E. Target Populations

    Target populations are those that are specified in Part II, Section 
D. Within these categories, applicants may choose to focus on special 
populations, such as teen parents, or to design a program linked to 
welfare reform initiatives if they wish.

F. Project Period, Funding and Project Sizes

    We estimate that a total of approximately $25,800,000 in ACYF funds 
will be available for funding new Early Head Start programs in fiscal 
year l997.
    A considerable amount of additional funds may be available in FY 
1998 because the Head Start Act increases funding for Early Head Start 
projects from four percent of total Head Start funding in FY 1997 to 
five percent in FY 1998. If the Administration's FY 1998 budget 
requests were appropriated, a total of approximately $89,000,000 in 
funds for Early Head Start would be available. As previously noted, the 
selecting official may decide to select some or all of the awardees of 
FY 1998 funds from among the applicants to this announcement. The 
amount that will be awarded will be dependent on the amount of funds 
available and the nature and quality of applications received.
    Applicants are encouraged to apply for projects that will serve 
between 32 and 120 infants, toddlers and pregnant women. It is felt 
that projects serving fewer than 32 children and pregnant women would 
have difficulty providing high quality services while being cost 
effective. The recommended upper limit is intended to ensure that 
projects are of a manageable size and will also allow funds to be 
distributed among more communities. Applicants may propose projects 
outside of these recommended sizes, but must justify doing so. Examples 
of such justifications might be a project to serve an isolated or 
sparsely populated community with a small number of eligible families. 
Conversely, a project from a high population area that can demonstrate 
that it has the capacity to serve a larger number of children and 
pregnant women would be considered.
    There are no pre-determined cost per child amounts for which 
applicants must apply. It is expected that there may be considerable 
variation in amounts applicants receive depending on a number of 
factors, including the way in which the program is structured, the size 
of the program, the costs of operating in different communities and the 
amount of support that is provided from non-federal sources or through 
partnerships with other community agencies and funding sources, such as 
child care providers.
    Each applicant is encouraged to request an amount of funds that 
would allow it to carry out an effective, high quality program that is 
cost-effective and meets the needs of its community.
    Awards, on a competitive basis, will be for a one-year budget 
period, although project periods will be for five-years. Applications 
for continuation grants funded under these awards beyond the first one-
year budget period, but within the five-year project period, will be 
entertained in subsequent years on a non-competitive basis, subject to 
the availability of funds, satisfactory progress of the grantee and a 
determination that continued funding would be in the best interest of 
the Government. Continuation funds will be available to serve eligible 
infants, toddlers and pregnant women who were initially enrolled and 
those eligible children and pregnant women who replace starting 
infants, toddlers and pregnant women who left the program during any 
single year.
    Allowable costs for developing and administering an Early Head 
Start program may not exceed 15 percent of the total approved costs of 
the program. Costs classified as development and administrative costs 
are those costs related to the overall management of the program. 
Additional information pertaining to limitations of costs on 
development and administration of Early Head Start programs can be 
found in Head Start regulation 45 CFR 1301.32, Limitations on Costs of 
Development and Administration of a Head Start Program, which is 
available in the application kit.
    All programs will be reviewed at the end of the first year of 
operation to determine their suitability for receiving continued 
funding. Programs will be expected to submit an ongoing operational 
plan and revised budget. Federal staff also may ask for additional 
material as part of the review.
    Given the importance of planning, selecting high quality staff and 
setting in place training mechanisms, and coordinating with other 
programs within the community, we expect that programs will spend some 
portion of their first year focusing on start-up activities.
    Programs are required to begin serving children, families and 
pregnant women within the first year. Programs must be fully 
operational no later than one year from the date of their grant award. 
Because the first year is unlikely to include 12 months of full 
operation, it is assumed that first year budgets will be lower than 
budgets for future years. Applicants are expected to submit a first 
year budget which will include a start-up budget and a prorated 
operational budget as well as an on-going annualized budget.

G. Required Match

    Grantees that operate Early Head Start programs must provide at 
least 20 percent of the total approved costs of the project. The total 
approved cost of the project is the sum of the ACF share and the non-
Federal share. The non-Federal share may be met by cash or in-kind 
contributions, fairly evaluated, including facilities, equipment or 
volunteer services. Therefore, a project requesting $100,000 in Federal 
funds (based on an award of $125,000 per budget period), must include a 
match of at least $25,000 (20 percent of the total project costs). 
Applicants are encouraged to provide more than the minimum 20 percent 
non-Federal share. In certain instances, the requirement for a 20 
percent non-federal match may be waived in part or in whole, if the 
circumstances described in Section 640(b) of the Head Start Act exist.

H. Applicable Head Start Standards

    Agencies that receive funding under this announcement must adhere 
to the standards set forth in certain regulations that govern Head 
Start programs in addition to Department of Health and Human Services' 
regulations that govern discretionary grants generally. The relevant 
Head Start regulations are: Head Start Grants Administration, 45 CFR 
Part 1301; Program Performance Standards for Operation of Head Start 
Programs by Grantee and Delegate Agencies, 45 CFR Part 1304; and 
Eligibility, Recruitment, Selection, Enrollment and Attendance in Head 
Start, 45 CFR Part 1305; and Head Start Program Performance Standards 
on Services for Children with Disabilities, 45 CFR Part 1308.
    On November 5, 1996, the final version of the revised Head Start 
Program Performance Standards (45 CFR Part 1304) was published in the 
Federal Register [61 FR 57186]. In addition to revising the standards 
for Head Start services to preschool children and their families, these 
regulations provide, for the first time, performance standards for 
Early Head Start programs serving pregnant women and families with 
infants and toddlers. The effective date for these regulations is 
January 1, 1998. At that time, all Head

[[Page 18972]]

Start and Early Head Start programs will be expected to comply with the 
revised Performance Standards. Applications for Early Head Start grants 
must provide evidence of the applicant's knowledge of and capacity to 
meet the relevant Head Start regulations, including the requirements of 
the revised Performance Standards.
    The Head Start Program Performance Standards prescribe the program 
requirements that grantees must meet as they administer Early Head 
Start programs. The four cornerstones and nine principles identify the 
factors that must be considered in designing an Early Head Start 
program. The cornerstones and principles are embedded in the Head Start 
Program Performance Standards which are critical in the implementation 
of an Early Head Start program.

I. Early Head Start as a Learning Community

1. Overview
    On both the local and national level, Early Head Start is 
envisioned as a learning community for how quality services should be 
delivered to low-income pregnant women and families with infants and 
toddlers. Thus, continuous improvement, evaluation, research and 
dissemination activities play a critical role in this initiative. These 
activities include, but are not limited to:
     Continuous review and measurement of program processes to 
determine progress toward stated objectives and for the purpose of 
program improvement;
     Studies of program processes including services offered to 
and received by families and descriptions of how the services are 
delivered;
     Qualitative studies of individual families and programs;
     Studies of child, family, program and community variables 
that contribute to program outcomes;
     Studies of program quality and the relationship of quality 
to program outcomes;
     Studies of program variations and their relationship to 
impacts;
     National impact studies, conducted by a national 
contractor;
     Establishment of longitudinal research in a sample of 
Early Head Start national impact study sites; and
     Documentation of the program models and development of 
materials for dissemination purposes.
2. Requirement on the Use of an Automated Information System
    All Early Head Start programs will be required to use an automated 
information system to collect program information on infants, toddlers 
and pregnant women, services, collaborative arrangements, staff, 
training, services utilization and costs. The Head Start Family 
Information System (HSFIS) is currently being modified to accommodate 
the needs of Early Head Start. The HSFIS software and User's Manual 
will be made available to Early Head Start grantees at the time of 
grant award. Grantees will be responsible for coordinating the 
collection of data for and management of HSFIS.
3. Continuous Improvement Requirements
    In order to enter fully into the learning community environment on 
both the national and local level, all Early Head Start programs will 
be required to:
     Conduct a local assessment of progress toward stated 
objectives and program improvement using the automated information 
system and other sources of data which measure progress toward stated 
objectives and contribute to a process of continuous improvement within 
the program and sponsoring agency; and
     Provide information from the Early Head Start automated 
information system as approved by OMB.

Part III. Application Requirements

    Applicants must address the following requirements in their 
applications for financial assistance. For the convenience of 
applicants, these requirements have been organized according to the 
evaluation criteria presented in Part IV.

A. Objectives and Need for Assistance

    1. State the objectives for the program and indicate how these 
objectives relate to the Head Start Program Performance Standards (see 
Section II. H of this Announcement) and demonstrate that there is a 
need for the program that relates to these standards and is based on an 
assessment of need in the community. Describe the method used to 
undertake the community assessment and consumer consultation process 
that led the applicant to conclude that there is a need for the 
proposed program. An applicant need not conduct an independent 
assessment of the community if such an assessment already exists. In 
this case, the applicant should describe the method used in the 
recently conducted assessment and explain any additional consultation 
with consumers as it relates to the development of the proposed 
program. Provide letters of support for your program from community 
leaders and residents.
    2. Identify the population to be served by the project and explain 
why this population is most in need of the program. Identify the target 
enrollment size (the estimated number of infants, toddlers and pregnant 
women) and provide assurances that the population the program intends 
to recruit and enroll will meet Early Head Start eligibility criteria.
    3. Identify the geographic location to be served by the program. 
Describe the key characteristics of the targeted area and explain what 
makes the area an identifiable community or neighborhood. Describe what 
services and resources are/are not currently available in the area to 
serve pregnant women, infants and toddlers. Provide demographic and 
other information on the target area which demonstrates that there are 
a sufficient number of eligible, unserved infants, toddlers and 
pregnant women in the area to justify the target enrollment size. For 
Category One funds only, demonstrate that the geographic area is 
currently unserved by an Early Head Start program or a Head Start 
Parent and Child Center. For Category Two, demonstrate that the 
geographic area is in the same area as that served by the current 
Parent and Child Center or explain why the boundaries of the service 
area are proposed to be changed (e.g. as a result of the needs 
assessment).

B. Results or Benefits

    1. Identify the specific results or benefits that could be expected 
for children, families and pregnant women participating in the program. 
Identify the specific community-wide results or benefits. Identify the 
specific results or benefits that could be expected for the staff 
working in a collaborative partnership with other child development 
caregivers and family development staff working in a variety of 
relevant community agencies.
    2. Identify the kinds of qualitative and quantitative data the 
program will collect to measure progress towards the stated results or 
benefits. State how you will determine the extent to which the program 
has achieved its stated objectives.
    3. Provide assurances that the program will collect data on groups 
of individuals and geographic areas served, types of services provided, 
service utilization information, types and nature of needs identified 
and met, and such other information as may be required periodically by 
the ACF.

[[Page 18973]]

C. Approach

    In designing the approach, applicants are reminded that, as of 
January 1, 1998, all Early Head Start (EHS) programs must meet the 
requirements of the revised Head Start Program Performance Standards, 
45 CFR Part 1304. Therefore, all elements of the EHS program should be 
consistent with these standards.
    1. All applicants must describe the planning the program will 
conduct during the start-up period to prepare for implementation of the 
program and explain how consumers and other stakeholders in the 
community will be involved in the planning.
    2. Explain the approach to be used to recruit and enroll the number 
and type of infants, toddlers and pregnant women from the target 
recruitment area, as discussed in Part III, Section A. Discuss any 
special efforts you will make to recruit and enroll low-income pregnant 
women and children under age one.
    3. Describe how the program will ensure that at least 10 percent of 
enrollment opportunities will be made available to children with 
disabilities (as defined by the IDEA Part H Lead Agency for the State). 
Describe the policies and practices the program will have in place to 
assure that a child will not be denied enrollment or participation in 
the program on the basis of a disability or the severity of such a 
condition. Describe how the program will work with the Part H local 
lead agency or, if available, the local Interagency Coordinating 
Council, to recruit and enroll children with disabilities (and their 
families) who have been previously identified by the Part H agency, and 
to collaborate with the Part H agency to arrange and provide for 
special services needed by these children and their families. Describe 
how staff will coordinate their efforts with others to ensure children 
with disabilities and their families receive high quality services.
    4. Describe the approach to providing child development services 
and explain the rationale for choosing the approach. Identify and 
describe the specific approaches that will be used for assuring the 
intellectual, social, emotional and physical development of the infants 
and toddlers served. Describe the philosophy, curricula, staffing 
patterns, staff qualifications, types and quality of settings and any 
other relevant information that will comprise the program's model for 
supporting the growth and development of very young children. Clearly 
explain how your model will meet the developmental needs of very young 
children (including children from non-English speaking families).
    5. Explain how the program's child development approach will 
promote parent/guardian-child interaction and support the mother-child 
and/or father-child bond. Also explain how caregiving will be provided 
in ways that support infant and toddler attachment to a limited number 
of skilled and caring individuals.
    6. Describe how high quality infant and toddler full-and part-day 
child care will be provided to children of parents who are working or 
in training or to children who require out-of-home care due to special 
parental circumstances such as substance abuse treatment. Discuss the 
relationship between these resources and the program's overall child 
development approach. Describe the process the program will use to 
determine that child care (provided either directly or through 
referral) will be of high quality. Include the location and description 
of the proposed child care facilities and describe any improvements and 
the costs associated with them which may be required to comply with the 
Head Start Performance Standards. Indicate if the facility is 
immediately available or indicate the estimated date for occupancy. In 
addition, describe the program's approach to building capacity in 
communities where high quality infant/toddler child care is lacking.
    7. Describe the efforts the program will make to help assure 
continuation of developmentally-appropriate services for children, once 
the children reach the age of three.
    8. Describe the specific approaches for providing, either directly 
or through referrals, ongoing well-baby and well-child health services 
such as early and periodic screenings, diagnosis, treatment, 
immunizations, nutritional assessments, developmental surveillance and 
anticipatory guidance. In addition, describe the approach for ensuring 
that children are cared for in safe and hygienic environments.
    9. Describe the approach for supporting family growth and 
development and explain the rationale for choosing the approach. 
Explain the framework of and procedures for developing each family's 
individualized plan. Explain how you intend to work with other service 
delivery systems which require a similar plan, such as the Part H 
Individualized Family Service Plan (IFSP), to ensure that the family 
only needs to complete one plan and that one plan can be used by all 
relevant programs to ensure a seamless service delivery system for the 
child and family. Describe how your family development approach will 
assist families and individual family members in identifying, pursuing 
and achieving goals and overcoming obstacles on the way to achieving 
those goals.
    10. Describe how the program will develop relationships with 
parents which promote their involvement with the program. Describe the 
strategy and the opportunities for parent involvement, providing 
assurances that it meets or exceeds the parent involvement standards 
described in 45 CFR Part 1304, the Head Start Program Performance 
Standards. Explain what special efforts the program will make to reach 
out to and to involve fathers.
    11. Describe what services the program will provide, either 
directly or through referrals, to promote adult and family health and 
wellness. Identify and explain the mental and physical health services 
which will be made available and accessible to the families of the 
infants and toddlers served by the program. Describe what the program 
will do to promote women's health and wellness prior to, during and 
after pregnancy. In addition, describe what the program will do to 
facilitate access to substance abuse prevention and treatment services 
and smoking cessation programs for affected families.
    12. Describe what services the program will provide, either 
directly or through referrals, to promote progress toward economic 
self-sufficiency for parents. Describe the program's approach to basic 
literacy training, adult basic eduction, employability skills training, 
job development and placement services and any other employment and 
training services that are planned.
    13. Describe what assistance the program will provide, either 
directly or through referrals, to families in obtaining needed income 
support, child support and related assistance.
    14. Identify the existing transportation resources available to 
families in reaching services provided at the program site and in off-
site locations. Describe any transportation arrangements the program 
will make to ensure that children and pregnant women are able to access 
needed services.
    15. Describe the program's approach to community building and 
explain the rationale for choosing the approach. Describe how the 
program will be coordinated with other programs and services in the 
community which serve pregnant women, infants, toddlers and their 
families and how the program will assist in the development of local 
community capability, expertise and commitment to carry out 
comprehensive

[[Page 18974]]

service programs built around the needs of low-income pregnant women 
and families with very young children. Describe any barriers to 
collaboration in your community and explain the program's strategy for 
addressing these. Identify by name specific providers, agencies and 
organizations with which the applicant will coordinate in order to 
carry out the requirements of this project. Applicants should furnish 
formal interagency agreements or contracts (if available) indicating 
which services will be provided to which program participants and for 
what periods of time, by each of those provider agencies and/or 
organizations.
    16. Describe linkages with community resources that the program 
will establish and maintain during the planning, implementation and 
operation of the program: health and nutrition (e.g., public health 
departments and other health providers and programs including Title V, 
Supplemental Food Program for Women, Infants and Children (WIC) and 
Medicaid prenatal care services and the Medicaid Early and Periodic 
Screening, Diagnosis and Treatment program (EPSDT)); early intervention 
(e.g., Part H local lead agency or, if available, local interagency 
coordinating councils and University Affiliated Programs); mental 
health and substance abuse prevention and treatment; the agency 
administering Temporary Assistance for Needy Families (TANF); education 
(e.g., local preschool, child care, Head Start, and elementary 
schools); other Early Head Start programs; child care resource and 
referral agencies and their networks; business (e.g., the local Private 
Industry Council); parent groups; and other strength-building 
organizations.
    17. Describe the approach to staff selection and explain the 
rationale for choosing the approach. Describe what staffing patterns 
and mix of staff qualifications and language/cultural competencies the 
program will require to ensure that staff, together, cover the spectrum 
of skills, knowledge and professional competencies necessary to provide 
quality, comprehensive, inclusive and family-centered services to 
pregnant women and young children and families. Describe the process 
the applicant will use to identify and select individual staff--from 
directors to caregivers to data management staff--who demonstrate the 
personal characteristics, competencies and skills necessary to provide 
quality services and promote quality relationships with and among 
children, families, the community and other staff. Explain how the 
program will ensure that all infant/toddler caregivers are qualified, 
with sufficient grounding in infant/toddler development and care and 
parent/caregiver relations prior to working with children and families 
enrolled in the program. Please note the revised Head Start Program 
Performance Standards require that Early Head Start staff working as 
teachers with infants and toddlers must obtain a Child Development 
Associate (CDA) credential for infant and toddler caregivers or an 
equivalent credential that addresses comparable competencies within one 
year of the effective date of the final rule (January 1, 1998) or, 
thereafter, within one year, as a teacher of infants and toddlers (45 
CFR Part 1304.52(f)).
    18. Describe the approach to staff development and the rationale 
for choosing the approach. Describe the training, technical assistance, 
and supervision that will be provided to ensure continued enhancement 
of staff skills and teamwork. Describe how training and technical 
assistance opportunities will be coordinated with other service 
providers in the community so that Early Head Start both provides and 
benefits from the knowledge, expertise, and training opportunities of 
other relevant community programs and service delivery systems. 
Describe how the program will ensure that staff are knowledgeable about 
the rights of children with disabilities and are capable of providing 
such infants and toddlers with high quality care in a supportive and 
developmentally appropriate environment.
    19. Identify and explain the management and continuous improvement 
plan(s) for implementing the program. Include: an outline of the 
timeframes and milestones for all key activities that the program will 
engage in during the first year of operation, as well as a preliminary 
outline of timeframes and milestones for key activities in the 
remaining years of the project; a description of the procedures for 
assessing progress toward stated objectives, including how the 
collection of data on results and benefits will contribute to a process 
of continuous improvement within the program and the sponsoring agency; 
a description of how an automated information system will become an 
integral component in the management and continuous improvement of the 
program; a description of how confidentiality of user data will be 
maintained; a description of the applicant's capacity (e.g. 
administrative and support personnel, etc.) to support the program at 
the proposed target enrollment size; a description of the strategy for 
minimizing staff turnover; and a description of how the program will go 
about establishing a Policy Council (as described by 45 CFR Part 1304) 
and a Health Services Advisory Committee (as described by 45 CFR Part 
1304).
    20. Identify and describe the proposed site which will be used to 
serve children and families and include a description of the size and 
location of classroom, administrative, and food service space, if 
applicable. If incidental alteration and renovation costs are proposed, 
include a written estimate and the date by which the proposed facility 
will be licensed and available to provide child and family services.

D. Collaboration

    Describe the collaborative relationships the applicant will develop 
in order to maximize resources in the community. Include letters of 
support and commitment from other partner agencies in the community. In 
the area of child care to meet the needs of low-income parents, 
describe collaborative approaches to funding and service delivery with 
other community-based child care agencies and providers or child care 
funding sources. In partnerships with child care agencies and 
providers, the child care programs gain the benefit of Early Head Start 
resources and experience in enhancing the quality of staffing and 
program services to levels consistent with Head Start Program 
Performance Standards. Include letters of commitment from child care 
and early childhood agencies who will assist the grantee in delivering 
services.

E. Staff Background and Organizational Experience

    1. Describe the applicant's experience in providing comprehensive 
child and family development services to infants and toddlers and their 
families as well as pregnant women. Describe the applicant's experience 
in collaborating with local, State and Federal partners. Describe the 
applicant's history and relationship with the target community. Include 
a complete discussion of relevant program, administrative and fiscal 
management experience.
    2. If the applicant represents a consortium of partner agencies, 
explain the relevant background of each partner and its experience in 
planning and implementing programs to serve children and families. Each 
partner must provide a letter of commitment which authorizes the 
applicant to apply on behalf of the consortium.
    3. Identify and provide a brief description of key staff who are 
proposed to work in the program and

[[Page 18975]]

indicate their educational training and experience working with similar 
programs. Provide resumes. Build on the answer to Part III, Section C, 
Number 17 by explaining how these particular staff comprise a multi-
disciplinary team of experts. In addition, explain how the ethnic and 
racial composition and language proficiencies of these particular staff 
are reflective of the community where the program will be located.
    4. Describe the expertise the organization will utilize in 
conducting continuous improvement activities. Describe the experience 
of and provide resumes for the individuals who will assist the program 
with continuous improvement activities.

