A Head Start on Science Demonstration Project; Grant Availability

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Administration for Children and Families

[Program Announcement No. ACYF-HS 93600-951]

A Head Start on Science Demonstration Project; Grant Availability

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

[[Page 6121]] Administration for Children and Families (ACF), DHHS.

ACTION: Announcement of availability of financial assistance to a two

year or four year college or university for a Head Start on Science

demonstration project.

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SUMMARY: The Head Start Bureau of the Administration on Children, Youth

and Families announces that applications from colleges or universities

will be accepted to demonstrate and evaluate a summer institute

prototype on their campus during the summers 1996 and 1997 on the topic

of ``A Head Start on Science'', with follow-up assistance to graduates

as they implement their new skills at their local Head Start programs.

In year two of the grant period, the successful applicant also will

recruit, fund and mentor another teacher education college or

university to implement the ``A Head Start on Science'' approach.

DATES: The closing date for submission of applications is May 2, 1995.

ADDRESSES: Submit applications to: Applications may be mailed to the

Department of Health and Human Services, Administration for Children

and Families, Division of Discretionary Grants, 370 L'Enfant Promenade,

S.W., Aerospace Building, 6th Floor, OFM/DDG, Washington, D.C. 20447.

Hand delivered applications are accepted during the normal working

hours of 8:00 a.m. to 4:30 p.m., Monday through Friday, on or prior to

the established closing date at: Administration for Children and

Families, Division of Discretionary Grants, 6th Floor OFM/DDG, 901 D

Street, S.W., Washington D.C. 20447.

FOR FURTHER INFORMATION CONTACT: Any technical assistance calls may be

forwarded to the ACYF Operations Center Telephone number: 1-800-351-

2293.

SUPPLEMENTARY INFORMATION:

Part I General Information

A. Program Purpose

Head Start is a national program providing comprehensive

developmental services primarily to low-income preschool children and

their families. To help enrolled children achieve their full potential,

Head Start programs provide comprehensive health, nutritional,

educational, social, and other services. In addition Head Start

programs are required to provide for the direct participation of the

parents of enrolled children in the development, conduct, and direction

of local programs. Head Start currently serves approximately 713,000

children through a network of approximately 1,395 grantees.

While Head Start is targeted primarily toward children whose

families have incomes at or below the poverty line or who are eligible

for public assistance, regulations permit up to 10 percent of the Head

Start children in local programs to be from families which do not meet

these low-income criteria. Head Start regulations also require that a

minimum of 10 percent of enrollment opportunities in each program be

made available to children with disabilities. Such children are

expected to be enrolled in the full range of Head Start services and

activities in a mainstream setting with their non-disabled peers, and

to receive needed special education and related services.

B. Background on Demonstration Project ``A Head Start on Science''

The report from the Advisory Committee on Head Start Quality and

Expansion emphasizes that quality services to Head Start families must

be given priority attention by all Head Start programs. The report

underscored the need for staff development and training and supports

initiatives designed to increase staff understanding of concepts and

principles which will help them become more effective in early

childhood settings.

This project is designed to link colleges and universities to Head

Start programs for the purpose of teaching science to Head Start staff.

Highly intensive, hands-on instruction will provide teachers,

assistants, and home visitors with exposure to the principles of

science and increase their insights and skills regarding how to take

their college campus experience and create classroom environments which

invite child exploration and discovery. The staff will also increase

their understanding of the natural learning environment presented by

the out-of-doors, and the child's own home. We expect that `` A Head

Start on Science'' model will be developed and documented in suitable

printed and visual materials to be used to transmit the concept and

approaches to other institutions of higher learning and Head Start

communities. Project funds may also be used to present and distribute

information at appropriate regional and national Head Start events, and

to members of the Head Start training and technical assistance network.

Also, it would be appropriate for the grantee to develop strategies and

products which will assist other local Head Start programs to negotiate

with their local college or university for similar staff training.

We believe that as a result of participating in ``A Head Start on

Science'' demonstration project, Head Start teachers, teacher

assistants, and home visitors will be instrumental in creating a

lifelong interest in science both for themselves and for the children

and families with whom they work. We believe that staff will be

impacted by the knowledge that science is found not only in a

laboratory under a microscope, but in the everyday world in which they

live. As a result of this experience, teachers, assistants and home

visitors' concepts of science and their own scientific abilities will

increase and in turn have a powerful effect on their ability to engage

in discovery and establish environments in which children and families

may explore, discover and interpret scientific activities.

This announcement is soliciting applications from two or four-year

colleges or universities, i.e., institutions of higher learning that

grant degrees. Awards, on a competitive basis, will be for a one-year

budget period, although projects periods may be for two years.

Applications for continuation grants funded under these awards beyond

the one-year budget period but within the two year project period will

be entertained in subsequent years on a non-competitive basis, subject

to availability of funds, satisfactory progress of the grantee and a

determination that continued funding would be in the best interest of

the Government. The Department of Health and Human Services will award

one grant under this announcement. Up to $550,000 will be available for

a 24 month project period.

In the first year of the grant, the grantee institution will use

these funds to create, demonstrate and evaluate a summer institute

prototype on their campus during the summer of 1996 with follow-up

assistance to Head Start staff graduates as they implement their new

skills at their local programs. Also in year one the grantee will

recruit another college or university in which to replicate the model

in year two.

