Early Head Start Program Grant Availability

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Administration for Children and Families

[Program Announcement No. ACYF-HS-93600-97-03]

Early Head Start Program Grant Availability

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

HHS.

ACTION: Announcement of financial assistance to be competitively

awarded to public and non-profit private entities--including Head Start

grantees, Parent and Child Centers and Comprehensive Child Development

Programs--to provide child and family development services for low-

income families with children under age three and pregnant women.

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

SUMMARY: Section 645A of the Head Start Act, as amended, 42 U.S.C. 9801

et seq., requires that, beginning in fiscal year 1995, the Secretary of

Health and Human Services award grants competitively to agencies and

organizations to implement programs which we call ``Early Head Start.''

These programs provide early, continuous, intensive, and comprehensive

child development and family support services on a year-round basis to

low-income families with children under age three and pregnant women.

The purpose of the program is to enhance children's physical, social,

emotional, and intellectual development; to support parents' efforts to

fulfill their parental roles; and to help parents move toward self-

sufficiency. Thus, the goals for Early Head Start are to:

Promote the physical, cognitive, social and emotional

growth of infants and toddlers and prepare them for future growth and

development;

Support parents--mothers, fathers, and guardians--in their

role as the primary caregivers and educators of their children, and in

meeting family goals and achieving self-sufficiency across a wide

variety of domains;

Strengthen community supports for families with young

children; and

Develop highly-trained, caring and adequately compensated

program staff, because the quality of staff and their relationships

with children and parents are critical to achieving all the other

goals.

DATES: The CLOSING TIME AND DATE FOR RECEIPT of applications is 4:30 pm

(Eastern Time Zone), June 16, 1997. Applications received after 4:30 pm

will not be accepted.

Applications transmitted to ACF in any electronic form will not be

accepted regardless of date of time of submission and time of receipt.

All applications must be in hard copy form to be considered acceptable.

ADDRESSES: Applications may be mailed to:

Early Head Start Program Category ____________, ACYF Operations

Center, 3030 Clarendon Blvd., Suite 240, Arlington, Virginia 22201.

Hand Delivered, Courier or Overnight delivery applications are

received during the normal working hours of 8:00 a.m. to 4:30 p.m.,

Monday through Friday, on or prior to the established closing date at

the above address.

If you plan to submit an application, we ask that you send a

postcard or call in the following information: the name, address, and

telephone number of the contact person; the name of the organization;

and the category of funding for which you may submit an application,

within two weeks of receipt of this announcement to: Early Head Start,

Administration on Children, Youth and Families Operations Center, 3030

Clarendon Boulevard, Suite 240, Arlington, VA 22201. The telephone

number is 1-800-351-2293. This information will be used to determine

the number of expert reviewers needed and to update the mailing list of

persons to whom the program announcement is sent.

FOR FURTHER INFORMATION CONTACT: For questions related to the Program

Announcement, please contact the Administration on Children, Youth and

Families Operations Center, Technical Assistance Team at 1-800-351-

2293. Staff at this Center will answer questions regarding the

application requirements or refer you to the appropriate contact person

in ACYF for programmatic questions. You may also locate frequently

asked questions about this program announcement on the ACYF website at

http://www.acf.dhhs.gov.

For a copy of the application kit, or for another copy of the

program announcement, please call or fax your request to the ACYF

Operations Center at 1-800-351-2293 (phone) or 1-800-351-4490 (fax).

SUPPLEMENTARY INFORMATION:

Part I. General Information

A. Introduction

This program announcement is divided into five sections:

Part I contains general information and an introductory

section which contains the history and background of the Early Head

Start program and the principles and program description that will

guide the development, implementation and operation of the program.

Part II contains key program information such as a

description of competitive categories, eligible applicants, project

periods, applicable Head Start regulations, and Early Head Start as a

learning community.

Part III presents requirements for information that must

be included in each application.

Part IV presents the criteria upon which applications will

be reviewed and evaluated.

Part V contains instructions for preparing the fiscal year

1997 application. This section notes that the Commissioner of the

Administration on Children, Youth and Families, depending on the

availability of funds and an adequate number of acceptable

applications, may choose to fund a fiscal year 1998 cohort of programs

out of the pool of applications submitted as a response to this program

announcement.

Appendix A--ACF Uniform Discretionary Grant Application Form--This

material includes the relevant forms, certifications, disclosures and

assurances necessary for completing and submitting the application.

Appendix B lists the Single Points of Contact for each State and

Territory.

Appendix C is The Statement of the Advisory Committee on Services

for Families with Infants and Toddlers.

Appendix D--Category One--New Early Head Start Awards provides a

list of the geographic areas not open for competition under Category

One.

Appendix E--Category Two--New Awards to Communities Served by

Parent and Child Centers provides a list of geographic areas open to

competition under Category Two.

An application kit containing the ACF Uniform Discretionary Grant

Application Form, applicable Head Start Regulations, State Contact

lists (e.g., Part H Lead Agency Coordinators) and other useful

information should be obtained by applicants. (See address listed

earlier in this announcement under ``For Further Information.'')

B. Program Purpose

With the reauthorization of the Head Start Act in 1994, Congress

established a new program for low-income families with infants and

toddlers and pregnant women which is called Early Head Start. Beginning

in fiscal year 1995, 68 grants were awarded and, in fiscal year 1996,

an additional 75 grants were selected from among competing

[[Page 18967]]

agencies and organizations to implement Early Head Start programs which

provide early, continuous, intensive, and comprehensive child

development and family support services.

In creating this program, the Congress acted upon evidence from

research and practice which illustrates that early intervention through

high quality programs enhances children's physical, social, emotional,

and cognitive development; enables parents to be better caregivers and

teachers to their children; and helps parents meet their own goals,

including economic independence. Such programs answer an undeniable

need. As pointed out in ``The Report of the Carnegie Task Force on

Meeting The Needs of Young Children,'' many of the 12 million children

under three and their families in the United States today face a

``quiet crisis.'' The numerous indicators of this crisis include: one

in four infants and toddlers live in families with incomes below the

poverty line; nine out of every thousand infants die before the age of

one; and, more than five million children under three receive child

care from other adults while their parents work, much of that care

being of poor quality.

The Early Head Start program provides resources to community

programs to address such needs and to achieve the purposes set forth by

Congress. The local programs funded through Early Head Start operate as

a national laboratory to demonstrate the impact that can be gained when

early, continuous, intensive and comprehensive services are provided to

pregnant women and very young children and their families.

Programs participating in this demonstration effort will:

Ensure quality by meeting the requirements in the Head

Start Program Performance Standards and other applicable regulations;

Provide early, individualized child development and parent

education services to low-income infants and toddlers and their

families according to a plan developed jointly by the parents and

staff;

Provide these services through an appropriate mix of home

visits, experiences at the Early Head Start center, and experiences in

other settings such as family-or center-based child care;

Provide early opportunities for infants and toddlers with

and without disabilities to grow and develop together in nurturing and

inclusive settings;

Ensure that the Early Head Start program is supportive and

nurturing of families;

Respond to the needs of families, including the need for

full-time child care for working families;

Connect with other service providers at the local level to

ensure that a comprehensive array of health, nutrition, and other

services is provided to the program's pregnant women, very young

children, and their families;

Recruit, train, and supervise high quality staff to ensure

the kind of warm and continuous relationships between caregivers and

children that are crucial to learning and development for infants and

toddlers;

Ensure parent involvement in policy and decision making;

and

Coordinate with local Head Start and other child

development programs in order to ensure continuity of services for

these children and families.

C. History and Background

1. Legislation

In May 1994, the President signed into law the bipartisan Head

Start Reauthorization Act of 1994. This reauthorization established

within the Head Start Bureau a new program for low-income pregnant

women and families with infants and toddlers. The reauthorization sets

aside funds from the total Head Start budget for the subsequent four

years at a rate of three percent in FY 1995; four percent in FY 1996

and 1997; and five percent in FY 1998. Consolidated into the new

initiative were the Parent and Child Centers Program and the

Comprehensive Child Development Program.

This section of the legislation had a number of sources, including

the recommendations of the Advisory Committee on Head Start Quality and

Expansion, as well as recent lessons from research and practice.

2. The Advisory Committee on Head Start Quality and Expansion

In June 1993, the Secretary of the Department of Health and Human

Services formed an Advisory Committee to look at Head Start quality and

expansion. The recommendations of that Committee centered around:

Striving for excellence in staffing, management,

oversight, facilities, and research;

Expanding to better meet the needs of children and

families; and

Forging new partnerships with communities, schools, the

private sector, and other national initiatives.

Included in the report was a recommendation that the Department

develop a new initiative for expanded Head Start supports to families

with infants and toddlers, as well as convene a high-level committee

charged with developing guidelines for this new effort. This

recommendation was fueled by relevant research findings and recognition

in the field that much more could be accomplished with earlier, more

sustained support for very young children and their families.

3. Relevant Research

Findings from more than three decades of research in child and

family development illustrate that the time from conception to age

three is critical for human development. The basic cognitive, social,

and emotional foundation is established in these early years. The

research also indicates that, to develop optimally, infants and

toddlers must have healthy beginnings and the continuity of responsive

and caring relationships. Together, these supports help promote optimal

cognitive, social, emotional, physical, and language development. When

these supports are missing, the immediate and future development of the

child may be compromised. Recent research identifies the

characteristics of effective programs that enhance both child and

family development. This growing body of knowledge provides a

foundation upon which the Early Head Start program is based.

A more detailed discussion about the research in maternal and

infant health, child-caregiver relationships, and the characteristics

of successful programs can be found in the Statement of the Advisory

Committee on Services for Families with Infants and Toddlers, which is

included as Appendix C.

