[Federal Register Volume 62, Number 89 (Thursday, May 8, 1997)]
[Notices]
[Pages 25390-25416]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-12016]



[[Page 25389]]

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Part V





Department of Health and Human Services





_______________________________________________________________________



Administration for Children and Families



_______________________________________________________________________



Announcement of the Availability of Funds and Request for Applications 
To Carry Out Child Care Research Partnerships; Notice

  Federal Register / Vol. 62, No. 89 / Thursday, May 8, 1997 / 
Notices  

[[Page 25390]]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Administration for Children and Families
[Program Announcement No. ACYF-PA-CC-9701]


Announcement of the Availability of Funds and Request for 
Applications To Carry Out Child Care Research Partnerships

AGENCY: Administration on Children, Youth and Families, ACF, DHHS.

ACTION: Announcement of the availability of funds and request for 
applications to carry out Child Care Research Partnerships on child 
care issues affecting welfare recipients and low-income working 
families.

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SUMMARY: This solicitation announces a competition for up to five 
cooperative agreements to carry out Child Care Research Partnerships. 
The purpose of this initiative is to increase and strengthen capacity 
for cross-cutting research on critical child care issues affecting 
welfare recipients and low-income working families. Each of the 
partnerships will focus on cross-cutting themes central to the 
implementation and success of subsidized child care programs under 
welfare reform, with an emphasis on data from State administrative 
systems, local child care data sources, and linkage with relevant 
research or evaluation studies. Each of the partnerships will 
participate in the Child Care Policy Research Consortium established by 
the Child Care Bureau. The primary goal of that Consortium is to better 
understand issues concerning: (1) The child care needs, utilization 
patterns and outcomes for low-income families, including welfare 
recipients, those moving from welfare to work, and the working poor; 
(2) the child care opportunities and constraints which affect low-
income families and children under new welfare policies, changing State 
and local child care systems, and emerging market conditions; and (3) 
the availability, costs, quality, and other critical features of 
subsidized child care services.

DATES: The closing time and date for receipt of applications is 4:30 
p.m. (Eastern Time Zone) on July 7, 1997. Applications received after 
4:30 p.m. will be classified as late.

FOR FURTHER INFORMATION CONTACT: Dr. Pia Divine, Program Officer, 
Administration for Children and Families, Child Care Bureau, Room 320F, 
Hubert Humphrey Building, 200 Independence Avenue, S.W., Washington, DC 
20201; Phone: 202-690-6705; Fax: 202-690-5600; Email: 
[email protected].

NOTICE OF INTENT TO SUBMIT APPLICATION:
    If you intend to submit an application, please send a post card 
with the number and title of this announcement, your organization's 
name and address, and your contact person's name, phone number, fax 
number, and email address to: Administration on Children, Youth and 
Families, Operations Center, 3030 Clarendon Blvd., Suite 240, 
Arlington, Virginia 22201, Attn: Child Care Research Partnerships.
    The information will be used to determine the number of expert 
reviewers needed and to update the mailing list to whom program 
announcements are sent.

SUPPLEMENTARY INFORMATION: The ACF Application Forms and this 
Supplementary Information section contain all of the forms and 
instructions needed to apply for a Child Care Research Partnership. No 
additional application materials are needed.
    The Supplementary Information section consists of six parts. Part I 
provides general information about the Child Care Research 
Partnerships, funding requirements, and application procedures. Part II 
provides background information on ACYF, the Child Care Bureau, and the 
Child Care Policy Research Consortium. Part III describes goals for the 
new Partnerships and expectations for collaborative research. Part IV 
discusses the Project Narrative Statement and outlines additional 
requirements for applicants in designing their projects. Part V 
describes the proposal review process, evaluation criteria and 
selection process. Part VI provides additional instructions for the 
development and submission of applications. The contents are organized 
as follows:

Part I. General Information

A. Purpose
B. Citations
C. Number of Awards
D. Project Duration
E. Funding Levels and Budget Periods
F. Non-Federal Share of Project Costs
G. Eligible Applicants

Part II. Background and Context

A. The Child Care Bureau
B. Strategic Approach to Research
C. The Child Care Policy Research Consortium
D. Other Partnerships and Initiatives
E. Research Symposia
F. Research Dissemination

Part III. New Child Care Research Partnerships

A. Introduction
B. Goals, Expectations and Priorities
C. Cooperative Agreements

Part IV. Project Narrative Statement

A. Issues, Objectives and Significance
B. Technical Approach to Research and Management
C. Staff Qualifications, Organizational Capability, and Fiscal 
Resources

Part V. Evaluation and Selection

A. The Review Process
B. Evaluation Criteria
C. The Selection Process
D. Funding Date

Part VI. Development and Submission of Applications

A. State Single Point of Contact
B. Paperwork Reduction Act of 1995
C. Deadline for Submission of Applications
D. Preparing the Application and Completing Forms
E. Checklist for a Complete Application
F. Notification

Part I. General Information

A. Purpose

    The purpose of this initiative is to develop and strengthen 
capacity for cross-cutting research on critical child care issues 
affecting welfare recipients and low-income working families.

B. Citations

1. Sponsorship
    Cooperative agreements for research being awarded under this 
announcement are sponsored by the Child Care Bureau (the Bureau) of the 
Administration on Children, Youth and Families (ACYF) in the 
Administration for Children and Families (ACF), U.S. Department of 
Health and Human Services (DHHS). The projects will be managed by the 
Bureau.
2. Funding Authority
    Funding is being provided by ACF under Section 1110 of the Social 
Security Act, contingent upon the availability of funds.
3. Catalog of Federal Domestic Assistance
    The Catalog of Federal Domestic Assistance Number is 93.647.

C. Number of Awards

    Up to five projects will be funded in fiscal year 1997 (ending 
September 30, 1997), subject to the availability of funds and results 
of the evaluation process.

D. Project Duration

    The total project period will be 48 months.

E. Funding Levels and Budget Periods

    Initial awards will be for a one-year budget period. Individual 
projects will

[[Page 25391]]

receive up to $200,000 for the first budget period of 12 months, with a 
possibility of up to $200,000 per year in continuation funding to be 
awarded in fiscal years 1998, 1999, and 2000. The estimated total 
Federal funding for a four-year project is $800,000.
    Applications for continuation of cooperative agreements funded 
under this announcement will be entertained in subsequent years on a 
non-competitive basis. The award of continuation funding beyond each 
one-year budget period (but within the four-year project period) will 
be 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.

F. Non-Federal Share of Project Costs

    A non-Federal match is required. Grantees must provide at least 25 
percent of the total approved cost of the project. The non-Federal 
share may be met by cash or in-kind contributions.
    The total approved cost of the project is the sum of the Federal 
share (75 percent) and the non-Federal share (25 percent). A project 
which is awarded a total of $800,000 in Federal funds (based on an 
award of $200,000 per 12-month budget period for four years) would have 
a total approved cost of $1,066,667 and a non-Federal share of 
$266,667.

G. Eligible Applicants

    The application must identify only one partner as the official 
applicant and lead organization. This partner will receive the award if 
the project is funded and will be responsible for ensuring that the 
terms of the cooperative agreement are met. The official applicant must 
be a public or private non-profit agency or organization and may be 
either the research group or another partner. Profit-making 
organizations and non-federally recognized Indian Tribes are not 
eligible to act as the official applicant but may participate as 
members of the partnership.
    Broadly based partnerships are encouraged. At least one member of 
the Partnership must be a research group affiliated with an accredited 
university or four-year college. One other member of the Partnership 
must be a state agency which administers subsidized child care programs 
for low-income families. In addition, the Partnership can include a 
wide variety of relevant organizations including but not limited to: 
(1) Resource and referral organizations which collect and maintain an 
ongoing data base of local or statewide information on child care 
demand and supply; (2) planning councils, commissions, advisory groups, 
and civic organizations which participate in child care planning and 
policy making; (3) non-academic research organizations which conduct 
studies on child care markets, populations, services, policies or other 
relevant aspects of child care and welfare reform; (4) Tribal, county 
or local agencies which administer child care subsidy programs; (5) 
early childhood programs such as public or private child care centers, 
Head Start and family child care networks; (6) professional 
organizations and associations; (7) providers of supportive services 
such as provider training, technical assistance, or consumer education; 
(8) child care consumer groups and community organizations; (9) 
foundations and charitable organizations; (10) businesses and business 
associations; and (11) other appropriate organizations or individuals.
    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.