In the second year of this grant, the grantee institution will

improve the prototype program based on year-one experiences, and will

offer the hands-on science program to a new group of Head Start staff

during the summer 1997. Also during the second year, the ``A Head Start

on Science'' grantee will fund for one year, and mentor another college

or university to: (1) Implement the prototype ``A Head Start on

Science'' model in the summer of 1997 and; (2) provide follow-up

assistance to the Head Start staff as they plan to

[[Page 6122]] implement their new skills in their local programs. The

addition of a second institution will provide the opportunity to

evaluate the effectiveness and transferability of the concept.

Throughout the grant period, a third party evaluator must be

secured by the grantee institution to assess the effectiveness of the

approach, content and transferability of the ``A Head Start on

Science'' project. The third party evaluator must not be involved in

the conduct of the demonstration. The evaluation of the students in

both institutes in the summer of 1997 will be completed by the end of

the project period. It should focus on the students' plans for the

implementation of the program and principles.

Statutory Authority

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

D. Project Period and Funding

A total of approximately $550,000 in ACF funds will be available to

fund the demonstration project for a 24 month period. Applicants must

propose how much will be needed for each 12 month period of the

project.

The grantee must provide at least 20 percent of the total cost of

the project. The total approved cost of the project is the sum of the

ACF share and the non-Federal share. The non-Federal share may be met

by cash or in-kind contributions, although applicants are encouraged to

meet their match requirements through cash contributions. Therefore, a

project requesting $550,000 in Federal funds (based on an award of

approximately $275,000 per budget period) must provide $137,500 in cash

or in-kind contributions (20% of total project costs of $687,500).

E. Eligible Applicants

Applicants must be either two year or four year institutions of

higher learning which are colleges or universities, private or public,

having the capability to create, demonstrate and evaluate a summer

institute prototype.

Part II Special Requirements

A. Colleges and universities are eligible to apply for these funds.

The college or university must also be able to award college credit to

Head Start staff that successfully complete the summer program.

B. The project should be directed toward Head Start teachers,

teachers' assistants and/or home visitors.

C. Funds may be used for university operating expenses and related

costs. Related costs include such activities as planning and

development costs, administration, supplies, insurance, university

staff salaries, training provided at Head Start events and the third

party evaluation.

D. The university or college institute teaching team will be

comprised of individuals with knowledge of science, adult learning, and

early childhood education.

Part III Specific Responsibilities of the Applicant

When submitting an application under this announcement, applicants

should include a maximum of 50 typed, doubled-spaced pages. Applicants

interested in submitting an application for the training prototype

must:

A. Describe the design of the project. Include a description of how

the summer institutes will address the unique needs of teachers,

teacher assistants and/or home visitors.

B. Provide a sample curriculum for the summer institute

participants based on content and approach which will help increase

participants' knowledge of science, increase their understanding and

skills regarding how to create classroom environments, and capitalize

on the out-of-doors and family settings as areas of scientific

exploration and learning.

C. List projected field experiences appropriate to the location of

the college and Head Start programs. These may include trips to the

ocean, visiting a quarry, aquarium, desert, nature trail, or wild life

reserve. Information submitted should include the total number of hours

of the institute program including a breakout of instruction vs. field

trip experiences.

D. Describe a plan for how many participants will be included in

each summer program and how these participants will be recruited.

E. Describe what provisions will be made for residential, intensive

summer institutes for Head Start teachers, teacher assistants, and/or

home visitors.

F. Describe provision of materials, lunch and snacks, stipend or

reimbursement, transportation to field activities, and entry fees.

G. Describe the college credit to be awarded for work completed

during the summer institute and for implementing new knowledge and

practice back at local programs.

H. Describe the plan for the extension of the summer institute into

Head Start settings and the provision of on-site feedback and ongoing

support for adults applying their new skills.

I. Explain the criteria and the approach to be used to recruit,

fund, and mentor another college for the second year of the project.

J. Develop an evaluation of the project to determine the

effectiveness of the project. Describe the research questions to be

addressed. Describe the evaluation that would be implemented, including

the outcomes that would be measured, the evaluation design to be

employed, and how the data will be analyzed. The evaluation should also

include an analysis of the second summer institutes. The project and

the evaluation will be completed by the end of the project period.

K. Provide a description of the qualifications of each key staff

member including the third-party evaluator (the evaluator cannot be a

member of the demonstration project staff). Include copies of their

curriculum vitae.

L. Describe a plan to establish a self sustaining project, since

this will be a prototype other colleges and universities may want to

adapt. It is expected that the applicant may pay for more activities

and services during the first year; however, attempts should be made to

run a more self supporting program by year two. Outside resources or

Head Start grantees that see these services as a priority can support

some of the cost of the training.

Part IV Evaluation Criteria

In consideration of how applicants will meet the requirements and

responsibilities addressed under Parts II and III of this announcement,

competing applications from colleges and universities will be reviewed

and evaluated against the following criteria.

A. Objectives and Need for Assistance (15 points).

The extent to which the applicant identifies any relevant economic,

social, financial institutional or other problems requiring a solution:

demonstrates the need for the assistance: and states the principal and

subordinate objectives of the project. Supporting documentation or

other testimonies from concerned interests other than the applicant on

the need for assistance may be used.