In FY 1995 a contract was awarded to Mathematica Policy Research,

Inc. to conduct a cross-site evaluation of Early Head Start. In FY

1996, 16 university partners of the initial 68 Early Head Start

grantees were selected to conduct site-specific research. Thus, those

16 sites became the participants in the national cross-site evaluation

conducted by Mathematica. Results are not yet available. Because the

evaluation of Early Head Start is already underway, the FY 1997-1998

Cohort of Early Head Start grantees will not participate in the cross-

site evaluation.

4. Precursor Program Experiences

In enacting Early Head Start, Congress was building on lessons

learned through Federal, State, and community programs that serve some

of our country's very young children and their families.

Most notable among the early Federal efforts include the following:

[[Page 18968]]

The Maternal and Child Health Services Block Grant has its

roots in Title V of the Social Security Act, which was enacted in 1935.

It is administered by the Maternal and Child Health Bureau (MCHB) of

the Health Resources and Services Administration in HHS which provides

leadership for building the infrastructure for health care services

delivery to all mothers and children in the U.S., with particular

responsibility for serving those low-income or isolated populations who

would otherwise have limited access to care.

The Parent and Child Centers Program (PCC) was established

in 1967 to provide an array of services for pregnant women, infants/

toddlers, parents, and families as a whole. Services include health,

education, personal and interpersonal development, and family

assistance. There are currently 58 PCCs across the country. Thirty-four

others have been competitively selected and converted into Early Head

Start programs.

The Migrant Head Start program was established in 1969 to

meet the needs of mobile farmworker children and their families. The

program provides age-appropriate infant, toddler and preschool

programming, full-day services (8 to 12 hours per day), and full week

services (five to seven days per week) based on the needs of working

families. These services are offered in center-based and family child

care settings during peak agricultural seasons. There are currently 25

Migrant Head Start grantees and 42 delegate agencies operating in 39

States. Infants and toddlers comprise over 40 percent of the children

served annually.

The Child and Family Resource Program (CFRP) operated as a

demonstration from 1973 to 1983. Ten CFRP programs linked community

resources in efforts to enhance families' abilities to provide safe,

stable, nurturing environments for their children.

Part H of the Individuals with Disabilities Education Act

was initiated in 1986 as an early intervention program for children

birth to age three who have or are at risk for developmental

disability. Part H supports comprehensive, statewide programs which

identify and coordinate needed services within the context of a family-

centered services delivery model.

The Comprehensive Child Development Program (CCDP) was

enacted in 1988 to provide and coordinate a wide range of services to

children and families including child development, health care,

education, economic self-sufficiency, mental health, substance abuse

treatment and prevention and other services to strengthen the home and

family. There are currently 19 CCDPs in communities throughout the

country. Eighteen others have been competitively selected to become

Early Head Start programs.

The Even Start Literacy Program, administered by the

Department of Education, integrates early childhood education and adult

education for parents into a unified program.

The Healthy Start Initiative, administered by the Maternal

and Child Health Bureau in HHS, started in 1991 as a demonstration

program to combat infant mortality through community coalitions.

In addition to these Federal efforts, many States and foundations

are focusing on the special needs of very young children and their

families. Carnegie and Ford are among the foundations addressing the

needs of pregnant women and families with infants and toddlers.

D. Consultation

In the statute establishing the new program called Early Head

Start, Congress called on the Secretary to develop program guidelines

in consultation with experts in early childhood development, health,

and family services; and take into consideration the knowledge and

experience gained from other early childhood programs that serve large

numbers of infants and toddlers including the Comprehensive Child

Development Program, Head Start Parent and Child Centers and the

Migrant Head Start program. As a result, the Secretary formed the

Advisory Committee on Services for Families with Infants and Toddlers.

The Committee was charged with advising the Department on the

development of program approaches for the Early Head Start initiative.

In September 1994, the Advisory Committee unanimously agreed to a

statement that sets forth the vision, goals, principles, and program

cornerstones for Early Head Start (the Statement, which includes the

Advisory Committee membership list, is included as Appendix C).

In addition, Federal staff conducted approximately 30 focus groups

during the summer of 1994 to hear from parents, practitioners,

researchers, advocates, and representatives of professional

organizations. Federal staff also met with or received materials and

recommendations from a number of other parents, practitioners, and

researchers. The suggestions, guidance, and information received

through this consultation process helped shape the development of the

original fiscal year 1995 program announcement as well as this

announcement.

The results of this consultation contributed significantly to the

recently revised Head Start Program Performance Standards (45 CFR Part

1304), which address services to infants, toddlers, and pregnant women

as well as to preschool children and their families.

E. Principles Recommended by the Field

The Advisory Committee on Services for Families with Infants and

Toddlers identified nine principles that are characteristic of

successful programs for families with very young children. These

principles are consistent with the themes that emerged from the broader

consultation conducted by the Department. Therefore, applicants are

expected to take into consideration these principles in designing their

programs.

1. High Quality: Programs will ensure high quality in both the

services provided to children and families directly, and the services

provided through referrals. Programs will recognize that the

conception-to-three age period is unique both in the rate of

development and in the way young children's physical and mental growth

reflects and absorbs experiences with caregivers and the surroundings.

Because of this, the experiences and environments provided need to be

of highest quality to promote child development.

2. Prevention and Promotion: Recognizing that windows of

opportunity open and close quickly for very young children and their

families, programs will seek out opportunities to promote the physical,

social, emotional, cognitive and language development of young children

and families before conception, prenatally, upon birth, and during the

early years. Program staff will seek to prevent and detect problems at

their earliest stages, rallying the services needed to help the child

and family anticipate and overcome problems before they interfere with

healthy development.

3. Positive Relationships and Continuity: Programs will support and

enhance strong, caring, continuous relationships among the child,

parents, family, and caregiving staff. Programs will support the

mother-child, father-child bond by recognizing each parent as his or

her child's first and primary source of love, nurturance and guidance.

Programs will ensure that relationships between caregiving staff and

young children support infant and toddler attachment to a limited

number of skilled and caring individuals, thus

[[Page 18969]]

maintaining relationships with caregivers over time and avoiding the

trauma of loss experienced with frequent turnover of key people in the

child's life.

4. Parent Involvement: Programs will ensure the highest level of

partnership with parents, both mothers and fathers. Programs will

support parents as primary nurturers, educators, and advocates for

their children; assure that each parent has opportunities for

experiences that support his or her own growth and goals, including

that of parenting; encourage independence and self-sufficiency for

parents; and provide a policy-making and decision-making role in the

program for parents.

5. Inclusion: Programs will develop services and create an

environment which builds upon and responds to the unique strengths and

needs of each child and family. Further, programs will support

participation in community life by young children with disabilities and

their families; and families of very young children with significant

disabilities will be fully included in all program services.

6. Culture: Programs will demonstrate an understanding of, respect

for, and responsiveness to the home culture of children and families as

culture is the context for healthy identity development in the first

years of life.

7. Comprehensiveness, Flexibility, Responsiveness, and Intensity:

Programs will respond in flexible ways to the unique strengths,

abilities, and needs of the children, families and communities they

serve. Developmental opportunities provided to each infant and toddler

will address the whole child and be continually adapted to keep pace

with his or her developmental growth. Programs also need to be

responsive to the distinct needs and experiences of parents whose

children are disabled and those parents who have disabilities.

8. Transition: Programs will be responsible for ensuring the smooth

transition of children and their families into Head Start or other

preschool or child development programs which are of high quality and

provide consistent and responsive caregiving.

9. Collaboration: Recognizing that no one program will be able to

meet all of a child's and family's needs, programs will build strong

connections to other service providers and to community sources of

support for families. These efforts will foster a caring, comprehensive

and integrated community-wide response to families with young children,

maximize scarce financial resources, and avoid duplication of agency

effort.

These principles are explained in more detail in the Statement of

the Advisory Committee on Services for Families with Infants and

Toddlers, which is attached as Appendix C.

F. Program Description

In addition to the principles outlined above, a description of the

Early Head Start program also emerged during consultation with the

field. The Advisory Committee members conceptualized the program as

having four cornerstones: child development; family development;

community building; and staff development.

1. Child Development

To develop fully, children need individualized support that honors

the unique characteristics and pace of their physical, social,

emotional, cognitive and language development. Critical to this

development are the promotion of child health; positive relationships

between the child and parents and other significant caregivers;

opportunities for children's active involvement in appropriately

stimulating environments; and enhancement of each parent's knowledge

about the development of their child within healthy, safe environments.

The services that programs must provide to support the child

development cornerstone include:

High quality early education services provided both in and

out of the home in a range of developmentally appropriate settings for

infants and toddlers;

Home visits (especially for families with newborns and

other infants, as needed);

Parent education, including parent-child activities;

Comprehensive health and mental health services for

children; and

Part-and full-day child care services, as needed by

children and families.

In addition, Early Head Start programs will be responsible for

helping the family identify and access the services of a consistent

health professional who can provide ongoing care for the family, child

and pregnant woman. Further, Early Head Start programs will be

responsible for coordinating with programs providing services in

accordance with Part H of the Individuals with Disabilities Education

Act so that children and families served by these two programs can

experience a seamless system of services.

2. Family Development

Healthy child development depends on the ability of parents and

families to support and nurture children while, at the same time,

meeting other critical social and economic needs. Therefore, programs

must work to help parents set and achieve goals for themselves and

their children through individualized family development plans, which

are collaboratively designed and updated by families and staff, and are

responsive to the goals and ideals of the families. When families are

served by additional programs which also require an individualized

family development or service plan, such as a family employability plan

or a plan under Part H of the Individuals with Disabilities Education

Act, then a single coordinated plan should be developed so families

experience a seamless system of services.