Part II. Background and Context

A. The Child Care Bureau

    The Child Care Bureau is that agency within the Federal government 
with the most far-reaching mandate for child care. Established in 1995 
to provide new leadership and consolidate federal responsibilities for 
subsidized child care programs, the Bureau administers $2.9 billion in 
Federal child care dollars annually. The Bureau works closely with 
States, Territories, Tribes and local communities to develop cost-
effective services and delivery systems, promotes joint ventures with 
the private sector, and provides information and other assistance to 
parents. In addition, the Bureau collaborates extensively with other 
offices throughout the Federal government to promote integrated, 
family-focused services and coordinated child care delivery systems. In 
all of these activities, the Bureau seeks to enhance the quality, 
availability and affordability of child care services, to support 
children's healthy growth and development in safe child care 
environments, to enhance parental choice and involvement in their 
children's care, and to facilitate the linkage of child care with other 
community services.
    The Bureau's central responsibility is administration of the Child 
Care and Development Fund (CCDF) created by title VI of the Personal 
Responsibility and Work Opportunity Reconciliation Act of 1996 (Pub. L. 
104-193) which became effective October 1, 1996. This legislation 
consolidates four Federal child care funding streams, allowing States 
to design comprehensive, integrated service delivery systems to meet 
the needs of low-income working families. In this new statute, three 
programs collectively known as ``title IV-A'' child care were repealed 
and their funding incorporated under the requirements of the Child Care 
and Development Block Grant Program (CCDBG) as amended. These three 
programs included AFDC/JOBS Child Care, Transitional Child Care (TCC), 
and At-Risk of Welfare Dependency Child Care (ARCC). For ease of 
reference, the newly consolidated IV-A/CCDBG program is known as the 
``Child Care and Development Fund'' (CCDF). In fiscal year 1997, States 
will receive more than $2 billion and Tribes $59 million in CCDF funds.
    In administering the CCDF, the Bureau develops policies, monitors 
service delivery systems, and provides technical assistance in close 
cooperation with ten Regional Offices which in turn work directly with 
States, Territories and Tribes. The Regional Offices are further 
organized into five regional hubs headquartered in major cities as 
follows: (1) Regions I, II and III (New York City); (2) Region IV 
(Atlanta); (3) Regions V and VII (Chicago); (4) Regions VI and VIII 
(Dallas); and (5) Regions IX and X (San Francisco). The ten Regional 
Offices and the States they represent are shown in the table below:

------------------------------------------------------------------------
                                                States represented in   
       Region            Regional office                region          
------------------------------------------------------------------------
I..................  Boston................  Connecticut, Maine,        
                                              Massachusetts, New        
                                              Hampshire, Rhode Island,  
                                              Vermont.                  
II.................  New York City.........  New Jersey, New York,      
                                              Puerto Rico, Virgin       
                                              Islands.                  

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III................  Philadelphia..........  Delaware, Maryland,        
                                              Pennsylvania, Virginia,   
                                              West Virginia, District of
                                              Columbia.                 
IV.................  Atlanta...............  Alabama, Florida, Georgia, 
                                              Kentucky, Mississippi,    
                                              North Carolina, South     
                                              Carolina, Tennessee.      
V..................  Chicago...............  Illinois, Indiana,         
                                              Michigan, Minnesota, Ohio,
                                              Wisconsin.                
VI.................  Dallas................  Arkansas, Louisiana, New   
                                              Mexico, Oklahoma, Texas.  
VII................  Kansas City...........  Iowa, Kansas, Missouri,    
                                              Nebraska.                 
VIII...............  Denver................  Colorado, Montana, North   
                                              Dakota, South Dakota,     
                                              Utah, Wyoming.            
IX.................  San Francisco.........  Arizona, California,       
                                              Hawaii, Nevada, Guam,     
                                              Trust Territory of Pacific
                                              Islands, American Samoa.  
X..................  Seattle...............  Alaska, Idaho, Oregon,     
                                              Washington.               
------------------------------------------------------------------------

B. Strategic Approach to Research

    Although the Bureau is a relatively young organization within the 
ACYF, it carries on a long tradition of commitment to child care 
research and collaboration. Since the early 1970's, ACYF has been 
building a child care research agenda for valid, reliable and 
comprehensive information that can withstand the test of time, with 
each new initiative set in place as a building block for a more complex 
structure of knowledge. Much of contemporary child care policy, 
practice and ongoing research can be traced to the accumulated 
knowledge base, research technologies, and long-term trends derived 
from ACYF research and its contributions to other investigations.
    The Bureau bears a major responsibility for assisting with, 
overseeing, and documenting the implementation of new policies and 
programs as the responsibility for child care progressively shifts to 
States, localities, and the private sector. States now have the 
opportunity to craft programs more directly suited to their citizenry, 
but are also faced with unprecedented challenges in meeting the needs 
of low-income, underserved, and other vulnerable populations. Young 
children are of special concern. The need for and use of child care for 
children from low-income families can be expected to increase 
substantially with mounting pressures to move families from welfare to 
work.
    Faced with limited funding, a burgeoning need for child care 
services, and the need to immediately implement welfare reform, public 
agencies are under enormous pressure to use their child care dollars as 
effectively as possible. States and communities face a bewildering 
array of difficult, complex and costly decisions. Yet, existing data 
cannot be easily used for planning and policy-making. In addition, 
there is little detailed understanding of how the child care 
marketplace operates within the context of changing policies and 
population dynamics or what outcomes for children and families can be 
achieved under new policy constraints and opportunities.
    Much needs to be done to help States learn from their own and each 
other's experiences. What is known, and what can be learned, about 
labor force attachment coupled with access to child care needs to be 
examined in the context of child health, safety, and well-being. Sound, 
research-based information needs to be amassed, developed and fed back 
to the States, localities, providers and parents. Topical areas for 
study and meaningful research questions need to be well-articulated 
from the field. Moreover, in order for child care issues to be 
understood in differing cultural, socio-economic and geopolitical 
contexts, there is a need for greater comparability among data systems 
which attempt to capture information on similar questions and themes.
    There is thus a growing consensus about the critical need for more 
valid, reliable and integrated knowledge to guide the delivery of child 
care services, inform emerging policy debates, and point the way to 
more effective solutions of complex child care issues. Because child 
care issues are complex and affect many facets of family, work and 
community life, there is a particular need for strong partnerships 
among the Child Care Bureau and other Federal offices, academic and 
research communities, State and local program administrators, 
practitioners, resource and referral agencies, community planners, and 
consumers. In response to these issues, the Bureau has undertaken a 
variety of research initiatives and collaborative relationships which 
highlight the complex and evolving role of child care in contemporary 
society.

C. The Child Care Policy Research Consortium

    In 1995, the Bureau launched a Child Care Policy Research 
Consortium focused on three cross-cutting themes: (1) The child care 
needs, utilization patterns and outcomes for low-income families, 
including welfare recipients, those moving from welfare to work, and 
the working poor; (2) the child care opportunities and constraints 
which affect low-income families and children under new welfare 
policies, changing State and local child care systems, and emerging 
market conditions; and (3) the availability, costs, quality, and other 
critical features of subsidized child care services. This Consortium is 
currently composed of three broadly-constituted research partnerships 
under the leadership of the National Center for Children in Poverty at 
Columbia University in New York City (working in Illinois and 
Maryland), the Florida Children's Forum in Tallahassee (working in 
Alabama, Florida and Massachusetts), and Portland State University 
(working in Oregon).

D. Other Partnerships and Initiatives

    The Child Care Bureau invests considerable effort in collaboration 
with other Federal offices and agencies to more broadly address 
research issues of national importance. Within ACYF, ACF and the 
Department, key partners include the Head Start Bureau (HSB), the 
Office of Planning, Research and Evaluation (OPRE), and the DHHS Office 
of the Assistant Secretary for Planning and Evaluation (ASPE).
    Within ACYF, the Bureau works closely with the Head Start Bureau to 
better understand interrelationships between Head Start and other child 
care services used by Head Start families as well as to promote a more 
integrated approach to early childhood policy and research. Key points 
of linkage include the Head Start Quality Research Consortium and the 
Early Head Start Evaluation which include samples, variables and 
measures of significance for child care policies and programs.
    The ACF Office of Policy, Research and Evaluation has primary 
responsibility for the evaluation of State welfare programs. As the 
Department undertakes required research activities under TANF 
(Temporary Assistance to Needy Families), the Bureau will collaborate 
with OPRE in devising research strategies to assess the costs and 
benefits of subsidized child care

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services in achieving the goals of this new legislation and creating 
performance standards to measure States' success.
    The Office of the Assistant Secretary for Planning and Evaluation 
(ASPE) also sponsors evaluations of welfare policies and child 
outcomes. The Bureau helps to ensure that child care issues and 
variables are included in ongoing analyses of existing studies and 
major new research. The Bureau and ASPE also cooperate in smaller 
studies of mutual interest, particularly feasibility or pilot research 
for future studies.
    The Bureau also works with other Federal agencies whose research 
interests expand or enhance those of the Bureau. Two important partners 
include the DHHS National Institute of Child Health and Development 
(NICHD) and the Office of Educational Research and Improvement in the 
Department of Education, both of which are engaged in research with 
important implications for child care policy and practice.

E. Research Symposia

    The Bureau sponsors a variety of symposia for researchers, 
administrators and policy makers whose purpose is to consider critical 
issues and how research might help. This ongoing dialogue asks (1) what 
are the most pressing policy issues facing child care administrators 
over the next several years; (2) what data are needed to arrive at 
informed decisions; and (3) how can the information be obtained without 
launching large scale new studies? For example, what is the capacity of 
state child care agencies and resource and referral networks to 
generate useful information? What types of systems would best meet 
competing needs for simplicity and comprehensiveness? How can new 
information systems better satisfy the need for diverse information to 
track welfare reform in differing policy contexts, for highly targeted 
data needed to answer specific policy questions, and for comparable 
state-level information needed for congressional reports?

F. Research Dissemination

    The timely dissemination of research findings is also a high 
priority for the Bureau. New information and its relevance for families 
and their providers, for communities, States and Tribes, and for other 
researchers is featured in a variety of professional publications, 
conferences and other venues. The Bureau's National Child Care 
Information Center (NCCIC) operates an adjunct clearinghouse for the 
Education Research Information Center (ERIC), the nation's largest 
repository for child care related research. This partnership will make 
child care research findings and documents available on-line and easily 
accessible to child care stakeholders. In addition, the NCCIC 
highlights research in its nationally distributed Child Care Bulletin.

III. New Child Care Research Partnerships

A. Introduction

    The Bureau anticipates funding up to five new Child Care Research 
Partnerships by September 30, 1996. It is anticipated that approved 
Partnerships will receive up to $800,000 over a total project period of 
four years, with up to $200,000 per 12-month budget period. Non-
competitive funding each year will be based on the availability of 
funds, satisfactory progress, and needs of the Bureau.
    The purpose of this initiative is to increase and strengthen 
capacity for cross-cutting research on critical child care issues 
affecting welfare recipients and low-income working families. The new 
Partnerships being funded under this announcement represent an 
important strategy for the Bureau in the ongoing process of helping 
States and Tribes develop service delivery systems which are more 
efficient, effective, and responsive to the needs of children and 
families. Although there is a growing body of knowledge about child 
care demand and supply, only limited research has been directed to the 
child care needs, options, and utilization patterns of low-income 
families. In particular, the Bureau is concerned with the role of 
subsidized child care as a support to low-income families in achieving 
and sustaining economic self-sufficiency while rearing their children 
and balancing the competing demands of work and family life. Equally 
important is the quality of care that children are receiving and the 
implications of available options for their development and well-being.