Identify the precise location of the project and the area to be

served by the proposed project. Maps and other geographic aids may be

attached.

Information provided in response to the following items under

``Specific Responsibilities of the Applicant'' will be used to review

and evaluate applicants on this criterion: Letters A,C,D.

B. Results or Benefits Expected (15 points).

The extent to which the applicant identifies the results and

benefits to be derived which are consistent with the

[[Page 6123]] objectives of the proposal and indicates the anticipated

contributions to policy, practice, theory and/or research.

Information provided in response to the following items under

``Specific Responsibilities of the Applicant'' will be used to review

and evaluate applicants on this criterion: Letters A,G,H,J

C. Approach (40 points).

The extent to which the applicant outlines an acceptable plan of

action pertaining to the scope of the project; details how the proposed

work will be accomplished and lists each organization, consultant, and

other key individuals who will work on the project, along with resumes

and a short description of their responsibilities or contribution to

the applicant's work plan. Describe the evaluation methodology that

will be used to determine if the needs identified and discussed are

being met and if the results and benefits identified are being

achieved.

Information provided in response to the following items under

``Specific Responsibilities of the Applicant'' will be used to review

and evaluate applicants on this criterion: Letters A,B,C,E,F,G,H,I.

D. Staff Background and Organization's Experience (20 Points).

Identifies the background of the project director/principal

investigator and key project staff (including name, address, training,

most relevant educational background and other qualifying experiences)

and the experience of the college or university to demonstrate the

applicant's ability to effectively and efficiently administer this

project.

Information provided in response to the following items under

``Specific Responsibilities of the Applicant'' will be used to review

and evaluate applicants on this criterion: Letter K.

E. Budget Appropriateness and Reasonableness (10 Points).

The extent to which the project's costs are reasonable in view of

the activities to be carried out and the anticipated outcomes. The

extent to which assurances are provided that the applicant can and will

contribute the non-Federal share of the total project.

The extent to which the amount budgeted for the evaluation is

sufficient to conduct the evaluation.

Information provided in response to the following items under

``Application Requirements'' will be used to review and evaluate

applicants on this criterion: Letters C,E,F,J,L.

Part V Application Process

A. Availability of Forms

Eligible applicants interested in applying for funds must submit

all of the required forms included at the end of this Announcement.

In order to be considered for a grant under this Announcement, an

application must be submitted on the Standard Form 424 which has been

approved by the Office of Management and Budget (OMB) under Control

Number 0348-0043. A copy has been provided (see Appendix B). Each

application must be signed by an individual authorized to act for the

applicant and to assume responsibility for the obligations imposed by

the terms and conditions of the grant award.

Applicants requesting financial assistance for a nonconstruction

project must file the standard Form 424B, ``Assurances: Non-

Construction Programs.'' Applicants must sign and return the Standard

Form 424B with their applications.

Applications must provide a certification concerning Lobbying.

Prior to receiving an award in excess of $100,000, applicants shall

furnish an executed copy of the lobbying certification. Applications

must sign and return the certification with the applications.

Applications must make the appropriate certification of their

compliance with the Drug-Free Workplace Act of 1988. By signing and

submitting the applications, applicants are providing the certification

and need not mail back the certification with the applications.

Applicants must make the appropriate certification that they are

not presently debarred, suspended or otherwise ineligible for award. By

signing and submitting the applications, applicants are providing the

certification and need not mail back the certification with the

applications.

Copies of the certifications and assurance are located at the end

of this announcement.

B. Application Submission

One signed original and two copies of the grant application,

including all attachments, are required. The program announcement

number [ACYF-HS 93600-951] must be clearly identified on the

application. Each application must be limited to no more than 50

double-spaced pages of program narrative (not including the forms which

make up the SF-424 and resumes) including the one-page project summary.

If the application is more than 50 double-spaced pages, the other pages

will be removed from the application and not considered by the

reviewers.

The application must be paginated beginning with the Form 424 and

also contain a table of contents listing each section of the

application with the respective pages identified. Only one application

per applicant will be accepted.

C. Application Consideration

Applicants will be scored against the evaluation criteria described

above. The review will be conducted in Washington, D.C.

The results of the competitive review will be taken into

consideration by the Associate Commissioner, Head Start Bureau, in

recommending the project to be funded. The Commissioner of ACYF will

make the final selection of the applicants to be funded. An application

may be funded in whole or in part, depending on the relative need for

services, applicant ranking, geographic location and funds available.

The Commissioner may also elect not to provide funding to

applicants experiencing problems in providing quality services.

Successful applicants will be notified through the issuance of a

Financial Assistance Award which sets forth the amount of funds

granted, the terms and conditions of the grant, the effective date of

the grant, the budget period for which support is given, and the total

project period for which support is provided.

D. 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 length does not exceed 50 double-spaced pages

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

--Application for Federal Assistance (SF 424, REV.4-88); Narrative;

--Staff Resumes;

--A completed SPOC certification with the date of SPOC contact entered

in line 16, page 1 of the (SF 424, REV.4-88);

--Budget information-Non-Construction Programs (SF 424A REV.88);

--Budget justification for Section B-Budget Categories; including

subcontract/delegate agency budgets

--Table of Contents;

--Letter from the Internal Revenue Services to prove non-profit status

--Project Summary (not to exceed one page);

--Organization/eligibility information; [[Page 6124]]

--Assurances Non-Construction Programs;

--Certification Regarding Lobbying.