The types of services that programs must provide directly or

through referrals include:

Ongoing support to parents through case management, peer

support groups, or other approaches;

Child development information and services;

Health services, including services for women prior to,

during, and after pregnancy;

Mental health services;

Services to improve health behavior such as smoking

cessation and substance abuse treatment;

Services to adults to support progress towards economic

independence, such as adult education and basic literacy skills, job

training, job placement services, assistance in obtaining income

support, child support or related assistance, food, and decent, safe

housing, and emergency cash or in-kind assistance; and

Transportation to program services.

Programs also must directly provide opportunities for parent

involvement in the program so that parents can be involved as decision-

makers, volunteers, and/or employees. Additional services not listed

above, but identified by families through community assessments and

mappings, may be provided either directly or through referral at local

option.

3. Community Building

Children develop within the context of the family and the family

develops within the context of the community. Therefore, to support

children's development, Early Head Start programs must establish

collaborative relationships with other community providers to create an

environment that shares responsibility for the healthy development of

its children and their families.

[[Page 18970]]

The goal of these community relationships is three-fold: increasing

access to high quality services for program families; assuring that the

program's approach to serving pregnant women and families with infants

and toddlers fits into the existing constellation of services in the

community so that there is a coherent, integrated approach to

supporting families with very young children; and encouraging systemic

improvements in service delivery for all the families in a community.

All programs will be required to conduct an in-depth assessment of

existing community resources and needs and engage in an ongoing

collaborative planning process with a range of stakeholders, including

parents and residents of the community. If the community recently

conducted such an assessment, the program would be able to use the

results from that study and then proceed with the collaborative

planning process.

4. Staff Development

Programs are only as good as the individuals who staff them. Thus,

staff development is a key element of Early Head Start programs.

To ensure the recruitment and development of high quality staff,

all programs will be required to:

Select staff who, together, cover the spectrum of skills,

knowledge and professional competencies necessary to provide high

quality, comprehensive, inclusive, culturally appropriate, and family-

centered services to young children and their families;

Select staff who are capable of entering into one-to-one

caregiving relationships with infants and toddlers, and caring,

respectful and empowering relationships with families and other

coworkers;

Select program directors who possess the above

characteristics and are highly skilled administrators who exemplify

leadership qualities such as integrity, warmth, intuition and holistic

thinking;

Provide ongoing staff training, supervision and mentoring

for both line staff and supervisors that reflects an interdisciplinary

approach and an emphasis on relationship building and employs

techniques and opportunities for practice, feedback and reflection;

Provide training so that staff are ``cross-trained'' in

the areas of child development, family development and community

building in addition to the areas of home visiting, caregiving

relationships, effective communication with parents, family literacy,

healthy/safe environments and caregiving practices, early

identification of unhealthy behaviors or health problems, service

coordination, and the provision of services and support to diverse

populations, including families and children with disabilities and

developmental delays; and

Recognize that high quality performance and development

occur when they are linked to rewards such as salary, compensation, and

career advancement.

These cornerstones are explained in more detail in the Statement of

the Advisory Committee on Services for Families with Infants and

Toddlers, which is attached as Appendix C. Applicants are expected to

take into consideration these four cornerstones, the Head Start Program

Performance Standards and other applicable regulations when designing

their programs.

Part II. Program Information and Requirements

A. Statutory Authority

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

B. Grant Competition

The funds available for Early Head Start grants in fiscal years

1997-1998 will be awarded through competitions in two categories:

1. Category One--New Awards to Unserved Areas

Grants will be competitively awarded to eligible applicants to

operate Early Head Start programs in geographic areas not currently

served by Head Start Parent and Child Centers (PCC) and existing Early

Head Start (EHS) programs. See Appendix D for a list of the geographic

areas not open to competition under Category One. Applicants in

Category One will compete on a national basis with all other

organizations that apply to serve currently unserved areas.

In awarding grants in this category, ACYF shall ensure an equitable

geographic distribution of the grants. ACYF will consider the benefit

to communities of funding new providers.

2. Category Two--New Awards to Communities Served by PCCs

Grants will be competitively awarded to operate Early Head Start

programs in geographic areas currently served by existing Head Start

Parent and Child Centers (PCCs). See Appendix E for a list of the

geographic areas. In awarding grants in this category, ACYF is

interested in assuring that communities currently served by PCCs will

have an opportunity to continue receiving services to low-income

families with infants and toddlers through Early Head Start programs

after the authority for funding the PCCs expires in FY 1997.

Applicants in each geographic area will compete for funds against

other applicants wishing to serve the same geographic area. There are

58 such competitive areas (see Appendix E).

C. Eligible Applicants

Applicants eligible to apply to become an Early Head Start program

are public agencies and private non-profit agencies. Eligible

applicants include agencies that operate Comprehensive Child

Development Programs (CCDPs). Before applications are reviewed, each

application will be screened to determine whether the applicant

organization is eligible as specified under this section. Applications

from organizations which do not meet eligibility requirements will not

be considered or reviewed in this competition and the applicant will be

so informed. In addition, inadequate preparation or omission of

essential components of the application or failure to comply with

format specifications as described in Parts III and IV will result in

applications being withdrawn from further consideration.

On all applications developed jointly by more than one

organization, the application must identify only one organization as

the lead organization and official applicant. The lead organization

must meet the criteria of an ``Eligible Applicant.'' The other

participating agencies and organizations can be included as co-

participants such as contractors or delegate agencies. Only

organizations, not individuals, are eligible to apply under this

announcement.

D. Eligible Participants

Persons who may participate in the Early Head Start program include

pregnant women and families with children under age three who have

incomes at or below the poverty line. Head Start regulations permit,

however, up to 10 percent of children in local programs to be from

families which do not meet these low-income criteria. Head Start

regulations also require that a minimum of 10 percent of enrollment

opportunities in each program be made available to children with

disabilities. Such children are expected to be enrolled in the full

range of services and activities in inclusive settings with their non-

disabled peers and to receive individualized services as needed. The

report from Congress discussing the creation of this program encouraged

that participants in programs funded

[[Page 18971]]

through this initiative be identified while pregnant or while their

children are infants.

E. Target Populations

Target populations are those that are specified in Part II, Section

D. Within these categories, applicants may choose to focus on special

populations, such as teen parents, or to design a program linked to

welfare reform initiatives if they wish.

F. Project Period, Funding and Project Sizes

We estimate that a total of approximately $25,800,000 in ACYF funds

will be available for funding new Early Head Start programs in fiscal

year l997.

A considerable amount of additional funds may be available in FY

1998 because the Head Start Act increases funding for Early Head Start

projects from four percent of total Head Start funding in FY 1997 to

five percent in FY 1998. If the Administration's FY 1998 budget

requests were appropriated, a total of approximately $89,000,000 in

funds for Early Head Start would be available. As previously noted, the

selecting official may decide to select some or all of the awardees of

FY 1998 funds from among the applicants to this announcement. The

amount that will be awarded will be dependent on the amount of funds

available and the nature and quality of applications received.

Applicants are encouraged to apply for projects that will serve

between 32 and 120 infants, toddlers and pregnant women. It is felt

that projects serving fewer than 32 children and pregnant women would

have difficulty providing high quality services while being cost

effective. The recommended upper limit is intended to ensure that

projects are of a manageable size and will also allow funds to be

distributed among more communities. Applicants may propose projects

outside of these recommended sizes, but must justify doing so. Examples

of such justifications might be a project to serve an isolated or

sparsely populated community with a small number of eligible families.

Conversely, a project from a high population area that can demonstrate

that it has the capacity to serve a larger number of children and

pregnant women would be considered.

There are no pre-determined cost per child amounts for which

applicants must apply. It is expected that there may be considerable

variation in amounts applicants receive depending on a number of

factors, including the way in which the program is structured, the size

of the program, the costs of operating in different communities and the

amount of support that is provided from non-federal sources or through

partnerships with other community agencies and funding sources, such as

child care providers.

Each applicant is encouraged to request an amount of funds that

would allow it to carry out an effective, high quality program that is

cost-effective and meets the needs of its community.

Awards, on a competitive basis, will be for a one-year budget

period, although project periods will be for five-years. Applications

for continuation grants funded under these awards beyond the first one-

year budget period, but within the five-year project period, will be

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

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

determination that continued funding would be in the best interest of

the Government. Continuation funds will be available to serve eligible

infants, toddlers and pregnant women who were initially enrolled and

those eligible children and pregnant women who replace starting

infants, toddlers and pregnant women who left the program during any

single year.

Allowable costs for developing and administering an Early Head

Start program may not exceed 15 percent of the total approved costs of

the program. Costs classified as development and administrative costs

are those costs related to the overall management of the program.

Additional information pertaining to limitations of costs on

development and administration of Early Head Start programs can be

found in Head Start regulation 45 CFR 1301.32, Limitations on Costs of

Development and Administration of a Head Start Program, which is

available in the application kit.

All programs will be reviewed at the end of the first year of

operation to determine their suitability for receiving continued

funding. Programs will be expected to submit an ongoing operational

plan and revised budget. Federal staff also may ask for additional

material as part of the review.

Given the importance of planning, selecting high quality staff and

setting in place training mechanisms, and coordinating with other

programs within the community, we expect that programs will spend some

portion of their first year focusing on start-up activities.

Programs are required to begin serving children, families and

pregnant women within the first year. Programs must be fully

operational no later than one year from the date of their grant award.