B. Goals, Expectations, and Priorities

    The Bureau's overriding goal in funding new Child Care Research 
Partnerships is to develop a broader knowledge base and improve the 
capacity for on-going, data-based information to help resolve critical 
child care issues. In addressing these concerns, a high priority for 
the Bureau is to increase dialogue and understanding among researchers, 
administrators and other Federal and State policy makers in order to 
make research more relevant for policy.
    As members of the Child Care Policy Research Consortium, each of 
the new Partnerships will be expected to focus in some significant way 
on three cross-cutting themes considered central to the implementation 
and success of subsidized child care programs under welfare reform: (1) 
The child care needs, utilization patterns and outcomes for low-income 
families, including welfare recipients, those moving from welfare to 
work, and the working poor; (2) the child care opportunities and 
constraints which affect low-income families and children under new 
welfare policies, changing State and local child care systems, and 
emerging market conditions; and (3) the availability, costs, quality, 
and other critical features of subsidized child care services. These 
themes were established by the Bureau in 1995 with formation of the 
consortium and are reflected in the initiatives being carried out by 
the three existing Partnerships. Within this context, each new 
Partnership will be expected to work with other consortium members to 
contribute to a more complete understanding of child care policy 
issues, to help translate issues into research questions, and to assist 
in the analysis of questions as applied to different populations, 
geographic areas, and policy environments. Priority will be given to 
Partnerships which address critical policy issues and show strong 
promise of helping States understand how changing conditions are 
affecting their child care needs and outcomes.
    Another expectation for the Partnerships is to contribute to 
collaborative planning for improved data systems, linkage with other 
current studies, and secondary analysis of existing data. It is often 
possible for teams working cooperatively to produce a more cohesive, 
conceptually integrated set of studies or approaches than would 
otherwise be possible. For this reason, researchers are challenged to 
develop innovative strategies which leverage existing knowledge and 
resources, and which contribute to more effective, efficient and useful 
methodologies. For example, subsidized program data, local resource and 
referral data, and Census data might be analyzed to characterize local 
and statewide patterns of demand and supply as well as point to 
possible future trends. Two or more States might produce comparable 
analyses to better understand child care in inner cities, rural areas, 
or some other cross-cutting theme. Ongoing studies might also be 
replicated, expanded, linked, or otherwise utilized in the development 
of a comprehensive and cohesive

[[Page 25394]]

research strategy. Priority will be given to Partnerships which 
demonstrate the ability to obtain valid, reliable and important data 
for cost-effective and cross-cutting analyses of complex issues from 
one or more of the following sources: (1) State administrative data 
systems; (2) resource and referral networks or other locally-based 
systems with a capacity for ongoing data collection; (3) data linkages 
with major studies which are currently underway or about to be 
launched; and (4) large-scale demographic data bases.
    Effective collaboration for child care policy research requires the 
ability and willingness to (1) establish an effective mode of 
communication among the network of researchers, administrators and 
practitioners; (2) establish mutually beneficial relationships within 
the individual Partnership and with other members of the Child Care 
Policy Research Consortium; and (3) establish a network of data sources 
and a dependable cadre of data collectors. Partnerships will be 
expected to share technical approaches, methods, products, and findings 
with other researchers, States and communities. Priority will be given 
to partnerships which demonstrate the ability to launch studies 
involving multiple partners, including the ability to bring together 
interdisciplinary specialties linking child care research, public 
policy, program administration, community planning, business 
development and other aspects of child care and welfare reform.
    In addition to collaboration in the technical aspects of research, 
an important feature of successful Partnerships is the ability to gain 
State and local buy-in for studies which support specific policy goals 
and to elicit financial support for research initiatives which benefit 
the field more broadly. Although the non-Federal share may be met by 
cash or in-kind contributions, applicants are encouraged to meet their 
match requirements through cash contributions. Applicants are also 
encouraged to develop more extensive funding relationships in order to 
propose a project of greater importance, scope and complexity than 
would be possible within the funding levels specified in this 
announcement. Funding partnerships with foundations, businesses and 
State or local governments are especially encouraged. As reflected in 
the evaluation criteria, priority will be given to partnerships which 
would be supported by multiple funding partners and which demonstrate 
the ability to obtain significant funding or in-kind contributions from 
their partners beyond the required non-Federal match.

C. Cooperative Agreements

    The Child Care Research Partnerships are being funded as 
cooperative agreements in order to facilitate a high degree of 
coordination between the projects and to accommodate the flexibility in 
project design needed to carry out collaborative research. By applying 
for financial assistance under this announcement, applicants agree to 
enter into a cooperative agreement with the Child Care Bureau. The 
general roles of research partners and Federal staff are outlined in 
the following sections. Specific terms and conditions of each 
cooperative agreement will be negotiated prior to the award of funds.
1. The Grantee Role
    The grantee is the official applicant to whom a financial 
assistance award is made and who is responsible for ensuring that terms 
of the cooperative agreement are met. The grantee is responsible for 
the performance of subgrantees or subcontractors, and for ensuring that 
agreements with co-partners are carried out in good faith and to a high 
level of quality. The grantee is expected to participate and cooperate 
fully with the Bureau in carrying out the Child Care Research 
Partnership detailed in the cooperative agreement.
    Each of the Partnerships will participate in the Child Care Policy 
Research Consortium established by the Bureau to: (1) Coordinate and 
assist the individual Partnerships; (2) help produce a more 
sophisticated and comprehensive body of research than would be 
achievable by any project alone; (3) provide a forum for consideration 
of technical research issues; and (4) assist in developing research 
strategies to effectively examine complex child care issues.
    Each of the Partnerships will participate in two-day meetings of 
the Consortium to be convened quarterly in Washington, DC. Whenever 
possible, these meetings will be scheduled to allow members of the 
Consortium to participate in other conferences and leadership forums, 
including the Bureau's annual meeting of State Child Care 
Administrators. In addition, members of the Consortium are invited to 
serve on panels or make special presentations during national 
conferences held by various organizations throughout the year.
2. The Federal Role
    The Federal Project Officer (FPO) will work closely with each of 
the Child Care Research Partnerships and with the coordinator of the 
Consortium to share priorities and plans, identify and resolve common 
issues, and ensure that final plans and products comprehensively 
address the goals of this announcement. Such involvement may include, 
but is not limited to: (1) Provision of technical assistance to 
grantees; (2) consultation on and participation in the formulation of 
research plans; (3) arrangement of meetings to support research 
activities; (4) membership in committees and working groups established 
to facilitate accomplishment of the individual Partnership and 
Consortium goals; (5) review of major activities and products; and (6) 
participation in negotiations for revised cooperative agreements to 
carry out each succeeding phase of the research. The FPO will also 
participate in meetings of the Consortium as a whole.

Part IV. Project Narrative Statement

    The Project Narrative Statement is that section of the application 
which provides most of the information on which proposals for Child 
Care Research Partnerships will be competitively reviewed. The standard 
set of Program Narrative requirements apply broadly to all ACF program 
announcements. Specific requirements for Child Care Research 
Partnerships are detailed below. Applicants should tailor their Project 
Narrative to these specific requirements.
    The Project Narrative should be carefully developed in accordance 
with the research goals and expectations described in Part III, the 
proposal preparation requirements described in this Part, and the 
evaluation criteria and selection factors described in Part V.
    The Project Narrative sets forth the technical proposal and 
describes how it will be carried out. This statement should be 
organized according to the evaluation criteria contained in Part V as 
follows: (1) Issues, Objectives and Significance; (2) Technical 
Approach to Research and Management; and (3) Staff Qualifications, 
Organizational Capability and Fiscal Resources.
    Clarity and conciseness are of utmost importance. The entire 
Project Narrative Statement (including text, tables, charts, graphs, 
resumes, corporate statements and appendices) may not exceed 100 pages 
single-spaced (200 pages double-spaced) with standard one-inch margins 
and 10-12 point fonts. Excess pages will not be reviewed. (Note: 
Applicants are asked to print their statement in double-spaced format 
for ease of review.)

[[Page 25395]]

A. Issues, Objectives, and Significance

    In this section, applicants demonstrate their understanding of 
issues and present the conceptual framework for their proposed 
research, showing how their partnership would address the Bureau's 
research objectives and fit into a broader framework for collaborative 
research made possible by the Consortium. Applicants should discuss the 
importance of their approach and indicate how their project would 
address major child care policy issues. This section should also 
describe how the proposed research would relate to, coordinate with, or 
build upon other relevant research, particularly that which is 
currently underway or planned for the near future.
    In this section applicants portray their understanding of (1) 
Critical child care issues affecting low-income families and the 
challenges they face; (2) the complex interrelationships among major 
variables affecting child care supply and demand; (3) the significance 
of these issues and variables for child care policies and programs; (4) 
how the proposed research fits into a broader theoretical or conceptual 
framework for child care and welfare reform; (5) how the proposed 
project would help improve the state-of-the-art in policy research and 
applied methodologies; and (6) how the project would benefit various 
stakeholders in the field.
    Applicants are expected to demonstrate a command of the policy and 
research literature in child care and welfare reform, as well as 
emerging issues of major concern. The proposal is expected to 
demonstrate understanding of current welfare and child care policies 
and programs, to show how the proposed research would further such 
understanding, and to suggest practical applications which might be 
derived from the findings. Applicants should clearly show how their 
proposed research will build on the current knowledge base and 
contribute to policy, practice and future research.
    In their review of the literature, applicants are asked to consider 
the significance, reliability, and validity of existing data pertaining 
to important policy questions. In addition, applicants should identify 
important gaps in the literature and areas in which findings are 
contradictory or ambiguous. It will also be important to consider what 
demographic, economic, and social data are available as a context for 
child care research. Applicants should describe how data from the 
Census Bureau, Bureau of Labor Statistics, and other statistical 
organizations could be used to help profile market parameters and 
trends. If especially important data bases from completed child care 
studies are identified, applicants are asked to suggest ways in which 
such data could be used. A bibliography of relevant references must be 
supplied.