E. Deadlines

Applications shall be considered as meeting an announced deadline

if they are either:

1. Received on or before the deadline date at a place specified in

the program announcement, or

2. Sent on or before the deadline date and received by the granting

agency in time for the independent review under DHHS GAM Chapter 1-62.

(Applicants are cautioned to request a legibly dated U.S. Postal

Service postmark or to obtain a legibly dated receipt from a commercial

carrier or U.S. Postal Service. Private Metered postmarks shall not be

acceptable as proof of timely mailing.)

Late applications: Applications which do not meet the criteria in

paragraph E of this section are considered late applications. The

granting agency shall notify each late applicant that its application

will not be considered in the current competition.

Extension of deadlines: The granting agency 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 the granting agency does not extend the deadline for all applicants,

it may not waive or extend the deadline for any applicants.

F. Paperwork Reduction Act of 1980

Under the Paperwork Reduction Act of 1980, Public Law 96-511, the

Department is required to submit to OMB for review and approval any

reporting and record keeping requirements in regulations, including

program announcements. This program announcement does not contain

information collection requirements beyond those approved for ACF grant

applications under OMB Control Number 0348-0043.

G. Executive Order 12372--Notification Process

This program is covered under Executive Order 12372,

``Intergovernmental Review of Federal Programs,'' and 45 CFR part 100,

``Intergovernmental Review of Department of Health and Human Services

Programs and Activities.'' Under Executive Order 12372, States may

design their own processes for reviewing and commenting on proposed

Federal assistance under covered programs.

All States and territories except Alabama, Alaska, Connecticut,

Colorado, Hawaii, Idaho, Kansas, Louisiana, Minnesota, Montana,

Nebraska, Oklahoma, Oregon, Pennsylvania, South Dakota, Virginia,

Washington, American Samoa, and Palau have elected to participate in

the Executive Order process and have established Single Points of

Contact (SPOCs). Applicants from these nineteen jurisdiction areas need

not take action regarding Executive Order 12372. Applications for

projects to be administered by Federally-recognized Indian Tribes are

exempt from the requirements of Executive Order 12372. Otherwise,

applicants should contact their SPOC as soon as possible to alert them

to the prospective application and to receive any necessary

instructions. Applicants must submit any required material to the SPOC

as early as possible so that the program office can obtain and review

SPOC comments as part of the award process. It is imperative that the

applicant submit all required materials, if any, to the SPOC and

indicate the date of this submittal (or date of contact if no submittal

is required) on the SF 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 they intend to 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., 6th floor, Aerospace Building, Washington,

D.C. 20447.

A list of SPOCs for each State and territory is included at

Appendix A of this announcement.

H. Effective Date

It is anticipated that successful applications shall be funded no

later than September 30,1995.

(Catalog of Federal Domestic Assistance Program Number 93.600,

Project Head Start.)

Dated: January 23, 1995.

Olivia A. Golden,

Commissioner, Administration on Children, Youth and Families.

Appendix A--Executive Order 12372--State Single Points of Contact

Arizona

Mrs. Janice Dunn, Attn: Arizona State Clearinghouse, 3800 N. Central

Avenue, 14th Floor, Phoenix, Arizona 85012, Telephone (602) 280-1315

Arkansas

Tracie L. Copeland, Manager, State Clearinghouse, Office of

Intergovernmental Services, Department of Finance and Administration,

P.O. Box 3278, Little Rock, Arkansas 72203, Telephone (501) 682-1074

California

Glenn Stober, Grants Coordinator, Office of Planning and Research, 1400

Tenth Street, Sacramento, California 95814, Telephone (916) 323-7480

Delaware

Ms. Fancine Booth, State Single Point of Contact, Executive Department,

Thomas Collins Building, Dover, Delaware 19903, Telephone (302) 736-

3326

District of Columbia

Rodney T. Hallman, State Single Point of Contact, Office of Grants

Management and Development, 717 14th Street NW., Suite 500, Washington,

DC 20005, Telephone (202) 727-6551

Florida

Florida State Clearinghouse, Intergovernmental Affairs Policy Unit,

Executive Office of the Governor, Office of Planning and Budgeting, The

Capitol, Tallahassee, Florida 32399-0001, Telephone (904) 488-8441

Georgia

Mr. Charles H. Badger, Administrator, Georgia State Clearinghouse, 254

Washington Street SW., Atlanta, Georgia 30334, Telephone (404) 656-3855

Illinois

Steve Klokkenga, State Single Point of Contact, Office of the Governor,

107 Stratton Building, Springfield, Illinois 62706, Telephone (217)

782-1671

Indiana

Jean S. Blackwell, Budget Director, State Budget Agency, 212 State

House, Indianapolis, Indiana 46204, Telephone (317) 232-

5610 [[Page 6125]]