Because the first year is unlikely to include 12 months of full

operation, it is assumed that first year budgets will be lower than

budgets for future years. Applicants are expected to submit a first

year budget which will include a start-up budget and a prorated

operational budget as well as an on-going annualized budget.

G. Required Match

Grantees that operate Early Head Start programs must provide at

least 20 percent of the total approved costs of the project. The total

approved cost of the project is the sum of the ACF share and the non-

Federal share. The non-Federal share may be met by cash or in-kind

contributions, fairly evaluated, including facilities, equipment or

volunteer services. Therefore, a project requesting $100,000 in Federal

funds (based on an award of $125,000 per budget period), must include a

match of at least $25,000 (20 percent of the total project costs).

Applicants are encouraged to provide more than the minimum 20 percent

non-Federal share. In certain instances, the requirement for a 20

percent non-federal match may be waived in part or in whole, if the

circumstances described in Section 640(b) of the Head Start Act exist.

H. Applicable Head Start Standards

Agencies that receive funding under this announcement must adhere

to the standards set forth in certain regulations that govern Head

Start programs in addition to Department of Health and Human Services'

regulations that govern discretionary grants generally. The relevant

Head Start regulations are: Head Start Grants Administration, 45 CFR

Part 1301; Program Performance Standards for Operation of Head Start

Programs by Grantee and Delegate Agencies, 45 CFR Part 1304; and

Eligibility, Recruitment, Selection, Enrollment and Attendance in Head

Start, 45 CFR Part 1305; and Head Start Program Performance Standards

on Services for Children with Disabilities, 45 CFR Part 1308.

On November 5, 1996, the final version of the revised Head Start

Program Performance Standards (45 CFR Part 1304) was published in the

Federal Register [61 FR 57186]. In addition to revising the standards

for Head Start services to preschool children and their families, these

regulations provide, for the first time, performance standards for

Early Head Start programs serving pregnant women and families with

infants and toddlers. The effective date for these regulations is

January 1, 1998. At that time, all Head

[[Page 18972]]

Start and Early Head Start programs will be expected to comply with the

revised Performance Standards. Applications for Early Head Start grants

must provide evidence of the applicant's knowledge of and capacity to

meet the relevant Head Start regulations, including the requirements of

the revised Performance Standards.

The Head Start Program Performance Standards prescribe the program

requirements that grantees must meet as they administer Early Head

Start programs. The four cornerstones and nine principles identify the

factors that must be considered in designing an Early Head Start

program. The cornerstones and principles are embedded in the Head Start

Program Performance Standards which are critical in the implementation

of an Early Head Start program.

I. Early Head Start as a Learning Community

1. Overview

On both the local and national level, Early Head Start is

envisioned as a learning community for how quality services should be

delivered to low-income pregnant women and families with infants and

toddlers. Thus, continuous improvement, evaluation, research and

dissemination activities play a critical role in this initiative. These

activities include, but are not limited to:

Continuous review and measurement of program processes to

determine progress toward stated objectives and for the purpose of

program improvement;

Studies of program processes including services offered to

and received by families and descriptions of how the services are

delivered;

Qualitative studies of individual families and programs;

Studies of child, family, program and community variables

that contribute to program outcomes;

Studies of program quality and the relationship of quality

to program outcomes;

Studies of program variations and their relationship to

impacts;

National impact studies, conducted by a national

contractor;

Establishment of longitudinal research in a sample of

Early Head Start national impact study sites; and

Documentation of the program models and development of

materials for dissemination purposes.

2. Requirement on the Use of an Automated Information System

All Early Head Start programs will be required to use an automated

information system to collect program information on infants, toddlers

and pregnant women, services, collaborative arrangements, staff,

training, services utilization and costs. The Head Start Family

Information System (HSFIS) is currently being modified to accommodate

the needs of Early Head Start. The HSFIS software and User's Manual

will be made available to Early Head Start grantees at the time of

grant award. Grantees will be responsible for coordinating the

collection of data for and management of HSFIS.

3. Continuous Improvement Requirements

In order to enter fully into the learning community environment on

both the national and local level, all Early Head Start programs will

be required to:

Conduct a local assessment of progress toward stated

objectives and program improvement using the automated information

system and other sources of data which measure progress toward stated

objectives and contribute to a process of continuous improvement within

the program and sponsoring agency; and

Provide information from the Early Head Start automated

information system as approved by OMB.

Part III. Application Requirements

Applicants must address the following requirements in their

applications for financial assistance. For the convenience of

applicants, these requirements have been organized according to the

evaluation criteria presented in Part IV.

A. Objectives and Need for Assistance

1. State the objectives for the program and indicate how these

objectives relate to the Head Start Program Performance Standards (see

Section II. H of this Announcement) and demonstrate that there is a

need for the program that relates to these standards and is based on an

assessment of need in the community. Describe the method used to

undertake the community assessment and consumer consultation process

that led the applicant to conclude that there is a need for the

proposed program. An applicant need not conduct an independent

assessment of the community if such an assessment already exists. In

this case, the applicant should describe the method used in the

recently conducted assessment and explain any additional consultation

with consumers as it relates to the development of the proposed

program. Provide letters of support for your program from community

leaders and residents.

2. Identify the population to be served by the project and explain

why this population is most in need of the program. Identify the target

enrollment size (the estimated number of infants, toddlers and pregnant

women) and provide assurances that the population the program intends

to recruit and enroll will meet Early Head Start eligibility criteria.

3. Identify the geographic location to be served by the program.

Describe the key characteristics of the targeted area and explain what

makes the area an identifiable community or neighborhood. Describe what

services and resources are/are not currently available in the area to

serve pregnant women, infants and toddlers. Provide demographic and

other information on the target area which demonstrates that there are

a sufficient number of eligible, unserved infants, toddlers and

pregnant women in the area to justify the target enrollment size. For

Category One funds only, demonstrate that the geographic area is

currently unserved by an Early Head Start program or a Head Start

Parent and Child Center. For Category Two, demonstrate that the

geographic area is in the same area as that served by the current

Parent and Child Center or explain why the boundaries of the service

area are proposed to be changed (e.g. as a result of the needs

assessment).

B. Results or Benefits

1. Identify the specific results or benefits that could be expected

for children, families and pregnant women participating in the program.

Identify the specific community-wide results or benefits. Identify the

specific results or benefits that could be expected for the staff

working in a collaborative partnership with other child development

caregivers and family development staff working in a variety of

relevant community agencies.

2. Identify the kinds of qualitative and quantitative data the

program will collect to measure progress towards the stated results or

benefits. State how you will determine the extent to which the program

has achieved its stated objectives.

3. Provide assurances that the program will collect data on groups

of individuals and geographic areas served, types of services provided,

service utilization information, types and nature of needs identified

and met, and such other information as may be required periodically by

the ACF.

[[Page 18973]]

C. Approach

In designing the approach, applicants are reminded that, as of

January 1, 1998, all Early Head Start (EHS) programs must meet the

requirements of the revised Head Start Program Performance Standards,

45 CFR Part 1304. Therefore, all elements of the EHS program should be

consistent with these standards.

1. All applicants must describe the planning the program will

conduct during the start-up period to prepare for implementation of the

program and explain how consumers and other stakeholders in the

community will be involved in the planning.

2. Explain the approach to be used to recruit and enroll the number

and type of infants, toddlers and pregnant women from the target

recruitment area, as discussed in Part III, Section A. Discuss any

special efforts you will make to recruit and enroll low-income pregnant

women and children under age one.

3. Describe how the program will ensure that at least 10 percent of

enrollment opportunities will be made available to children with

disabilities (as defined by the IDEA Part H Lead Agency for the State).

Describe the policies and practices the program will have in place to

assure that a child will not be denied enrollment or participation in

the program on the basis of a disability or the severity of such a

condition. Describe how the program will work with the Part H local

lead agency or, if available, the local Interagency Coordinating

Council, to recruit and enroll children with disabilities (and their

families) who have been previously identified by the Part H agency, and

to collaborate with the Part H agency to arrange and provide for

special services needed by these children and their families. Describe

how staff will coordinate their efforts with others to ensure children

with disabilities and their families receive high quality services.

4. Describe the approach to providing child development services

and explain the rationale for choosing the approach. Identify and

describe the specific approaches that will be used for assuring the

intellectual, social, emotional and physical development of the infants

and toddlers served. Describe the philosophy, curricula, staffing

patterns, staff qualifications, types and quality of settings and any

other relevant information that will comprise the program's model for

supporting the growth and development of very young children. Clearly

explain how your model will meet the developmental needs of very young

children (including children from non-English speaking families).

5. Explain how the program's child development approach will

promote parent/guardian-child interaction and support the mother-child

and/or father-child bond. Also explain how caregiving will be provided

in ways that support infant and toddler attachment to a limited number

of skilled and caring individuals.

6. Describe how high quality infant and toddler full-and part-day

child care will be provided to children of parents who are working or

in training or to children who require out-of-home care due to special

parental circumstances such as substance abuse treatment. Discuss the

relationship between these resources and the program's overall child

development approach. Describe the process the program will use to

determine that child care (provided either directly or through

referral) will be of high quality. Include the location and description

of the proposed child care facilities and describe any improvements and

the costs associated with them which may be required to comply with the

Head Start Performance Standards. Indicate if the facility is

immediately available or indicate the estimated date for occupancy. In

addition, describe the program's approach to building capacity in

communities where high quality infant/toddler child care is lacking.

7. Describe the efforts the program will make to help assure

continuation of developmentally-appropriate services for children, once

the children reach the age of three.

8. Describe the specific approaches for providing, either directly

or through referrals, ongoing well-baby and well-child health services

such as early and periodic screenings, diagnosis, treatment,

immunizations, nutritional assessments, developmental surveillance and

anticipatory guidance. In addition, describe the approach for ensuring

that children are cared for in safe and hygienic environments.