B. Technical Approach to Research and Management

    The Technical Approach section details a specific research design 
and implementation plan. This section should address two broad areas: 
(1) The proposed research methodology; and (2) management, 
coordination, and quality control at each stage of the research 
process.
1. Research Design
    The methodological discussion must include technical details of the 
proposed research design, including (a) the applicant's conceptual 
framework showing research objectives, hypotheses, and variables; (b) 
data sources, sampling plans and data collection strategies; (c) data 
processing and statistical analysis; and (d) product development and 
dissemination. As part of the design section, applicants should discuss 
the strengths and limitations of all proposed approaches and 
techniques. Applicants are also asked to lay out a flow chart or table 
showing interrelationships among the proposed research issues, 
questions, variables, and data elements. Applicants should also discuss 
how the proposed methodology might reasonably fit into a broader 
research scheme carried out at the Consortium level and what design 
flexibility would exist for coordination with other approaches.
    a. Conceptual Framework and Research Variables. Present the 
conceptual framework that will guide other aspects of the research 
design, including (1) areas of inquiry to be explored; (2) specific 
research questions and hypotheses; and (3) research variables and 
constructs. This discussion should flow out of the earlier discussion 
of Issues, Objectives and Significance and lead into the design 
elements that follow.
    b. Data Sources, Sampling and Data Collection. Include a plan for 
obtaining an appropriate sample and collecting the data needed to 
achieve objectives of the proposed research.
     If data would be compiled from service delivery records of 
State or local agencies, from resource and referral files, from records 
maintained by child care facilities, or from other primary data 
sources, describe the nature of the data and how they would be 
accessed, what sampling procedure would be employed and how 
confidentiality of individual records would be maintained.
     If secondary analyses would be conducted on completed data 
sets, describe the appropriateness and limitations of the original 
research for this study. Describe the nature, scope and 
representativeness of the original sample and characteristics of the 
data (including data quality).
     If the proposed project would involve linkage with ongoing 
research, describe the ongoing research design and stage of progress, 
how the applicant's proposed study would benefit from and contribute to 
it, how the technical aspects of the linkage would be structured and 
carried out, and how the linked studies would address the goals of this 
announcement. Include a letter of cooperation from the individual/
organization conducting the research which details the status of the 
data collection, procedures to ensure data quality, timeliness of data 
availability and applicant access.
     If new data are to be collected on human subjects in 
conjunction with another ongoing study (e.g., adding a new sample or an 
additional measure), describe the characteristics of the target 
population and provide a rationale for any sample stratification based 
on personal characteristics of individuals (such as ethnicity, income, 
marital status, age of child, etc.). Describe data collection 
procedures and safeguards for data quality. Discuss procedures to 
protect human subjects, to maintain confidentiality of data, and to 
obtain consent for participation (if applicable).
    c. Data Processing and Statistical Analysis. Include a detailed 
plan for the processing and analysis of data from all sources which 
illustrates how the analyses will meet the goals of this research. 
Discuss the procedures which would be used to clean data, ensure data 
quality, and prepare data tapes. Discuss plans for the analysis of 
data, including units of analysis, analytic techniques to be used with 
various types of data, statistical considerations, and the linkage of 
data sets.
    d. Product Development and Information Dissemination. Include a 
product development and information dissemination plan which describes 
the products to be generated during the course of this research (such 
as technical papers or reports, summaries, briefings, conference 
presentations, doctoral dissertations, journal articles, applications 
software and public use data tapes, and the final report). Describe the 
audiences for various products and the dissemination strategies that 
would be employed. Discuss which products which might be

[[Page 25396]]

collaboratively developed or disseminated to effectively reach intended 
audiences.
2. Implementation Plan
    The Technical Approach section must contain a sound and workable 
plan of action which describes how the proposed project would be 
carried out. This section should detail how the project would be 
structured and managed, how roles and functions would be coordinated, 
how the timeliness of activities would be ensured, how quality control 
would be maintained, and how costs would be controlled. Applicants 
should discuss their management of the project as a whole, and the 
management and coordinating roles of their partners.
     Describe the strengths of the Partnership as an effective 
entity for carrying out the proposed project.
     Provide a diagram showing the organizational structure of 
the partnership and the functional relationships among partners.
     Describe the how the project would be managed by the lead 
organization to ensure that members of the partnership operate as a 
cohesive research team and that cross-cutting goals of the project are 
carried out efficiently and cost-effectively;
     Describe how participating organizations would coordinate 
their management of project tasks and other functions.
     Describe how members of the partnership would be 
represented in management committees, technical work groups, advisory 
panels, and other coordinating bodies.
     Lay out the major tasks to illustrate the sequence and 
timing of tasks, time commitments of staff, important milestones, 
reports, and completion dates.
     Discuss potential problems or difficulties with the 
proposed management approach, including factors which might affect the 
quality of the research or its outcomes, factors which might undermine 
the ability of partners to collaborate effectively, and factors which 
might hinder the early sharing, review and dissemination of 
information.

C. Staff Qualifications, Organizational Capability, and Fiscal 
Resources

    In this section, applicants must provide evidence that they and 
their partners have the experience, expertise and resources to carry 
out the proposed project on time, within budget, and with a high degree 
of quality.
1. Staff Qualifications
     Identify all key staff positions for this project, the 
professional requirements for each, the proportion of time to be 
committed to the project, the period of time for which staff holding 
these positions would be employed, and whether their continued 
employment would be dependent solely on the funds to be awarded under 
this announcement.
     Provide evidence that individuals proposed for key 
positions have the necessary technical skill and experience to 
successfully carry out their assigned roles. Where key positions are 
currently vacant, include a position description outlining the 
qualifications necessary to carry out the duties and responsibilities 
of each.
     Identify the authors of the proposal and describe their 
continuing role in the project if funded.
     Describe how an appropriate data collection team would be 
assembled, what expertise would be represented, and how individuals 
would be selected.
     Identify all proposed consultants or advisors, document 
their expertise, and describe how their services will be utilized. 
Include letters of commitment or intent if possible.
2. Organizational Capability
     Provide evidence that all partners have the ability, 
willingness and flexibility to collaborate effectively with one another 
in carrying out the proposed project, and that the partnership as a 
whole could effectively participate in the Consortium. Include examples 
of past or current partnerships which demonstrate the ability to carry 
out collaborative research.
     Provide evidence of sufficient organizational resources 
within the lead organization to ensure successful project management, 
compliance with terms and conditions of the cooperative agreement, and 
oversight of the proper use of Federal funds. Provide evidence of the 
lead organization's capacity to coordinate the activities of research 
partners, resolve collaboration issues arising during the course of the 
research, and provide the leadership needed for a complex and evolving 
project.
     Describe how each partner was included in the planning of 
the project. Include letters of specific commitment or support from 
each partner. Describe all cooperative agreements, subcontracts and 
other formal relationships within the partnership. Partners who will 
provide access to data or records must provide a letter stipulating the 
terms of their agreement with the researchers. Describe the future 
commitment each partner will make to ensure success of the 
collaboration as it evolves.
     Include a separate two-page organizational capability 
statement for each partner which documents the partner's ability to 
carry out it's assigned roles and functions.
     Describe the relationship between this project and other 
relevant work planned, anticipated or underway by the applicant or its 
partners. Include funding sources for work in progress.
     Provide a list of research and financial partners 
including the name and address of each organization, the names of its 
director and primary contact for this proposal, and the telephone, fax 
and internet numbers of each.
3. Fiscal Resources
    Present a detailed budget to demonstrate that the partnership would 
have adequate resources to carry out the work on time and with a high 
degree of quality.
     Include a detailed budget narrative which describes and 
justifies line item expenses within the budget categories listed on the 
Standard Form 424. (Line item allocations and justification are 
required for both Federal and matching funds). If project funds would 
be subcontracted, a detailed budget for the use of those funds must be 
included.
     Describe the extent of financial participation from all 
sources. Describe the extent to which funds, staff time, in-kind 
services, and other resources have been committed to the research 
effort during the planning period. Describe what other resources are 
expected to help support the proposed research, including existing 
commitments and negotiations in progress. Discuss what commitments are 
expected of financial partners in the second, third and fourth years. 
Describe anticipated efforts to obtain other funding partners 
throughout the project.

Part V. Evaluation and Selection

A. The Review Process

1. Screening
    Each application will be screened to determine whether the 
applicant organization is eligible as specified in Part I, section G, 
above. Applications from ineligible organizations will be excluded from 
the review. In addition, inadequate preparation, omission of essential 
components, or failure to comply with format specifications as 
described in Part VI will result in the application being withdrawn 
from further consideration and the applicant so informed.