Iowa

Mr. Steven R. McCann, Division of Community Progress, Iowa Department

of Economic Development, 200 East Grand Avenue, Des Moines, Iowa 50309,

Telephone (515) 281-3725

Kentucky

Ronald W. Cook, Office of the Governor, Department of Local Government,

1024 Capitol Center Drive, Frankfort, Kentucky 40601, Telephone (502)

564-2382

Maine

Ms. Joyce Benson, State Planning Office, State House Station #38,

Augusta, Maine 04333, Telephone (207) 289-3261

Maryland

Ms. Mary Abrams, Chief, Maryland State Clearinghouse, Department of

State Planning, 301 West Preston Street, Baltimore, Maryland 21201-

2365, Telephone (301) 225-4490

Massachusetts

Karen Arone, State Clearinghouse, Executive Office of Communities and

Development, 100 Cambridge Street, Room 1803, Boston, Massachusetts

02202, Telephone (617) 727-7001

Michigan

Richard S. Pastula, Director, Michigan Department of Commerce, Lansing,

Michigan 48909, Telephone (517) 373-7356

Mississippi

Ms. Cathy Mallette, Clearinghouse Office, Office of Federal Grant

Management and Reporting, 301 West Pearl Street, Jackson, Mississippi

39203, Telephone (601) 960-2174

Missouri

Ms. Lois Pohl, Federal Assistance Clearinghouse, Office of

Administration, P.O. Box 809, Room 430, Truman Building, Jefferson

City, Missouri 65102, Telephone (314) 751-4834

Nevada

Department of Administration, State Clearinghouse, Capitol Complex,

Carson City, Nevada 89710, Telephone (702) 687-4065, Attention: Ron

Sparks, Clearinghouse Coordinator

New Hampshire

Mr. Jeffrey H. Taylor, Director, New Hampshire Office of State

Planning, Attn: Intergovernmental Review, Process/James E. Bieber, 2\1/

2\ Beacon Street, Concord, New Hampshire 03301, Telephone (603) 271-

2155

New Jersey

Gregory W. Adkins, Acting Director, Division of Community Resources,

N.J. Department of Community Affairs, Trenton, New Jersey 08625-0803,

Telephone (609) 292-6613

Please direct correspondence and questions to: Andrew J. Jaskolka,

State Review Process, Division of Community Resources, CN 814, Room

609, Trenton, New Jersey 08625-0803, Telephone (609) 292-9025

New Mexico

George Elliott, Deputy Director, State Budget Division, Room 190,

Bataan Memorial Building, Santa Fe, New Mexico 87503, Telephone (505)

827-3640, FAX (505) 827-3006

New York

New York State Clearinghouse, Division of the Budget, State Capitol,

Albany, New York 12224, Telephone (518) 474-1605

North Carolina

Mrs. Chrys Baggett, Director, Office of the Secretary of Admin., N.C.

State Clearinghouse, 116 W. Jones Street, Raleigh, North Carolina

27603-8003, telephone (919) 733-7232

North Dakota

N.D. Single Point of Contract, Office of Intergovernmental Assistance,

Office of Management and Budget, 600 East Boulevard Avenue, Bismarck,

North Dakota 58505-0170, Telephone (701) 224-2094

Ohio

Larry Weaver, State Single Point of Contact, State/Federal Funds

Coordinator, State Clearinghouse, Office of Budget and Management, 30

East Broad Street, 34th Floor, Columbus, Ohio 43266-0411, Telephone

(614) 466-0698

Rhode Island

Mr. Daniel W. Varin, Associate Director, Statewide Planning Program,

Department of Administration, Division of Planning, 265 Melrose Street,

Providence, Rhode Island 02907, Telephone (401) 277-2656,

Please direct correspondence and questions to: Review Coordinator,

Office of Strategic Planning

South Carolina

Omeagia Burgess, State Single Point of Contact, Grant Services, Office

of the Governor, 1205 Pendleton Street, Room 477, Columbia, South

Carolina 29201, Telephone (803) 734-0494

Tennessee

Mr. Charles Brown, State Single Point of Contact, State Planning

Office, 500 Charlotte Avenue, 309 John Sevier Building, Nashville,

Tennessee 37219, Telephone (615) 741-1676

Texas

Mr. Thomas Adams, Governor's Office of Budget and Planning, P.O. Box

12428, Austin, Texas 78711, Telephone (512) 463-1778

Utah

Utah State Clearinghouse, Office of Planning and Budget, ATTN: Carolyn

Wright, Room 116 State Capitol, Salt Lake City, Utah 84114, Telephone

(801) 538-1535

Vermont

Mr. Bernard D. Johnson, Assistant Director, Office of Policy Research &

Coordination, Pavilion Office Building, 109 State Street, Montpelier,

Vermont 05602, Telephone (802) 828-3326

West Virginia

Mr. Fred Cutlip, Director, Community Development Division, West

Virginia Development Office, Building #6, Room 553, Charleston, West

Virginia 25305, Telephone (304) 348-4010

Wisconsin

Mr. William C. Carey, Federal/State Relations, Wisconsin Department of

Administration, 101 South Webster Street, P.O. Box 7864, Madison,

Wisconsin 53707, Telephone (608) 266-0267

Wyoming

Sheryl Jeffries, State Single Point of Contact, Herschler Building, 4th

Floor, East Wing, Cheyenne, Wyoming 82002, Telephone (307) 777-7574

Guam

Mr. Michael J. Reidy, Director, Bureau of Budget and Management

Research, Office of the Governor, P.O. Box 2950, Agana, Guam 96910,

Telephone (671) 472-2285

Northern Mariana Islands

State Single Point of Contact, Planning and Budget Office, Office of

the Governor, Saipan, CM, Northern Mariana Islands 96950

Puerto Rico

Norma Burgos/Jose H. Caro, Chairman/Director, Puerto Rico Planning

Board, Minillas Government Center, P.O. Box 41119, San Juan, Puerto

Rico 00940-9985, Telephone (809) 727-4444

[[Page 6126]]

Virgin Islands

Jose L. George, Director, Office of Management and Budget, #41

Norregade Emancipation Garden Station, Second Floor, Saint Thomas,

Virgin Islands 00802, Please direct correspondence to: Linda Clarke,

Telephone (809) 774-0750.