9. Describe the approach for supporting family growth and

development and explain the rationale for choosing the approach.

Explain the framework of and procedures for developing each family's

individualized plan. Explain how you intend to work with other service

delivery systems which require a similar plan, such as the Part H

Individualized Family Service Plan (IFSP), to ensure that the family

only needs to complete one plan and that one plan can be used by all

relevant programs to ensure a seamless service delivery system for the

child and family. Describe how your family development approach will

assist families and individual family members in identifying, pursuing

and achieving goals and overcoming obstacles on the way to achieving

those goals.

10. Describe how the program will develop relationships with

parents which promote their involvement with the program. Describe the

strategy and the opportunities for parent involvement, providing

assurances that it meets or exceeds the parent involvement standards

described in 45 CFR Part 1304, the Head Start Program Performance

Standards. Explain what special efforts the program will make to reach

out to and to involve fathers.

11. Describe what services the program will provide, either

directly or through referrals, to promote adult and family health and

wellness. Identify and explain the mental and physical health services

which will be made available and accessible to the families of the

infants and toddlers served by the program. Describe what the program

will do to promote women's health and wellness prior to, during and

after pregnancy. In addition, describe what the program will do to

facilitate access to substance abuse prevention and treatment services

and smoking cessation programs for affected families.

12. Describe what services the program will provide, either

directly or through referrals, to promote progress toward economic

self-sufficiency for parents. Describe the program's approach to basic

literacy training, adult basic eduction, employability skills training,

job development and placement services and any other employment and

training services that are planned.

13. Describe what assistance the program will provide, either

directly or through referrals, to families in obtaining needed income

support, child support and related assistance.

14. Identify the existing transportation resources available to

families in reaching services provided at the program site and in off-

site locations. Describe any transportation arrangements the program

will make to ensure that children and pregnant women are able to access

needed services.

15. Describe the program's approach to community building and

explain the rationale for choosing the approach. Describe how the

program will be coordinated with other programs and services in the

community which serve pregnant women, infants, toddlers and their

families and how the program will assist in the development of local

community capability, expertise and commitment to carry out

comprehensive

[[Page 18974]]

service programs built around the needs of low-income pregnant women

and families with very young children. Describe any barriers to

collaboration in your community and explain the program's strategy for

addressing these. Identify by name specific providers, agencies and

organizations with which the applicant will coordinate in order to

carry out the requirements of this project. Applicants should furnish

formal interagency agreements or contracts (if available) indicating

which services will be provided to which program participants and for

what periods of time, by each of those provider agencies and/or

organizations.

16. Describe linkages with community resources that the program

will establish and maintain during the planning, implementation and

operation of the program: health and nutrition (e.g., public health

departments and other health providers and programs including Title V,

Supplemental Food Program for Women, Infants and Children (WIC) and

Medicaid prenatal care services and the Medicaid Early and Periodic

Screening, Diagnosis and Treatment program (EPSDT)); early intervention

(e.g., Part H local lead agency or, if available, local interagency

coordinating councils and University Affiliated Programs); mental

health and substance abuse prevention and treatment; the agency

administering Temporary Assistance for Needy Families (TANF); education

(e.g., local preschool, child care, Head Start, and elementary

schools); other Early Head Start programs; child care resource and

referral agencies and their networks; business (e.g., the local Private

Industry Council); parent groups; and other strength-building

organizations.

17. Describe the approach to staff selection and explain the

rationale for choosing the approach. Describe what staffing patterns

and mix of staff qualifications and language/cultural competencies the

program will require to ensure that staff, together, cover the spectrum

of skills, knowledge and professional competencies necessary to provide

quality, comprehensive, inclusive and family-centered services to

pregnant women and young children and families. Describe the process

the applicant will use to identify and select individual staff--from

directors to caregivers to data management staff--who demonstrate the

personal characteristics, competencies and skills necessary to provide

quality services and promote quality relationships with and among

children, families, the community and other staff. Explain how the

program will ensure that all infant/toddler caregivers are qualified,

with sufficient grounding in infant/toddler development and care and

parent/caregiver relations prior to working with children and families

enrolled in the program. Please note the revised Head Start Program

Performance Standards require that Early Head Start staff working as

teachers with infants and toddlers must obtain a Child Development

Associate (CDA) credential for infant and toddler caregivers or an

equivalent credential that addresses comparable competencies within one

year of the effective date of the final rule (January 1, 1998) or,

thereafter, within one year, as a teacher of infants and toddlers (45

CFR Part 1304.52(f)).

18. Describe the approach to staff development and the rationale

for choosing the approach. Describe the training, technical assistance,

and supervision that will be provided to ensure continued enhancement

of staff skills and teamwork. Describe how training and technical

assistance opportunities will be coordinated with other service

providers in the community so that Early Head Start both provides and

benefits from the knowledge, expertise, and training opportunities of

other relevant community programs and service delivery systems.

Describe how the program will ensure that staff are knowledgeable about

the rights of children with disabilities and are capable of providing

such infants and toddlers with high quality care in a supportive and

developmentally appropriate environment.

19. Identify and explain the management and continuous improvement

plan(s) for implementing the program. Include: an outline of the

timeframes and milestones for all key activities that the program will

engage in during the first year of operation, as well as a preliminary

outline of timeframes and milestones for key activities in the

remaining years of the project; a description of the procedures for

assessing progress toward stated objectives, including how the

collection of data on results and benefits will contribute to a process

of continuous improvement within the program and the sponsoring agency;

a description of how an automated information system will become an

integral component in the management and continuous improvement of the

program; a description of how confidentiality of user data will be

maintained; a description of the applicant's capacity (e.g.

administrative and support personnel, etc.) to support the program at

the proposed target enrollment size; a description of the strategy for

minimizing staff turnover; and a description of how the program will go

about establishing a Policy Council (as described by 45 CFR Part 1304)

and a Health Services Advisory Committee (as described by 45 CFR Part

1304).

20. Identify and describe the proposed site which will be used to

serve children and families and include a description of the size and

location of classroom, administrative, and food service space, if

applicable. If incidental alteration and renovation costs are proposed,

include a written estimate and the date by which the proposed facility

will be licensed and available to provide child and family services.

D. Collaboration

Describe the collaborative relationships the applicant will develop

in order to maximize resources in the community. Include letters of

support and commitment from other partner agencies in the community. In

the area of child care to meet the needs of low-income parents,

describe collaborative approaches to funding and service delivery with

other community-based child care agencies and providers or child care

funding sources. In partnerships with child care agencies and

providers, the child care programs gain the benefit of Early Head Start

resources and experience in enhancing the quality of staffing and

program services to levels consistent with Head Start Program

Performance Standards. Include letters of commitment from child care

and early childhood agencies who will assist the grantee in delivering

services.

E. Staff Background and Organizational Experience

1. Describe the applicant's experience in providing comprehensive

child and family development services to infants and toddlers and their

families as well as pregnant women. Describe the applicant's experience

in collaborating with local, State and Federal partners. Describe the

applicant's history and relationship with the target community. Include

a complete discussion of relevant program, administrative and fiscal

management experience.

2. If the applicant represents a consortium of partner agencies,

explain the relevant background of each partner and its experience in

planning and implementing programs to serve children and families. Each

partner must provide a letter of commitment which authorizes the

applicant to apply on behalf of the consortium.

3. Identify and provide a brief description of key staff who are

proposed to work in the program and

[[Page 18975]]

indicate their educational training and experience working with similar

programs. Provide resumes. Build on the answer to Part III, Section C,

Number 17 by explaining how these particular staff comprise a multi-

disciplinary team of experts. In addition, explain how the ethnic and

racial composition and language proficiencies of these particular staff

are reflective of the community where the program will be located.

4. Describe the expertise the organization will utilize in

conducting continuous improvement activities. Describe the experience

of and provide resumes for the individuals who will assist the program

with continuous improvement activities.

F. Budget Appropriateness

1. Provide two detailed, line-item budgets: one budget that

separates all relevant start-up costs from a prorated amount of

operating costs to be incurred in the first year of the project (e.g.

one column for start-up costs and one column for prorated operating

costs); and one budget that reflects ongoing annual operating costs. In

the proposed budgets, applicants must set aside sufficient funds so

that at least two staff can travel to Washington, D.C. for two annual

meetings of four days each to be convened by ACYF. In addition,

applicants must set aside sufficient funds so that at least one staff

can travel to a mid-point in the U.S. for two trips per year of seven

days each for intensive training. Each budget should include the

required non-Federal share of the cost of the project (See Part II,

Section G).

2. Describe how these budgets reflect high quality, ongoing

services provided at a reasonable cost. Include discussions on the

appropriateness of staff compensation levels and funds set aside to

assure ongoing staff development and training; costs associated with

special equipment and technological needs and the removal of

architectural barriers for persons with disabilities; renovation costs

associated with providing environments conducive to the high quality

provision of child and family development services; and costs

associated with family transportation and emergency resource needs,

etc. Explain what efforts the applicant has made or will make to secure

other community cash and in-kind resources, besides those shown in the

budgets, and what additional resources will be used to support the

provision of Early Head Start services to children and families.

3. In providing high quality infant and toddler child care,

applicants should describe how a variety of existing community

resources will be utilized and maximized. Provide documentation of the

additional resources that will be combined with Early Head Start funds

to provide high quality child care which meets the Head Start Program

Performance Standards. Explain and itemize these resources or services,

whether or not these costs are included as part of the non-federal

share.