[[Page 25397]]

2. Competitive Review
    Eligible applications will be scored competitively against the 
published evaluation criteria described below. The review will be 
conducted in Washington, D.C. Expert reviewers will include 
researchers, Federal or State staff, child care administrators and/or 
other individuals experienced in the study of child care demand and 
supply, child care delivery systems, welfare and supportive services, 
early child development and education, parental choice and involvement, 
and other relevant areas.
    A panel of at least three reviewers will evaluate each application 
to determine the strengths and weaknesses of the proposal in terms of 
the Bureau's research goals and expectations as discussed in Part III, 
requirements for the Project Narrative Statement described in Part IV, 
and the evaluation criteria listed in Part V, Section B below. 
Panelists will provide written comments and assign numerical scores for 
each application. The indicated point value for each criterion is the 
maximum numerical score for that criterion. The assigned scores for 
each criterion will be summed to yield a total evaluation score for the 
proposal.
    In addition to the panel review, the Bureau may solicit comments 
from other Federal offices and agencies, from the States, from relevant 
non-governmental organizations, and from individuals whose particular 
expertise is identified as necessary for the consideration of technical 
issues arising during the review. Their comments, along with those of 
the panelists, will be considered by the Bureau in making funding 
decisions. The Bureau will also take into account the best combination 
of proposed projects to meet overall research goals.

B. Evaluation Criteria

    The criteria listed below will be used in conjunction with other 
expectations, priorities and requirements set forth in Parts III and IV 
above to evaluate how well each proposal addresses the goals of this 
announcement.
1. Significance, Issues, and Objectives (Maximum of 25 Points)
     The extent to which the application reflects a solid 
understanding of critical issues, information needs, and research 
goals.
     The extent to which the conceptual model, research issues, 
objectives and hypotheses are significant, well-formulated and 
appropriately linked.
     The extent to which the collaborative framework is 
appropriate, feasible, and would significantly contribute to the 
importance, comprehensiveness, and quality of the proposed research.
     The effectiveness with which the application articulates 
the current state of knowledge relative to issues being addressed, 
including: (1) Critical child care issues and the complex 
interrelationships among major variables; (2) the significance of these 
issues and variables for child care policies and programs; (3) how 
current knowledge would be brought to bear on the proposed research; 
and (4) how the research would benefit various audiences.
2. Technical Approach (Maximum of 50 Points)
     The extent to which the applicant's proposed Research 
Design: (1) Appropriately links critical research issues, questions, 
variables, data sources, samples, and analyses; (2) employs technically 
sound and appropriate approaches, design elements and procedures; (3) 
reflects sensitivity to technical, logistical, cultural and ethical 
issues that may arise; (4) includes realistic strategies for the 
resolution of difficulties; (5) adequately protects human subjects, 
confidentiality of data, and consent procedures, as appropriate; (6) 
includes an effective plan for the dissemination and utilization of 
information by researchers, policy-makers, and practitioners in the 
field; and (7) effectively utilizes collaborative strategies.
     The extent to which the Implementation Plan: (1) Presents 
a sound, workable and cohesive plan of action demonstrating how the 
work would be carried out on time, within budget and with a high degree 
of quality; (2) includes a reasonable schedule of target dates and 
accomplishments; (3) presents a sound administrative framework for 
maintaining quality control over the implementation and ongoing 
operations of the study; (4) presents a sound plan for coordination of 
activities carried out by partners and demonstrates an effective 
approach to team-building, including project staff, consultants and 
advisors, and other members of the Consortium; and (5) demonstrates the 
ability to gain access to necessary organizations, subjects, and data.
3. Staff Qualifications, Organizational Capability, and Fiscal 
Resources (Maximum of 25 Points)
     The extent to which the applicant (1) Proposes key staff, 
consultants, data collectors and other necessary personnel with 
demonstrated competence in areas addressed by the proposed research, 
including relevant background, experience, training and work on related 
research or similar projects; and (2) would provide adequate staffing 
for research design, sampling, field work, data processing, statistical 
analysis, reporting and information dissemination, and participation in 
the Consortium.
     The extent to which the application demonstrates that: (1) 
The partnership is well structured, with important and relevant roles 
for participating organizations; (2) partners are appropriate and 
significantly committed to research goals; (3) the partners have the 
ability to carry out collaborative research, both within the proposed 
Partnership and as a member of the larger Consortium; (4) the partners 
will contribute adequate organizational resources; and (5) the 
partnership has significant fiscal commitment and support.
     The extent to which the application demonstrates that (1) 
Facilities and organizational experience of all partners are adequate 
to carry out the tasks of the proposed project; (2) the lead 
organization can effectively and efficiently administer a project of 
the proposed size, complexity and scope; (3) the applicant has the 
capacity to coordinate activities with other organizations for the 
successful accomplishment of project objectives; and (4) research 
partners have the capacity to carry out their proposed functions and 
roles.
     The extent to which (1) Proposed project costs are 
reasonable, the funds are appropriately allocated across component 
areas, and the budget is sufficient to accomplish the objectives; and 
(2) non-Federal matching funds beyond the level required in this 
announcement would be contributed by the Partnership (as discussed in 
Section III.B.).

C. The Selection Process

    The Acting Commissioner, Administration on Children, Youth and 
Families, will make the final selection of the applicants to be funded. 
Applications may be funded in whole or in part depending on: (1) The 
rank order of applicants resulting from the competitive review; (2) 
staff review and consultations; (3) the combination of projects which 
best meets the Bureau's research objectives; (4) the funds available; 
and (5) other relevant considerations.
    Selected applicants will be notified through the issuance of a 
Financial Assistance Award which sets forth the

[[Page 25398]]

amount of funds granted, the terms and conditions of the cooperative 
agreement, the effective date of the award, the budget period for which 
support is given, and the total project period for which support is 
provided.

D. Funding Date

    It is anticipated that successful applications will be funded by 
September 30, 1997.

Part VI. Development and Submission of Applications

    This Part contains additional information and instructions for 
submitting applications in response to this announcement. Applicants 
should read this Part carefully in conjunction with other information 
and proposal requirements contained within this announcement.

A. State Single Point of Contact

    This program is covered under Executive Order 12372, 
``Intergovernmental Review of Federal Programs,'' and 45 CFR Part 100, 
``Intergovernmental Review of Department of Health and Human Services 
Program and Activities.'' Under the Order, States may design their own 
processes for reviewing and commenting on proposed Federal assistance 
under covered programs.
    All States and Territories except Alabama, Alaska, Colorado, 
Connecticut, Hawaii, Idaho, Kansas, Louisiana, Massachusetts, 
Minnesota, Montana, Nebraska, New Jersey, Oklahoma, Oregon, 
Pennsylvania, South Dakota, Tennessee, Vermont, Virginia, Washington, 
American Samoa and Palau have elected to participate in the Executive 
Order process and have established Single Points of Contact (SPOCs). 
Applicants from these twenty one jurisdictions need take no action 
regarding E.O. 12372. Applicants for projects to be administered by 
Federally-recognized Indian Tribes are also exempt from the 
requirements of E.O. 12372. Otherwise, applicants should contact their 
SPOCs as soon as possible to alert them of the prospective applications 
and receive any necessary instructions. Applicants must submit any 
required material to the SPOCs as soon as possible so that the program 
office can obtain and review SPOC comments as part of the award 
process. It is imperative that the applicant submit all required 
materials, if any, to the SPOC and indicate the date of this submittal 
(or the date of contact if no submittal is required) on the Standard 
Form 424, item 16a.
    Under 45 CFR 100.8(a)(2), a SPOC has 60 days from the application 
deadline to comment on proposed new or competing continuation awards.
    SPOCs are encouraged to eliminate the submission of routine 
endorsements as official recommendations.
    Additionally, SPOCs are requested to clearly differentiate between 
mere advisory comments and those official State process recommendations 
which may trigger the ``accommodate or explain'' rule.
    When comments are submitted directly to ACF, they should be 
addressed to: Department of Health and Human Services, Administration 
for Children and Families, Division of Discretionary Grants, 370 
L'Enfant Promenade, S.W., Washington, D.C. 20447.
    A list of the Single Points of Contact for each State and Territory 
is included as Appendix A of this announcement.

B. Paperwork Reduction Act of 1995

    Under the Paperwork Reduction Act of 1995 (Pub. L. 104-13), the 
Department is required to submit to OMB for review and approval any 
reporting and record keeping requirements or program announcements. 
This program announcement meets all information collection requirements 
approved for ACF grant applications under OMB Control Number 0970-0139.

C. Deadline for Submission of Applications

1. Deadline
    Mailed applications shall be considered as meeting an announced 
deadline if they are received on or before the deadline time and date 
at the U.S. Department of Health and Human Services, Administration for 
Children and Families, Division of Discretionary Grants, 370 L'Enfant 
Promenade, S.W., Mail Stop 6C-462, Washington, D.C. 20447, Attention: 
Application for Child Care Research Partnerships, CCRP-9701. Applicants 
are responsible for mailing applications well in advance, when using 
all mail services, to ensure that the applications are received on or 
before the deadline time and date.
    Applications hand carried by applicants, applicant couriers, or by 
overnight/express mail couriers shall be considered as meeting an 
announced deadline if they are received on or before the deadline date, 
between the hours of 8 a.m. and 4:30 p.m., at the U.S. Department of 
Health and Human Services, Administration for Children and Families, 
Division of Discretionary Grants, ACF Mailroom, 2nd Floor Loading Dock, 
Aerospace Center, 901 D Street, S.W., Washington, D.C. 20024, between 
Monday and Friday (excluding weekends and Federal holidays). Any 
application received after 4:30 p.m. on the deadline date will not be 
considered for competition. Applicants using express/overnight services 
should allow for two working days prior to the deadline date for 
receipt of applications. (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.
2. Late Applications
    Applications which do not meet the criteria above are considered 
late applications. ACF shall notify each late applicant that its 
application will not be considered in the current competition.
3. Extension of Deadlines
    ACF may extend the deadline for all applicants because of acts of 
God such as floods, hurricanes, etc., 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.