F. Budget Appropriateness

    1. Provide two detailed, line-item budgets: one budget that 
separates all relevant start-up costs from a prorated amount of 
operating costs to be incurred in the first year of the project (e.g. 
one column for start-up costs and one column for prorated operating 
costs); and one budget that reflects ongoing annual operating costs. In 
the proposed budgets, applicants must set aside sufficient funds so 
that at least two staff can travel to Washington, D.C. for two annual 
meetings of four days each to be convened by ACYF. In addition, 
applicants must set aside sufficient funds so that at least one staff 
can travel to a mid-point in the U.S. for two trips per year of seven 
days each for intensive training. Each budget should include the 
required non-Federal share of the cost of the project (See Part II, 
Section G).
    2. Describe how these budgets reflect high quality, ongoing 
services provided at a reasonable cost. Include discussions on the 
appropriateness of staff compensation levels and funds set aside to 
assure ongoing staff development and training; costs associated with 
special equipment and technological needs and the removal of 
architectural barriers for persons with disabilities; renovation costs 
associated with providing environments conducive to the high quality 
provision of child and family development services; and costs 
associated with family transportation and emergency resource needs, 
etc. Explain what efforts the applicant has made or will make to secure 
other community cash and in-kind resources, besides those shown in the 
budgets, and what additional resources will be used to support the 
provision of Early Head Start services to children and families.
    3. In providing high quality infant and toddler child care, 
applicants should describe how a variety of existing community 
resources will be utilized and maximized. Provide documentation of the 
additional resources that will be combined with Early Head Start funds 
to provide high quality child care which meets the Head Start Program 
Performance Standards. Explain and itemize these resources or services, 
whether or not these costs are included as part of the non-federal 
share.
    4. Provide information on the facilities the applicant will use, 
including the estimated cost and scope of any changes that are needed 
and when such facilities are available. In most cases, it is expected 
that, given the finite project period for which Early Head Start grants 
will be funded, applicants will not propose to use Early Head Start 
grant funds to purchase, construct or undertake a major renovation of a 
facility. If an applicant, however, believes that such a purchase, 
construction or major renovation is in the best interests of the 
government, and can demonstrate this in its application, it may propose 
to purchase, construct or undertake a major renovation of an Early Head 
Start facility.

Part IV. Evaluation Criteria

    In considering how applicants will carry out the responsibilities 
addressed under Part III of this announcement, competing applications 
for financial assistance will be reviewed and evaluated against the 
following six criteria. The point values following each criterion 
indicate the numerical weight each criterion will be accorded in the 
review process.

A. Criterion 1. Objectives and Need for Assistance (15 Points)

    The extent to which, based on community assessment information, the 
applicant identifies any relevant physical, economic (e.g., poverty in 
the community), social, financial, institutional, or other issues which 
demonstrate a need for the Early Head Start program; in addition, the 
extent to which the applicant identifies the strengths of the community 
the project will serve. The extent to which the applicant lists 
relevant program objectives that adequately address the strengths and 
needs of the community. The extent to which the applicant describes the 
population to be served by the project and explains why this population 
is most in need of services to be provided by the program. The extent 
to which the applicant gives a precise location and rationale for the 
project site(s) and area(s) to be served by the proposed project. For 
Category One funds, the applicant needs to demonstrate that the 
geographic area is currently unserved. For Category Two funds, the 
applicant needs to demonstrate that the geographic area chosen is in 
the same area as that served by the current Parent and Child Center or 
explain why the service area is proposed to be changed.
    Information provided in response to Part III, Section A of this 
announcement will be used to evaluate applicants on this criterion.

B. Criterion 2. Results or Benefits Expected (10 Points)

    The extent to which the applicant identifies the results and 
benefits to be derived from the project and links these to the stated 
objectives. The extent to which the applicant describes the kinds of 
data to be collected and how they will be utilized to measure progress 
towards the stated results or benefits.
    Information provided in response to Part III, Section B of this 
announcement will be used to evaluate applicants on this criterion.

C. Criterion 3. Approach (35 Points)

    The extent to which the applicant demonstrates the knowledge and 
capacity to meet the requirements of the Head Start Program Performance 
Standards. The extent to which the applicant explains why the approach 
chosen is effective in light of the needs, objectives, results and 
benefits described above. The extent to which the approach is grounded 
in recognized standards and/or guidelines for high quality service 
provision or is defensible from a research or ``best practices'' 
standpoint.
    The extent to which the applicant's management plan demonstrates 
sufficient management capacity to implement a high-quality Early Head 
Start program.
    Information provided in Part III, Section C of this announcement 
will be used to evaluate applicants on this criterion.

D. Criterion 4. Collaboration (10 Points)

    The extent to which the applicant presents documentation of efforts 
(letters of commitment, interagency agreements, etc.) to establish and 
maintain ongoing collaborative relationships with community partners. 
The extent and thoroughness of approaches to combining Early Head Start 
resources and capabilities with those of other local child care 
agencies and providers to provide high quality child care services to 
infants and toddlers which meet the Head Start Program Performance 
Standards.
    Information concerning collaboration which is provided in response 
to Part

[[Page 18976]]

III, Section D of this announcement will be used to evaluate applicants 
on this criterion.

E. Criterion 5. Staff Background and Organizational Experience (20 
Points)

    The extent to which the proposed program director, proposed key 
project staff, and the organization's experience and history with the 
community demonstrate the ability to effectively and efficiently 
administer a project of this size, complexity and scope. The extent to 
which the organization demonstrates an ability to carry out continuous 
improvement activities. Up to five points will be given based on the 
organization's experience in providing early, continuous, and 
comprehensive child and family development services.
    Information provided in response to Part III, Section E of this 
announcement will be used to evaluate applicants on this criterion.

F. Criterion 6. Budget Appropriateness (10 Points)

    The extent to which the program's costs are reasonable in view of 
the planning and activities to be carried out and the anticipated 
outcomes. The extent to which the salaries and fringe benefits reflect 
the level of compensation appropriate for the responsibilities of 
staff. The extent to which assurances are provided that the applicant 
can and will contribute the non-Federal share of the total project 
cost. The extent to which the program has attempted to and/or succeeded 
in garnering cash or in-kind resources from other sources in the 
community. The extent to which costs for facilities are reasonable and 
cost effective, given the five year project period for the Early Head 
Start grant.
    Information provided in response to Part III, Section F of this 
announcement will be used to evaluate applicants on this criterion.

Part V. The Application Process

A. Availability of Forms

    Eligible applicants interested in applying for funds must submit 
all the required forms included at the end of this announcement in 
Appendix A. This material is also included in the application kit 
provided by contacting the ACF Operations Center at 1-800-351-2293 
(phone) or 1-800-351-4490 (fax). Applicants are required to use the 
Standard Forms, Certifications, Disclosures and Assurances provided 
under Appendix A--ACF Uniform Discretionary Grant Application Form 
(ACF/UDGAF). Under the ACF/UDGAF, applications submitted for funds 
under this announcement are considered NEW APPLICATIONS. Applicants 
should follow instructions in the ACF/UDGAF for NEW APPLICATIONS.
    In order to be considered for a grant under this Announcement, an 
application must be submitted on the Standard Form 424 which has been 
approved by the Office of Management and Budget (OMB) under Control 
Number 0970-0139. A copy has been provided (see Appendix A). Each 
application must have an original signature by an individual authorized 
to act for the applicant and to assume responsibility for the 
obligations imposed by the terms and conditions of the grant award. A 
copy of the governing body's authorization for this person to sign this 
application as official representative must be on file in the 
applicant's office.
    In preparing the program narrative statement, the applicant should 
provide the information that the panel will use to evaluate and rank 
the proposal. That information should be concise and complete when 
addressing the activities for which Federal funds are being requested. 
Supporting documents should be included where they present information 
clearly and succinctly. Applicants should respond to the instructions 
under ACF/UDGAF--Program Narrative--Items A (Project Description--
Components) and D (Budget and Budget Justification). Under Project 
Description--Component, the applicant should address the specific 
information requested under each area in this program announcement. 
Some of the following sections of the Program Narrative portion of the 
ACF/UDGAF do not require a response under this announcement, while 
information on other sections noted below should be placed under a 
different section than prescribed in the Program Narrative of the ACF/
UDGAF:
    Section A.1.--Project Summary/Abstract--This should be a one page 
or less summary of the project with reference to the funding requested 
and placed directly under the table of contents or SF424. This page 
will not count against the page limit for program description.
    Section A.5.--Evaluation--Do not address the section as stated in 
the ACF/UDGAF in this application; it is not required under this 
announcement.
    Section A.6.--Geographic Location--Should be addressed under the 
Objective and Needs for Assistance section of this announcement (Part 
III A).
    Section A.7.--Additional Information--Should be addressed under the 
Staff Background and Organizational Experience section of this 
announcement (Part III E). Letters of Support should be addressed under 
the appendices to the application.
    Section B.--(Non-competing continuation applications) Does not 
apply to this announcement.
    Section C.--(Supplemental requests) Does not apply to this 
announcement.
    Section D.--Budget and Budget Justification--should be addressed 
under the Budget Appropriateness section of this announcement (Part III 
F).
    Requests to renovate a facility should be addressed under SF 424A--
Budget Information Non-Construction Programs. Applicants requesting 
financial assistance for a non-construction project must file the 
Standard Form 424B, ``Assurances: Non-Construction Programs.'' 
Applicants must sign and return the Standard Form 424B with their 
application. SF 424C--Budget Information for Construction Programs and 
SF424D--``Assurances'' for Construction Programs do not apply to this 
announcement, unless the applicant is proposing construction under Part 
III.F.4.
    Applicants must provide a certification concerning lobbying. Prior 
to receiving an award in excess of $100,000, applicants shall furnish 
an executed copy of the lobbying certification. Applicants must sign 
and return the certification with their application.
    Applicants must sign the disclosure of lobbying activities, if 
appropriate.
    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 make the appropriate certification of their 
compliance with the Drug-Free Workplace Act of 1988. By signing and 
submitting the application, applicants are providing the certification 
and need not mail back the certification with the application.
    Applicants must also understand that they will be held accountable 
for the smoking prohibition included within P.L. 103-227, The Pro-
Children's Act of 1994. A copy of the Federal Register notice which 
implements the smoking prohibition is included in the application kit.

B. Application Submission

    Applicants submitting proposals should use the following format 
guidelines: Proposals should be organized according to the evaluation

[[Page 18977]]

criteria located in Part IV of this Federal Register announcement. For 
each of the six specified criteria, applicants should provide 
information in response to the application requirements described in 
Part III of this announcement. These application requirements are 
cross-referenced by number in the last paragraph of each criterion. All 
persons who prepared sections of the proposal should be identified 
along with those sections, as well as identified according to their 
responsibilities with regard to the proposed program.
    One signed original and two complete copies of the grant 
application, including all attachments, are required. The program 
announcement number (ACYF-HS-93600-97-03) must be clearly identified on 
the application. Each application must be limited to no more than 100 
double-spaced pages of program narrative (not including the forms which 
make up the SF-424 and resumes) excluding the one-page project summary. 
If the narrative portion of the application is more than 100 double-
spaced pages, the other pages will be removed from the application and 
not considered by the reviewers. The attachments/appendices to each 
application must be limited to no more than 100 pages, (in addition to 
the 100 pages permitted for the narrative portion of the application). 
If the attachments/appendices to each application are more than 100 
pages, the other pages will be removed from the application and not 
considered by the reviewers.
    Applicants must indicate on page one of their Application for 
Federal Assistance, SF 424, whether they are applying for funding under 
Category One or Category Two (see II B. 1 and 2). Please indicate in 
the ``applicant identifier'' box at the top of page one of the SF 424, 
the category for which you are applying (Category One or Two). For 
Category Two, the applicants must list the number of the Parent and 
Child Center (PCC) geographic area for which they are applying to serve 
(see II.B.2 and Appendix E list of PCC geographic areas). Indicate the 
geographic area number for which you are applying in box # 12, ``areas 
affected by project'' on page one of the SF 424.

C. Application Considerations

    Applicants will be scored against the evaluation criteria described 
above. The review will be conducted in Washington, DC. or in an HHS 
Regional office by a panel consisting of experts in the areas of child 
and family development and other related fields.
    The results of the competitive review will be taken into 
consideration by the Associate Commissioner, Head Start Bureau, in 
recommending the projects to be funded. The Commissioner of ACYF will 
make the final selection of the applicants to be funded. An application 
may be funded in whole or in part, depending on the relative need for 
services, applicant ranking, geographic location and funds available.
    The Commissioner may elect not to fund applicants that have 
management, fiscal, or other problems and situations that make it 
unlikely that they would be able to provide effective Early Head Start 
services.
    The Commissioner may decide not to fund projects that would require 
unreasonably large initial start-up costs for facilities or equipment.
    Successful applicants will be notified through the issuance of a 
Financial Assistance Award which sets forth the amount of funds 
granted, the terms and conditions of the grant, the effective date of 
the grant, the budget period for which support is given, and the total 
project period for which support is provided.
    In awarding grants to eligible applicants, the Commissioner shall 
ensure an equitable national geographic distribution of the grants and 
award grants to applicants proposing to serve communities in rural 
areas and to applicants proposing to serve communities in urban areas.
    The Commissioner will consider the benefit to communities of 
funding new providers.
    Subject to the availability of additional resources in FY 1998 and 
the number of acceptable applications received as a result of this 
program announcement, the Commissioner may elect to fund grantees in FY 
1998 from the pool of applications submitted in response to this 
announcement.
    ACYF will determine when the project period begins for Early Head 
Start grants.

D. Checklist for a Complete Application

    The checklist below is for your use to ensure that the application 
package has been properly prepared.

--One original, signed and dated application plus two copies.
--The narrative portion of the application does not exceed 100 double-
spaced pages in a 12-pitch font with 1\1/2\ inch margins at the top and 
1 inch at the bottom and both sides.
--Attachments/Appendices to the application do not exceed 100 pages. 
Attachments/appendices should be used only to provide supporting 
documentation such as maps, administration charts, position 
descriptions, resumes, and letters of intent/agreement. Please do not 
include books or video tapes as they are not easily reproduced and are 
therefore inaccessible to the reviewers. Each page should be numbered 
sequentially.
--A complete application consists of the items indicated in the 
checklist in the ACF/UDGAF.

E. Due Date for the Receipt of Applications

    Deadlines: Mailed applications shall be considered as meeting an 
announced deadline if they are received on or before the deadline time 
and date at the ACYF Operations Center, Clarendon Blvd., Suite 240, 
Arlington, VA 22201, Attention: Application for Early Head Start 
Category ____________. Applicants are responsible for mailing 
applications well in advance, when using all mail services, to ensure 
that the applications are received on or before the deadline time and 
date. Applicants are cautioned that postmarks will not be considered as 
a methodology for meeting the deadline.
    Applications handcarried by applicants, applicant couriers, or by 
overnight/express mail couriers shall be considered as meeting the 
announced deadline if they are received on or before the deadline date, 
between the hours of 8:00 a.m. and 4:30 p.m., at the ACYF Operations 
Center, 3030 Clarendon Blvd., Suite 240, Arlington, Virginia 22201, 
between Monday and Friday (excluding Federal holidays). (Applicants are 
cautioned that express/overnight mail services do not always deliver as 
agreed.)
    ACF cannot accommodate transmission 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.
    Late applications: Applications which do not meet the criteria 
above are considered late applications. ACF shall notify each late 
applicant that its application will not be considered.
    Extension of deadlines: ACF may extend the deadline for all 
applicants because of acts of God such as floods, hurricanes, etc., or 
when there is a widespread disruption of the mails. However, if ACF 
does not extend the deadline for all applicants, it may not waive or 
extend the deadline for any applicants.

F. Paperwork Reduction Act of 1995 (P.L. 104-13)

    All information collections within this program announcement are 
approved under the Uniform Discretionary Grant Application Form

[[Page 18978]]

under OMB Control Number 0970-0139 (expiration date August 31, 1997). 
The estimated burden per response is 20 hours. 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.

G. Executive Order 12372--Notification Process

    This program is covered under Executive Order 12372, 
``Intergovernmental Review of Federal Programs,'' and 45 CFR Part 100, 
``Intergovernmental Review of Department of Health and Human Services 
Programs and Activities.'' Under the Order, States may design their own 
processes for reviewing and commenting on proposed Federal assistance 
under covered programs.
    All States and territories except Alabama, Alaska, Colorado, 
Connecticut, Hawaii, Idaho, Kansas, Louisiana, Massachusetts, 
Minnesota, Montana, Nebraska, New Jersey, Oklahoma, Oregon, 
Pennsylvania, South Dakota, Tennessee, Vermont, Virginia, Washington, 
American Samoa, and Palau have elected to participate in the Executive 
Order process and have established Single Points of Contact (SPOCs). 
Applicants from these twenty-three jurisdictions areas need not take 
action regarding Executive Order 12372.
    Applications for projects to be administered by Federally-
recognized Indian Tribes are also exempt from the requirements of 
Executive Order 12372. Otherwise, applicants should contact their SPOC 
as soon as possible to alert them to the prospective application and to 
receive any necessary instructions. Applicants must submit any required 
material to the SPOC as early as possible so that the program office 
can obtain and review SPOC comments as part of the award process. It is 
imperative that the applicant submit all required materials, if any, to 
the SPOC and indicate the date of this submittal (or date of contact if 
no submittal is required) on the Standard Form 424, item 16a.
    Under 45 CFR 100.8(a)(2), a SPOC has 60 days from the application 
deadline to comment on proposed new or competing continuation awards.
    SPOCs are encouraged to eliminate the submission of routine 
endorsements as official recommendations.
    Additionally, SPOCs are requested to clearly differentiate between 
mere advisory comments and those official State process recommendations 
which may trigger the ``accommodate or explain'' rule.
    When comments are submitted directly to the ACF, they should be 
addressed to: Department of Health and Human Services, Administration 
on Children, Youth and Families, Head Start Bureau, Grants Officer, 330 
C Street S.W., Room 2310-B, Washington, D.C. 20201.
    A list of Single Points of Contact for each State and territory is 
included as Appendix B of this announcement.

H. Closing Date

    The closing date for submission of applications is June 16, 1997.

(Catalog of Federal Domestic Assistance Program Number 93.600, 
Project Head Start)

    Dated: April 14, 1997.
James A. Harrell,
Acting Commissioner, Administration on Children, Youth and Families.

BILLING CODE 4184-01-P

[[Page 18979]]

[GRAPHIC] [TIFF OMITTED] TN17AP97.000



BILLING CODE 4184-01-C

[[Page 18980]]

Instructions for the SF 424

    Public reporting burden for this collection of information is 
estimated to average 45 minutes per response, including time for 
reviewing instructions, searching existing data sources, gathering 
and maintaining the data needed, and completing and reviewing the 
collection of information. Send comments regarding the burden 
estimate or any other aspect of this collection of information, 
including suggestions for reducing this burden, to the Office of 
Management and Budget, Paperwork Reduction Project (0348-0043), 
Washington, DC 20503.

Please Do Not Return Your Completed Form to the Office of Management 
and Budget, Send It to the Address Provided by the Sponsoring Agency

    This is a standard form used by applicants as a required 
facesheet for preapplications and applications submitted for Federal 
assistance. It will be used by Federal agencies to obtain applicant 
certification that States which have established a review and 
comment procedure in response to Executive Order 12372 and have 
selected the program to be included in their process, have been 
given an opportunity to review the applicant's submission.

Item and Entry

    1. Self-explanatory.
    2. Date application submitted to Federal agency (or State, if 
applicable) and applicant's control number (if applicable).
    3. State use only (if applicable).
    4. If this application is to continue or revise an existing 
award, enter present Federal identifier number. If for a new 
project, leave blank.
    5. Legal name of applicant, name of primary organizational unit 
which will undertake the assistance activity, complete address of 
the applicant, and name and telephone number of the person to 
contact on matters related to this application.
    6. Enter Employer Identification Number (EIN) as assigned by the 
Internal Revenue Service.
    7. Enter the appropriate letter in the space provided.
    8. Check appropriate box and enter appropriate letter(s) in the 
space(s) provided:

--``New'' means a new assistance award.
--``Continuation'' means an extension for an additional funding/
budget period for a project with a projected completion date.
--``Revision'' means any change in the Federal Government's 
financial obligation or contingent liability from an existing 
obligation.

    9. Name of Federal agency from which assistance is being 
requested with this application.
    10. Use the Catalog of Federal Domestic Assistance number and 
title of the program under which assistance is requested.
    11. Enter a brief descriptive title of the project. If more than 
one program is involved, you should append an explanation on a 
separate sheet. If appropriate (e.g., construction or real property 
projects), attach a map showing project location. For 
preapplications, use a separate sheet to provide a summary 
description of this project.
    12. List only the largest political entities affected (e.g., 
State, counties, cities.)
    13. Self-explanatory.
    14. List the applicant's Congressional District and any 
District(s) affected by the program or project.
    15. Amount requested or to be contributed during the first 
funding/budget period by each contributor. Value of in-kind 
contributions should be included on appropriate lines as applicable. 
If the action will result in a dollar change to an existing award, 
indicate only the amount of the change. For decreases, enclose the 
amounts in parentheses. If both basic and supplemental amounts are 
included, show breakdown on an attached sheet. For multiple program 
funding, use totals and show breakdown using same categories as item 
15.
    16. Applicants should contact the State Single Point of Contact 
(SPOC) for Federal Executive Order 12372 to determine whether the 
application is subject to the State intergovernmental review 
process.
    17. This question applies to the applicant organization, not the 
person who signs as the authorized representative. Categories of 
debt include delinquent audit allowances, loans and taxes.
    18. To be signed by the authorized representative of the 
applicant. A copy of the governing body's authorization for you to 
sign this application as official representative must be on file in 
the applicant's office. (Certain Federal agencies may require that 
this authorization be submitted as part of the application.)

BILLING CODE 4184-01-P

[[Page 18981]]

[GRAPHIC] [TIFF OMITTED] TN17AP97.001



[[Page 18982]]

[GRAPHIC] [TIFF OMITTED] TN17AP97.002



BILLING CODE 4184-01-C

[[Page 18983]]

Instructions for the SF 424A

    Public reporting burden for this collection of information is 
estimated to average 180 minutes per response, including time for 
reviewing instructions, searching existing data sources, gathering 
and maintaining the data needed, and completing and reviewing the 
collection of information. Send comments regarding the burden 
estimate or any other aspect of this collection of information, 
including suggestions for reducing this burden, to the Office of 
Management and Budget, Paperwork Reduction Project (0348-0043), 
Washington, DC 20503.