BILLING CODE 4184-01-P

[[Page 6127]]

[GRAPHIC][TIFF OMITTED]TN01FE95.134

BILLING CODE 4184-01-C

[[Page 6128]]

Instructions for the SF 424

This is a standard form used by applicants as a required facesheet

for preapplications and applications submitted for Federal assistance.

It will be used by Federal agencies to obtain applicant certification

that States which have established a review and comment procedure in

response to Executive Order 12372 and have selected the program to be

included in their process, have been given an opportunity to review the

applicant's submission.

Item and Entry:

1. Self-explanatory.

2. Date application submitted to Federal agency (or State if

applicable) & applicant's control number (if applicable).

3. State use only (if applicable).

4. If this application is to continue or revise an existing award,

enter present Federal identifier number. If for a new project, leave

blank.

5. Legal name of applicant, name of primary organizational unit which

will undertake the assistance activity, complete address of the

applicant, and name and telephone number of the person to contact on

matters related to this application.

6. Enter Employer Identification Number (EIN) as assigned by the

Internal Revenue Service.

7. Enter the appropriate letter in the space provided.

8. Check appropriate box and enter appropriate letter(s) in the

space(s) provided:

--``New'' means a new assistance award.

--``Continuation'' means an extension for an additional funding/

budget period for a project with a projected completion date.

--``Revision'' means any change in the Federal Government's

financial obligation or contingent liability from an existing

obligation.

9. Name of Federal agency from which assistance is being requested with

this application.

10. Use the Catalog of Federal Domestic Assistance number and title of

the program under which assistance is requested.

11. Enter a brief descriptive title of the project. If more than one

program is involved, you should append an explanation on a separate

sheet. If appropriate (e.g., construction or real property projects),

attach a map showing project location. For preapplications, use a

separate sheet to provide a summary description of this project.

12. List only the largest political entities affected (e.g., State,

counties, cities).

13. Self-explanatory.

14. List the applicant's Congressional District and any District(s)

affected by the program or project.

15. Amount requested or to be contributed during the first funding/

budget period by each contributor. Value of in-kind contributions

should be included on appropriate lines as applicable. If the action

will result in a dollar change to an existing award, indicate only the

amount of the change. For decreases, enclose the amounts in

parentheses. If both basic and supplemental amounts are included, show

breakdown on an attached sheet. For multiple program funding, use

totals and show breakdown using same categories as item 15.

16. Applicants should contact the State Single Point of Contact (SPOC)

for Federal Executive Order 12372 to determine whether the application

is subject to the State intergovernmental review process.

17. This question applies to the applicant organization, not the person

who signs as the authorized representative. Categories of debt include

delinquent audit disallowances, loans and taxes.

18. To be signed by the authorized representative of the applicant. A

copy of the governing body's authorization for you to sign this

application as official representative must be on file in the

applicant's office. (Certain Federal agencies may require that this

authorization be submitted as part of the application.)

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Instructions for the SF-424A

General Instructions

This form is designed so that application can be made for funds

from one or more grant programs. In preparing the budget, adhere to any

existing Federal grantor agency guidelines which prescribe how and

whether budgeted amounts should be separately shown for different

functions or activities within the program. For some programs, grantor

agencies may require budgets to be separately shown by function or

activity. For other programs, grantor agencies may require a breakdown

by function or activity. Sections A, B, C, and D should include budget

estimates for the whole project except when applying for assistance

which requires Federal authorization in annual or other funding period

increments. In the latter case, Sections A, B, C, and D should provide

the budget for the first budget period (usually a year) and Section E

should present the need for Federal assistance in the subsequent budget

periods. All applications should contain a breakdown by the object

class categories shown in Lines a-k of Section B.

Section A. Budget Summary

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

For applications pertaining to a single Federal grant program

(Federal Domestic Assistance Catalog number) and not requiring a

functional or activity breakdown, enter 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 in Column (e) the amount of the increase or

decrease of Federal funds and enter in Column (f) the amount of the

increase or decrease of non-Federal funds. In Column (g) enter the new

total budgeted amount (Federal and non-Federal) which includes the

total previous authorized budgeted amounts plus or minus, as

appropriate, the amounts shown in Columns (e) and (f). The amount(s) in

Column (g) should not equal the sum of amounts in Columns (e) and (f).

Line 5--Show the totals for all columns used.

Section B Budget Categories

In the column headings (1) through (4), enter the titles of the

same programs, functions, and activities shown on Lines 1-4, Column

(a), Section A. When additional sheets are prepared for Section A,

provide similar column headings on each sheet. For each program,

function or activity, fill in the total requirements for funds (both

Federal and non-Federal) by object class categories.

Lines 6a-i--Show the totals of Lines 6a to 6h in each column.