D. Preparing the Application and Completing Forms

    Applicants should closely tailor their applications to the specific 
requirements of this announcement. Previous experience has shown that 
an application which is broader and more general in concept than 
outlined in the agency's request for proposals is less likely to score 
as well as one which is more clearly focused on and directly responsive 
to the concerns and objectives outlined in the announcement.
1. Front Matter
    Applications must have a cover letter followed by the Table of 
Contents and Project Abstract (Executive Summary).
    The Project Abstract should be a short, concise, and accurate 
portrayal of the proposed project. This summary, together with the 
information on the SF 424 is the major source of information about the 
proposed project and is usually the first part of the application that 
the reviewers read in evaluating the application. It should provide a 
snapshot of the project objectives, the approaches to be used, and the 
outcomes expected. The summary should also include a list of major 
products that would result from the

[[Page 25399]]

proposed project, such as research reports, public summaries, data 
tapes, and technical papers.
    The summary should be clearly marked with the applicant's name as 
shown in item 5 of the SF 424, the announcement number and title, and 
the title of the project as shown in item 11 of the SF 424. At the 
bottom of the page, following the summary description, type up to 10 
key words which best describe the proposed project, the service(s) 
involved and the target population(s) to be covered. These key words 
will be used for computerized information retrieval. Key words should 
be selected from commonly used research and policy terminology.
2. Standard Forms
    Applicants for Child Care Research Partnerships should fill out SFs 
424, 424A, and 424B, all of which have been reprinted for your 
convenience in preparing the application. You should reproduce single-
sided copies of these forms from the reprinted forms in the 
announcement, typing your information onto the copies. Please do not 
use forms directly from the Federal Register announcement, as they are 
printed on both sides of the page. Make single-sided copies and use 
them.
3. Project Narrative Statement
    The Project Narrative Statement should be clear, concise, and 
address the specific expectations and requirements described in Parts 
III and IV. The narrative should also provide information concerning 
how the application meets the evaluation criteria described in Part V. 
Inclusion and discussion of the evaluation criteria is important since 
the reviewers will rate the application against the evaluation 
criteria. Applicants should use the following section headings:

(a) Significance, Issues, and Objectives;
(b) Technical Approach to Research and Project Management; and
(c) Staff Qualifications, Organizational Capacity and Fiscal 
Resources.

    The specific information to be included under each of these 
headings is described in Part IV, Project Narrative, and Part V, 
Section B, Evaluation Criteria.
    The narrative should be double-spaced and single-sided on 8\1/
2\'' x 11'' plain white paper, with 1'' margins on all sides. Use 10 or 
12 pitch throughout the proposal. All pages of the narrative (including 
appendices, resumes, charts, references/footnotes, tables, maps and 
exhibits) must be sequentially numbered, beginning with ``Significance, 
Issues, and Objectives'' as page number one. Applicants should not 
submit reproductions of larger sized paper reduced to meet the size 
requirement. Applicants should not send pamphlets, brochures, or other 
printed material along with their applications, as these items pose 
copying difficulties. These materials, if submitted, will not be 
included in the review process, although they will be kept on file.
    The clarity and conciseness of proposals are of the utmost 
importance. The entire Project Narrative Statement (including text, 
tables, charts, graphs, resumes, tables, maps, exhibits, references, 
footnotes, and appendices) may not exceed 100 pages single-spaced (200 
pages double-spaced). Excess pages will not be reviewed. (Note: 
Applicants are asked to print their statement in double-spaced format 
for ease of review.)
4. Certification, Disclosure, and Assurance
    Applicants must provide all applicable certifications, disclosures 
and assurances included in the ACF Uniform Discretionary Grant 
Application Form.
5. End Matter
    All supporting materials, such as resumes, letters of support, and 
other documents should be organized into appropriate appendices and 
securely bound into the application package. Applicants are reminded 
that the total page limitation applies to both narrative text and 
supporting materials.

E. Checklist for a Complete Application

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

____ One original, signed and dated application, plus two copies.
____ Application is from an organization which is eligible under the 
eligibility requirements defined in Part I (screening requirement).

    A complete application consists of the following items in this 
order:

____ Cover Sheet
____ Project Abstract (Executive Summary)
____ Table of Contents
Standard Forms
____ (SF 424, REV 4-92); a completed SPOC certification with the date 
of SPOC contact entered in line 16, page 1 of the SF 424 (if 
applicable).
____ Budget Information--Non-Construction Programs (SF 424A, REV 4-92);
____ Budget justification for Section B--Budget Categories;
____ Letter from the Internal Revenue Service to prove non-profit 
status, if necessary;
____ Copy of the applicant's approved indirect cost rate agreement, if 
appropriate;
____Project Narrative Statement organized by Evaluation Criteria
Certification, Assurance and Disclosure
____Assurances--Non-Construction Programs (Standard Form 424B, REV 4-
92);
____Certification Regarding Lobbying;
____Certification Regarding Drug-Free Workplace Requirements;
____Certification Regarding Debarment and Other Responsibilities;
____Certification Regarding Environmental Tobacco Smoke; and
____Certification of Protection of Human Subjects, if necessary.
____End Matter (appendices, resumes, letters of support, etc.)

    Each copy of the application should be stapled securely (front and 
back if necessary) in the upper left-hand corner. Because each 
application will be duplicated, do not use or include separate covers, 
binders, clips, tabs, plastic inserts, brochures, videos, or any other 
items that cannot be photocopied.

F. Notification

    All applicants will be notified automatically about the receipt of 
their application and of the four digit identification number assigned 
to the application. This number and the priority area must be referred 
to in all subsequent communication with the Child Care Bureau, ACYF, or 
ACF concerning the application. If you do not receive acknowledgment of 
your application within eight weeks after the deadline date, please 
notify the ACYF Operations Center by telephone at 1-800-351-2293.

    Dated: May 1, 1997.
James A. Harrell,
Acting Commissioner, Administration on Children, Youth and Families.
BILLING CODE 4184-01-P

Appendix A--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

[[Page 25400]]

    Grants Coordinator, Office of Planning & Research, 1400 Tenth 
Street, Room 121, Sacramento, California 95814, Telephone: (916) 
323-7480, FAX: (916) 323-3018
Delaware
    Francine Booth, State Single Point of Contact Executive 
Department, Thomas Collins Building, P.O. Box 1401, Dover, Delaware 
19903, Telephone: (302) 739-3326, FAX: (302) 739-5661
District of Columbia
    Charles Nichols, State Single Point of Contact, Office of Grants 
Mgmt. & Dev., 717 14th Street, N.W.--Suite 500, Washington, D.C. 
20005, Telephone: (202) 727-6554, FAX: (202) 727-1617
Florida
    Florida State Clearinghouse, Department of Community Affairs, 
2740 Centerview Drive, Tallahassee, Florida 32399-2100, Telephone: 
(904) 922-5438, FAX: (904) 487-2899
Georgia
    Tom L. Reid, III, Administrator, Georgia State Clearinghouse, 
254 Washington Street, S.W.--Room 401J, Atlanta, Georgia 30334, 
Telephone: (404) 656-3855 or (404) 656-3829, FAX: (404) 656-7938
Illinois
    Virginia Bova, State Single Point of Contact, Department of 
Commerce and Community Affairs, James R. Thompson Center, 100 West 
Randolph, Suite 3-400, Chicago, Illinois 60601, Telephone: (312) 
814-6028, FAX: (312) 814-1800
Indiana
    Amy Brewer, State Budget Agency, 212 State House, Indianapolis, 
Indiana 46204, Telephone: (317) 232-5619, FAX: (317) 233-3323
Iowa
    Steven R. McCann, Division for Community Assistance, Iowa 
Department of Economic Development, 200 East Grand Avenue, Des 
Moines, Iowa 50309, Telephone: (515) 242-4719, FAX: (515) 242-4859
Kentucky
    Ronald W. Cook, Office of the Governor, Department of Local 
Government, 1024 Capitol Center Drive, Frankfort, , Kentucky 40601-
8204, Telephone: (502) 573-2382, FA (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) 244-2094, 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 B--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

[[Page 25401]]

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 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 of 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.

[[Page 25402]]

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 projects(s) 
or businesses to be financed by the applicant.
    Fringe Benefits. Costs of employee fringe benefits unless 
treated as part of an approved indirect cost rate.
    Justification: Provide a breakdown of amounts and percentages 
that comprise fringe benefit costs, such as health insurance, FICA, 
retirement insurance, taxes, etc.
    Travel. Costs of project related travel by employees of the 
applicant organization (does not include costs of consultant 
travel).
    Justification: For each trip, show the total number of 
traveler(s), travel destination, duration of trip, per diem, mileage 
allowances, if privately owned vehicles will be used, and other 
transportation costs and subsistence allowances. Travel costs for 
key staff to attend ACF sponsored workshops as specified in this 
program announcement should be detailed in the budget.
    Equipment. Costs of all non-expendable, tangible personal 
property to be acquired by the project where each article has a 
useful life of more than one year and an acquisition cost which 
equals the lesser of (a) the capitalization level established by the 
applicant organization for financial statement purposes, or (b) 
$5000.
    Justification: For each type of equipment requested, provide a 
description of the equipment, cost per unit, number of units, total 
cost, and a plan for use on the project, as well as use or disposal 
of the equipment after the project ends.
    Supplies. 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 objects class categories. 
Identify which construction activity/costs will be contractual and 
which will assumed by the applicant.
    Other. Enter the total of all other costs. Such costs, where 
applicable and appropriate, may include but are not limited to 
insurance, food medical and dental costs (noncontractual), fees and 
travel paid directly to individual consultants, space and equipment 
rentals, printing and publication, computer use, training costs, 
including tuition and stipends, training service costs including 
wage payments to individuals and supportive service payments, and 
staff development costs.
    Indirect Charges. Total amount of indirect costs. This category 
should be used only when the applicant 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

[[Page 25403]]

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 for 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)

BILLING CODE 4184-01-P
      

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BILLING CODE 4184-01-C

[[Page 25405]]

Instructions for the SF 424

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

Item and Entry

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

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

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

BILLING CODE 4184-01-P

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[[Page 25407]]

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BILLING CODE 4184-01-C

[[Page 25408]]

Instructions for the SF-424A

General Instructions

    This form is designed so that application can be made for funds 
from one or more grant programs. In preparing the budget, adhere to 
any existing Federal grantor agency guidelines which prescribe how 
and whether budgeted amounts should be separately shown for 
different functions or activities within the program. For some 
programs, grantor agencies may require budgets to be separately 
shown by function or activity. For other programs, grantor agencies 
may require a breakdown by function or activity. Sections A, B, C, 
and D should include budget estimates for the whole project except 
when applying for assistance which requires Federal authorization in 
annual or other funding period increments. In the latter case, 
Sections A, B, C, and D should provide the budget for the first 
budget period (usually a year) and Section E should present the need 
for Federal assistance in the subsequent budget periods. All 
applications should contain a breakdown by the object class 
categories shown in Lines a-k of Section B.