Please Do Not Return Your Completed Form to the Office of Management 
and Budget, Send It to the Address Provided by the Sponsoring Agency

General Instructions

    This form is designed so that application can be made for funds 
from one or more grant programs. In preparing the budget, adhere to 
any existing Federal grantor agency guidelines which prescribe how 
and whether budgeted amounts should be separately shown for 
different functions or activities within the program. For some 
programs, grantor agencies may require budgets to be separately 
shown by function or activity. For other programs, grantor agencies 
may require a breakdown by function or activity. 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 function or activities, enter the name of each 
activity or function on each line in Column (a), and enter the 
catalog number in Column (b). For applications pertaining to 
multiple programs where none of the programs require a breakdown by 
function or activity, enter the catalog program title on each line 
in Column (a) and the respective catalog number of each line 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 total for all columns used.

Section B. Budget Categories

    In the column headings (1) through (4), enter the titles of the 
same programs, functions, and activities shown on Lines 1-4, Column 
(a), Section A. When additional sheets are prepared for Section A, 
provide similar column headings on each sheet. For each program, 
function or activity, fill in the total requirements for funds (both 
Federal and non-Federal) by object class categories.
    Lines 6a-i--Show the totals of Lines 6a to 6h in each column.
    Line 6j--Show the amount of indirect cost.
    Line 6k--Enter the total of amounts on Lines 6i and 6j. For all 
applications for new grants and continuation grants the total amount 
in column (5), Line 6k, should be the same as the total amount shown 
in Section A, Column (g), Line 5. For supplemental grants and 
changes to grants, the total amount of the increase or decrease as 
shown in Columns (1)-(4), Line 6k, should be the same as the sum of 
the amounts in Section A, Columns (e) and (f) on Line 5.
    Line 7--Enter the estimated amount of income, if any, expected 
to be generated from this project. Do not add or subtract this 
amount from the total project amount. Show under the program 
narrative statement the nature and source of income. The estimated 
amount of program income may be considered by the federal grantor 
agency in determining the total amount of the grant.

Section C. Non-Federal Sources

    Lines 8-11--Enter amounts of non-Federal resources that will be 
used on the grant. If in-kind contributions are included, provide a 
brief explanation on a separate sheet.
    Column (a)--Enter the program titles identical to Column (a), 
Section A. A breakdown by function or activity is not necessary.
    Column (b)--Enter the contribution to be made by the applicant.
    Column (c)--Enter the amount of the State's cash and in-kind 
contribution if the applicant is not a State or State agency. 
Applicants which are a State or State agencies should leave this 
column blank.
    Column (d)--Enter the amount of cash and in-kind contributions 
to be made from all other sources.
    Column (e)--Enter totals in Columns (b), (c), and (d).
    Line 12--Enter the total for each of Columns (b)-(e). The amount 
in Column (e) should be equal to the amount on Line 5, Column (f), 
Section A.

Section D. Forecasted Cash Needs

    Line 13--Enter the amount of cash needed by quarter from the 
grantor agency during the first year.
    Line 14--Enter the amount of cash from all other sources needed 
by quarter during the first year.
    Line 15--Enter the totals of amounts on Lines 13 and 14.

Section E. Budget Estimates of Federal Funds Needed for Balance of 
the Project

    Lines 16-19--Enter in Column (a) the same grant program titles 
shown in Column (a), Section A. A breakdown by function or activity 
is not necessary. For new applications and continuation grant 
applications, enter in the proper columns amounts of Federal funds 
which will be needed to complete the program or project over the 
succeeding funding periods (usually in years). This section need not 
be completed for revisions (amendments, changes, or supplements) to 
funds for the current year of existing grants.
    If more than four lines are needed to list the program titles, 
submit additional schedules as necessary.
    Line 20--Enter the total for each of the Columns (b)-(e). When 
additional schedules are prepared for this Section, annotate 
accordingly and show the overall totals on this line.

Section F. Other Budget Information

    Line 21--Use this space to explain amounts for individual direct 
object-class cost categories that may appear to be out of the 
ordinary or to explain the details as required by the Federal 
grantor agency.
    Line 22--Enter the type of indirect rate (provisional, 
predetermined, final or fixed) that will be in effect during the 
funding period, the estimated amount of the base to which the rate 
is applied, and the total indirect expense.
    Line 23--Provide any other explanations or comments deemed 
necessary.

Assurances--Non-Construction Programs

    Public reporting burden for this collection of information is 
estimated to average 15 minutes per response, including time for 
reviewing instructions, searching existing data sources, gathering 
and maintaining the data needed, and completing and reviewing

[[Page 18984]]

the collection of information. Send comments regarding the burden 
estimate or any other aspect of this collection of information, 
including suggestions for reducing this burden, to the Office of 
Management and Budget, Paperwork Reduction Project (0348-0043), 
Washington, DC 20503.

Please Do Not Return Your Completed Form to the Office of Management 
and Budget, Send It to the Address Provided by the Sponsoring Agency

    Note: Certain of these assurances may not be applicable to your 
project or program. If you have questions, please contact the 
awarding agency. Further, certain Federal awarding agencies may 
require applicants to certify to additional assurances. If such is 
the case, you will be notified.

    As the duly authorized representative of the applicant I certify 
that the applicant:
    1. Has the legal authority to apply for Federal assistance and 
the institutional, managerial and financial capability (including 
funds sufficient to pay the non-Federal share of project costs) to 
ensure proper planning, management and completion of the project 
described in this application.
    2. Will give the awarding agency, the Comptroller General of 
United States, and if appropriate, the State, through any authorized 
representative, access to and the right to examine all records, 
books, papers, or documents related to the award; and will establish 
a proper accounting system in accordance with generally accepted 
accounting standards or agency directives.
    3. Will establish safeguards to prohibit employees from using 
their positions for a purpose that constitutes or presents the 
appearance of personal or organizational conflict of interest, or 
personal gain.
    4. Will initiate and complete the work within the applicable 
time frame after receipt of approval of the awarding agency.
    5. Will comply with the Intergovernmental Personnel Act of 1970 
(42 U.S.C. Secs. 4728-4763) relating to prescribed standards for 
merit systems for programs funded under one of the nineteen statutes 
or regulations specified in Appendix A of OPM's Standards for a 
Merit System of Personnel Administration (5 C.F.R. 900, Subpart F).
    6. Will comply with all Federal statutes relating to 
nondiscrimination. These include but are not limited to: (a) Title 
VI of the Civil Rights Act of 1964 (P.L. 88-352) which prohibits 
discrimination on the basis of race, color or national origin; (b) 
title IX of the Education Amendments of 1972, as amended (20 U.S.C. 
Secs. 1681-1683, and 1685-1686), which prohibits discrimination on 
the basis of sex; (c) Section 504 of the Rehabilitation Act of 1973, 
as amended (29 U.S.C. Sec. 794), which prohibits discrimination on 
the basis of handicaps; (d) the Age Discrimination Act of 1975, as 
amended (42 U.S.C. Sec. 6101-6107), which prohibits discrimination 
on the basis of age; (e) the Drug Abuse Office and Treatment Act of 
1972 (P.L. 92-255), as amended, relating to nondiscrimination on the 
basis of drug abuse: (f) the Comprehensive Alcohol Abuse and 
Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 
(P.L. 91-616), as amended, relating to nondiscrimination on the 
basis of alcohol abuse or alcoholism; (g) Secs. 523 and 527 of the 
Public Health Service Act of 1912 (42 U.S.C. 290 dd-3 and 290 ee-3), 
as amended, relating to confidentiality of alcohol and drug abuse 
patient records; (h) Title VIII of the Civil Rights Act of 1968 (42 
U.S.C. Sec. 3601 et seq.), as amended, relating to non-
discrimination in the sale, rental or financing of housing; (i) any 
other nondiscrinimation provisions in the specific statute(s) under 
which application for Federal assistance is being made; and (j) the 
requirements of any other nondiscrimination statute(s) which may 
apply to the application.
    7. Will comply, or has already complied, with the requirements 
of Titles II and III of the Uniform Relocation Assistance and Real 
Property Acquisition Policies Act of 1970 (P.L. 91-646) which 
provide for fair and equitable treatment of persons displaced or 
whose property is acquired as a result of Federal or federally 
assisted programs. These requirements apply to all interests in real 
property acquired for project purposes regardless of Federal 
participation in purchases.
    8. Will comply, as applicable, with the provisions of the Hatch 
Act (5 U.S.C. Secs. 1501-1508 and 7324-7328) which limit the 
political activities of employees whose principal employment 
activities are funded in whole or in part with Federal funds.
    9. Will comply as applicable, with the provisions of the Davis-
Bacon Act (40 U.S.C. Secs. 276a to 276a-7), the Copeland Act (40 
U.S.C. Sec. 276c and 18 U.S.C. Sec. 874, and the Contract Work Hours 
and Safety Standards Act (40 U.S.C. Secs. 327-333), regarding labor 
standards for federally assisted construction subagreements.
    10. Will comply, if applicable, with flood insurance purchase 
requirements of Section 102(a) of the Flood Disaster Protection Act 
of 1973 (P.L. 93-234) which requires recipients in a special flood 
hazard area to participate in the program and to purchase flood 
insurance if the total cost of insurable construction and 
acquisition is $10,000 or more.
    11. Will comply with environmental standards which may be 
prescribed pursuant to the following: (a) Institution of 
environmental quality control measures under the National 
Environmental Policy Act of 1969 (P.L. 91-190) and Executive Order 
(EO) 11514; (b) notification of violating facilities pursuant to EO 
11738; (c) protection of wetlands pursuant to EO 11990; (d) 
evaluation of flood hazards in floodplains in accordance with EO 
11988; (e) assurance of project consistency with the approved State 
management program developed under the Coastal Zone Management Act 
of 1972 (16 U.S.C. Secs. 1451 et seq.); (f) conformity of Federal 
actions to State (Clear Air) Implementation Plans under Section 
176(c) of the Clear Air Act of 1955, as amended (42 U.S.C. 
Secs. 7401 et seq.); (g) protection of underground sources of 
drinking water under the Safe Drinking Water Act of 1974, as amended 
(P.L. 93-523); and (h) protection of endangered species under the 
Endangered Species Act of 1973, as amended (P. L. 93-205).
    12. Will comply with the Wild and Scenic Rivers Act of 1968 (16 
U.S.C. Secs. 1271 et seq.) related to protecting components or 
potential components of the national wild and scenic rivers system.
    13. Will assist the awarding agency in assuring compliance with 
Section 106 of the National Historic Preservation Act of 1966, as 
amended (16 U.S.C. 470), EO 11593 (identification and protection of 
historic properties), and the Archaeological and Historic 
Preservation Act of 1974 (16 U.S.C. 469a-1 et seq.).
    14. Will comply with P.L. 93-348 regarding the protection of 
human subjects involved in research, development, and related 
activities supported by this award of assistance.
    15. Will comply with the Laboratory Animal Welfare Act of 1966 
(P.L. 89-544, as amended, 7 U.S.C. 2131 et seq.) pertaining to the 
care, handling, and treatment of warm blooded animals held for 
research, teaching, or other activities supported by this award of 
assistance.
    16. Will comply with the Lead-Based Paint Poisoning Prevention 
Act (42 U.S.C. Secs. 4801 et seq.) which prohibits the use of lead 
based paint in construction or rehabilitation of residence 
structures.
    17. Will cause to be performed the required financial and 
compliance audits in accordance with the Single Audit Act of 1984 or 
OMB Circular No. A-133, Audits of Institutions of Higher Learning 
and other Non-profit Institutions.
    18. Will comply with all applicable requirements of all other 
Federal laws, executive orders, regulations and policies governing 
this program.

----------------------------------------------------------------------
Signature of authorized certifying official

----------------------------------------------------------------------
Title

----------------------------------------------------------------------
Applicant organization

----------------------------------------------------------------------
Date submitted
    This certification is required by the regulations implementing 
the Drug-Free Workplace Act of 1988: 45 CFR Part 76, Subpart F. 
Sections 76.630(c) and (d)(2) and 76.645(a) (1) and (b) provide that 
a Federal agency may designate a central receipt point for STATE-
WIDE AND STATE AGENCY-WIDE certifications, and for notification of 
criminal drug convictions. For the Department of Health and Human 
Services, the central point is: Division of Grants Management and 
Oversight, Office of Management and Acquisition, Department of 
Health and Human Services, Room 517-D, 200 Independence Avenue, SW 
Washington, DC 20201.

Certification Regarding Drug-Free Workplace Requirements

(Instructions for Certification)
    1. By signing and/or submitting this application or grant 
agreement, the grantee is providing the certification set out below.
    2. The certification set out below is a material representation 
of fact upon which reliance is placed when the agency awards the 
grant. If it is later determined that the grantee knowingly rendered 
a false

[[Page 18985]]

certification, or otherwise violates the requirements of the Drug-
Free Workplace Act, the agency, in addition to any other remedies 
available to the Federal Government, may take action authorized 
under the Drug-Free Workplace Act.
    3. For grantees other than individuals, Alternate I applies.
    4. For grantees who are individuals, Alternate II applies.
    5. Workplaces under grants, for grantees other than individuals, 
need not be identified on the certification. If known, they may be 
identified in the grant application. If the grantee does not 
identify the workplaces at the time of application, or upon award, 
if there is no application, the grantee must keep the identity of 
the workplace(s) on file in its office and make the information 
available for Federal inspection. Failure to identify all known 
workplaces constitutes a violation of the grantee's drug-free 
workplace requirements.
    6. Workplace identifications must include the actual address of 
buildings (or parts of buildings) or other sites where work under 
the grant takes place. Categorical descriptions may be used (e.g., 
all vehicles of a mass transit authority of State highway department 
while in operation, State employees in each local unemployment 
office, performers in concert halls or radio studios).
    7. If the workplace identified to the agency changes during the 
performance of the grant, the grantee shall inform the agency of the 
change(s), if it previously identified the workplaces in question 
(see paragraph five).
    8. Definitions of terms in the Nonprocurement Suspension and 
Debarment common rule and Drug-Free Workplace common rule apply to 
this certification. Grantees' attention is called, in particular, to 
the following definitions from these rules:
    Controlled substance means a controlled substance in Schedules I 
through V of the Controlled Substances Act (21 U.S.C. 812) and as 
further defined by regulation (21 CFR 1308.11 through 1308.15);
    Conviction means a finding of guilt (including a plea of nolo 
contendere) or imposition of sentence, or both, by any judicial body 
charged with the responsibility to determine violations of the 
Federal or State criminal drug statutes;
    Criminal drug statute means a Federal or non-Federal criminal 
statute involving the manufacture, distribution, dispensing, use, or 
possession of any controlled substance;
    Employee means the employee of a grantee directly engaged in the 
performance of work under a grant, including: (i) All direct charge 
employees; (ii) All indirect charge employees unless their impact or 
involvement is insignificant to the performance of the grant; and, 
(iii) Temporary personnel and consultants who are directly engaged 
in the performance of work under the grant and who are in the 
grantee's payroll. This definition does not include workers not on 
the payroll of the grantee (e.g., volunteers, even if used to meet a 
matching requirement; consultants or independent contractors not on 
the grantee's payroll; or employees of subrecipients or 
subcontractors in covered workplaces).

Certification Regarding Drug-Free Workplace Requirements

Alternate I. (Grantees Other Than Individuals)

    The grantee certifies that it will or will continue to provide a 
drug-free workplace by:
    (a) Publishing a statement notifying employees that the unlawful 
manufacture, distribution, dispensing, possession, or use of a 
controlled substance is prohibited in the grantee's workplace and 
specifying the actions that will be taken against employees for 
violation of such prohibition;
    (b) Establishing an ongoing drug-free awareness program to 
inform employees about--
    (1) The dangers of drug abuse in the workplace;
    (2) The grantee's policy of maintaining a drug-free workplace;
    (3) Any available drug counseling, rehabilitation, and employee 
assistance programs; and
    (4) The penalties that may be imposed upon employees for drug 
abuse violations occurring in the workplace;
    (c) Making it a requirement that each employee to be engaged in 
the performance of the grant be given a copy of the statement 
required by paragraph (a);
    (d) Notifying the employee in the statement required by 
paragraph (a) that, as a condition of employment under the grant, 
the employee will--
    (1) Abide by the terms of the statement; and
    (2) Notify the employer in writing of his or her conviction for 
a violation of a criminal drug statute occurring in the workplace no 
later than five calendar days after such conviction;
    (e) Notifying the agency in writing, within ten calendar days 
after receiving notice under paragraph (d)(2) from an employee or 
otherwise receiving actual notice of such conviction. Employers of 
convicted employees must provide notice, including position title, 
to every grant officer or other designee on whose grant activity the 
convicted employee was working, unless the Federal agency has 
designated a central point for the receipt of such notices. Notice 
shall include the identification number(s) of each affected grant;
    (f) Taking one of the following actions, within 30 calendar days 
of receiving notice under paragraph (d)(2), with respect to any 
employee who is so convicted--
    (1) Taking appropriate personnel action against such an 
employee, up to and including termination, consistent with the 
requirements of the Rehabilitation Act of 1973, as amended; or
    (2) Requiring such employee to participate satisfactorily in a 
drug abuse assistance or rehabilitation program approved for such 
purposes by a Federal, State, or local health, law enforcement, or 
other appropriate agency;
    (g) Making a good faith effort to continue to maintain a drug-
free workplace through implementation of paragraphs (a), (b), (c), 
(d), (e) and (f).
    (B) The grantee may insert in the space provided below the 
site(s) for the performance of work done in connection with the 
specific grant:
    Place of performance (Street address, city, county, state, zip 
code):

----------------------------------------------------------------------

----------------------------------------------------------------------

    Check {time}  if there are workplaces on file that are not 
identified here.

Alternate II. (Grantees Who Are Individuals)

    (a) The grantee certifies that, as a condition of the grant, he 
or she will not engage in the unlawful manufacture, distribution, 
dispensing, possession, or use of a controlled substance in 
conducting any activity with the grant;
    (b) If convicted of a criminal drug offense resulting from a 
violation occurring during the conduct of any grant activity, he or 
she will report the conviction, in writing, within 10 calendar days 
of the conviction, to every grant officer or other designee, unless 
the Federal agency designates a central point for the receipt of 
such notices. When notice is made to such a central point, it shall 
include the identification number(s) of each affected grant.

[55 FR 21690, 21702, May 25, 1990]

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

[[Page 18986]]

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 to 
the Federal Government, the department or agency may terminate this 
transaction for cause or default.
* * * * *

Certification Regarding Debarment, Suspension, and Other Responsibility 
Matters--Primary Covered Transactions

    (1) The prospective primary participants 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 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 these 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 Lobbying

Certification for Contracts, Grants, Loans, and Cooperative 
Agreements

    The undersigned certifies, to the best of his or her knowledge 
and belief, that:

[[Page 18987]]

    (1) No Federal appropriated funds have been paid or will be 
paid, by or on behalf of the undersigned, to any person for 
influencing or attempting to influence an officer or employee of an 
agency, a Member of Congress, an officer or employee of Congress, or 
an employee of a Member of Congress in connection with the awarding 
of any Federal contract, the making of any Federal grant, the making 
of any Federal loan, the entering into of any cooperative agreement, 
and the extension, continuation, renewal, amendment, or modification 
of any Federal contract, grant, loan, or cooperative agreement.
    (2) If any funds other than Federal appropriated funds have been 
paid or will be paid to any person for influencing or attempting to 
influence an officer or employee of any agency, a Member of 
Congress, an officer or employee of Congress, or an employee of a 
Member of Congress in connection with this Federal contract, grant, 
loan, or cooperative agreement, the undersigned shall complete and 
submit Standard Form--LLL, ``Disclosure Form to Report Lobbying,'' 
in accordance with its instructions.
    (3) The undersigned shall require that the language of this 
certification be included in the award documents for all subawards 
at all tiers (including subcontracts, subgrants, and contracts under 
grants, loans, and cooperative agreements) and that all 
subrecipients shall certify and disclose accordingly.
    This certification is a material representation of fact upon 
which reliance was placed when this transaction was made or entered 
into. Submission of this certification is a prerequisite for making 
or entering into this transaction imposed by section 1352, title 31, 
U.S. Code. Any person who fails to file the required certification 
shall be subject to a civil penalty of not less than $10,000 and not 
more than $100,000 for each such failure.

Statement for Loan Guarantees and Loan Insurance

    The undersigned states, to the best of his or her knowledge and 
belief, that:
    If any funds have been paid or will be paid to any person for 
influencing or attempting to influence an officer or employee of any 
agency, a Member of Congress, an officer or employee of Congress, or 
an employee of a Member of Congress in connection with this 
commitment providing for the United States to insure or guarantee a 
loan, the undersigned shall complete and submit Standard Form--LLL, 
``Disclosure Form to Report Lobbying,'' in accordance with its 
instructions. Submission of this statement is a prerequisite for 
making or entering into this transaction imposed by section 1352, 
title 31, U.S. Code. Any person who fails to file the required 
statement shall be subject to a civil penalty of not less than 
$10,000 and not more than $100,000 for each such failure.