4. Provide information on the facilities the applicant will use,

including the estimated cost and scope of any changes that are needed

and when such facilities are available. In most cases, it is expected

that, given the finite project period for which Early Head Start grants

will be funded, applicants will not propose to use Early Head Start

grant funds to purchase, construct or undertake a major renovation of a

facility. If an applicant, however, believes that such a purchase,

construction or major renovation is in the best interests of the

government, and can demonstrate this in its application, it may propose

to purchase, construct or undertake a major renovation of an Early Head

Start facility.

Part IV. Evaluation Criteria

In considering how applicants will carry out the responsibilities

addressed under Part III of this announcement, competing applications

for financial assistance will be reviewed and evaluated against the

following six criteria. The point values following each criterion

indicate the numerical weight each criterion will be accorded in the

review process.

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

The extent to which, based on community assessment information, the

applicant identifies any relevant physical, economic (e.g., poverty in

the community), social, financial, institutional, or other issues which

demonstrate a need for the Early Head Start program; in addition, the

extent to which the applicant identifies the strengths of the community

the project will serve. The extent to which the applicant lists

relevant program objectives that adequately address the strengths and

needs of the community. The extent to which the applicant describes the

population to be served by the project and explains why this population

is most in need of services to be provided by the program. The extent

to which the applicant gives a precise location and rationale for the

project site(s) and area(s) to be served by the proposed project. For

Category One funds, the applicant needs to demonstrate that the

geographic area is currently unserved. For Category Two funds, the

applicant needs to demonstrate that the geographic area chosen is in

the same area as that served by the current Parent and Child Center or

explain why the service area is proposed to be changed.

Information provided in response to Part III, Section A of this

announcement will be used to evaluate applicants on this criterion.

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

The extent to which the applicant identifies the results and

benefits to be derived from the project and links these to the stated

objectives. The extent to which the applicant describes the kinds of

data to be collected and how they will be utilized to measure progress

towards the stated results or benefits.

Information provided in response to Part III, Section B of this

announcement will be used to evaluate applicants on this criterion.

C. Criterion 3. Approach (35 Points)

The extent to which the applicant demonstrates the knowledge and

capacity to meet the requirements of the Head Start Program Performance

Standards. The extent to which the applicant explains why the approach

chosen is effective in light of the needs, objectives, results and

benefits described above. The extent to which the approach is grounded

in recognized standards and/or guidelines for high quality service

provision or is defensible from a research or ``best practices''

standpoint.

The extent to which the applicant's management plan demonstrates

sufficient management capacity to implement a high-quality Early Head

Start program.

Information provided in Part III, Section C of this announcement

will be used to evaluate applicants on this criterion.

D. Criterion 4. Collaboration (10 Points)

The extent to which the applicant presents documentation of efforts

(letters of commitment, interagency agreements, etc.) to establish and

maintain ongoing collaborative relationships with community partners.

The extent and thoroughness of approaches to combining Early Head Start

resources and capabilities with those of other local child care

agencies and providers to provide high quality child care services to

infants and toddlers which meet the Head Start Program Performance

Standards.

Information concerning collaboration which is provided in response

to Part

[[Page 18976]]

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

on this criterion.

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

Points)

The extent to which the proposed program director, proposed key

project staff, and the organization's experience and history with the

community demonstrate the ability to effectively and efficiently

administer a project of this size, complexity and scope. The extent to

which the organization demonstrates an ability to carry out continuous

improvement activities. Up to five points will be given based on the

organization's experience in providing early, continuous, and

comprehensive child and family development services.

Information provided in response to Part III, Section E of this

announcement will be used to evaluate applicants on this criterion.

F. Criterion 6. Budget Appropriateness (10 Points)

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

the planning and activities to be carried out and the anticipated

outcomes. The extent to which the salaries and fringe benefits reflect

the level of compensation appropriate for the responsibilities of

staff. The extent to which assurances are provided that the applicant

can and will contribute the non-Federal share of the total project

cost. The extent to which the program has attempted to and/or succeeded

in garnering cash or in-kind resources from other sources in the

community. The extent to which costs for facilities are reasonable and

cost effective, given the five year project period for the Early Head

Start grant.

Information provided in response to Part III, Section F of this

announcement will be used to evaluate applicants on this criterion.

Part V. The Application Process

A. Availability of Forms

Eligible applicants interested in applying for funds must submit

all the required forms included at the end of this announcement in

Appendix A. This material is also included in the application kit

provided by contacting the ACF Operations Center at 1-800-351-2293

(phone) or 1-800-351-4490 (fax). Applicants are required to use the

Standard Forms, Certifications, Disclosures and Assurances provided

under Appendix A--ACF Uniform Discretionary Grant Application Form

(ACF/UDGAF). Under the ACF/UDGAF, applications submitted for funds

under this announcement are considered NEW APPLICATIONS. Applicants

should follow instructions in the ACF/UDGAF for NEW APPLICATIONS.

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

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

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

Number 0970-0139. A copy has been provided (see Appendix A). Each

application must have an original signature by an individual authorized

to act for the applicant and to assume responsibility for the

obligations imposed by the terms and conditions of the grant award. A

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

application as official representative must be on file in the

applicant's office.

In preparing the program narrative statement, the applicant should

provide the information that the panel will use to evaluate and rank

the proposal. That information should be concise and complete when

addressing the activities for which Federal funds are being requested.

Supporting documents should be included where they present information

clearly and succinctly. Applicants should respond to the instructions

under ACF/UDGAF--Program Narrative--Items A (Project Description--

Components) and D (Budget and Budget Justification). Under Project

Description--Component, the applicant should address the specific

information requested under each area in this program announcement.

Some of the following sections of the Program Narrative portion of the

ACF/UDGAF do not require a response under this announcement, while

information on other sections noted below should be placed under a

different section than prescribed in the Program Narrative of the ACF/

UDGAF:

Section A.1.--Project Summary/Abstract--This should be a one page

or less summary of the project with reference to the funding requested

and placed directly under the table of contents or SF424. This page

will not count against the page limit for program description.

Section A.5.--Evaluation--Do not address the section as stated in

the ACF/UDGAF in this application; it is not required under this

announcement.

Section A.6.--Geographic Location--Should be addressed under the

Objective and Needs for Assistance section of this announcement (Part

III A).

Section A.7.--Additional Information--Should be addressed under the

Staff Background and Organizational Experience section of this

announcement (Part III E). Letters of Support should be addressed under

the appendices to the application.

Section B.--(Non-competing continuation applications) Does not

apply to this announcement.

Section C.--(Supplemental requests) Does not apply to this

announcement.

Section D.--Budget and Budget Justification--should be addressed

under the Budget Appropriateness section of this announcement (Part III

F).

Requests to renovate a facility should be addressed under SF 424A--

Budget Information Non-Construction Programs. Applicants requesting

financial assistance for a non-construction project must file the

Standard Form 424B, ``Assurances: Non-Construction Programs.''

Applicants must sign and return the Standard Form 424B with their

application. SF 424C--Budget Information for Construction Programs and

SF424D--``Assurances'' for Construction Programs do not apply to this

announcement, unless the applicant is proposing construction under Part

III.F.4.

Applicants must provide a certification concerning lobbying. Prior

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

an executed copy of the lobbying certification. Applicants must sign

and return the certification with their application.

Applicants must sign the disclosure of lobbying activities, if

appropriate.

Applicants must make the appropriate certification that they are

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

signing and submitting the application, applicants are providing the

certification and need not mail back the certification with the

application.

Applicants must make the appropriate certification of their

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

submitting the application, applicants are providing the certification

and need not mail back the certification with the application.

Applicants must also understand that they will be held accountable

for the smoking prohibition included within P.L. 103-227, The Pro-

Children's Act of 1994. A copy of the Federal Register notice which

implements the smoking prohibition is included in the application kit.

B. Application Submission

Applicants submitting proposals should use the following format

guidelines: Proposals should be organized according to the evaluation

[[Page 18977]]

criteria located in Part IV of this Federal Register announcement. For

each of the six specified criteria, applicants should provide

information in response to the application requirements described in

Part III of this announcement. These application requirements are

cross-referenced by number in the last paragraph of each criterion. All

persons who prepared sections of the proposal should be identified

along with those sections, as well as identified according to their

responsibilities with regard to the proposed program.

One signed original and two complete copies of the grant

application, including all attachments, are required. The program

announcement number (ACYF-HS-93600-97-03) must be clearly identified on

the application. Each application must be limited to no more than 100

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

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

If the narrative portion of the application is more than 100 double-

spaced pages, the other pages will be removed from the application and

not considered by the reviewers. The attachments/appendices to each

application must be limited to no more than 100 pages, (in addition to

the 100 pages permitted for the narrative portion of the application).

If the attachments/appendices to each application are more than 100

pages, the other pages will be removed from the application and not

considered by the reviewers.

Applicants must indicate on page one of their Application for

Federal Assistance, SF 424, whether they are applying for funding under

Category One or Category Two (see II B. 1 and 2). Please indicate in

the ``applicant identifier'' box at the top of page one of the SF 424,

the category for which you are applying (Category One or Two). For

Category Two, the applicants must list the number of the Parent and

Child Center (PCC) geographic area for which they are applying to serve

(see II.B.2 and Appendix E list of PCC geographic areas). Indicate the

geographic area number for which you are applying in box # 12, ``areas

affected by project'' on page one of the SF 424.

C. Application Considerations

Applicants will be scored against the evaluation criteria described

above. The review will be conducted in Washington, DC. or in an HHS

Regional office by a panel consisting of experts in the areas of child

and family development and other related fields.