Section A. Budget Summary

Lines 1-4, Columns (a) and (b)

    For applications pertaining to a single Federal grant program 
(Federal Domestic Assistance Catalog number) and not requiring a 
functional or activity breakdown, enter on Line 1 under Column (a) 
the catalog program title and the catalog number in Column (b).
    For applications pertaining to a single program requiring budget 
amounts by multiple functions or activities, enter the name of each 
activity or function on each line in Column (a), and enter the 
catalog number in Column (b). For applications pertaining to 
multiple programs where none of the programs require a breakdown by 
function or activity, enter the catalog program title on each line 
in Column (a) and the respective catalog number on each line in 
Column (b).
    For applications pertaining to multiple programs where one or 
more programs require a breakdown by function or activity, prepare a 
separate sheet for each program requiring the breakdown. Additional 
sheets should be used when one form does not provide adequate space 
for all breakdown of data required. However, when more than one 
sheet is used, the first page should provide the summary totals by 
programs.

Lines 1-4, Columns (c) through (g.)

    For new applications, leave Columns (c) and (d) blank. For each 
line entry in Columns (a) and (b), enter in Columns (e), (f), and 
(g) the appropriate amounts of funds needed to support the project 
for the first funding period (usually a year).

Lines 1-4, Columns (c) through (g.) (continued)

    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 Column (e) the amount of the increase 
or decrease Federal funds and enter in Column (f) the amount the 
increase or decrease of non-Federal funds. Column (g) enter the new 
total budgeted amount (Federal and non-Federal) which includes the 
total previous authorized budgeted amounts plus or minus as 
appropriate, the amounts shown in Columns (e) and (f). The amount(s) 
in Column (g) should not equal the sum of amounts in Columns (e) and 
(f).
    Line 5--Show the totals for all columns used.

Section B Budget Categories

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

Section C. Non-Federal-Resources

    Lines 8-11--Enter amounts of non-Federal resources that will be 
used on the grant. If in-kind contributions are included, provide a 
brief explanation on a separate sheet.
    Column (a)--Enter the program titles identical to Column (a), 
Section A. A breakdown by function or activity is not necessary.
    Column (b)--Enter the contribution to be made by the applicant.
    Column (c)--Enter the amount of the State's cash and in-kind 
contribution if the applicant is not a State or State agency. 
Applicants which are a State or State agencies should leave this 
column blank.
    Column (d)--Enter the amount of cash and in-kind contributions 
to be made from all other sources.
    Column (e)--Enter totals of Columns (b), (c), and (d).
    Line 12--Enter the total for each of Columns (b)-(e). The amount 
in Column (e) should be equal to the amount on Line 5, Column (f), 
Section A.
    Section D. Forecasted Cash Needs
    Line 13--Enter the amount of cash needed by quarter from the 
grantor agency during the first year.
    Line 14--Enter the amount of cash from all other sources needed 
by quarter during the first year.
    Line 15--Enter the totals of amounts on Lines 13 and 14.

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

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

Section F. Other Budget Information

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

Assurances--Non-Construction Programs

    Note: Certain of these assurances may not be applicable to your 
project or program. If you have questions, please contact the 
awarding agency. Further, certain Federal awarding agencies may 
require applicants to certify to additional assurances. If such is 
the case, 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 the 
United States, and if appropriate, the State, through any authorized 
representative, access to and the right to examine all records, 
books, papers,

[[Page 25409]]

or documents related to the award; and will establish a proper 
accounting system in accordance with generally accepted accounting 
standards or agency directives.
    3. Will establish safeguards to prohibit employees from using 
their positions for a purpose that constitutes or presents the 
appearance of personal or organizational conflict of interest, or 
personal gain.
    4. Will initiate and complete the work within the applicable 
time frame after receipt of approval of the awarding agency.
    5. Will comply with the Intergovernmental Personnel Act of 1970 
(42 U.S.C. Secs. 4728-4763) relating to prescribed standards for 
merit systems for programs funded under one of the nineteen statutes 
or regulations specified in Appendix A of OPM's Standards for a 
Merit System of Personnel Administration (5 CFR 900, Subpart F).
    6. Will comply with all Federal statutes relating to 
nondiscrimination. These include but are not limited to: (a) Title 
VI of the Civil Rights Act of 1964 (P.L. 88-352) which prohibits 
discrimination on the basis of race, color or national origin; (b) 
Title IX of the Education Amendments of 1972, as amended (20 U.S.C. 
Secs. 1681-1683, and 1685-1686), which prohibits discrimination on 
the basis of sex; (c) Section 504 of the Rehabilitation Act of 1973, 
as amended (29 U.S.C. Sec. 794), which prohibits discrimination on 
the basis of handicaps; (d) the Age Discrimination Act of 1975, as 
amended (42 U.S.C. Secs. 6101-6107), which prohibits discrimination 
on the basis of age; (e) the Drug Abuse Office and Treatment Act of 
1972 (P.L. 92-255), as amended, relating to nondiscrimination on the 
basis of drug abuse; (f) the Comprehensive Alcohol Abuse and 
Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 
(P.L. 91-616), as amended, relating to nondiscrimination on the 
basis of alcohol abuse or alcoholism; (g) Secs. 523 and 527 of the 
Public Health Service Act of 1912 (42 U.S.C. 290 dd-3 and 290 ee-3), 
as amended, relating to confidentiality of alcohol and drug abuse 
patient records; (h) Title VIII of the Civil Rights Act of 1968 (42 
U.S.C. Sec. 3601 et seq.), as amended, relating to nondiscrimination 
in the sale, rental or financing of housing: (i) any other 
nondiscrimination provisions in the specific statute(s) under which 
application of Federal assistance is being made and (j) the 
requirements of any other nondiscrimination statute(s) which may 
apply to the application.
    7. Will comply, or has already complied, with the requirements 
of Titles II and III of the Uniform Relocation Assistance and Real 
Property Acquisition Policies Act of 1970 (P.L. 91-646) which 
provide for fair and equitable treatment of persons displaced or 
whose property is acquired as a result of Federal or federally 
assisted programs. These requirements apply to all interests in real 
property acquired for project purposes regardless of Federal 
participation in purchases.
    8. Will comply with the provisions of the Hatch Act (5 
U.S.C.Secs. 1501-1508 and 7324-7328) which limit the political 
activities of employees whose principal employment activities are 
funded in whole or in part with Federal funds.
    9. Will comply, as applicable, with the provisions of the Davis-
Bacon Act (40 U.S.C. Secs. 276a to 276a-7), the Copeland Act (40 
U.S.C. Sec. 276c and 18 U.S.C. Secs. 874), and the Contract Work 
Hours and Safety Standards Act (40 U.S.C. Secs. 327-333), regarding 
labor standards for federally assisted construction subagreements.
    10. Will comply, if applicable, with flood insurance purchase 
requirements of Section 102(a) of the Flood Disaster Protection Act 
of 1973 (P.L. 93-234) which requires recipients in a special flood 
hazard area to participate in the program and to purchase flood 
insurance if the total cost of insurable construction and 
acquisition is $10,000 or more.
    11. Will comply with environmental standards which may be 
prescribed pursuant to the following: (a) institution of 
environmental quality control measures under the National 
Environmental Policy Act of 1969 (P.L. 91-190) and Executive Order 
(EO) 11514; (b) notification of violating facilities pursuant to EO 
11738; (c) protection of wetlands pursuant to EO 11990; (d) 
evaluation of flood hazards in floodplains in accordance with EO 
11988; (e) assurance of project consistency with the approved State 
management program developed under the Coastal Zone Management Act 
of 1972 (16 U.S.C. Secs. 1451 et seq.); (f) conformity of Federal 
actions to State (Clear Air) Implementation Plans under Section 
176(c) of the Clear Air Act of 1955, as amended (42 U.S.C. Sec. 7401 
et seq.); (g) protection of underground sources of drinking water 
under the Safe Drinking Water Act of 1974, as amended, (P.L. 93-
523); and (h) protection of endangered species under the Endangered 
Species Act of 1973, as amended, (P.L. 93-205).
    12. Will comply with the Wild and Scenic Rivers Act of 1968 (16 
U.S.C. Secs. 1271 et seq.) related to protecting components or 
potential components of the national wild and scenic rivers system.
    13. Will assist the awarding agency in assuring compliance with 
Section 106 of the National Historic Preservation Act of 1996, as 
amended (16 U.S.C. 470), EO 11593 (identification and protection of 
historic properties), and the Archaeological and Historic 
Preservation Act of 1974 (16 U.S.C. 469a-1 et seq.).
    14. Will comply with P.L. 93-348 regarding the protection of 
human subjects involved in research, development, and related 
activities supported by this award of assistance.
    15. Will comply with the Laboratory Animal Welfare Act of 1966 
(P.L. 89-544, as amended, 7 U.S.C. 2131 et seq.) pertaining to the 
care, handling, and treatment of warm blooded animals held for 
research, teaching, or other activities supported by this award of 
assistance.
    16. Will comply with the Lead-Based Paint Poisoning Prevention 
Act (42 U.S.C. Secs. 4801 et seq.) which prohibits the use of lead 
based paint in construction or rehabilitation of residence 
structures.
    17. Will cause to be performed the required financial and 
compliance audits in accordance with the Single Audit Act of 1984.
    18. Will comply with all applicable requirements of all other 
Federal laws, executive orders, regulations and policies governing 
this program.