----------------------------------------------------------------------
Signature

----------------------------------------------------------------------
Title

----------------------------------------------------------------------
Organization

----------------------------------------------------------------------
Date

BILLING CODE 4184-01-P

[[Page 18988]]

[GRAPHIC] [TIFF OMITTED] TN17AP97.003



BILLING CODE 4184-01-C

[[Page 18989]]

Instructions for Completion of SF-LLL, Disclosure of Lobbying 
Activities

    This disclosure form shall be completed by the reporting entity, 
whether subawardee or prime Federal recipient, at the initiation or 
receipt of a covered Federal action, or a material change to a 
previous filing, pursuant to title 31 U.S.C. section 1352. The 
filing of a form is required for each payment or agreement to make 
payment to any lobbying entity 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 a covered Federal action. 
Complete all items that apply for both the initial filing and 
material change report. Refer to the implementing guidance published 
by the Office of Management and Budget for additional information.
    1. Identify the type of covered Federal action for which 
lobbying activity is and/or has been secured to influence the 
outcome of a covered Federal action.
    2. Identify the status of the covered Federal action.
    3. Identify the appropriate classification of this report. If 
this is a followup report caused by a material change to the 
information previously reported, enter the year and quarter in which 
the change occurred. Enter the date of the last previously submitted 
report by this reporting entity for this covered Federal action.
    4. Enter the full name, address, city, state and zip code of the 
reporting entity. Include Congressional District, if known. Check 
the appropriate classification of the reporting entity that 
designates if it is, or expects to be a prime or subaward recipient. 
Identify the tier of the subawardee, e.g., the first subawardee of 
the prime is the 1st tier. Subawards include but are not limited to 
subcontracts, subgrants and contract awards under grants.
    5. If the organization filing the report in item 4 checks 
``Subawardee'', then enter the full name, address, city, state and 
zip code of the prime Federal recipient. Include Congressional 
District, if known.
    6. Enter the name of the Federal agency making the award or loan 
commitment. Include at least one organizational level below agency 
name, if known. For example, Department of Transportation, United 
States Coast Guard.
    7. Enter the Federal program name or description for the covered 
Federal action (item 1). If known, enter the full Catalog of Federal 
Domestic Assistance (CFDA) number for grants, cooperative 
agreements, loans, and loan commitments.
    8. Enter the most appropriate Federal identifying number 
available for the Federal action identified in item 1 [e.g., Request 
for Proposal (RFP) number; Invitation for Bid (IFB) number; grant 
announcement number; the contract, grant, or loan award number; the 
application/proposal control number assigned by the Federal agency]. 
Include prefixes, e.g., ``RFP-DE-90-001.''
    9. For a covered Federal action where there has been a award or 
loan commitment by the Federal agency, enter the Federal amount of 
the award loan commitment for the prime entity identified in item 4 
or 5.
    10. (a) Enter the full name, address, city, state and zip code 
of the lobbying registrant under the Lobbying Disclosure Act of 1995 
engaged by the reporting entity identified in item 4 to influence 
the covered Federal action.
    (b) Enter the full name(s) of the individual(s) performing 
services, and include full address if different from 10(a). Enter 
Last Name, First Name, and Middle Initial (MI).

(The instructions for items 11 through 15 are removed.)
    16. The certifying official shall sign and date the form, print 
his/her name, title, and telephone number.
    Public reporting burden for this collection of information is 
estimated to average 30 minutes per response, including time for 
reviewing instructions, searching existing data sources, gathering 
and maintaining the data needed, and completing and reviewing the 
collection of information. Send comments regarding the burden 
estimate or any other aspect of this collection of information, 
including suggestions for reducing this burden, to the Office of 
Management and Budget, Paperwork Reduction Project (0348-0046).

Program Narrative

    This program narrative section was designed for use by many and 
varied programs. Consequently, it is not possible to provide 
specific guidance for developing a program narrative statement that 
would be appropriate in all cases. Applicants must refer the 
relevant program announcement for information on specific program 
requirements and any additional guidelines for preparing the program 
narrative statement. The following are general guidelines for 
preparing a program narrative statement.
    The program narrative provides a major means by which the 
application is evaluated and ranked to compete with other 
applications for available assistance. It should be concise and 
complete and should address the activity for which Federal funds are 
requested. Supporting documents should be included where they can 
present information clearly and succinctly. Applicants are 
encouraged to provide information on their organizational structure, 
staff, related experience, and other information considered to be 
relevant. Awarding offices use this and other information to 
determine whether the applicant has the capability and resources 
necessary to carry out the proposed project. It is important, 
therefore, that this information be included in the application. 
However, in the narrative the applicant must distinguish between 
resources directly related to the proposed project from those which 
will not be used in support of the specific project for which funds 
are requested.
    Cross-referencing should be used rather than repetition. ACF is 
particularly interested in specific factual information and 
statements of measurable goals in quantitative terms. Narratives are 
evaluated on the basis of substance, not length. Extensive exhibits 
are not required. (Supporting information concerning activities 
which will not be directly funded by the grant or information which 
does not directly pertain to an integral part of the grant funded 
activity should be placed in an appendix.) Pages should be numbered 
for easy reference.
    Prepare the program narrative statement in accordance with the 
following instructions:
     Applicants submitting new applications or competing 
continuation applications should respond to Items A and D.
     Applicants submitting noncompeting continuation 
applications should respond to Item B.
     Applicants requesting supplemental assistance should 
respond to Item C.

A. Project Description--Components

1. Project Summary/Abstract

    A summary of the project description (usually a page or less) 
with reference to the funding request should be placed directly 
behind the table of contents or SF-424.

2. Objectives and Need for Assistance

    Applicants must clearly identify the physical, economic, social, 
financial, institutional, or other problem(s) requiring a solution. 
The need for assistance must be demonstrated and the principal and 
subordinate objectives of the project must be clearly stated; 
supporting documentation such as letters of support and testimonials 
from concerned interests other than the applicant may be included. 
Any relevant data based on planning studies should be included or 
referenced in the endnotes/footnotes. Incorporate demographic data 
and participant/beneficiary information, as needed. In developing 
the narrative, the applicant may volunteer or be requested to 
provide information on the total range of projects currently 
conducted and supported (or to be initiated), some of which may be 
outside the scope of the program announcement.

3. Results or Benefits Expected

    Identify results and benefits to be derived. For example, when 
applying for a grant to establish a neighborhood child care center, 
describe who will occupy the facility, who will use the facility, 
how the facility will be used, and how the facility will benefit the 
community which it will serve.

4. Approach

    Outline a plan of action which describes the scope and detail of 
how the proposed work will be accomplished. Account for all 
functions or activities identified in the application. Cite factors 
which might accelerate or decelerate the work and state your reason 
for taking this approach rather than others. Describe any unusual 
features of the project such as design or technological innovations, 
reductions in cost or time, or extraordinary social and community 
involvement.
    Provide quantitative monthly or quarterly projections of the 
accomplishments to be achieved for each function or activity in such 
terms as the number of people to be served and the number of 
microloans made. When accomplishments cannot be quantified by 
activity or function, list them in

[[Page 18990]]

chronological order to show the schedule of accomplishments and 
their target dates.
    Identify the kinds of data to be collected, maintained, and/or 
disseminated. (Note that clearance from the U.S. Office of 
Management and Budget might be needed prior to an information 
collection.) List organizations, cooperating entities, consultants, 
or other key individuals who will work on the project along with a 
short description of the nature of their effort or contribution.

5. Evaluation

    Provide a narrative addressing how you will evaluate (1) the 
results of your project and (2) the conduct of your program. In 
addressing the evaluation of results, state how you will determine 
the extent to which the program has achieved its stated objectives 
and the extent to which the accomplishment of objectives can be 
attributed to the program. Discuss the criteria to be used to 
evaluate results; explain the methodology that will be used to 
determine if the needs identified and discussed are being met and if 
the project results and benefits are being achieved. With respect to 
the conduct of your program, define the procedures you will employ 
to determine whether the program is being conducted in a manner 
consistent with the work plan you presented and discuss the impact 
of the program's various activities upon the program's 
effectiveness.

6. Geographic Location

    Give the precise location of the project and boundaries of the 
area to be served by the proposed project. Maps or other graphic 
aids may be attached.

7. Additional Information (Include if Applicable)

    Additional information may be provided in the body of the 
program narrative or in the appendix. Refer to the program 
announcement and ``General Information and Instructions'' for 
guidance on placement of application materials.
    Staff and Position Data--Provide a biographical sketch for key 
personnel appointed and a job description for each vacant key 
position. Some programs require both for all positions. Refer to the 
program announcement for guidance on presenting this information. 
Generally, a biographical sketch is required for original staff and 
new members as appointed.
    Plan for Project Continuance Beyond Grant Support--A plan for 
securing resources and continuing project activities after Federal 
assistance has ceased.
    Business Plan--When federal grant funds will be used to make an 
equity investment, provide a business plan. Refer to the program 
announcement for guidance on presenting this information.
    Organization Profiles--Information on applicant organizations 
and their cooperating partners such as organization charts, 
financial statements, audit reports or statements from CPA/Licensed 
Public Accountant, Employer Identification Numbers, names of bond 
carriers, contact persons and telephone numbers, child care licenses 
and other documentation of professional accreditation, information 
on compliance with federal/state/local government standards, 
documentation of experience in program area, and other pertinent 
information. Any non-profit organization submitting an application 
must submit proof of its non-profit status in its application at the 
time of submission. The non-profit agency can accomplish this by 
providing a copy of the applicant's listing in the Internal Revenue 
Service's (IRS) most recent list of tax-exempt organizations 
described in Section 501(c)(3) of the IRS code or by providing a 
copy of the currently valid IRS tax exemption certificate, or by 
providing a copy of the articles of incorporation bearing the seal 
of the State in which the corporation or association is domiciled.
    Dissemination Plan--A plan for distributing reports and other 
project outputs to colleagues and the public. Applicants must 
provide a description of the kind, volume and timing of 
distribution.
    Third-Party Agreements--Written agreements between grantees and 
subgrantees or subcontractors or other cooperating entities. These 
agreements may detail scope of work, work schedules, remuneration, 
and other terms and conditions that structure or define the 
relationship.
    Waiver Request--A statement of program requirements for which 
waivers will be needed to permit the proposed project to be 
conducted.
    Letters of Support--Statements from community, public and 
commercial leaders which support the project proposed for funding.

B. Noncompeting Continuation Applications

    A program narrative usually will not be required for 
noncompeting continuation applications for nonconstruction programs. 
Noncompeting continuation applications shall be abbreviated unless 
the ACF Program Office administering this program has issued a 
notice to the grantee that a full application will be required.
    An abbreviated application consists of:
    1. The Standard Form 424 series (SF 424, SF 424A, SF-424B).
    2. The estimated or actual unobligated balance remaining from 
the previous budget period should be identified on an accurate SF-
269 as well as in Section A, Columns (c) and (d) of the SF-424A.
    3. The grant budget, broken down into the object class 
categories on the 424A, and if category ``other'' is used, the 
specific items supported must be identified.
    4. Required certifications.
    A full application consists of all elements required for an 
abbreviated application plus:
    1. Program narrative information explaining significant changes 
to the original program narrative statement, a description of 
accomplishments from the prior budget period, a projection of 
accomplishments throughout the entire remaining project period, and 
any other supplemental information that ACF informs the grantee is 
necessary.
    2. A full budget proposal for the budget period under 
consideration with a full cost analysis of all budget categories.
    3. A corrective action plan, if requested by ACF, to address 
organizational performance weaknesses.

C. Supplemental Requests

    For supplemental assistance requests, explain the reason for the 
request and justify the need for additional funding. Provide a 
budget and budget justification only for those items for which 
additional funds are requested. (See Item D for guidelines on 
preparing a budget and budget justification.)

D. Budget and Budget Justification

    Provide line item detail and detailed calculations for each 
budget object class identified on the Budget Information form. 
Detailed calculations must include estimation methods, quantities, 
unit costs, and other similar quantitative detail sufficient for the 
calculation to be duplicated. The detailed budget must also include 
a breakout by the funding sources identified in Block 15 of the SF-
424.
    Provide a narrative budget justification which describes how the 
categorical costs are derived. Discuss the necessity, 
reasonableness, and allocability of the proposed costs.
    The following guidelines are for preparing the budget and budget 
justification. Both federal and non-federal resources should be 
detailed and justified in the budget and narrative justification. 
For purposes of preparing the program narrative, ``federal 
resources'' refers only to the ACF grant for which you are applying. 
Non-Federal resources are all other federal and non-federal 
resources. It is suggested that for the budget, applicants use a 
column format: Column 1, object class categories; Column 2, federal 
budget amounts; Column 3, non-federal budget amounts, and Column 4, 
total amounts. The budget justification should be a narrative.
    Personnel. Costs of employee salaries and wages.
    Justification: Identify the project director or principal 
investigator, if known. For each staff person, show name/title, time 
commitment to the project (in months), time commitment to the 
project (as a percentage or full-time equivalent), annual salary, 
grant salary, wage rates, etc. Do not include costs of consultants 
or personnel costs of delegate agencies or of specific project(s) or 
businesses to be financed by the applicant.
    Fringe Benefits. Costs of employee fringe benefits unless 
treated as part of an approved indirect cost rate.
    Justification: Provide a breakdown of amounts and percentages 
that comprise fringe benefit costs, such as health insurance, FICA, 
retirement insurance, taxes, etc.
    Travel. Costs of project related travel by employees of the 
applicant organization (does not include costs of consultant 
travel).
    Justification: For each trip, show the total number of 
traveler(s), travel destination, duration of trip, per diem, mileage 
allowances, if privately owned vehicles will be used, and other 
transportation costs and subsistence allowances. Travel costs for 
key staff to attend ACF sponsored workshops as specified in this 
program announcement should be detailed in the budget.
    Equipment. Costs of all non-expendable, tangible personal 
property to be acquired by the project where each article has a 
useful life of more than one year and an acquisition

[[Page 18991]]

cost which equals the lesser of (a) the capitalization level 
established by the applicant organization for financial statement 
purposes, or (b) $5000.
    Justification: For each type of equipment requested, provide a 
description of the equipment, cost per unit, number of units, total 
cost, and a plan for use on the project, as well as use or disposal 
of the equipment after the project ends.
    Supplies. Costs of all tangible personal property (supplies) 
other than that included under the Equipment category.
    Justification: Specify general categories of supplies and their 
costs. Show computations and provide other information which 
supports the amount requested.
    Contractual. Costs of all contracts for services and goods 
except for those which belong under other categories such as 
equipment, supplies, construction, etc. Third-party evaluation 
contracts (if applicable) and contracts with secondary recipient 
organizations including delegate agencies and specific project(s) or 
businesses to be financed by the applicant should be included under 
this category.
    Justification: All procurement transactions shall be conducted 
in a manner to provide, to the maximum extent practical, open and 
free competition. If procurement competitions were held or if a sole 
source procurement is being proposed, attach a list of proposed 
contractors, indicating the names of the organizations, the purposes 
of the contracts, the estimated dollar amounts, and the award 
selection process. Also provide back-up documentation where 
necessary to support selection process.

    Note: Whenever the applicant/grantee intends to delegate part of 
the program to another agency, the applicant/grantee must provide a 
detailed budget and budget narrative for each delegate agency by 
agency title, along with the required supporting information 
referenced in these instructions.

    Applicants must identify and justify any anticipated procurement 
that is expected to exceed the simplified purchase threshold 
(currently set at $100,000) and to be awarded without competition. 
Recipients are required to make available to ACF pre-award review 
and procurement documents, such as request for proposals or 
invitations for bids, independent cost estimates, etc. under the 
conditions identified at 45 CFR part 74.44(e).
    Construction. Costs of construction by applicant or contractor.
    Justification: Provide detailed budget and narrative in 
accordance with instructions for other object class categories. 
Identify which construction activity/costs will be contractual and 
which will be assumed by the applicant.
    Other. Enter the total of all other costs. Such costs, where 
applicable and appropriate, may include but are not limited to 
insurance, food, medical and dental costs (noncontractual), fees and 
travel paid directly to individual consultants, space and equipment 
rentals, printing and publication, computer use, training costs, 
including tuition and stipends, training service costs including 
wage payments to individuals and supportive service payments, and 
staff development costs.
    Indirect Charges. Total amount of indirect costs. This category 
should be used only when the applicant currently has an indirect 
cost rate approved by the Department of Health and Human Services or 
another cognizant Federal agency.
    Justification: With the exception of most local government 
agencies, an applicant which will charge indirect costs to the grant 
must enclose a copy of the current rate agreement if the agreement 
was negotiated with a cognizant Federal agency other than the 
Department of Health and Human Services (DHHS). If the rate 
agreement was negotiated with the Department of Health and Human 
Services, the applicant should state this in the budget 
justification. If the applicant organization is in the process of 
initially developing or renegotiating a rate, it should immediately 
upon notification that an award will be made, develop a tentative 
indirect cost rate proposal based on its most recently completed 
fiscal year in accordance with the principles set forth in the 
pertinent DHHS Guide for Establishing Indirect Cost Rates, and 
submit it to the appropriate DHHS Regional Office. Applicants 
awaiting approval of their indirect cost proposals may also request 
indirect costs. It should be noted that when an indirect cost rate 
is requested, those costs included in the indirect cost pool should 
not be also charged as direct costs to the grant. Also, if the 
applicant is requesting a rate which is less than what is allowed 
under this program announcement, the authorized representative of 
your organization needs to submit a signed acknowledgement that the 
applicant is accepting a lower rate than allowed.
    Program Income. The estimated amount of income, if any, expected 
to be generated from this project. Separately show expected program 
income generated from program support and income generated from 
other mobilized funds. Do not add or subtract this amount from the 
budget total. Show the nature and source of income in the program 
narrative statement.
    Justification: Describe the nature, source and anticipated use 
of program income in the budget or reference pages in the program 
narrative statement which contain this information.
    Non-Federal Resources. Amounts of non-Federal resources that 
will be used to support the project as identified in Block 15 of the 
SF-424.
    Justification: The firm commitment of these resources must be 
documented and submitted with the application in order to be given 
credit in the review process.
    Total Direct Charges, Total Indirect Charges, Total Project 
Costs. (Self explanatory).

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/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.

Certification Regarding Maintenance of Effort

    In accordance with the applicable program statute(s) and 
regulation(s), the undersigned certifies that financial assistance 
provided by the Administration for Children and Families, for the 
specified activities to be performed under the

----------------------------------------------------------------------
Program by
----------------------------------------------------------------------
(Applicant Organization)

will be in addition to, and not in substitution for, comparable 
activities previously carried on without Federal assistance.

----------------------------------------------------------------------
Signature of Authorized Certifying Official

----------------------------------------------------------------------
Title

----------------------------------------------------------------------
Date

Appendix B--OMB State Single Point of Contact Listing

Arizona

Joni Saad, Arizona State Clearinghouse, 3800 N. Central Avenue, 
Fourteenth Floor, Phoenix, Arizona 85012, Telephone (602) 280-1315, 
FAX: (602) 280-8144

Arkansas

Mr. Tracy L. Copeland, Manager, State Clearinghouse, Office of 
Intergovernmental Services, Department of Finance and 
Administration, 1515 W. 7th St., Room 412, Little Rock, Arkansas 
72203, Telephone: (501) 682-1074, FAX: (501) 682-5206

California

Grants Coordinator, Office of Planning and 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) 739-3226, FAX: (302) 739-5661

[[Page 18992]]

District of Columbia

Charles Nichols, State Single Point of Contact, Office of Grants 
Mgmt. and 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, Baltimore, Maryland 21201-2365, Staff 
Contact: Linda Janey, Telephone: (410) 225-4490, FAX: (410) 225-4480

Michigan

Richard Pfaff, Southeast Michigan Council of Governments, 1900 
Edison Plaza, 660 Plaza Drive, Detroit, Michigan 48226, Telephone: 
(313) 961-4266, FAX: (313) 961-4869

Mississippi

Cathy Malette, Clearinghouse Officer, Department of Finance and 
Administration, 455 North Lamar Street, Jackson, Mississippi 39202-
3087, Telephone: (601) 359-6762, FAX: (601) 359-6764

Missouri

Lois Pohl, Federal Assistance Clearinghouse, Office of 
Administration, P.O. Box 809, Room 760, Truman Building, Jefferson 
City, Missouri 65102, Telephone: (314) 751-4834, FAX: (314) 751-7819

Nevada

Department of Administration, State Clearinghouse, Capitol Complex, 
Carson City, Nevada 89710, Telephone: (702) 687-4065, FAX: (702) 
687-3983

New Hampshire

Jeffrey H. Taylor, Director, New Hampshire Office of State Planning, 
Attn: Intergovernmental Review Process, Mike Blake, 2\1/2\ Beacon 
Street, Concord, New Hampshire 03301, Telephone: (603) 271-2155, 
FAX: (603) 271-1728

New Mexico

Robert Peters, State Budget Division, Room 190 Bataan Memorial 
Building, Santa Fe, New Mexico 87503, Telephone: (505) 827-3640

New York

New York State Clearinghouse, Division of the Budget, State Capitol, 
Albany, New York 12224, Telephone: (518) 474-1605

North Carolina

Chrys Baggett, Director, N.C. State Clearinghouse, Office of the 
Secretary of Admin., 116 West Jones Street, Raleigh, North Carolina 
27603-8003, Telephone: (919) 733-7232, FAX: (919) 733-9571

North Dakota

North Dakota Single Point of Contact, Office of Intergovernmental 
Assistance, 600 East Boulevard Avenue, Bismarck, North Dakota 58505-
0170, Telephone: (701) 224-2094, FAX: (701) 224-2308

Ohio

Larry Weaver, State Single Point of Contact, State Clearinghouse, 
Office of Budget and Management, 30 East Broad Street, 34th Floor, 
Columbus, Ohio 43266-0411

    Please direct correspondence and questions about 
intergovernmental review to:

Linda Wise, Telephone: (614) 466-0698, FAX: (614) 466-5400

Rhode Island

Daniel W. Varin, Associate Director, Department of Administration/
Division of Planning, One Capitol Hill, 4th Floor, Providence, Rhode 
Island 02908-5870, Telephone: (401) 277-2656, FAX: (401) 277-2083

    Please direct correspondence and questions to:

Review Coordinator, Office of Strategic Planning

South Carolina

Omeagia Burgess, State Single Point of Contact, Grant Services, 
Office of the Governor, 1205 Pendleton Street--Room 477, Columbia, 
South Carolina 29201, Telephone: (803) 734-0494, FAX: (803) 734-0385

Texas

Tom Adams, Governors Office, Director, Intergovernmental 
Coordination, P.O. Box 12428, Austin, Texas 78711, Telephone: (512) 
463-1771, FAX: (512) 463-1888

Utah

Carolyn Wright, Utah State Clearinghouse, Office of Planning and 
Budget, Room 116, State Capitol, Salt Lake City, Utah 84114, 
Telephone: (801) 538-1535, FAX: (801) 538-1547

West Virginia

Fred Cutlip, Director, Community Development Division, W. Virginia 
Development Office, Building #6, Room 553, Charleston, West Virginia 
25305, Telephone: (304) 558-4010, FAX: (304) 558-3248

Wisconsin

Martha Kerner, Section Chief, State/Federal 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 or (809) 723-6190, FAX: (809) 724-3270 or (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

Appendix C--The Statement of the Advisory Committee on Services for 
Families With Infants and Toddlers

Table of Contents

Overview

[[Page 18993]]

Background, Vision, and Goals
Research Rationale
Program Principles
Program Cornerstones
Federal Commitment
Conclusion
References
Biographies of Advisory Committee Members

Overview

    All children from birth to age three need early child 
development experiences that honor their unique characteristics and 
provide love, warmth, and positive learning experiences; and all 
families need encouragement and support from their community so they 
can achieve their own goals and provide a safe and nurturing 
environment for their very young children. This recognition is 
guiding the design of the new Early Head Start program.
    Early Head Start marks a turning point in America's commitment 
to our youngest children and their families. By focusing on child 
development, family development, community building, and staff 
development, a new era of support to very young children and their 
families is born, building on the experiences and lessons learned 
from existing Head Start programs.
    Early Head Start puts resources into a constellation of high 
quality supports and services that will promote healthy child and 
family development, and backs them with a Federal commitment to 
training, standards and monitoring for high quality, research and 
evaluation, and services coordination at the national level. It 
enables families and communities to design flexible and responsive 
programs but requires that, at a minimum, programs provide child 
development, family support, health services for young children and 
pregnant women, and home visits to families with newborns. This 
would include child care services that respond to the needs of 
families. When services are provided through referral, it requires 
that the Early Head Start program assures the services to which 
families are referred are of highest quality, available and 
accessible, and that needed follow-up occurs. And although service 
delivery mechanisms may vary, a common characteristic will be that 
each Early Head Start program will establish a place which is 
recognized as a source of support for very young children, families, 
and caregiving staff. Programs will be encouraged to give this Early 
Head Start place visibility and identity.
    With this design, the Early Head Start program will be suited to 
last well into the next century, always reshaping itself to provide 
high quality, responsive, and respectful services to America's 
youngest children and their families.