The results of the competitive review will be taken into

consideration by the Associate Commissioner, Head Start Bureau, in

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

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

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

services, applicant ranking, geographic location and funds available.

The Commissioner may elect not to fund applicants that have

management, fiscal, or other problems and situations that make it

unlikely that they would be able to provide effective Early Head Start

services.

The Commissioner may decide not to fund projects that would require

unreasonably large initial start-up costs for facilities or equipment.

Successful applicants will be notified through the issuance of a

Financial Assistance Award which sets forth the amount of funds

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

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

project period for which support is provided.

In awarding grants to eligible applicants, the Commissioner shall

ensure an equitable national geographic distribution of the grants and

award grants to applicants proposing to serve communities in rural

areas and to applicants proposing to serve communities in urban areas.

The Commissioner will consider the benefit to communities of

funding new providers.

Subject to the availability of additional resources in FY 1998 and

the number of acceptable applications received as a result of this

program announcement, the Commissioner may elect to fund grantees in FY

1998 from the pool of applications submitted in response to this

announcement.

ACYF will determine when the project period begins for Early Head

Start grants.

D. Checklist for a Complete Application

The checklist below is for your use to ensure that the application

package has been properly prepared.

--One original, signed and dated application plus two copies.

--The narrative portion of the application does not exceed 100 double-

spaced pages in a 12-pitch font with 1\1/2\ inch margins at the top and

1 inch at the bottom and both sides.

--Attachments/Appendices to the application do not exceed 100 pages.

Attachments/appendices should be used only to provide supporting

documentation such as maps, administration charts, position

descriptions, resumes, and letters of intent/agreement. Please do not

include books or video tapes as they are not easily reproduced and are

therefore inaccessible to the reviewers. Each page should be numbered

sequentially.

--A complete application consists of the items indicated in the

checklist in the ACF/UDGAF.

E. Due Date for the Receipt of Applications

Deadlines: Mailed applications shall be considered as meeting an

announced deadline if they are received on or before the deadline time

and date at the ACYF Operations Center, Clarendon Blvd., Suite 240,

Arlington, VA 22201, Attention: Application for Early Head Start

Category ____________. Applicants are responsible for mailing

applications well in advance, when using all mail services, to ensure

that the applications are received on or before the deadline time and

date. Applicants are cautioned that postmarks will not be considered as

a methodology for meeting the deadline.

Applications handcarried by applicants, applicant couriers, or by

overnight/express mail couriers shall be considered as meeting the

announced deadline if they are received on or before the deadline date,

between the hours of 8:00 a.m. and 4:30 p.m., at the ACYF Operations

Center, 3030 Clarendon Blvd., Suite 240, Arlington, Virginia 22201,

between Monday and Friday (excluding Federal holidays). (Applicants are

cautioned that express/overnight mail services do not always deliver as

agreed.)

ACF cannot accommodate transmission of applications by fax or

through other electronic media. Therefore, applications transmitted to

ACF electronically will not be accepted regardless of date or time of

submission and time of receipt.

Late applications: Applications which do not meet the criteria

above are considered late applications. ACF shall notify each late

applicant that its application will not be considered.

Extension of deadlines: ACF may extend the deadline for all

applicants because of acts of God such as floods, hurricanes, etc., or

when there is a widespread disruption of the mails. However, if ACF

does not extend the deadline for all applicants, it may not waive or

extend the deadline for any applicants.

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

All information collections within this program announcement are

approved under the Uniform Discretionary Grant Application Form

[[Page 18978]]

under OMB Control Number 0970-0139 (expiration date August 31, 1997).

The estimated burden per response is 20 hours. An agency may not

conduct or sponsor, and a person is not required to respond to, a

collection of information unless it displays a currently valid OMB

control number.

G. Executive Order 12372--Notification Process

This program is covered under Executive Order 12372,

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

``Intergovernmental Review of Department of Health and Human Services

Programs and Activities.'' Under the Order, States may design their own

processes for reviewing and commenting on proposed Federal assistance

under covered programs.

All States and territories except Alabama, Alaska, Colorado,

Connecticut, Hawaii, Idaho, Kansas, Louisiana, Massachusetts,

Minnesota, Montana, Nebraska, New Jersey, Oklahoma, Oregon,

Pennsylvania, South Dakota, Tennessee, Vermont, Virginia, Washington,

American Samoa, and Palau have elected to participate in the Executive

Order process and have established Single Points of Contact (SPOCs).

Applicants from these twenty-three jurisdictions areas need not take

action regarding Executive Order 12372.

Applications for projects to be administered by Federally-

recognized Indian Tribes are also exempt from the requirements of

Executive Order 12372. Otherwise, applicants should contact their SPOC

as soon as possible to alert them to the prospective application and to

receive any necessary instructions. Applicants must submit any required

material to the SPOC as early as possible so that the program office

can obtain and review SPOC comments as part of the award process. It is

imperative that the applicant submit all required materials, if any, to

the SPOC and indicate the date of this submittal (or date of contact if

no submittal is required) on the Standard Form 424, item 16a.

Under 45 CFR 100.8(a)(2), a SPOC has 60 days from the application

deadline to comment on proposed new or competing continuation awards.

SPOCs are encouraged to eliminate the submission of routine

endorsements as official recommendations.

Additionally, SPOCs are requested to clearly differentiate between

mere advisory comments and those official State process recommendations

which may trigger the ``accommodate or explain'' rule.

When comments are submitted directly to the ACF, they should be

addressed to: Department of Health and Human Services, Administration

on Children, Youth and Families, Head Start Bureau, Grants Officer, 330

C Street S.W., Room 2310-B, Washington, D.C. 20201.

A list of Single Points of Contact for each State and territory is

included as Appendix B of this announcement.

H. Closing Date

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

(Catalog of Federal Domestic Assistance Program Number 93.600,

Project Head Start)

Dated: April 14, 1997.

James A. Harrell,

Acting Commissioner, Administration on Children, Youth and Families.

BILLING CODE 4184-01-P

[[Page 18979]]

[GRAPHIC] [TIFF OMITTED] TN17AP97.000

BILLING CODE 4184-01-C

[[Page 18980]]

Instructions for the SF 424

Public reporting burden for this collection of information is

estimated to average 45 minutes per response, including time for

reviewing instructions, searching existing data sources, gathering

and maintaining the data needed, and completing and reviewing the

collection of information. Send comments regarding the burden

estimate or any other aspect of this collection of information,

including suggestions for reducing this burden, to the Office of

Management and Budget, Paperwork Reduction Project (0348-0043),

Washington, DC 20503.

Please Do Not Return Your Completed Form to the Office of Management

and Budget, Send It to the Address Provided by the Sponsoring Agency

This is a standard form used by applicants as a required

facesheet for preapplications and applications submitted for Federal

assistance. It will be used by Federal agencies to obtain applicant

certification that States which have established a review and

comment procedure in response to Executive Order 12372 and have

selected the program to be included in their process, have been

given an opportunity to review the applicant's submission.

Item and Entry

1. Self-explanatory.

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

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

3. State use only (if applicable).

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

award, enter present Federal identifier number. If for a new

project, leave blank.

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

which will undertake the assistance activity, complete address of

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

contact on matters related to this application.

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

Internal Revenue Service.

7. Enter the appropriate letter in the space provided.

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

space(s) provided:

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

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

budget period for a project with a projected completion date.

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

financial obligation or contingent liability from an existing

obligation.

9. Name of Federal agency from which assistance is being

requested with this application.

10. Use the Catalog of Federal Domestic Assistance number and

title of the program under which assistance is requested.

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

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

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

projects), attach a map showing project location. For

preapplications, use a separate sheet to provide a summary

description of this project.

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

State, counties, cities.)

13. Self-explanatory.

14. List the applicant's Congressional District and any

District(s) affected by the program or project.

15. Amount requested or to be contributed during the first

funding/budget period by each contributor. Value of in-kind

contributions should be included on appropriate lines as applicable.

If the action will result in a dollar change to an existing award,

indicate only the amount of the change. For decreases, enclose the

amounts in parentheses. If both basic and supplemental amounts are

included, show breakdown on an attached sheet. For multiple program

funding, use totals and show breakdown using same categories as item

15.

16. Applicants should contact the State Single Point of Contact

(SPOC) for Federal Executive Order 12372 to determine whether the

application is subject to the State intergovernmental review

process.

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

person who signs as the authorized representative. Categories of

debt include delinquent audit allowances, loans and taxes.

18. To be signed by the authorized representative of the

applicant. A copy of the governing body's authorization for you to

sign this application as official representative must be on file in

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

this authorization be submitted as part of the application.)

BILLING CODE 4184-01-P

[[Page 18981]]

[GRAPHIC] [TIFF OMITTED] TN17AP97.001

[[Page 18982]]

[GRAPHIC] [TIFF OMITTED] TN17AP97.002

BILLING CODE 4184-01-C

[[Page 18983]]

Instructions for the SF 424A

Public reporting burden for this collection of information is

estimated to average 180 minutes per response, including time for

reviewing instructions, searching existing data sources, gathering

and maintaining the data needed, and completing and reviewing the

collection of information. Send comments regarding the burden

estimate or any other aspect of this collection of information,

including suggestions for reducing this burden, to the Office of

Management and Budget, Paperwork Reduction Project (0348-0043),

Washington, DC 20503.