Line 6j--Show the amount of indirect cost.

Line 6k--Enter the total of amounts on Lines 6i and 6j. For all

applications for new grants and continuation grants the total amount in

column (5), Line 6k, should be the same as the total amount shown in

Section A, Column (g), Line 5. For supplemental grants and changes to

grants, the total amount of the increase or decrease as shown in

Columns (1)-(4), Line 6k should be the same as the sum of the amounts

in Section A, Columns (e) and (f) on Line 5.

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 (b)--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

[[Page 6132]] supplements) to funds for the current year of existing

grants.

If more than four lines are needed to list the program titles,

submit additional schedules as necessary.

Line 20--Enter the total for each of the Columns (b)-(e). When

additional schedules are prepared for this Section, annotate

accordingly and show the overall totals on this line.

Section F. Other Budget Information

Line 21--Use this space to explain amounts for individual direct

object-class cost categories that may appear to be out of the ordinary

or to explain the details as required by the Federal grantor agency.

Line 22--Enter the type of indirect rate (provisional,

predetermined, final or fixed) that will be in effect during the

funding period, the estimated amount of the base to which the rate is

applied, and the total indirect expense.

Line 23--Provide any other explanations or comments deemed

necessary.

OMB Approval No. 0348-0040

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, or documents, related to the award; and will establish a proper

accounting system in accordance with generally accepted accounting

standards or agency directives.

3. Will establish safeguards to prohibit employees from using their

positions for a purpose that constitutes or presents the appearance of

personal or organizational conflict of interest, or personal gain.

4. Will initiate and complete the work within the applicable time

frame after receipt of approval of the awarding agency.

5. Will comply with the Intergovernmental Personnel Act of 1970 (42

U.S.C. Secs. 4728-4763) relating to prescribed standards for merit

systems for programs funded under one of the nineteen statutes or

regulations specified in Appendix A of OPM's Standards for a Merit

System of Personnel Administration (5 C.F.R. 900, Subpart F).

6. Will comply with all Federal statutes relating to

nondiscrimination. These include but are not limited to: (a) Title VI

of the Civil Rights Act of 1964 (P.L. 88-352) which prohibits

discrimination on the basis of race, color or national origin; (b)

Title IX of the Education Amendments of 1972, as amended (20 U.S.C.

Secs. 1681-1683, and 1685-1686), which prohibits discrimination on the

basis of sex; (c) Section 504 of the Rehabilitation Act of 1973, as

amended (29 U.S.C. Sec. 794), which prohibits discrimination on the

basis of handicaps; (d) the Age Discrimination Act of 1975, as amended

(42 U.S.C. Secs. 6101-6107), which prohibits discrimination on the

basis of age; (e) the Drug Abuse Office and Treatment Act of 1972 (P.L.

92-255), as amended, relating to nondiscrimination on the basis of drug

abuse; (f) the Comprehensive Alcohol Abuse and Alcoholism Prevention,

Treatment and Rehabilitation Act of 1970 (P.L. 91-616), as amended,

relating to nondiscrimination on the basis of alcohol abuse or

alcoholism; (g) Secs. 523 and 527 of the Public Health Service Act of

1912 (42 U.S.C. 290 dd-3 and 290 ee-3), as amended, relating to

confidentiality of alcohol and drug abuse patient records; (h) Title

VIII of the Civil Rights Act of 1968 (42 U.S.C. Sec. 3601 et seq.), as

amended, relating to nondiscrimination in the sale, rental or financing

of housing; (i) any other nondiscrimination provisions in the specific

statute(s) under which application for Federal assistance is being

made; and (j) the requirements of any other nondiscrimination

statute(s) which may apply to the application.

7. Will comply, or has already complied, with the requirements of

Titles II and III of the Uniform Relocation Assistance and Real

Property Acquisition Policies Act of 1970 (P.L. 91-646) which provide

for fair and equitable treatment of persons displaced or whose property

is acquired as a result of Federal or federally assisted programs.

These requirements apply to all interests in real property acquired for

project purposes regardless of Federal participation in purchases.

8. Will comply with the provisions of the Hatch Act (5 U.S.C.

Secs. 1501-1508 and 7324-7328) which limit the political activities of

employees whose principal employment activities are funded in whole or

in part with Federal funds.

9. Will comply, as applicable, with the provisions of the Davis-

Bacon Act (40 U.S.C. Secs. 276a to 276a-7), the Copeland Act (40 U.S.C.

Sec. 276c and 18 U.S.C. Secs. 874), and the Contract Work Hours and

Safety Standards Act (40 U.S.C. Secs. 327-333), regarding labor

standards for federally assisted construction subagreements.

10. Will comply, if applicable, with flood insurance purchase

requirements of Section 102(a) of the Flood Disaster Protection Act of

1973 (P.L. 93-234) which requires recipients in a special flood hazard

area to participate in the program and to purchase flood insurance if

the total cost of insurable construction and acquisition is $10,000 or

more.