Background, Vision, and Goals

    The reauthorization of the Head Start Act in 1994 made it 
possible to formally open a new chapter of Federal support for 
families with infants and toddlers by establishing a special 
initiative within the context of the Head Start program. Beginning 
in Fiscal Year 1995, the Secretary of Health and Human Services will 
award grants to Early Head Start programs which will provide early, 
continuous, intensive, and comprehensive child development and 
family support services to low-income families with children under 
age three. This initiative will bring together under one umbrella 
Head Start's existing programs for families with infants and 
toddlers, the Comprehensive Child Development Program and the Parent 
and Child Centers; strengthen the Migrant Head Start Program; and 
add new resources to model high quality child development and family 
development services for very young children and their families.
    To help with the design of the new initiative, the Secretary 
formed the Advisory Committee on Services for Families with Infants 
and Toddlers. The Committee was charged with advising the Secretary 
and Assistant Secretary for Children and Families on the development 
of program approaches for the initiative that would address the 
parenting and child development need of low-income parents and their 
infants and toddlers. We were to pay particular attention to the key 
principles and array of models of effective culturally and 
developmentally appropriate service delivery. To fulfill this 
commitment, we met three times during the summer of 1994 to engage 
in discussions about our vision for a national approach to high 
quality, responsive services for very young children and their 
families. We outlined the Federal role for carrying forth this 
vision, ensuring such programs can flourish.
    We are excited about the fruits of these deliberative efforts 
and confident that the resulting initiative will advance Head Start 
leadership in realizing a national vision of communities where:
     Children, from birth, receive support through their 
family and their community to achieve optimal growth and development 
and build a foundation of security, self-confidence and character 
strength which will in turn enable them to build successful social 
relationships for learning and continued development through later 
childhood and adulthood;
     Families receive support to meet their personal goals, 
and resources and guidance to prepare for their child's birth and 
provide a warm, caring, responsive environment for their very young 
child;
     Communities embrace and support all families, 
celebrating the birth of their children and creating an environment 
where support and resources are mobilized to ensure a comprehensive, 
integrated array of services are available and accessible for all 
very young children and their families; and
     Staff receive the professional education and personal 
support they need to provide high quality environments and 
experiences and engage in responsive relationships that promote the 
healthy development of infants, toddlers, and their families.
    In keeping with this vision, the goals set forth by the Advisory 
Committee for Early Head Start will be:
     To provide safe and developmentally enriching 
caregiving and environments which promote the physical, cognitive, 
social and emotional growth of infants and toddlers and prepare them 
for future growth and development;
     To support parents, both mothers and fathers, in their 
role as primary caregivers and educators of their children, and 
families in meeting personal goals and achieving self-sufficiency 
across a wide variety of domains;
     To mobilize communities to provide the resources and 
environment necessary to ensure a comprehensive, integrated array of 
services and support for families, and to foster the systems change 
necessary to summon forth the guiding vision of this initiative; and
     To ensure the provision of high quality responsive 
services to families with infants and toddlers through the 
development of highly-trained, caring and adequately compensated 
program staff.
    The Advisory Committee recognizes that the vision and goals 
outlined above have also been shaped by the lessons learned from the 
Comprehensive Child Development Program, Parent and Child Centers, 
Migrant Head Start Programs, locally designed Head Start programs, 
and other early child development and family support efforts serving 
families with very young children. As part of the overall 
consultation for the development of this initiative, Federal staff 
conducted over 30 focus groups with parents, practitioners, 
researchers, advocates, and representatives of professional 
organizations. Focus groups were designed to address topical areas 
such as child care, family services, health care, support and 
services for children with disabilities and their families, 
community mobilization, parent involvement and parent advocacy. In 
addition, Federal staff met with or received materials and 
recommendations from a number of other experts and practitioners in 
the field. The suggestions, guidance, and information received 
through this process have been invaluable to both the Advisory 
Committee and the Administration on Children, Youth and Families.

Research Rationale

    Findings from more than three decades of research in child and 
family development support the vision and goals set forth for 
support to families with infants and toddlers. We know that the time 
from conception to age three is a critical period of human 
development, as change occurs more rapidly than in any other period 
of the life span. Growth in these early years establishes the basic 
foundation for future development. For infants and toddlers to 
develop optimally, they must have health beginnings and the 
continuity of responsive and caring relationships. Together, these 
supports help promote optimal cognitive, social, emotional, 
physical, and language development. When these supports are missing, 
the immediate and future development of the child may be comprised. 
Fortunately, recent research identifies characteristics of effective 
programs that enhance both child and family development. This 
growing body of knowledge provides a solid base upon which the Early 
Head Start program can be founded.

Maternal and Infant Health

    Maternal and infant health are essential for ensuring normal 
pre- and post-natal development of very young children. Late or 
inadequate prenatal care, malnutrition, stress

[[Page 18994]]

and exposure to harmful substances are associated with shortened 
gestation, reduced birthweight, birth defects and underdeveloped 
brain growth (Osofsky, 1975; U.S. Department of Health and Human 
Services, 1989; Carnegie Corporation, 1994). These, in turn, have 
been associated with higher probabilities for infant mortality, 
illness, disabilities, child abuse, difficulty in relationships 
(Glasgow and Overall, 1979) and subsequent learning disorders 
(Drillien, Thomson and Bargoyne, 1980). During the early years of 
life, proper nutrition, routine well-child health care, timely 
immunizations, safe environments and health-promoting behaviors are 
necessary to support physical growth and development.
    Given the paramount importance of health for very young 
children, a major focus of the Early Head Start program must be to 
ensure women receive the health services needed to promote a healthy 
pregnancy and birth, and very young children receive early and 
ongoing well-baby care, immunizations, and other essential health 
services to support their development.

Child-Caregiver Relationships

    The child-caregiver relationships with the mother, father, 
grandparent and other caregivers are critical for providing infants 
and toddlers support, engagement, continuity and emotional 
nourishment necessary for healthy development, and the development 
of healthy attachments (Ainsworth, Blehar, Waters and Wall, 1978). 
Within the context of caregiving relationships, the infant builds a 
sense of what is expected, what feels right in the world, as well as 
skills and incentives for social turn-taking, reciprocity and 
cooperation (Emde, Biringen, Clyman and Oppenheim, 1991; Isabella 
and Belsky, 1991). The infant's activities are nourished and 
channeled in appropriate ways so as to encourage a sense of 
initiative and self-directedness. During the toddler period, the 
child, through repeated interactions with emotionally-available 
caregivers, also begins to learn basic skills of self-control, 
emotional regulation and negotiation (Kochanska, 1991; Kopp, 1989; 
Suess, Grossman and Sroufe, 1992). Empathy for others and prosocial 
tendencies for caring and helping also develop during toddlerhood as 
well as the emotions of pride and shame; experiencing and learning 
about these capacities require responsive caregiving relationships 
in the midst of life's inevitable stresses and challenges (Zahn-
Waxler and Radke-Yarrow, 1990).
    A sense of pleasure, interest in exploration, early imaginative 
capacities, and the sharing of positive emotions also begin in 
infancy--all of which require repeated and consistent caregiver 
relationship experiences and form a basis for social competence that 
carries through toddlerhood and the preschool period (Emde, 1989; 
Dix, 1991). The opportunities for play for both infant and 
caregiver, as well as the skills that develop from play, are often 
under-appreciated aspects of healthy development (Bruner, 1986; 
Elicker, Englund and Sroufe, 1992).
    Finally, the importance of promoting a network of healthy 
caregiving relationships for the very young child cannot be 
overstated (Crockenberg, 1981; Egeland, Jacobvitz and Sroufe, 1988; 
Sameroff and Emde, 1989; Tronick, Winn and Morelli, 1985). The 
network of caring relationships provides an ever-expanding circle of 
support for both child and family. Factors that undermine optimal 
child-caregiver relationships include isolation, lack of support and 
maternal depression (Crnic, Greenberg, Robinson and Ragozin, 1984), 
the latter reported to be a high as 56% in some samples of low-
income new mothers (Hall, Gurley, Sachs and Kryscio, 1991). In child 
care settings, high staff turnover, low staff wages, low quality 
programming and lack of adequate staff training for substitute 
caregivers negatively affects the quality of child-caregiver 
relationships (Zigler and Lang, 1991; Whitebook, Howes and Phillips, 
1989). This in turn further compromises the nature and quality of 
the child's overall development.
    Thus, it follows that a major focus for Early Head State 
services should be the development of healthy and skillful 
relationship building between very young children and their parents 
and caregivers that encourages interactions and promotes attention 
and activity in infants. Hence, opportunities for sustained 
relationship-building over extended periods of times will be an 
explicit goal throughout the program.

Characteristics of Successful Programs Serving Families With Infants 
and Toddlers

    The goal of many early child development programs is to enable 
the child, with the support of the parents as primary caregivers and 
other caregivers, to establish a developmental path that will 
prepare him or her for long-term success. Hundreds of programs with 
a variety of specific emphases have sought to achieve this goal. 
From these many interventions, a picture of the critical ingredients 
for successful programs has emerged. In short, we know effective 
programs often are characterized by: early prenatal services to the 
expectant woman (Olds, Henderson, Tatelbaum and Chamberlin, 1986); a 
two-generational focus (Zuckerman and Braxelton, 1994; 
Administration on Children, Youth and Families, 1994; Ramey and 
Campbell, 1984; Brooks-Gunn, Klebanov, Liaw, Spiker, 1993); family-
centered services that address self-sufficiency through the 
provision of social services and parent education (Booth, Barnard, 
Mitchell and Speiker, 1987; Olds, Henderson, Tatebaum and 
Chamberlin, 1986; Olds, Henderson, Tatebaum and Chamberlin, 1988); 
quality child development services that are coupled with family 
services (Lally, Mangione and Honig, 1987; Brooks-Gunn, Klebanov, 
Liaw and Spiker, 1993); continuity of service delivery for the child 
and family that ensures the availability of support over a number of 
years with smooth transitions to other service delivery systems 
(Campbell and Ramey, 1994); continutity of caregivers (Howes and 
Hamilton, 1992); intensity of service delivery in terms of 
availability, accessibility, and usage of services (Booth, Barnard, 
Mitchell and Spieker, 1987; Ramey, Bryant, Wasik, Sparling, Fendt 
and LaVange, 1992); and consolidation or integration of service 
delivery systems. Further, research tells us that communities have 
been found to become more responsive to the needs of low-income 
families as a result of program activities (Kirschner, 1970).
    Clearly, research over the past three decades has shown that 
when programs focus on both child development and family development 
through early, high quality, comprehensive, continuous, intensive 
services, opportunities of optimal child and family development can 
be realized, even for the most vulnerable families and very young 
children. The challenge for the Administration on Children, Youth 
and Families and the programs which will receive funds through this 
initiative is to translate these research findings into the design 
and operation of high quality programs so all families with young 
children served by Early Head Start will be able to grow and 
prosper. The following principles and cornerstones establish the 
framework for this to occur.

Program Principles

    In recognition that each child is an individual who is supported 
by a family and that families are supported by neighborhoods and 
communities, the Advisory Committee recommends that programs funded 
under the new initiative be encouraged to develop a range of 
strategies for supporting the growth of the very young child within 
the family and the growth of the family within the community. Thus, 
each Early Head Start program should be family-centered and 
community-based. We recommend that the following principles serve as 
the conceptual foundation for Early Head Start:
     High Quality: Commitment to excellence will enable the 
new programs to be models for services to families with infants and 
toddlers from all socioeconomic strata of society. High quality will 
be assured in the direct services provided, and in the services 
provided through referral. To this end, each program will 
acknowledge and utilize the bodies of knowledge, skills and 
professional ethics surrounding the fields of child development, 
family development and community building. In particular, programs 
will recognize that the conception-to-three age period is unique in 
both the rate of development and in the way young children's 
physical and mental growth reflects and absorbs experiences with 
caregivers and the surroundings. Thus, high quality caregiving 
practices will spring from the healthy awareness that the unique 
nature of infant and toddler development not only carries with it 
major opportunities for intervention, but also leaves children 
especially vulnerable to negative inputs. The Federal government 
will share in the commitment to high quality by providing thorough 
and ongoing monitoring to assure program adherence to performance 
standards; technical assistance that addresses each program's 
individual needs and amplifies innovation and development across all 
programs; evaluation which measures program success against 
meaningful outcomes for young children and families; and research 
which contributes to the state of the art on child development, 
family development and community building.
     Prevention and Promotion: Recognizing that windows of 
opportunity open and close

[[Page 18995]]

quickly for families and young children, programs will seek and 
pursue opportunities to play a positive role in promoting the 
physical, social, emotional, cognitive and language development of 
young children and families before conception, prenatally, upon 
birth, and during the early years. By supporting the promotion of 
their health and well-being, program staff will be able to prevent 
and detect problems at their earliest stages, rallying the services 
needed to help the child and family anticipate and overcome problems 
before they interfere with healthy development. While early and 
proactive promotion of healthy development and healthy behaviors 
will be emphasized, programs will also need to be able to understand 
and respond to family crises that may occur while the family is 
enrolled in the program.
     Positive Relationships and Continuity: The success of 
each program will rest on its ability to support and enhance strong, 
caring, continuous relationships which nurture the child, parents, 
family, and caregiving staff. Programs will support the mother-
child, father-child bond by recognizing each parent as his or her 
child's first and primary source of love, nurturance and guidance. 
Caregiving will be provided to families who need it in ways that 
support infant and toddler attachment to a limited number of skilled 
and caring individuals, thus maintaining relationships with 
caregivers over time and avoiding the trauma of loss experienced 
with frequent turnover of key people in the child's life. These 
relationships will aim to respectfully enhance child interest, 
curiosity, play and imagination, which, in turn, will develop a 
shared sense of trust, confidence and esteem for both caregiver and 
child. In addition, programs will model strong, mutually respectful 
relationships between staff and families, among staff, and with 
other community organizations and service providers. To do so, 
programs will be receptive to individual strengths, perspectives and 
contributions; affirm the value of the child and family's home 
culture; and support an environment where very young children, 
parents and staff can teach and learn from each other.
     Parent Involvement: As in all Head Start efforts, a 
hallmark of the new initiative will be the creation and sustenance 
of an environment that supports the highest level of partnership 
with parents, both mothers and fathers. As such programs, will 
support parents as primary nurturers, educators, and advocates for 
their children; assure that each parent has an opportunity for an 
experience that supports his or her own growth and goals, including 
that of parenting; and provide a policy- and decision-making role 
for parents. Furthermore, opportunities for parent involvement will 
encourage independence and self-sufficiency for parents. Special 
efforts will be made to welcome and support fathers as parenting 
partners.
     Inclusion: Programs will seek to build communities that 
respect each child and adult as an individual while at the same time 
reinforcing a sense of belonging to the group. Programs will support 
participation in community life by young children with disabilities 
and their families; families of very young children with significant 
disabilities will be fully included in all program services.
     Culture: Children and their families will come to the 
new programs rooted in a culture which gives them meaning and 
direction. Programs will demonstrate an understanding of, respect 
for, and responsiveness to the home culture and home language of 
every child, thus affirming the values of each family's culture and 
providing the context for healthy identity development in the early 
years of life. Program staff will become aware of their own core 
beliefs and values and be attuned to the role culture and language 
play in child development, family development and the surrounding 
community values and attitudes. Programs will pursue opportunities 
to support home culture and language, while also recognizing the 
significance of a common culture shared by all. In building a more 
harmonious and peaceful community for children to grow in and for 
families to share, programs will encourage and provide opportunities 
for families and community members to engage in dialogue about 
culture, language, cultural diversity and multiculturalism.
     Comprehensiveness, Flexibility, Responsiveness, and 
Intensity: Programs will honor and build upon the unique strengths 
and abilities of the children, families and communities they serve 
and continually adapt to meet emerging needs. Developmental 
opportunities provided to each infant and toddler will address the 
whole child and be continually adapted to keep pace with his or her 
developmental growth. And just as programs need to be responsive and 
attentive to the special needs of very young children with 
disabilities, they also need to be responsive to parents with 
disabilities. Family development planning and service provision will 
be grounded in the belief that families, including those whose 
problems seem overwhelming, can identify their own goals, strengths 
and needs, and are capable of growth and change. Once these are 
identified, program resources of varied intensity will be marshaled 
to support the whole family in an individualized and responsive 
manner. Barriers which prevent families from accessing needed 
supports will be overcome through the location, coordination, and 
assurance by program staff that services are provided and received. 
Attention will also be given to ensure programs meet the needs and 
schedules of working parents. Ultimately, each parent's sense of 
empowerment and ability to identify and address his or her family's 
needs will be fostered by responsive and caring relationships with 
program staff.
     Transition: Programs will be responsible for ensuring 
the smooth transition of children and their families into Head Start 
or other preschool programs which are of high quality and provide 
consistent and responsive caregiving. The Federal government must 
support both Early Head Start and Head Start programs in carrying 
out this responsibility. Transition is important for ensuring 
continued accessibility to enriching early child development 
experiences and for providing ongoing family support services that 
promote healthy family development. To facilitate this transition, 
parents and caregivers should jointly develop a family and child 
transition plan, identifying services which will continue and new 
services and programs which will be accessed. Caregivers from both 
Early Head Start and the new service programs will share 
responsibility for coordinating and implementing the plan.
     Collaboration: Recognizing that no one program will be 
able to meet all of a child's and family's needs, programs will 
initiate or become embedded in an integrated community system of 
service providers and strength building organizations such as 
churches and other religious institutions, schools and civic groups. 
These efforts will foster a caring, comprehensive and integrated 
community-wide response to families with young children, thus 
maximizing scarce financial resources and avoiding duplication of 
agency effort. Likewise, the Federal government will promote systems 
change and the efficient use of resources through the active pursuit 
of local, State and Federal partnerships which enhance the capacity 
of local programs to collaborate and combine financial resources.

Program Cornerstones

    The principles outlined above establish the foundation for Early 
Head Start, a program that meets child development, family 
development, and health related goals while striving to provide high 
quality, comprehensive, and individualized support and services. In 
order to accomplish this, the Advisory Committee recommends that the 
Secretary of Health and Human Services adopt these key elements as 
the four cornerstones for Early Head Start: child development, 
family development, community building, and staff development.

Child Development

    Programs will seek to enhance and advance each child's 
development by providing individualized support that honors the 
unique characteristics and pace of infant/toddler physical, social, 
emotional, cognitive and language development, including early 
education and health care. Critical to this development is the 
promotion of positive parent-child interactions and the enhancement 
of each parent's knowledge about the development of their child 
within healthy, safe environments. An early step for providing this 
support to parents will be the provision of home visits to families 
with newborns to offer early encouragement and support and build 
bridges for families to other resources in the community. Also 
critical to the child's development is access to and delivery of 
comprehensive health and mental health services for children, 
including regular child health care; screening for health problems 
such as hearing, anemia, lead poisoning, metabolic problems; 
immunizations; nutritional assessment; developmental surveillance 
and anticipatory guidance. All children deserve a medical home that 
provides these and other prevention and treatment services. To help 
facilitate this, Early Head Start programs will collaborate with a 
variety of organizations and disciplines to ensure health 
supervision for children and their families.

[[Page 18996]]

    It is particularly important that Early Head Start ensure 
coordination and continuity of services for infants and toddlers 
with or at risk of a disability, who are eligible for services 
through Early Head Start and Part H of the Individuals with 
Disabilities Education Act. These two service systems should be 
coordinated and integrated so that families and their children 
experience a seamless system of services, as identified in their 
family development plan or individualized service plan.
    As programs provide child development services, they must ensure 
that infants and toddlers who need child care receive high quality 
part- and full-day services. Such child care can be provided 
directly or in collaboration with other community providers as long 
as the Early Head Start program assumes responsibility for ensuring 
that all settings meet the Early Head Start performance standards.
    In general, the setting where these services are delivered is 
left to local option and the preferences of families as identified 
through their individual family development plan. Settings can 
represent a range of options including home visiting; family support 
centers; family child care homes; child care centers; centers where 
families are engaged in education, training, or employment; 
community health centers; and others.

