Announcement of the Availability of Funds and Request for Applications To Carry Out Child Care Research Partnerships
Federal RegisterMay 8, 1997
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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:
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States represented in
Region Regional office region
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I.................. Boston................ Connecticut, Maine,
Massachusetts, New
Hampshire, Rhode Island,
Vermont.
II................. New York City......... New Jersey, New York,
Puerto Rico, Virgin
Islands.
[[Page 25392]]
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.
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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
[[Page 25393]]
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)
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[[Page 25404]]
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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
[[Page 25406]]
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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.
BILLING CODE 4184-01-M
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[FR Doc. 97-12016 Filed 5-7-97; 8:45 am]
BILLING CODE 4184-01-C
This is a copy of a public record, reproduced as it was published. It is not legal advice, and it may not be the version a court would rely on. Check the official source before you cite it.