11. Will comply with environmental standards which may be

prescribed pursuant to the following: (a) institution of environmental

quality control measures under the National Environmental Policy Act of

1969 (P.L. 91-190) and Executive Order (EO) 11514; (b) notification of

violating facilities pursuant to EO 11738; (c) protection of wetlands

pursuant to EO 11990; (d) evaluation of flood hazards in floodplains in

accordance with EO 11988; (e) assurance of project consistency with the

approved State management program developed under the Coastal Zone

Management Act of 1972 (16 U.S.C. Secs. 1451 et seq.); (f) conformity

of Federal actions to State (Clear Air) Implementation Plans under

Section 176(c) of the Clear Air Act of 1955, as amended (42 U.S.C.

Sec. 7401 et seq.); (g) protection of underground sources of drinking

water under the Safe Drinking Water Act of 1974, as amended, (P.L. 93-

523); and (h) protection of endangered species under the Endangered

Species Act of 1973, as amended, (P.L. 93-205).

12. Will comply with the Wild and Scenic Rivers Act of 1968 (16

U.S.C. Secs. 1271 et seq.) related to protecting components or

potential components of the national wild and scenic rivers system.

13. Will assist the awarding agency in assuring compliance with

Section 106 of the National Historic Preservation Act of 1966, as

amended (16 U.S.C. 470), EO 11593 (identification and protection of

historic properties), and the Archaeological and Historic Preservation

Act of 1974 (16 U.S.C. 469a-1et seq.). [[Page 6133]]

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.

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Signature of Authorized Certifying Official

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Title

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Applicant Organization

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Date Submitted

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Certification Regarding Debarment, Suspension, and Other Responsibility

Matters--Primary Covered Transactions

By signing and submitting this proposal, the applicant, defined as

the primary participant in accordance with 45 CFR Part 76, certifies to

the best of its knowledge and believe that it and its principals:

(a) are not presently debarred, suspended, proposed for debarment,

declared ineligible, or voluntarily excluded from covered transactions

by any Federal Department or agency;

(b) have not within a 3-year period preceding this proposal been

convicted of or had a civil judgment rendered against them for

commission of fraud or a criminal offense in connection with obtaining,

attempting to obtain, or performing a public (Federal, State, or local)

transaction or contract under a public transaction; violation of

Federal or State antitrust statutes or commission of embezzlement,

theft, forgery, bribery, falsification or destruction of records,

making false statements, or receiving stolen property;

(c) are not presenting indicted or otherwise criminally or civilly

charged by a governmental entity (Federal, State or local) with

commission of any of the offenses enumerated in paragraph (1)(b) of

this certification; and

(d) have not within a 3-year period preceding this application/

proposal had one or more public transactions (Federal, State, or local)

terminated for cause or default.

The inability of a person to provide the certification required

above will not necessarily result in denial of participation in this

covered transaction. If necessary, the prospective participant shall

submit an explanation of why it cannot provide the certification. The

certification or explanation will be considered in connection with the

Department of Health and Human Services (HHS) determination whether to

enter into this transaction. However, failure of the prospective

primary participant to furnish a certification or an explanation shall

disqualify such person from participation in this transaction.

The prospective primary participant agrees that by submitting this

proposal, it will include the clause entitled ``Certification Regarding

Debarment, Suspension, Ineligibility, and Voluntary Exclusion--Lower

Tier Covered Transaction.'' provided below without modification in all

lower tier covered transactions and in all solicitations for lower tier

covered transactions.

Certification Regarding Debarment, Suspension, Ineligibility and

Voluntary Exclusion--Lower Tier Covered Transactions

(To Be Supplied to Lower Tier Participants)

By signing and submitting this lower tier proposal, the prospective

lower tier participant, as defined in 45 CFR Part 76, certifies to the

best of its knowledge and belief that it and its principals:

(a) are not presently debarred, suspended, proposed for debarment,

declared ineligible, or voluntarily excluded from participation in this

transaction by any federal department or agency.

(b) where the prospective lower tier participant is unable to

certify to any of the above, such prospective participant shall attach

an explanation to this proposal.

The prospective lower tier participant further agrees by submitting

this proposal that it will include this clause entitled ``certification

Regarding Debarment, Suspension, Ineligibility, and Voluntary

Exclusion--Lower Tier Covered Transactions. ``without modification in

all lower tier covered transactions and in all solicitations for lower

tier covered transactions.

Certification Regarding Lobbying

Certification for Contracts, Grants, Loans, and Cooperative Agreements

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

belief, that:

(1) No Federal appropriated funds have been paid or will be paid,

by or on behalf of the undersigned, or to any person for influencing or

attempting to fluence 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 act upon which

reliance was placed when this transaction was made or entered into.

Submission of this certification is a prerequisite for making or

entering into this transaction imposed by section 1352, title 31, U.S.

Code. Any person who fails to file the required certification shall be

subject to a civil penalty of not less than $10,000 and not more than

$100,000 for each such failure.

State for Loan Guarantee and Loan Insurance

The undersigned states, to the best of his or her knowledge and

belief, that:

If any funds have been paid or will be paid to any person for

influencing or attempting to influence an officer or employee of any

agency, a Member of Congress, an officer or employee of Congress, or an

employee of a Member of Congress in connection with this commitment

providing for the United States to insure or guarantee a loan, the

undersigned shall complete and submit Standard Form-LLL ``Disclosure

Form to Report Lobbying,'' in accordance with its instructions.

Submission of this statement is a prerequisite for making or

entering into this transaction imposed by section 1352, title 31, U.S.

Code. Any person who fails to file the 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.

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Signature

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Title

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Organization

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Date

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