Family Development

    Programs must recognize that the key to optimal child 
development and family development is the empowerment of parents in 
goal setting for themselves and their children. Therefore, families 
and staff will collaboratively design and update individualized 
family development plans which ensure that service delivery 
strategies are rooted in the foundation principles and are 
responsive to the goals and ideals of the families. When families 
are served by additional programs which also require an 
individualized family service plan, such as Part H of the 
Individuals with Disabilities Education Act and family employability 
plans, then a single coordinated plan should be developed so 
families experience a seamless system of services. Based on the 
plan, programs will ensure the provision of a full range of family 
services which consider the different support and educational 
opportunities needed by new parents, pregnant women and expectant 
fathers, and potential parents, as well as by siblings and extended 
family members who influence the development of the family and very 
young child.
    It is particularly important that parental health is linked to 
children's health and development. As such, health services for 
parents need to be included as part of a two-generational model of 
health care. Health services must be accessible for parents with a 
special emphasis on women's health that occurs prior to, during, and 
after pregnancy.
    Services which programs must provide directly or through 
referral, and which local Early Head Start programs must actively 
ensure are of high quality and appropriately followed up include: 
child development information; health services, including services 
for women prior to, during, and after pregnancy; mental health 
services; services to improve health behavior such as smoking 
cessation and substance abuse treatment; services to adults to 
support self-sufficiency, including adult education and basic 
literacy skills, job training, assistance in obtaining income 
support, food, and decent, safe housing, and emergency cash or in-
kind assistance; and transportation to program services. Programs 
must provide directly opportunities for parent involvement in the 
program so that parents can be involved as decisionmakers, 
volunteers, and/or employees. Additional services not listed above, 
but identified by families through community needs assessments and 
mappings, may be provided either directly or through referral at 
local option.

Community Building

    The commitment of programs to high quality care for very young 
children and their families services as a catalyst for creating a 
community environment that shares responsibility for the healthy 
development of its children. A program approach that exemplifies 
openness and caring is the start of community building. Programs 
should function in communities in a way that mirrors the principles 
that are the foundation of the program itself: parents become a 
vital resources for each other and the community at large; staff 
nurture networks of support; and programs develop relationships of 
trust with other community institutions, businesses, and with 
community leaders. By becoming a key actor in the life of the 
community, programs can serve to mobilize community resources and 
energies on behalf of children and families.
    Essential to community building is ensuring a comprehensive 
network of services and supports for very young children and their 
families which are culturally responsive. Programs will be expected 
to establish collaborative relationships with other community 
providers and strength-building organizations such as churches and 
other religious institutions, schools and civic groups. The goal of 
these relationships will be three-fold: increased access to high 
quality serves for program families; assurance that the program's 
approach to serving families with infants and toddlers fits into the 
existing constellation of services in the community so that there is 
a coherent, integrated approach to supporting families with very 
young children; and systems change which will spark community caring 
and responsive service delivery for all the families with young 
children who live there. Thus, all programs will be required to 
conduct an in-depth assessment of existing community resources and 
needs and engage in an ongoing collaborative planning process with a 
range of stakeholders, including parents and residents of the 
community.

Staff Development

    Programs are only as good as the individuals who staff them. 
This is particularly true of programs which serve young children, 
since the potential to do harm during the vulnerable years of 
infancy and toddlerhood is so great. Thus, staff development has 
been included as a key element in order to underscore its centrality 
to the success of the initiative.
    Programs will be required to select staff who, together, cover 
the spectrum of skills, knowledge and professional competencies 
necessary to provide high quality, comprehensive, culturally 
appropriate, and family-centered services to young children and 
families. Equally critical will be each program's ability to 
recognize individuals capable of entering into one-to-one caregiving 
relationships with infants and toddlers which support the positive 
formation of their identities. Likewise, programs will need to 
identify the capacity of potential staff members to develop caring, 
respectful and empowering relationships with families and other 
coworkers. Such individuals will demonstrate characteristics such as 
high self-esteem, personal strength, and the capacity for being 
emotionally available. The program directors who make these 
selections will, themselves, need to possess these characteristics 
in addition to being highly skilled administraters who exemplify 
leadership qualities such as integrity, warmth, intuition and 
holistic thinking.
    Ongoing staff training, supervision and mentoring of both line 
staff and supervisors will be an integral part of staff development. 
Such training, supervision, and mentoring will reflect an 
interdisciplinary approach and emphasis on relationship building. 
Staff training programs will ensure that staff are ``cross-trained'' 
in the areas of child development, family development and community 
building. Particular emphasis will be placed on building skills in 
the areas of home visiting; caregiving relationships; effective 
communication with parents; family literacy; healthy/safe 
environments and caregiving practices; early identification of 
unhealthy behaviors or health problems; service coordination; and 
the provision of services and support to diverse populations, 
including families and children with disabilities and developmental 
delays. In addition, training efforts and supervision will be 
designed to develop each staff person's capacity to function as a 
member of a well-integrated, diverse and mutually supportive team 
comprised of families and other staff. To this end, training and 
supervision will support opportunities for practice, feedback and 
reflection. Another strategy for training is the development of 
multi-disciplinary teams of caregivers who can engage in team 
teaching, sharing concerns and problems, exploring different 
approaches, and learning practical skills for working with 
participants of the program and service providers from other 
relevant delivery systems. As such, training will model and 
reinforce the foundation principles of this initiative.
    And finally, staff selection, training and supervision will be 
grounded in the knowledge that high quality performance and 
development occurs when they are linked to rewards such as salary, 
compensation, and career advancement; provided in environments that 
spark curiosity, excitement and openness to new ideas; and grounded 
in best practices revealed by ongoing research, evaluation and 
monitoring.

[[Page 18997]]

Federal Commitment

    Both individual programs and the Federal government must work 
hand in hand to realize the vision, principles, and program concept 
outlined above for the Early Head Start program. The Advisory 
Committee believes that a Federal commitment to training, 
monitoring, research and evaluation, and partnership building which 
respects and supports local program responsibility, initiative, and 
flexibility is paramount for the programs' success. In addition, 
Federal commitment is also needed to support and learn from existing 
Federal programs serving families with infants and toddlers so that 
they will have the opportunity to achieve excellence and meet the 
standards that will be set forth for this initiative. With this 
commitment, we feel the initiative for families with infants and 
toddlers will be able to serve as a national laboratory both testing 
and exemplifying quality child development and family development 
programs.

Training

    Clearly the quality of programs is contingent upon the ongoing 
support and development of program staff who are trained in the 
various disciplines which support the principles of family-centered 
services. As described earlier, program staff need to be able to 
facilitate both the development of very young children and the 
development of families. But in too many communities, staff who can 
play this dual role are few or nonexistent.
    The Advisory Committee urges the Secretary to engage in public-
private partnerships aimed at establishing a cadre of highly trained 
practitioners and trainers who will be able to support the 
development of very young children and their families. Such an 
effort should extend beyond the scope of the new initiative for 
families with infants and toddlers, so that children cared for in a 
variety of settings will benefit from this commitment to enhancing 
the quality and quantity of caregivers. An example of such a 
partnership would be a commitment on the part of the Federal 
government to work with institutions of higher learning to ensure 
multi-disciplinary pre-service education and field work experience 
is available for students who wish to work in family-focused 
programs serving very young children and their families. Another 
example would be partnering with the foundation or philanthropic 
community to develop scholarship programs for low-income students 
desiring but unable to enter the field. A further example is 
coordinating with organizations of professional trainers to ensure 
they have the skills, resources and supports needed to work with 
programs providing early, continuous, intensive and comprehensive 
services and support to very young children and their families.
    When designing the specific training and technical assistance 
plan for Early Head Start, the Federal government must focus on the 
whole spectrum of support and services that are needed for 
developing and advancing high quality staff, from pre-service and 
in-service training to supervision and mentoring. These supports and 
services must be provided in a continuous, holistic, responsive 
manner with the goal of building and nurturing the highest quality 
caregiving in all programs.
    In addition to the focus on training, the Federal government 
also needs to take the lead in modeling a commitment to and respect 
for the importance of the caregiving profession. Given this, the 
Advisory Committee urges the Secretary to implement the Early Head 
Start program so that it models appropriate competencies, 
institutionalization of career ladders for staff working within the 
programs, and provision of staff salaries that are comparable to the 
importance of the job.

Monitoring

    All programs need support and guidance to engage in continuous 
improvement. As directed by the legislation, the Secretary of the 
Department of Health and Human Services must provide this support 
and guidance through ongoing monitoring of the operation of these 
programs, evaluating their effectiveness, and providing training and 
technical assistance tailored to the particular needs of such 
programs.
    The Advisory Committee reminds the Secretary that performance 
standards must be developed and issued in order to set forth the 
expectation of high quality services and environments for programs 
serving families with infants and toddlers. It is recommended that 
there be consistency in the principles and framework of the Early 
Head Start and Head Start performance standards, with the goal being 
a seamless approach to Federal performance standards for children 
from birth to age five. While the goal should be a seamless 
approach, clearly the content of the standards will vary to reflect 
the differences in development of children during the age span. Once 
these are issued, monitoring should become a tool for both measuring 
progress toward these high quality standards and for engaging in 
continuous improvement.

Research and Evaluation

    Evaluation of Early Head Start is essential for determining the 
effectiveness of the initiative and for advancing our understanding 
about which services work best for different families under 
different circumstances. Evaluation data and information collected 
at the local level as part of management information systems and 
ethnographic research are helpful to provide ongoing feedback to 
programs and support staff in packaging and delivering a 
comprehensive array of services which are responsive to and 
reflective of the individual needs of very young children and their 
families.
    The Advisory Committee believes that the Secretary must approach 
evaluation not just as a mechanism for producing summary statistics 
and reports about the changes in child and family development as a 
result of these new efforts, but as a tool for individual programs 
so that they can continuously refine their practices based on 
feedback from their own program evaluation. This feedback is 
essential to identify the particular conditions and activities that 
enable parents and other caregivers to most successfully support 
children's development. It is also essential to test and refine as 
appropriate the quality of planning, training, staff selection, 
supervision and program management that is crucial to program 
success. These lessons learned will benefit local Early Head Start 
programs, add new knowledge to the fields of child and family 
development, and will help shape future efforts at the Federal level 
for very young children and their families.
    In keeping with the Head Start national laboratory role, we 
encourage research that examines variations in Early Head Start 
experiences on child development to learn more about the 
effectiveness of different interventions for very young children and 
their families. Accordingly, we encourage the testing of new models 
which might focus on linkages between this initiative and welfare 
reform, special coordination with Part H of the Individuals with 
Disabilities Education Act, or efforts to support teen parents who 
are either in school or training. Equally important will be research 
that identifies features of intervention which optimize relationship 
building, and research that examines variations in caregiving 
experiences as they influence child development.
    We also recommend that research and evaluation for this 
initiative be part of an overall research agenda for Head Start 
which places Head Start in the broader context of research on young 
children, families, and communities; ensures a commitment to ongoing 
themes; and has the flexibility to respond to new and emerging 
developments in the broader early childhood and family development 
fields.

Partnership Building

    Just as local programs will be required to coordinate services 
in the State and community to ensure a comprehensive array of 
services, the Federal government must also build partnerships across 
programs, agencies and departments to facilitate effective 
integration and coordination of resources and services.
    The Advisory Committee points out that it is especially 
important that the Head Start Bureau work with the U.S. Maternal and 
Child Health Bureau and the Medicaid program to enhance the 
availability of and access to comprehensive health services for 
pregnant women, and very young children and their families. The 
Advisory Committee particularly recommends Federal leadership in the 
development of services that are scarce in communities, such as 
mental health services that meet the needs of families with infants 
and toddlers. It is equally important that linkages be made with the 
U.S. Department of Education, Office of Special Education and 
Rehabilitative Services and the Federal Interagency Coordination 
Council so that there is a clear message from the Federal government 
about the importance of partnership around early intervention at the 
Federal, State and community levels, especially between this 
initiative and Part H of the Individuals with Disabilities Education 
Act. The formation of a single Federal Interagency Coordination 
Council to address services for families with infants and toddlers 
who are served by Head Start and/

[[Page 18998]]

or by Part H is recommended. Further, the Head Start Bureau is 
advised to develop partnerships with the National Institute of Child 
Health and Development and the National Institute of Mental Health 
so that programmatic and research activities can be coordinated and 
the results benefit and influence the work of all institutions.
    Beyond coordination and partnership building among the many 
programs, agencies, and departments of the Federal government, the 
Advisory Committee advises the Head Start Bureau to continue 
consultation with professional organizations from relevant child and 
family development disciplines. Such consultation will help staff of 
the Head Start Bureau learn about emerging knowledge and apply this 
to the planning, implementation, and evaluation of this and other 
programs.
    Finally, it is equally important that the Head Start Bureau 
reevaluate its own regulations and procedures to support local 
creativity and responsiveness to the needs of very young children 
and their families. As a first step, the Advisory Committee 
recommends that the Secretary explore opportunities for Early Head 
Start programs to combine these resources with other public and 
private funding sources in order to serve more very young children 
and their families who might benefit from Early Head Start services 
and support. This is especially important as many Advisory Committee 
members feel that all children within a very low income community 
should be afforded access to these services. By allowing and 
encouraging Early Head Start communities to partner with other 
funding streams, it may be possible in some communities to provide 
access to most or all families with very young children.

Funding

    All of the above issues--from the principles to the program 
concept and Federal commitments--are moot when there are not 
adequate resources to develop and sustain high quality in each 
program. Advisory Committee members see the role of Early Head Start 
as a national laboratory and catalyst for change. The members point 
out that a Federal commitment is needed to ensure that resources are 
available in the short- and long-term to support the provision of 
high quality, well-integrated services.

Conclusion

    Early Head Start represents a new era of support for America's 
youngest children and their families. It sets forth a vision that 
honors the unique strengths of very young children, their families 
and communities, and the staff who work with them. It calls for 
programs to provide family-centered and community-based services and 
supports that are individualized, of highest quality, and that 
promote positive health and development. And it commands significant 
attention at the Federal level for training, technical assistance, 
monitoring, and research and evaluation to ensure these programs can 
flourish.
    The members of the Advisory Committee on Services for Families 
with Infants and Toddlers are proud to set forth this vision and 
implementation design for Early Head Start. We call on the Secretary 
and the nation to move ahead rapidly with a series of steps to make 
this vision a reality. So much is at stake for our youngest children 
and their families.

References

Administration on Children, Youth and Families (1994). Comprehensive 
Child Development Program--A national family support demonstration. 
Interim Report to Congress. Washington DC: U.S. Department of Health 
and Human Services.
Ainsworth, M.S.B., Blehar, M.C., Waters, E., & Wall, S. (1978). 
Patterns of attachment: A psychological study of the strange 
situation. Hillsdale, NJ: Erlbaum.
Booth, C.L., Barnard, K.E., Mitchell, S.K. & Spieker, S.J. (1987). 
Successful intervention with multi-problem mothers: Effects on the 
mother-infant relationship. Infant Mental Health Journal, 8-3, 288-
306.
Brooks-Gunn, J., Klebanov, P.K., Liaw, F & Spiker, D. (1993). 
Enhancing the development of low birth-weight, premature infants: 
Changes in cognition and behavior over the first three years. Child 
Development, 64, 736-753.
Bruner, J.S. (1986). Actual minds, possible worlds. Cambridge, MA: 
Harvard University Press.
Campbell, F.A. & Ramey, C.T. (1994). Effects of early intervention 
on intellectual and academic achievement: A follow-up study of 
children from low-income families. Child Development, 65-2, 684-698.
Carnegie Corporation of New York (1994). Starting points: Meeting 
the needs of our youngest children. New York: Carnegie Corporation.
Crnic, K.A., Greenberg, M.T., Robinson, N.M. & Ragozin, A.S. (1984). 
Maternal stress and social support: Effects on the mother-infant 
relationship from birth to eighteen months. American Journal of 
Orthopsychiatry, 54, 224-235.
Crockenburg, S. (1981). Infant irritability, mother responsiveness, 
and social support influences on the security of infant-mother 
attachment. Child Development, 52, 656-665.
Department of Health and Human Services (1989). Caring for our 
future: The content of prenatal care. Washington, DC.
Dix, T. (1991). The affective organization of parenting: Adaptive 
and maladaptive processes. Psychological Bulletin, 110, 3-25.
Drillien, C.M., Thomson, A.J. M., & Bargoyne, K. (1980). Low birth 
weight children at early school-age: A longitudinal study. 
Developmental Medicine and Child Neurology. 22, 26-47.
Egeland, B. Jacobvitz, D., & Sroufe, L.A. (1988). Breaking the cycle 
of abuse: Relationship predictions. Child Development, 59, 1080-
1088.
Elicker, J., Englund, M., and Sroufe, L.A. (1992). Predicting peer 
competence and peer relationships in childhood from early parent-
child relationships. In R. Parke & B. Ladd (Eds.), Family-peer 
relationships: Modes of linkage. Hillsdale, NJ: Erlbaum.
Emde, R.N. (1989). The infant's relationship experience: 
developmental and affective aspects. In A.J. Sameroff & R.N. Emde 
(Eds.), Relationship disturbances in early childhood: A 
developmental approach. New York: Basic Books.
Emde, R.N., Biringen, Z., Clyman, R.B., & Oppenheim, D. (1991). The 
moral self of infancy: Affective core and procedural knowledge. 
Developmental Review, 11, 251-270.
Glasgow, L.A. & Overall, J.C., Jr. (1979). The fetus and neonatal 
infant: Infections. In V.C. Vaughan, R., J. McKay & R.E. Behrman 
(Eds.), Nelson textbook of pediatrics (11th ed.) (pp. 486-496). 
Philadelphia: W.B. Saunders.
Hall, L.A., Gurley, D.N., Sachs, B. & Kryscio, R.G. (1991). 
Psychosocial predictors of maternal depressive symptoms, parenting 
attitudes and child behavior in single parent mothers. Nursing 
Research, 40, 214-226.
Howes, C. & Hamilton, C.E. (1992). Children's relationships with 
child care teachers: Stability and concordance with parental 
attachments. Child Development, 63, 867-878.
Isabella, R.A., & Belsky, J. (1991). Interactional synchrony and the 
origins of infant-mother attachment: A replication study. Child 
Development, 62, 373-384.
Lally, J.R., Mangione, P.L. & Honig, A.S. (1987). Long-range impact 
of an early intervention with low-income children and their 
families. Parent education as early childhood intervention: Emerging 
directions in theory, research, and practice. Norwood, NJ: Ablex 
Publishers.
Kirschner Associates. (1970).  A national survey of the impacts of 
Head Start Centers on community institutions. Washington , DC: 
Office of Health, Education and Welfare.
Kochanska. G. (1991). Socialization and temperament in the 
development of guilt and conscience. Child Development, 62, 1379-
1392.
Kopp, C.B. (1989). Regulation of distress and negative emotions: A 
developmental view. Developmental Psychology, 25, 343-354.
Olds, D.L. Henderson, C.R. Tatelbaum, R., & Chamberlin, R. (1988). 
Improving the life-course development of socially disadvantaged 
mothers: A randomized trail of nurse home visitation. American 
Journal of Public Health, 78-11, 1436-1444.
Olds, D.L., Henderson, C.R., Tatelbaum, R., & Chamberlin, R. (1986). 
Improving the delivery of prenatal care and outcomes of pregnancy: A 
randomized trial of nurse home visitation. Pediatrics, 77, 16-28.

[[Page 18999]]

Osofsky, H.J. (1975). Relationships between nutrition during 
pregnancy and subsequent infant and child development. Obstetrical 
and Gynecological Survey, 30, 227-241.
Ramey, C.T., Bryant, D.M., Wasik, B.H., Sparling, J.J., Fendt, K.H., 
& LaVange, L.M. (1992). Infant Health and Development Program for 
low birth weight, premature infants: Program elements, family 
participation, and child intelligence. Pediatrics, 89, 454-465.
Ramey, C.T. & Campbell, F.A. (1984). Preventative Education for high 
risk children: Cognitive consequences of the Carolina Abecedarian 
Project. American Journal of Mental Deficiency, 88-5, 515-523.
Sameroff, A.J. & Emde, R.N. (Eds.) (1989). Relationship disturbances 
in early childhood; A developmental approach. New York: Basic Books.
Suess, G.J., Grossman, K.E., & Sroufe, L.A. (1992). Effects of 
infant attachment to mother and father on quality of adaptation in 
preschool: From dyadic to individual organization of self.  
International Journal of Behavioral Development, 15, 43-65.
Tronick, E.Z., Winn, S., & Morelli, G.A. (1985). Multiple caretaking 
in the context of human evolution: Why don't the Efe know the 
western prescription for child care? In M. Reite and T. Field 
(Eds.), The psychology of attachment and separation. Orlando, FL: 
Academic Press.
Whitebook, M., Howes, C. & Phillips, D. (1989). Who cares? Child 
care teachers and the quality of care in America. Oakland, CA.
Zahn-Waxler, C., & Radke-Yarrow, M. (1990). The development of 
concern for others. Developmental Psychology.
Zigler, E.F. & Lang, M.E. (1991). Child care choices. New York: 
Macmillan, Inc.
Zuckerman, B. & Brazelton, T.B., (1994). Strategies for a family-
supportive child health care system. In Kagan, S.L. & Weissbourd 
(Eds.) Putting families first: America's family support movement and 
the challenge of change. San Francisco, CA: Jossey-Bass, Inc.