Signature of Authorized Certifying Official
Applicant Organization
Title

Date Submitted

Appendix D--Certification Regarding Lobbying

Certification for Contracts, Grants, Loans, and Cooperative 
Agreements

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

State for Loan Guarantee and Loan Insurance

    The undersigned states, to the best of his or her knowledge and 
belief, that:
    if any funds have been paid or will be paid to any person for 
influencing or attempting to influence an officer or employee of any 
agency, a Member of Congress, an officer or employee of Congress, or 
an employee of a Member of Congress in connection with this 
commitment providing for the United States to insure or guarantee a 
loan, the undersigned shall complete and submit

[[Page 25410]]

Standard Form-LLL ``Disclosure Form to Report Lobbying,'' in 
accordance with its instructions.
    Submission of this statement is a prerequisite for making or 
entering into this transaction imposed by section 1352, title 31, 
U.S. Code. Any person who fails to file the require statement shall 
be subject to a civil penalty of not less than $10,000 and not more 
than $100,000 for each such failure.

Signature
Title
Organization
Date

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

Instructions for Certification

    1. By signing and submitting this proposal, the prospective 
primary participant is providing the certification set out below.
    2. The inability of a person to provide the certification 
required below will not necessarily result in denial of 
participation in this covered transaction. The prospective 
participant shall submit an explanation of why it cannot provide the 
certification set out below. The certification or explanation will 
be considered in connection with the department or agency's 
determination whether to enter into this transaction. However, 
failure of the prospective primary participant to furnish a 
certification or an explanation shall disqualify such person from 
participation in this transaction.
    3. The certification in this clause is a material representation 
of fact upon which reliance was placed when the department or agency 
determined to enter into this transaction. If it is later determined 
that the prospective primary participant knowingly rendered an 
erroneous certification, in addition to other remedies available to 
the Federal Government, the department or agency may terminate this 
transaction for cause or default.
    4. The prospective primary participant shall provide immediate 
written notice to the department or agency to which this proposal is 
submitted if at any time the prospective primary participant learns 
that its certification was erroneous when submitted or has become 
erroneous by reason of changed circumstances.
    5. The terms covered transaction, debarred, suspended, 
ineligible, lower tier covered transaction, participant, person, 
primary covered transaction, principal, proposal, and voluntarily 
excluded, as used in this clause, have the meanings set out in the 
Definitions and Coverage sections of the rules implementing 
Executive Order 12549. You may contact the department or agency to 
which this proposal is being submitted for assistance in obtaining a 
copy of those regulations.
    6. The prospective primary participant agrees by submitting this 
proposal that, should the proposed covered transaction be entered 
into, it shall not knowingly enter into any lower tier covered 
transaction with a person who is proposed for debarment under 48 CFR 
part 9, subpart 9.4, debarred, suspended, declared ineligible, or 
voluntarily excluded from participation in this covered transaction, 
unless authorized by the department or agency entering into this 
transaction.
    7. The prospective primary participant further agrees by 
submitting this proposal that it will include the clause titled 
``Certification Regarding Debarment, Suspension, Ineligibility and 
Voluntary Exclusion-Lower Tier Covered Transaction,'' provided by 
the department or agency entering into this covered transaction, 
without modification, in all lower tier covered transactions and in 
all solicitations for lower tier covered transactions.
    8. A participant in a covered transaction may rely upon a 
certification of a prospective participant in a lower tier covered 
transaction that it is not proposed for debarment under 48 CFR part 
9, subpart 9.4, debarred, suspended, ineligible, or voluntarily 
excluded from the covered transaction, unless it knows that the 
certification is erroneous. A participant may decide the method and 
frequency by which it determines the eligibility of its principals. 
Each participant may, but is not required to, check the List of 
Parties Excluded from Federal Procurement and Nonprocurement 
Programs.
    9. Nothing contained in the foregoing shall be construed to 
require establishment of a system of records in order to render in 
good faith the certification required by this clause. The knowledge 
and information of a participant is not required to exceed that 
which is normally possessed by a prudent person in the ordinary 
course of business dealings.
    10. Except for transactions authorized under paragraph 6 of 
these instructions, if a participant in a covered transaction 
knowingly enters into a lower tier covered transaction with a person 
who is proposed for debarment under 48 CFR part 9, subpart 9.4, 
suspended, debarred, ineligible, or voluntarily excluded from 
participation in this transaction, in addition to other remedies 
available to the Federal Government, the department or agency may 
terminate this transaction for cause or default.
* * * * *

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

    (1) The prospective primary participant certifies to the best of 
its knowledge and belief, that it and its principals:
    (a) Are not presently debarred, suspended, proposed for 
debarment, declared ineligible, or voluntarily excluded by any 
Federal department or agency;
    (b) Have not within a three-year period preceding this proposal 
been convicted of or had a civil judgment rendered against them for 
commission of fraud or a criminal offense in connection with 
obtaining, attempting to obtain, or performing a public (Federal, 
State or local) transaction or contract under a public transaction; 
violation of Federal or State antitrust statutes or commission of 
embezzlement, theft, forgery, bribery, falsification or destruction 
of records, making false statements, or receiving stolen property;
    (c) Are not presently indicted for or otherwise criminally or 
civilly charged by a governmental entity (Federal, State or local) 
with commission of any of the offenses enumerated in paragraph 
(1)(b) of this certification; and
    (d) Have not within a three-year period preceding this 
application/proposal had one or more public transactions (Federal, 
State or local) terminated for cause or default.
    (2) Where the prospective primary participant is unable to 
certify to any of the statements in this certification, such 
prospective participant shall attach an explanation to this 
proposal.

Certification Regarding 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 is this clause is a material representation 
of fact upon which reliance was placed when this transaction was 
entered into. If it is later determined that the prospective lower 
tier participant knowingly rendered an erroneous certification, in 
addition to other remedies available to the Federal Government the 
department or agency with which this transaction originated may 
pursue available remedies, including suspension and/or debarment.
    3. The prospective lower tier participant shall provide 
immediate written notice to the person to which this proposal is 
submitted if at any time the prospective lower tier participant 
learns that its certification was erroneous when submitted or had 
become erroneous by reason of changed circumstances.
    4. The terms covered transaction, debarred, suspended, 
ineligible, lower tier covered transaction , participant, person, 
primary covered transaction, principal, proposal, and voluntarily 
excluded, as used in this clause, have the meaning set out in the 
Definitions and Coverage sections of rules implementing Executive 
Order 12549. You may contact the person to which this proposal is 
submitted for assistance in obtaining a copy of those regulations.
    5. The prospective lower tier participant agrees by submitting 
this proposal that, [[Page 33043]] should the proposed covered 
transaction be entered into, it shall not knowingly enter into any 
lower tier covered transaction with a person who is proposed for 
debarment under 48 CFR part 9, subpart 9.4, debarred, suspended, 
declared ineligible, or voluntarily excluded from participation in 
this covered transaction, unless authorized by the department or 
agency with which this transaction originated.
    6. The prospective lower tier participant further agrees by 
submitting this proposal that it will include this clause titled 
``Certification Regarding Debarment, Suspension, Ineligibility and 
Voluntary Exclusion-Lower Tier Covered Transaction,'' without 
modification, in all lower tier covered transactions and in all 
solicitations for lower tier covered transactions.
    7. A participant in a covered transaction may rely upon a 
certification of a prospective participant in a lower tier covered 
transaction that it is not proposed for debarment under 48 CFR part 
9, subpart 9.4, debarred, suspended, ineligible, or voluntarily 
excluded from covered transactions, unless it knows that the 
certification is erroneous. A participant may decide the method and 
frequency by which it determines the eligibility of its principals. 
Each participant may, but is not required to, check the List of 
Parties Excluded from Federal Procurement and Nonprocurement 
Programs.

[[Page 25415]]

    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 an 
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.

Appendix G--Certification Regarding Environmental Tobacco Smoke

    Public Law 103-227, Part C--Environmental Tobacco Smoke, also 
known as the Pro-Children Act of 1994 (Act), requires that smoking 
not be permitted in any portion of any indoor routinely owned or 
leased or contracted for by an entity and used routinely or 
regularly for provision of health, day care, education, or library 
services to children under the age of 18, if the services are funded 
by Federal programs either directly or through State or local 
governments, by Federal grant, contract, loan, or loan guarantee. 
The law does not apply to children's services provided in private 
residences, facilities funded solely by Medicare or Medicaid funds, 
and portions of facilities used for inpatient drug or alcohol 
treatment. Failure to comply with the provisions of the law may 
result in the imposition of a civil monetary penalty of up to $1000 
per day and/or the imposition of an administrative compliance order 
on the responsible entity.
    By signing and submitting this application the applicant/grantee 
certifies that it will comply with the requirements of the Act. The 
applicant/grantee further agrees that it will require the language 
of this certification be included in any subawards which contain 
provisions for the children's services and that all subgrantees 
shall certify accordingly.

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[FR Doc. 97-12016 Filed 5-7-97; 8:45 am]
BILLING CODE 4184-01-C