Biographies of Advisory Committee Members

    Susan Aronson is a practicing pediatrician at The Children's 
Hospital of Philadelphia, as well as an active member of the 
American Academy of Pediatrics. She also serves as the Director of 
the Pennsylvania AAP Early Childhood Education Linkage System, and 
was the Liaison Representative of the AAP to the Head Start 25th 
Anniversary Silver Ribbon Panel, setting national goals for the 
future of Head Start. Previously, she was a member of the Head Start 
Health Task Force and the Central Steering Committee of the AAP/APHA 
setting national standards for health and safety in out-of-home 
settings for children. She has also published numerous works on 
health and care of children in group settings.
    Kathryn E. Barnard is a professor of nursing and adjunct 
professor of psychology at the University of Washington, where she 
has also served as associate dean of the School of Nursing. For the 
past 30 years, she has been a scholar, researcher, and educator with 
interests in children and parenting. She coordinated the risk and 
prevention group for the John D. and Catherine T. MacArthur 
Foundation's health network on the transition to early childhood. 
Her research has focused on the interaction of children with their 
environment, particularly infants at biological and environmental 
risk. She is Past President on the Board of Zero to Three--the 
National Center for Clinical Infant Programs. She is a member of the 
American Academy of Nursing and the Institute of Medicine and has 
received many awards in nursing and public health.
    Mary Jane Bevins is the Director of a multifaceted Head Start 
program that includes Parent and Child Centers, center-based and 
home-based services for three- and four-year-olds, and a Head Start 
Transition project. In addition to her experience as a practitioner, 
she has also provided training and technical assistance to Head 
Start programs in all component areas. Ms. Bevins has been a member 
of several task forces including the National Task Force for Parent 
and Child Centers, and the PCC Training Advisory Council for the 
National Center for Clinical Infant Programs.
    Helen Blank is Director of Child Care and Development at the 
Children's Defense Fund, where she led a large-scale, successful 
effort to pass the first comprehensive federal child care 
legislation since World War II. She has focused a great deal of her 
efforts on strengthening both federal child care and Head Start 
policies. In addition, she provides technical assistance to states 
and policy leaders on early childhood development issues. Prior to 
joining the Children's Defense Fund, Ms. Blank worked at Child 
Welfare League of America, and helped to improve and expand 
participation in federal food programs serving low-income children 
with the National Child Nutrition project and the Community 
Nutrition Institute.
    Sue Bredekamp is Director of Professional Development, National 
Association for the Education of Young Children. Among some of her 
roles as director are managing the NAEYC accreditation system, 
directing the National Institute for Early Childhood Professional 
Development, and developing association position statements relevant 
to defining professional standards and practices. Dr. Bredekamp 
specializes in developmentally appropriate practices for 
preschoolers and has authored a book on developmentally appropriate 
practices for children birth through age eight. She has served on 
numerous panels and as a consultant on the issues of professional 
development and accreditation. She developed the Early Childhood 
Classroom Observation Scale, used by NAEYC's accreditation system, 
and served as a study advisor to the Observational Study of Early 
Childhood Programs, sponsored by the Department of Education.
    Urie Bronfenbrenner, the Jacob Gould Schurman Professor Emeritus 
of Human Development and Family Studies and of psychology at Cornell 
University, is an expert on developmental psychology, child-rearing, 
and the ecology of human development. A founder of the national Head 
Start Program, Dr. Bronfenbrenner is internationally renowned for 
his cross-cultural studies and is a recipient of honorary degrees 
both in this country and abroad. His theoretical contributions and 
his ability to translate them into rigorous operational research 
models and effective social policies spurred the creation of Head 
Start and furthered the goals of Cornell's Life Course Institute, 
which has been renamed in his honor. Dr. Bronfenbrenner is the 
author, co-author, or editor of 13 books and more than 300 articles, 
most notably Two Worlds of Childhood: U.S. and U.S.S.R. and The 
Ecology of Human Development.
    Bettye Caldwell is Professor of Pediatrics in Child Development 
and Education at the University of Arkansas for Medical Sciences. 
Known for her research of the home environment and its relationship 
to growth and development, she has served in many research and 
practitioner positions. Throughout her career, she has published 
numerous articles and books on infant and child development and 
child care, and contributed early work around the establishment of 
Head Start. One of Dr. Caldwell's most recent projects was ``An 
Ecological Study of Infant Care,'' designed to study the long term 
effects of infant day care. In addition, she has been a leader in 
the early childhood field, serving as President of the NAEYC and a 
member of the Governing Board of the Society for Research in Child 
Development, and participating in international consulting and 
speaking engagements.
    Jane Campbell is a State Representative serving her fifth term 
in the Ohio House of Representatives. She chairs the Oversight 
Committee on Abused, Neglected, and Dependent Children and is a 
member of the Children and Youth Committee. She has also been 
involved with a number of committees that have looked at Ohio's 
school system, domestic relations, and adolescent sexuality and 
pregnancy. She has sponsored a number of important bills for 
children and their families including legislation to expand 
subsidized child care so 20,000 additional children can get quality 
care which will enable their parents to work; extending medicaid to 
working pregnant women; correcting discrimination against pregnant 
teenagers; and simplifying voluntary paternity procedures so 
unmarried fathers can take responsibility for their children.
    Gayle Cunningham is the Executive Director of the Jefferson 
County Committee for Economic Opportunity, the Community Action 
Agency based in Birmingham, Alabama. She directs that agency's Child 
Development Services Division, which includes Head Start and Parent 
and Child Center programs, and a Head Start-Public School Transition 
Demonstration Project. The agency also operates a wide variety of 
other programs for low-income families and individuals. She was 
formerly an Assistant Professor responsible for coordination of the 
early childhood AA degree program at Delgado College in New Orleans, 
and a Senior Research Associate for Bank Street College responsible 
for the expansion of the

[[Page 19000]]

Child Development Associate credentialing program to include infant/
toddler caregivers.
    Sharon Darling is the Founder and President of the National 
Center for Family Literacy. In 1989, with a grant from the Kenan 
Trust, the National Center for Family Literacy was created to 
promote family literacy programming nationwide. While State Director 
of Adult Education in Kentucky, she directed the development of the 
Parent and Child Education program, forerunner of the family 
literacy movement. Ms. Darling is Vice Chair of the Board of 
Directors for the National Institute for Literacy, a board member of 
both The Barbara Bush Foundation for Family Literacy, and the 
National Coalition for Literacy. She has received numerous awards 
for her contributions to education, including the prestigious Harold 
W. McGraw Award for Outstanding Educator in 1993.
    Amy L. Dombo is an Infant/Toddler Specialist. Formerly Director 
of the Infant and Family Center at Bank Street College of Education, 
she is an expert in infant/toddler programs. Ms. Dombro has 
extensive experience training Head Start and child care staff. She 
has also authored three books and numerous articles for parents and 
caregivers. Currently, consulting with Families and Work Institute, 
she is directing the evaluation of Dayton Hudson's Child Care Aware/
Family-to-Family Project, a national initiative to improve the 
quality of family child care.
    Anne Cohn Donnelly is the Executive Director of the National 
Committee to Prevent Child Abuse. As Executive Director, she 
oversees a 50-state network of chapters, a national center on child 
abuse prevention research, and extensive training in educational 
programs and advocacy efforts. The National Committee has provided 
leadership for the replication of the Hawaii Healthy Start home 
visiting model through its Health Families America initiative. Prior 
to joining NCPCA, she served as a White House Fellow and Special 
Assistant to the Secretary of the Department of Healthy and Human 
Services, handling a broad range of issues for the Secretary 
including children's health and social services. She has also 
lectured and published widely, and has designed the first national 
evaluation study of child abuse treatment programs.
    Robert Emde is professor in the Department of Psychiatry at the 
University of Colorado Health Sciences Center and Adjunct Professor 
of Psychology at the University of Denver. Dr. Emde is highly 
respected for his work on infant emotional development, and is the 
author or co-author of over 200 scholarly articles and chapters. Dr. 
Emde has held leadership positions in numerous national 
organizations and has served as an editor of developmental and 
clinical journals. He is the Past President of the Society for 
Research in Child Development, Senior Scientific Advisor for the 
World Association for Infant Mental Health, and a Board Member of 
Zero to Three. Additionally, Dr. Emde has been the invited plenary 
speaker for many national and international conferences.
    Lily Wong Fillmore is a professor at the School of Education, 
Language and Literacy Division, at the University of California, 
Berkeley. She is recognized as a leading expert on issues of 
cultural diversity in child development and educational progress. 
Dr. Fillmore is also known for her work on language acquisition. She 
is currently on the National Advisory Committee of The Literacies 
Institute, funded by the Andrew Mellon Foundation, and the National 
Advisory Committee of the Linguistic Minorities Resource center on 
Educational Equity of the Council of Chief State School Officers.
    Susan Fowler is the Head of the Department of Special Education 
at the University of Illinois in Champaign. She is a well respected 
researcher in the field of early childhood special education, and 
has authored numerous articles and chapters. Dr. Fowler has served 
in a national leadership role as the President of the Division for 
Early Childhood (DEC) in the Council for Exceptional Children. She 
is currently a member of the National Advisory Board of the National 
Early Childhood Technical Assistance System. Dr. Fowler has both 
State and Federal experience.
    Olivia Golden is the Commissioner for the Administration on 
Children, Youth and Families at the Department of Health and Human 
Services. Prior to coming to HHS, Dr. Golden served as the Director 
of Programs and Policy for the Children's Defense Fund in 
Washington, DC, where she was responsible for policy development, 
advocacy, research, data analysis, and writing about a variety of 
children and family issues. Prior to that, she served as Lecturer in 
Public Policy at the John F. Kennedy School of Government, where she 
focused her research on child and family policy and public 
management. From 1983-1985, Dr. Golden served as the Budget Director 
for the Executive Office of Human Services in the Commonwealth of 
Massachusetts. She is the author of a recently published book, Poor 
Children and Welfare Reform (Auburn House Press, 1992), and several 
papers and articles. Her research has focused on the way services 
work for real people, including issues of innovation, collaboration 
and effective service delivery for children and families.
    Sarah Greene is the Chief Executive Officer of the National Head 
Start Association. Mrs. Greene has held a host of positions in the 
Head Start community including President of the National Head Start 
Association, a classroom teacher, Education Director, Head Start 
Director and Executive Director of Manatee Opportunity Council, Inc. 
(a Community Action Agency). She serves as an ambassador for Head 
Start, speaking across the country, testifying before Congress, and 
participating with many other national organizations.
    Judith Jerald is the Director of a Comprehensive Child 
Development Program (CCDP) in Vermont. She coordinates an early 
childhood family support system for Brattleboro Town School District 
which serves families with children prebirth through age eight, and 
includes a CCDP, Even Start, a Parent and Child Center, a Teen 
Parent Infant-Toddler Center at the high school, and transition to 
school programs. Ms. Jerald has extensive experience in program 
design, providing a wide array of direct social services, training, 
community organization, and administration. She is a member of the 
National Association of Social Workers and National Education 
Association.
    Linda Kills Crow is the Director of Early Childhood Services 
(Head Start and the Child Care Development Block Grant Programs) for 
the Osage Tribe of Oklahoma and has been the President of the 
National Indian Head Start Directors Association since 1990. Prior 
to her current position, Ms. Kills Crow was the Director of the 
Native American Education Program at the University of Colorado, 
Denver. Ms. Kills Crow was a Head Start/Johnson and Johnson 
Management Fellow in 1991 and has served on numerous state and 
national boards, committees, and task forces.
    J. Ronald Lally is the Director of the Center for Child and 
Family Studies of the Far West Laboratory for Educational Research 
and Development in California. He is also the Director of the 
Program for Infant/Toddler Caregivers. Prior to joining Far West 
Laboratory, Dr. Lally was a professor at Syracuse University, where 
he directed the Family Development Research Program. He is highly 
respected for his work in the emotional and social development of 
infants and toddlers. Additionally, Dr. Lally has expertise in 
developing both programs and training materials for young children 
and their caregivers. He is Founding Member and serves on the Board 
of Directors of Zero to Three (National Center for Clinical Infant 
Programs).
    Joan Lombardi serves as a Senior Advisor to the Assistant 
Secretary for Children and Families on child care and Head Start 
issues. As an early childhood specialist, she has advocated for 
improved and expanded services to very young children and their 
families through her work with a wide variety of national, state, 
and community-based organizations. She is the author of numerous 
publications, including Creating a 21st Century Head Start, the 
landmark report of the Head Start Advisory Committee on Quality and 
Expansion.
    Harriet Meyer is the Executive Director of the Ounce of 
Prevention in Chicago, Illinois. The Ounce of Prevention supports 
programs focusing on teen parents and their children from 0-3, 
directly operates and administers the Beethoven Project, and is one 
of two Head Start grantees in Chicago as well as three school based 
adolescent health clinics. The Ounce also directs Kids Pepp, the 
Public Education and Policy Analysis Division at the Ounce. 
Previously, Ms. Meyer was the Director of the Wells Community 
Initiative in which she directed the Ounce of Prevention's 
involvement in the revitalization of the Ida B. Wells public housing 
complex in Chicago.
    Evelyn K. Moore is the Executive Director and founder of the 
National Black Child Development Institute, a national network of 40 
affiliates in 23 states which work to improve the quality of life 
for African American children and their families. Before founding 
the Institute, Ms. Moore worked as a Special Assistant to Wilbur 
Cohen, former Secretary of Health, Education and Welfare, at the 
University of Michigan at Ann Arbor. Ms. Moore currently serves on 
the Boards of the National Council of Jewish Women

[[Page 19001]]

Center for the Child, Child Trends, and Child Care Action Council. 
She works as a consultant to the Office of Education in addition to 
numerous philanthropic organizations.
    Genoveva P. Morales has been President of the National Migrant 
Head Start Director's Association for the past two years and 
presently serves as the Migrant Head Start Director for the 
Washington State Migrant Council. Ms. Morales has served the migrant 
community in many roles including Special Services Director and 
Migrant Education Chapter I Program Director. In addition to her 
work with migrant and seasonal farmworkers, Ms. Morales has held 
various positions in the academic setting serving as a Research 
Assistant at the University of Texas at San Antonio, a financial aid 
counselor at the University of Washington, and an academic counselor 
at Eastern Washington University and at the Yakima Valley Community 
College. Her personal commitment to an improved transition effort of 
Head Start children into public school has led her to obtain her 
state certification for counseling in the public school setting.
    Dolores Norton is a professor in the School of Social Service 
Administration, University of Chicago. She writes and teaches in the 
area of early human development within a sociocultural, ecological 
context, and directs the ``Building Partnerships for Family Support 
Education and Training'' project, a collaborative education program 
between community based agencies, universities, and educational 
training organizations. She received her M.S.S. and her Ph.D. 
degrees from Bryn Mawr College. Dr. Norton's major research is an 
ongoing longitudinal study of parent-child interaction developmental 
outcomes of inner city African American children form birth through 
age eleven, growing up in poverty stricken, dangerous neighborhoods. 
The research focuses on the children's socio-cognitive development 
with an emphasis on temporal and linguistic development and early 
academic achievement. She was a member of the founding board of 
Family Focus, Inc., and currently serves on boards such as Zero to 
Three: the National Center for Clinical Infant Programs and the 
Ounce of Prevention and Education for Parenting Advisory Boards.
    Maria Elena V. Orrego is currently consulting and providing 
technical assistance to the Commission on Social Services, 
Department of Human Services, Government of the District of 
Columbia, to develop a five year strategic plan for the Federal 
Family Preservation and Support Services Program. Ms. Orrego was the 
former Executive Director of The Family Place, Inc., a comprehensive 
family support program in Washington, D.C. providing services to 
Latino and African-American families. Ms. Orrego was responsible for 
the planning, management, and evaluation of programs in two family 
support centers. Ms. Orrego has 10 years of experience as a direct 
social services provider in inner city communities, and twelve years 
of experience in development, implementation, and evaluation of 
community based programs for children and families. In addition to 
her work with families in inner city communities, Ms. Orrego serves 
as a member of the Board of Directors of the Family Resource 
Coalition and the D.C. Act for Children.
    Carol Brunson Phillips is the Executive Director of the Council 
for Early Childhood Professional Recognition, which administers the 
Child Development Associate National Credentialing Program. 
Throughout her career in early childhood education, she has been 
involved in both teaching young children and training teachers, 
first as a Head Start teacher. For 13 years she was a member of the 
Human Development Faculty at Pacific Oaks College in Pasadena 
specializing in early childhood education and cultural influences on 
development. Dr. Phillips is currently a member of the Technical 
Advisory Panel of the Head Start Bilingual and Multicultural Program 
Services Study and the National Head Start Training Panel of 
Experts.
    Deborah Phillips is Director of the Board on Children and 
Families on the National Research Council's Commission on Behavioral 
and Social Sciences and Education and the Institute of Medicine. She 
is on leave as associate professor of psychology at the University 
of Virginia. Dr. Phillips received her Ph.D. in developmental 
psychology at Yale University. She was the first director of the 
Child Care Information Services of the National Association for the 
Education of Young Children and is a member of many task forces and 
advisory groups that address child and family policy issues, 
including the research task force of the Secretary's Advisory 
Committee on Head Start Quality and Expansion of the U.S. Department 
of Health and Human Services. Dr. Phillips has testified frequently 
before Congress on issues of child care quality.
    Ed Pitt is Associate Director of the Fatherhood Project at the 
Families and Work Institute. The project is a national research and 
education initiative examining the future of fatherhood and ways to 
support men's involvement in childrearing. Mr. Pitt has been 
involved in many significant initiatives such as the White House 
Conference on Families, President's Commission on Mental Health, 
Secretary's Task Panel on Teen Pregnancy Prevention, and the 
National Health Council.
    Gloria Johnson Powell is a child psychiatrist, formerly a 
professor of child psychiatry at Neuropsychiatric Institute at UCLA, 
and is currently a tenured Professor at Harvard Medical School. She 
is best known for her research on the psychosocial development of 
minority group children. She wrote the first textbook in child 
psychiatry on ethnically and racially diverse children, The 
Psychosocial Development of Minority Group Children. Currently, she 
is director of the Ambulatory Care Center at the Judge Baker 
Children's Center in Boston and has developed a home-based services 
program for inner-city children and families in Boston called 
``Partnerships in Prevention: Building Rainbows'' which uses a 
mobile service center to bring primary mental health care services 
``to the doorsteps'' of children and families in need. This program 
has provided services to twelve housing projects and six Head Start 
programs whose children and families are trapped in their 
communities and homes because of drug-related crime, violence, and 
poverty.
    Linda Randolph is a graduate of the Howard University College of 
Medicine and the School of Public Health, the University of 
California at Berkeley. For seven years, Dr. Randolph was National 
Director of Health Services, Project Head Start. She continued her 
work in government by joining the New York State Department of 
Health serving first as an Associate Commissioner in New York City 
and subsequently as Deputy Commissioner, Office of Public Health in 
Albany. Concurrently Dr. Randolph was appointed Professor of Health 
Policy and Management, Graduate School of Public Health, State 
University of New York at Albany. In 1991, Dr. Randolph was 
appointed Clinical Professor, Department of Community Medicine, 
Mount Sinai School of Medicine. She served on assignment from the 
medical school as Executive Director of the Carnegie Corporation 
Task Force on Meeting the Needs of Young Children which released its 
report--Starting Points--earlier this year.
    Julius B. Richmond is the John D. MacArthur Professor of Health 
Policy, Emeritus at Harvard University Medical School. Dr. Richmond, 
trained in psychiatry and pediatrics, was the first person to hold 
the positions of Assistant Secretary for Health and Surgeon General. 
Dr. Richmond, together with his colleague Dr. Bettye Caldwell, 
designed one of the early programs for low-income preschoolers that 
integrated health and school readiness programs, which later became 
the model for Head Start, of which Dr. Richmond was the first 
Director in 1965 and 1966. Dr. Richmond has been awarded numerous 
honors, including the National Academy of Sciences Institute of 
Medicine's Gustav O. Lienhard award, which recognizes ``outstanding 
achievement in improving personal health care services in the United 
States.''
    Ann Rosewater is the Deputy Assistant Secretary for Policy and 
External Affairs in the Administration for Children and Families, 
Department of Health and Human Services. As Deputy Assistant 
Secretary, she has major management and policy-making 
responsibilities. Prior to coming to ACF, she was senior associate 
at the Chapin Hall Center for Children at the University of Chicago 
and senior consultant to both the Pew Charitable Trusts' Children's 
initiative and the Annie E. Casey, Ford and Rockefeller Foundation's 
Urban Change initiatives. Ms. Rosewater assisted in the creation of 
the US House of Representatives Select Committee on Children, Youth, 
and Families, and served as its staff director and deputy staff 
director from 1983-1990. From 1979-1983, she served as a senior 
legislative assistant to Congressman George Miller. During the 
1970s, she was national education staff for the Children's Defense 
Fund and assistant to the vice president of the National Urban 
Coalition. Ms. Rosewater was the first non-elected official to 
receive the Leadership in Human Services Award of the American 
Public Welfare Association, received the President's Certificate for 
Outstanding Service from the American Academy of Pediatrics and is 
the author of numerous publications on child policy.

[[Page 19002]]

    Shirley Senegal is a Head Start parent at the Opelousas Head 
Start Academy in Louisiana. She is the president of the Parent 
Policy Council and member and Chaplain of the Louisiana Head Start 
Association. Ms. Senegal is a NHSA Board Member and President of the 
Louisiana Head Start Parent Affiliate Group. Ms. Senegal is an 
active participant in both the Louisiana Head Start Association as 
well as the Region VI Head Start Association.
    Lisbeth B. Schorr is Lecturer in Social Medicine at Harvard 
University, a member of the Harvard University Working Group on 
Early Life, and Director of the Harvard University Project of 
Effective Services. Ms. Schorr's 1988 book, Within Our Reach: 
Breaking the Cycle of Disadvantage, analyzed social programs that 
have succeeded in improving the life prospects of disadvantaged 
children. Ms. Schorr is currently pursuing the implications of her 
findings for the large-scale implementation of effective programs. 
Previously, Ms. Schorr helped establish the health division of the 
Children's Defense Fund and directed the health activities of the 
O.E.O.'s Community Action Program.
    Helen H. Taylor is the Associate Commissioner of the Head Start 
Bureau at the Department of Health and Human Services. Prior to 
coming to HHS, Ms. Taylor was Executive Director of the National 
Child Day Care Association, Inc., which operated 16 preschool and 5 
before and after school centers in Washington, DC. Ms. Taylor is a 
former member of the Governing Board of the National Association for 
the Education of Young Children and was Chairperson of the Mayor's 
Advisory Committee on Early Childhood Education. Ms. Taylor has 27 
years of experience in designing and administering large, 
comprehensive child development projects, including Head Start, 
Model Cities, and locally funded child care programs.
    Sally Vogler has served on the staff of Colorado Governor Roy 
Romer since 1988. In this capacity, she advises the Governor on 
policy and programs related to early childhood and directs First 
Impressions, the Governor's early childhood initiative. Over the 
past eight years, First Impressions has successfully put in place a 
number of key educational and community supports that promote the 
healthy development of young children and their families. These 
include the establishment of a statewide child care resource and 
referral system; the creation of family development centers and 
expansion of family literacy programs in the state through the 
``Read To Me, Colorado'' program.
    Bernice Weissbourd is Founder and President of Family Focus, an 
agency providing comprehensive family support services in four 
diverse Chicago communities. She is also Founder and President of 
the Family Resource Coalition, the national organization 
representing the family support movement. Ms. Weissbourd is a 
contributing editor to Parents magazine, and has authored books and 
articles on family support programs and policies, and on child 
development issues. Ms. Weissbourd was President of the American 
Orthopsychiatric Association, Vice-President of the National 
Association for the Education of Young Children and a member of the 
National Commission on Children. She is a lecturer at the School of 
Social Service Administration, University of Chicago.
    Edward Zigler is the Sterling Professor of Psychology, head of 
the psychology sections of the Child Study Center and the Bush 
Center in Child Development and Social Policy at Yale University. He 
is the author and co-author or editor of numerous scholarly 
publications and has conducted extensive investigations on topics 
related to normal child development, as well as psychotherapy, 
mental retardation, intervention programs for economically 
disadvantaged children, and the effects of out-of-home care on the 
children of working parents. Dr. Zigler served as the Chief of the 
U.S. Children's Bureau and first Director of the Office of Child 
Development, now the Administration on Children, Youth and Families. 
He was one of the original planners of Project Head Start.

Appendix D--Category One--New Early Head Start Awards: List of 
Geographic Areas Not Open for Competition Under Category One

    Under Category one, applicants may apply for Early Start funds 
to serve communities throughout the country, except for those listed 
below. The areas listed below are either already served by an 
existing Early Head Start program or are separate competitive areas 
with current Parent and Child Center programs. (In communities with 
an Early Head Start project, the grantee's name is shown in 
parenthesis.)
    (Under Category Two, applicants may apply to serve the 
communities currently served by Parent and Child Centers. In 
addition to being included in the list below, these communities are 
also listed in Appendix E.)

Alabama

--Jefferson County

Alaska

--The Yukon-Kuskokwim Delta Area in Southwest Alaska (Rural Alaska 
Community Action Program, Inc., Anchorage)
--City of Fairbanks (Fairbanks Native Association, Fairbanks)

Arizona

--El Mirage, Peoria, Williams Air Force Base, Mesa (Maricopa County 
Board of Supervisors, Phoenix)
--Enterprise Zone of Phoenix (Southwest Human Development, Phoenix)
--City of Tucson

Arkansas

--Counties of Conway, Yell and Johnson (Child Development, Inc., 
Russellville)

California

--Cities of Chico and Oroville (Butte County Office of Education, 
Oroville)
--Cities of Haywood, San Leandro, San Lorenzo, Castro Valley, Union 
City, Fremont, Newark (Child, Family and Community Services, 
Fremont)
--Monterey County, Cities of Marina and Salinas (Children's Services 
International, Salinas)
--Cities of Placerville (western slope of El Dorado County), S. Lake 
Tahoe, Lake Tahoe Basin (El Dorado County Superintendent of Schools, 
Placerville)
--City of Fresno (Fresno County EOC, Fresno)
--Cities of McKinleyville, Arcata, Eureka, Fortuna, Rio Dell (North 
Coast Children's Services, Arcata)
--Cities of N. San Juan, Kings Beach, Foresthill, Lincoln (Placer 
Community Action Council, Inc., Auburn)
--Cities of Daly City, South San Francisco, Half Moon Bay, San 
Mateo, Redwood City, E. Palo Alto and E. Menlo Park (The Institute 
of Human and Social Development, South San Francisco)
--San Juan Unified School District, Sacramento City Unified School 
District, and North Sacramento (Sacramento Employment and Training 
Agency, Sacramento)
--Cities of Santa Monica, Venice, Mar Vista, Culver City, North 
Inglewood and West of Fairfax Avenue (West Los Angeles) (Venice 
Family Clinic, Venice)
--Cities of Berkeley, Albany, Emeryville
--City of Los Angeles
--City of San Diego
--City of Oakland
--Counties of Shasta, Siskiyou and Trinity

Colorado

--Sunnyside, Jefferson Park, Upper Highland, Lower Highland areas of 
Northwest Denver (Friends of Maria Mitchell [dba Family Star], 
Denver)
--Freemont County (Upper Arkansas Area Council of Governments, Canon 
City)
--Central and Southeast Colorado Springs (Community Partnership for 
Child Development, Colorado Springs)
--City and County of Denver (Clayton-Mile High Family Futures, 
Denver)
--Counties of Bent, Crowley, Otero, and Prowers

Connecticut

--Windham County

Delaware

--Sussex County

District of Columbia

--Wards 1 and 2 of Washington, DC (Edward C. Mazique Parent Child 
Center, Inc., Washington, D.C.)
--Wards 1, 2, and 4 of Washington, DC (Rosemont Child Development 
Center, Washington, D.C.)
--Wards 1, 2, and 5 of Washington, DC (United Planning Organization, 
Office of Preschool and Day Care, Washington, D.C.)

Florida

--Leon and Gadsden Counties (Florida State University, Tallahassee)
--Tampa and Plant City (Hillsborough County Board of Commissioners, 
Tampa)
--North Central Dade County and City of Miami (Dade County Board of 
Commissioners, Miami)

[[Page 19003]]

--Highlands, Hardee and Henry Counties (Redlands Christian Migrant 
Association, Immokalee)
--Alachua County (School Board of Alachua County, Gainesville)
--Belle Glade, West Palm Beach, Rural South Eastern Florida (East 
Coast Migrant, Arlington, VA)
--Broward County
--Duval County

Georgia

--Fulton County (Clark Atlanta University, Atlanta)
--Counties of Dekalb, Scottsdale and Decatur (Save the Children 
Federation, Atlanta)
--Chattooga County (Berry College, Summerville)
--Counties of Murray and Whitfield

Hawaii

--Loolauloa Area, Island of Oahu (State of Hawaii, Dept. of Health, 
Honolulu)
--Kalihi-Palma, Honolulu (Parents and Children Together, Honolulu)

Idaho

--Nez Perce, Lapwai (Nez Perce Tribe, Lapwai)
--Nez Perce County, Idaho and Asotin County, Washington

Illinois

--Garfield School area in the City of Chicago (City of Chicago, 
Chicago)
--Robert Taylor Homes area in the City of Chicago (Ounce of 
Prevention, Chicago)
--Counties of Wabash, Edwards, Wayne, White, Hamilton, Saline, and 
Gallatin (Wabash Area Development, Inc., Enfield)
--Springfield and Sangamon Counties (Springfield Urban League, Inc., 
Springfield)
--Proviso, Cicero and Berwyn Townships in Cook County (Community and 
Economic Development Association, Chicago)
--North Lawndale Community in City of Chicago (Better Boys 
Foundation, Chicago)
--Madison County (Family Service and Visiting Nurse Association, 
Alton)
--Peoria County (Peoria Citizens Committee for Economic Opportunity, 
Peoria)
--City of Chicago

Indiana

--Vigo County (Hamilton Center, Terre Haute)
--Clay, Owen, and Putnam Counties (Child--Adult Resource Service, 
Inc., Rockville)
--Madison County (Hopewell Center, Inc., Anderson)
--Clark County

Iowa

--Counties of Hardin, Marshall, Poweshiek, Tama and Story (Mid-Iowa 
Community Action, Marshalltown)
--Clay County and Cities of Spencer, Royal, Langdon, Dickens, 
Fostoria, Everly and Moneta (Upper Des Moines Opportunity, Inc., 
Graettinger)
--City of Des Moines (Drake University, Des Moines)

Kansas

--Counties of Wichita and Sedgwick (Child Care Association of 
Wichita-Sedgwick, Wichita)
--Kansas City, Kansas and Wyandotte County (University of Kansas 
Medical Center, Kansas City)
--Saline County (Unified School District #305, Salina)

Kentucky

--Christian and Daviess Counties (Audubon Area Community Services, 
Owensboro)
--Harlan County (Kentucky Communities Economic Opportunity Council, 
Barbourville)
--Grayson and Breckinridge Counties (Breckinridge-Grayson Programs, 
Leitchfield)
--Fulton, Graves, Calloway, Marshall, and Warren Counties (Murray 
Board of Education, Murray)
--Whitley County (Whitley County Communities for Children, 
Williamsburg)
--Jefferson County

Louisiana

--City of New Orleans
--Jefferson Parish

Maine

--Oxford County (Community Concepts, Inc., South Paris)
--Franklin County (Western Maine Community Action, East Wilton)

Maryland

--Cities of Rockville, Langley Park, Takoma Park and Hyattsville 
(University of Maryland University, Head Start Resource and Training 
Center, College Park)
--Hightown in Baltimore City and Caroline County (Friends of the 
Family, Inc., Baltimore)
--Cities of Gaithersburg and Germantown (Family Services Agency, 
Inc., Gaithersburg)
--City of Baltimore

Massachusetts

--City of Lowell (Community Teamwork, Inc., Lowell)
--City of Boston

Michigan

--Jackson County (Region II CAA, Jackson)
--Genesee County (Carmen-Aimesworth Community Schools, Flint)
--East and West City of Detroit (City of Detroit Neighborhood 
Services Department, Detroit)
--Grand Haven Area of Ottawa County (Child Development Service of 
Ottawa County, Inc., Holland)
--Menominee, Delta, and Schoolcraft Counties (Menominee, Delta, and 
Schoolcraft Action Agency, Escanaba)
--Clare, Gladwin and Mecosta Counties (Mid-Michigan Community Action 
Agency, Clare)
--Grand Traverse, Artrim, Benzie, Emmet, Kaldaska, Leelanau, 
Missaukee, Roscommon and Wexford Counties (Northwest Michigan Human 
Services, Traverse)
--Counties of Gratiot, Ionia, Isabella, and Montcalm
---Indian Reservations of: Bay Mills, Hannahville, Keweenaw Bay, 
Isabella, and Lac Viewux Desert

Minnesota

--American Indian population of North and Northeast Minneapolis and 
Phillips community of So. Minneapolis (Upper Midwest American Indian 
Center, Minneapolis)
--Midway Section of St. Paul (Model Cities Family Development 
Center, St. Paul)
--Hennepin County

Mississippi

--Laurel and Jones County (Friends of Children of Mississippi, 
Jackson)
--Jackson County
--Leflore County

Missouri

--City of St. Louis (Human Development Corporation of St. Louis, St. 
Louis)
--Jackson County (KCMC Child Development Corporation, Kansas City)

Montana

--Yellowstone County
--Blackfeet Indian Reservation

Nebraska

--Counties of Columbus and Platte (Central Nebraska Community 
Services, Loup City)
--Cities of Scotts Bluff and Gering (Panhandle Community Services, 
Gering)
--City of Omaha (The Salvation Army, Western Division, Omaha)
--Douglas County

Nevada

--Counties of Clark, Elko and White Pine

New Hampshire

--Counties of Belknap, Strafford, Laconia and Rochester (Community 
Action Program Belknap-Merrimack, Inc., Concord)

New Jersey

--Communities of Rosedale, Duddlye, Stockton and City of Marlton 
(Group Homes of Camden County, Camden)
--Communities of Montclair, Glen Ridge, and South Essex (East Orange 
Child Development Corporation, East Orange)
--West Ward and Central Ward of Newark (Babyland Nursery, Inc., 
Newark)
--Sussex and Warren Counties (Northwest New Jersey Community Action 
Program, Phillipsburg)
--Upper Passaic County

New Mexico

--County of Bernalillo

New York

--The School district of Saratoga County (Ballston Spa Central 
School District, Ballston Spa)
--Allegany County (ACCORD, Belmont)
--Chautauqua County (Chautauqua Opportunities, Inc., Dunkir)
--South and west quadrants of Syracuse (P.E.A.C.E., Inc., Syracuse)
--City of Utica (Utica Head Start Children and Families, Utica)
--Lower Eastside Manhattan. This area covers three Census tracks 
bounded on the east by the East River, on the west by Allen Street, 
on the north by Houston Street and

[[Page 19004]]

on the south by Delancey Street (Grand Street Settlement, New York)
--Kingsbridge Heights, Marble Hill, Fordham and Tremont (Kingsbridge 
Heights Community Center, Bronx)
--Washington Heights and Inwood in Manhattan (Children's Aid 
Society, New York)
--Village of New Square (New Square Community Improvement Council, 
Spring Valley)
--Mott Haven Section in the Bronx (University Settlement Society of 
New York, New York)
--Fort Green Park Community of Brooklyn (Project Teen Aid/Project 
Chance, Brooklyn)
--Dutches County (Astor Home for Children, Rhinebeck)
--Teen Aid High School in China Town, and Bellveue Hospital in Lower 
Manhattan (The Educational Alliance, New York)
--Far Rockaway in New York City (Visiting Nurse Service of New York, 
New York)
--City of Buffalo
--Bronx County

North Carolina

--Emma, Johnston, Woodfin districts in Duncombe County (Asheville 
City Schools, Asheville)
--Craven County
--Macon County
--McDowell County
--Rowan County
---Wayne County

North Dakota

--Spirit Lake Reservation (Little Hoop Community College, Fort 
Totten)
--Standing Rock Sioux Reservation (Standing Rock Sioux Tribe, Fort 
Yates)
--Ward County

Ohio

--Clermont County (Child Focus of Clermont County, Cincinnati)
--Hamilton County (Cincinnati/Hamilton County CAA, Cincinnati)
--Glenville, Hough, and St. Clair Areas of Cuhahoga County (Council 
for Economic Opportunity in Greater Cleveland, Cleveland)
--Miami and Darke Counties (Council on Rural Services Programs, 
Inc., Greenville)
--Lorain County

Oklahoma

---Cherokee Nation Reservation (Cherokee Nation, Tatequah)
--Creek County

Oregon

--Jackson County and Illinois Valley area of Josephine County 
(Southern Oregon Child and Family Council, Inc., Central Point)
--City of Portland
--Umatilla County

Pennsylvania

--City of Allentown (Community Services for Children, Inc., 
Bethlehem)
--Cities of Aliquippa and Beaver Falls (Civic Senior Citizens, Inc., 
Aliquippa)
--Westmoreland County (Seton Hill Child Services, Greensburg)
--Terrace Village Public Housing, McKees Rocks, Stowe township, 
Clairton, Camden Hills (University of Pittsburgh, Pittsburgh)
--William Penn High School District in Philadelphia (Allegheny 
University of the Health Sciences, Division of Community Health, 
Philadelphia)
--North-Eastern Philadelphia (The Philadelphia Parent Child Center, 
Inc., Philadelphia)
--Counties of Lackawanna, Pike, Susquehanna, and Wayne
--Counties of Mifflin, Snyder, and Union

Puerto Rico

--Cano Vanas, Rio Grande (Aspira, Inc. of Puerto Rico, Rio Piedras)
--Vega Alta, San Juan, Puerto Rico (New York Foundling Hospital, New 
York)
--Municipality of Carolina

Rhode Island

--Kent County (CHILD Inc., Warwick)
--City of Cranston and Providence County (Comprehensive Community 
Action, Cranston)
--Newport County

South Carolina

--Sumter County (Sumter School District 17, Sumter)
--Greenville County (Sunbelt Human Advancement Resources, Inc., 
Greenville)

South Dakota

--Counties of Minnehaha, Lake, Moody, Codington, Hamlin and 
Brookings (Inter Lakes Community Action, Madison)
--Rapid City, Ellsworth AFB, and counties of Box Elder, Black Hawk, 
Pennington and Meade (Youth and Family Services, Rapid City)
--Crow Creek Sioux Reservation and parts of Pennington County
--Oglala Sioux Reservation

Tennessee

--Hamilton County (City of Chattanooga Human Resources Dept., 
Chattanooga)
--Henry, Gibson, Obion, Weakley Counties (Tennessee State 
University, Nashville)
--Union City; Counties of Fayette, Lauderdale, Tippon, Carroll and 
Jackson-Madison (Northwest Tennessee Economic Development)
--Counties of Giles, Bedford and Lawrence

Texas

--Alice, Jim Wells County, and Kingsville and Fulfurias in Kleberg 
Counties (CAC of South Texas, Alice)
--City of Austin (Child Inc., Austin)
--North-East Dallas (Head Start of Greater Dallas, Inc., Dallas)
--City of San Antonio and Bexar County (City of San Antonio Parent 
and Child, Inc., San Antonio)
--West Side of San Antonio (Avance, Inc., San Antonio)
--San Marcos and Kyle in Hays County (C.A. Inc. of Hays, Caldwell 
and Blanco Counties, San Marcos)
--Hildalgo County (Texas Migrant Council, Laredo)
--Cherokee County
--City of Houston

Utah

--Box Elder and Cache Counties in Utah; Franklin County in Idaho 
(Bear River Head Start, Logan)
--Davis County

Vermont

--Lamoille, Orange, Washington Counties (Central Vermont Community 
Action Council, Inc., Barre)
--Windham County (Brattleboro Town School District Early Education 
Services, Brattleboro)
--Communities of Newport, Irasburg/Albany, Barton, Island Pond, 
Gilman, St. Johnsbury, Hartwick, Lyndonville and Burke (North East 
Kingdom Community Action, Inc., Newport)

Virginia

--Cities of Bristol, Abingdon, Glade Spring, Meadowview, Lebanon, 
Clintwood and Grundy (People, Inc., Abingdon)
--Route 1 corridor in Fairfax County, Virginia (United Cerebral 
Palsy of Washington DC and Northern Virginia, Washington, DC)
--Fairfax County, Cities of Fairfax and Falls Church

Washington

--Communities of Kent, Auburn, Renton (Children's Home Society of 
Washington, Auburn)
--Port Gamble Reservation; Kitsap County (Port Gamble S'Klallam 
Tribe, Kingston)
--Spokane County and City of Spokane (Washington State Community 
College District 17, Spokane)
--Yakima County (Washington State Migrant Council, Grandview)
--City of Seattle

West Virginia

--Communities of Wadestown and Sabraton (Monongolia County Board of 
Education, Morgantown)
--Counties of Cabell, Lincoln, Mason, and Wayne

Wisconsin

--Counties of Adams, Columbia, Dodge, Juneau, and Sauk (Renewal 
Unlimited, Baraboo)
--Counties of Barron, Chippewa, Dunn, Pepin, Pierce, Polk, and St. 
Croix) (CESA #11, Turtle Lake)
--I-94 to Capitol Drive; 10th Street to Sherman Blvd. in the City of 
Milwaukee; and Milwaukee County (Next Door Foundation, Milwaukee)

Wyoming

--Counties of Converse, Goshen, Natrona, Niobrara, Platte

Appendix E--Category Two--New Awards to Communities Served by PCCS: 
List of Geographic Areas Open to Competition Under Category Two

    Under Category Two, applicants from communities served by 
current Parent and Child Center programs may apply to operate an 
Early Head Start program within their community. Applicants from 
each community will compete for funds against

[[Page 19005]]

other applicants from the same community. The competitive areas are 
listed below.

Alabama

1. Competitive Area: Jefferson County

Arizona

2. Competitive Area: City of Tucson

California

3. Competitive Area: Cities of Berkeley, Albany, Emeryville
4. Competitive Area: City of Los Angeles (excluding the Cities of 
Santa Monica, Venice, Mar Vista, Culver City, North Inglewood and 
west of Fairfax Avenue (west LA))
5. Competitive Area: City of San Diego
6. Competitive Area: City of Oakland
7. Competitive Area: Counties of Shasta, Siskiyou and Trinity

Colorado

8. Competitive Area: Counties of Bent, Crowley, Otero, and Prowers

Connecticut

9. Competitive Area: Windham County

Delaware

10. Competitive Area: Sussex County

Florida

11. Competitive Area: Broward County
12. Competitive Area: Duval County

Georgia

13. Competitive Area: Counties of Murray and Whitfield

Idaho

14. Competitive Area: Nez Perce County, Idaho and Asotin County, 
Washington

Illinois

15. Competitive Area: City of Chicago (excluding the Garfield School 
area, the Robert Taylor Homes area, and the North Lawndale 
Community)

Indiana

16. Competitive Area: Clark County

Kentucky

17. Competitive Area: Jefferson County

Louisiana

18. Competitive Area: City of New Orleans
19. Competitive Area: Jefferson Parish

Maryland

20. Competitive Area: City of Baltimore (excluding the Hightown 
area)

Massachusetts

21. Competitive Area: City of Boston

Michigan

22. Competitive Area: Counties of Gratiot, Ionia, Isabella, and 
Montcalm
23. Competitive Area: Indian Reservations of: Bay Mills, 
Hannahville, Keweenaw Bay, Isabella, and Lac Viewux Desert

Minnesota

24. Competitive Area: Hennepin Count (excluding the Midway Section)

Mississippi

25. Competitive Area: Jackson County
26. Competitive Area: Leflore County

Montana

27. Competitive Area: Yellowstone County
28. Competitive Area: Blackfeet Indian Reservation

Nebraska

29. Competitive Area: Douglas County

Nevada

30. Competitive Area: Counties of Clark, Elko and White Pine

New Jersey

31. Competitive Area: Upper Passaic County

New Mexico

32. Competitive Area: County of Bernalillo

New York

33. Competitive Area: City of Buffalo
34. Competitive Area: Bronx County (excluding the areas of 
Kingsbridge Heights, Marble Hill, Fordham and Tremont)

North Carolina

35. Competitive Area: Craven County
36. Competitive Area: Macon County
37. Competitive Area: McDowell County
38. Competitive Area: Rowan County
39. Competitive Area: Wayne County

North Dakota

40. Competitive Area: Ward County

Ohio

41. Competitive Area: Lorain County

Oklahoma

42. Competitive Area: Creek County

Oregon

43. Competitive Area: City of Portland
44. Competitive Area: Umatilla County

Pennsylvania

45. Competitive Area: Counties of Lackawanna, Pike, Susquehanna, and 
Wayne
46. Competitive Area: Counties of Mifflin, Snyder, and Union

Puerto Rico

47. Competitive Area: Municipality of Carolina

Rhode Island

48. Competitive Area: Newport County

South Dakota

49. Competitive Area: Crow Creek Sioux Reservation and parts of 
Pennington County
50. Competitive Area: Oglala Sioux Reservation

Tennessee

51. Competitive Area: Counties of Giles, Bedford and Lawrence

Texas

52. Competitive Area: Cherokee County
53. Competitive Area: City of Houston

Utah

54. Competitive Area: Davis County

Virginia

55. Competitive Area: Fairfax County, Cities of Fairfax and Falls 
Church

Washington

56. Competitive Area: City of Seattle

West Virginia

57. Competitive Area: Counties of Cabell, Lincoln, Mason, and Wayne

Wyoming

58. Competitive Area: Counties of Converse, Goshen, Natrona, 
Niobrara, Platte

[FR Doc. 97-9910 Filed 4-16-97; 8:45 am]
BILLING CODE 4184-01-P