Please Do Not Return Your Completed Form to the Office of Management

and Budget, Send It to the Address Provided by the Sponsoring Agency

General Instructions

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

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

any existing Federal grantor agency guidelines which prescribe how

and whether budgeted amounts should be separately shown for

different functions or activities within the program. For some

programs, grantor agencies may require budgets to be separately

shown by function or activity. For other programs, grantor agencies

may require a breakdown by function or activity. Sections A, B, C,

and D should include budget estimates for the whole project except

when applying for assistance which requires Federal authorization in

annual or other funding period increments. In the latter case,

Sections A, B, C, and D should provide the budget for the first

budget period (usually a year) and Section E should present the need

for Federal assistance in the subsequent budget periods. All

applications should contain a breakdown by the object class

categories shown in Lines a-k of Section B.

Section A. Budget Summary Lines 1-4, Columns (a) and (b)

For applications pertaining to a single Federal grant program

(Federal Domestic Assistance Catalog number) and not requiring a

functional or activity breakdown, enter on Line 1 under Column (a)

the catalog program title and the catalog number in Column (b).

For applications pertaining to a single program requiring budget

amounts by multiple function or activities, enter the name of each

activity or function on each line in Column (a), and enter the

catalog number in Column (b). For applications pertaining to

multiple programs where none of the programs require a breakdown by

function or activity, enter the catalog program title on each line

in Column (a) and the respective catalog number of each line in

Column (b).

For applications pertaining to multiple programs where one or

more programs require a breakdown by function or activity, prepare a

separate sheet for each program requiring the breakdown. Additional

sheets should be used when one form does not provide adequate space

for all breakdown of data required. However, when more than one

sheet is used, the first page should provide the summary totals by

programs.

Lines 1-4, Columns (c) Through (g)

For new applications, leave Columns (c) and (d) blank. For each

line entry in Columns (a) and (b), enter in Columns (e), (f), and

(g) the appropriate amounts of funds needed to support the project

for the first funding period (usually a year).

For continuing grant program applications, submit these forms

before the end of each funding period as required by the grantor

agency. Enter in Columns (c) and (d) the estimated amounts of funds

which will remain unobligated at the end of the grant funding period

only if the Federal grantor agency instructions provide for this.

Otherwise, leave these columns blank. Enter in Columns (e) and (f)

the amounts of funds needed for the upcoming period. The amount(s)

in Column (g) should be the sum of amounts in Columns (e) and (f).

For supplemental grants and changes to existing grants, do not

use Columns (c) and (d). Enter in Column (e) the amount of the

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

amount of the increase or decrease of non-Federal funds. In Column

(g) enter the new total budgeted amount (Federal and non-Federal)

which includes the total previous authorized budgeted amounts plus

or minus, as appropriate, the amounts shown in Columns (e) and (f).

The amount(s) in Column (g) should not equal the sum of amounts in

Columns (e) and (f).

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

Section B. Budget Categories

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

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

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

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

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

Federal and non-Federal) by object class categories.

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

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

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

applications for new grants and continuation grants the total amount

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

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

changes to grants, the total amount of the increase or decrease as

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

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

Line 7--Enter the estimated amount of income, if any, expected

to be generated from this project. Do not add or subtract this

amount from the total project amount. Show under the program

narrative statement the nature and source of income. The estimated

amount of program income may be considered by the federal grantor

agency in determining the total amount of the grant.

Section C. Non-Federal Sources

Lines 8-11--Enter amounts of non-Federal resources that will be

used on the grant. If in-kind contributions are included, provide a

brief explanation on a separate sheet.

Column (a)--Enter the program titles identical to Column (a),

Section A. A breakdown by function or activity is not necessary.

Column (b)--Enter the contribution to be made by the applicant.

Column (c)--Enter the amount of the State's cash and in-kind

contribution if the applicant is not a State or State agency.

Applicants which are a State or State agencies should leave this

column blank.

Column (d)--Enter the amount of cash and in-kind contributions

to be made from all other sources.

Column (e)--Enter totals in Columns (b), (c), and (d).

Line 12--Enter the total for each of Columns (b)-(e). The amount

in Column (e) should be equal to the amount on Line 5, Column (f),

Section A.

Section D. Forecasted Cash Needs

Line 13--Enter the amount of cash needed by quarter from the

grantor agency during the first year.

Line 14--Enter the amount of cash from all other sources needed

by quarter during the first year.

Line 15--Enter the totals of amounts on Lines 13 and 14.

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

the Project

Lines 16-19--Enter in Column (a) the same grant program titles

shown in Column (a), Section A. A breakdown by function or activity

is not necessary. For new applications and continuation grant

applications, enter in the proper columns amounts of Federal funds

which will be needed to complete the program or project over the

succeeding funding periods (usually in years). This section need not

be completed for revisions (amendments, changes, or supplements) to

funds for the current year of existing grants.

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

submit additional schedules as necessary.

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

additional schedules are prepared for this Section, annotate

accordingly and show the overall totals on this line.

Section F. Other Budget Information

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

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

ordinary or to explain the details as required by the Federal

grantor agency.

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

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

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

is applied, and the total indirect expense.

Line 23--Provide any other explanations or comments deemed

necessary.

Assurances--Non-Construction Programs

Public reporting burden for this collection of information is

estimated to average 15 minutes per response, including time for

reviewing instructions, searching existing data sources, gathering

and maintaining the data needed, and completing and reviewing

[[Page 18984]]

the collection of information. Send comments regarding the burden

estimate or any other aspect of this collection of information,

including suggestions for reducing this burden, to the Office of

Management and Budget, Paperwork Reduction Project (0348-0043),

Washington, DC 20503.

Please Do Not Return Your Completed Form to the Office of Management

and Budget, Send It to the Address Provided by the Sponsoring Agency

Note: Certain of these assurances may not be applicable to your

project or program. If you have questions, please contact the

awarding agency. Further, certain Federal awarding agencies may

require applicants to certify to additional assurances. If such is

the case, you will be notified.

As the duly authorized representative of the applicant I certify

that the applicant:

1. Has the legal authority to apply for Federal assistance and

the institutional, managerial and financial capability (including

funds sufficient to pay the non-Federal share of project costs) to

ensure proper planning, management and completion of the project

described in this application.

2. Will give the awarding agency, the Comptroller General of

United States, and if appropriate, the State, through any authorized

representative, access to and the right to examine all records,

books, papers, or documents related to the award; and will establish

a proper accounting system in accordance with generally accepted

accounting standards or agency directives.

3. Will establish safeguards to prohibit employees from using

their positions for a purpose that constitutes or presents the

appearance of personal or organizational conflict of interest, or

personal gain.

4. Will initiate and complete the work within the applicable

time frame after receipt of approval of the awarding agency.

5. Will comply with the Intergovernmental Personnel Act of 1970

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

merit systems for programs funded under one of the nineteen statutes

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

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

6. Will comply with all Federal statutes relating to

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

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

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

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

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

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

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

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

amended (42 U.S.C. Sec. 6101-6107), which prohibits discrimination

on the basis of age; (e) the Drug Abuse Office and Treatment Act of

1972 (P.L. 92-255), as amended, relating to nondiscrimination on the

basis of drug abuse: (f) the Comprehensive Alcohol Abuse and

Alcoholism Prevention, Treatment and Rehabilitation Act of 1970

(P.L. 91-616), as amended, relating to nondiscrimination on the

basis of alcohol abuse or alcoholism; (g) Secs. 523 and 527 of the

Public Health Service Act of 1912 (42 U.S.C. 290 dd-3 and 290 ee-3),

as amended, relating to confidentiality of alcohol and drug abuse

patient records; (h) Title VIII of the Civil Rights Act of 1968 (42

U.S.C. Sec. 3601 et seq.), as amended, relating to non-

discrimination in the sale, rental or financing of housing; (i) any

other nondiscrinimation provisions in the specific statute(s) under

which application for Federal assistance is being made; and (j) the

requirements of any other nondiscrimination statute(s) which may

apply to the application.

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

of Titles II and III of the Uniform Relocation Assistance and Real

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

provide for fair and equitable treatment of persons displaced or

whose property is acquired as a result of Federal or federally

assisted programs. These requirements apply to all interests in real

property acquired for project purposes regardless of Federal

participation in purchases.

8. Will comply, as applicable, with the provisions of the Hatch

Act (5 U.S.C. Secs. 1501-1508 and 7324-7328) which limit the

political activities of employees whose principal employment

activities are funded in whole or in part with Federal funds.

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

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

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

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

standards for federally assisted construction subagreements.

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

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

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

hazard area to participate in the program and to purchase flood

insurance if the total cost of insurable construction and

acquisition is $10,000 or more.

11. Will comply with environmental standards which may be

prescribed pursuant to the following: (a) Institution of

environmental quality control measures under the National

Environmental Policy Act of 1969 (P.L. 91-190) and Executive Order

(EO) 11514; (b) notification of violating facilities pursuant to EO

11738; (c) protection of wetlands pursuant to EO 11990; (d)

evaluation of flood hazards in floodplains in accordance with EO

11988; (e) assurance of project consistency with the approved State

management program developed under the Coastal Zone Management Act

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

actions to State (Clear Air) Implementation Plans under Section

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

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

drinking water under the Safe Drinking Water Act of 1974, as amended

(P.L. 93-523); and (h) protection of endangered species under the

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

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

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

potential components of the national wild and scenic rivers system.

13. Will assist the awarding agency in assuring compliance with

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

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

historic properties), and the Archaeological and Historic

Preservation Act of 1974 (16 U.S.C. 469a-1 et seq.).

14. Will comply with P.L. 93-348 regarding the protection of

human subjects involved in research, development, and related

activities supported by this award of assistance.

15. Will comply with the Laboratory Animal Welfare Act of 1966

(P.L. 89-544, as amended, 7 U.S.C. 2131 et seq.) pertaining to the

care, handling, and treatment of warm blooded animals held for

research, teaching, or other activities supported by this award of

assistance.

16. Will comply with the Lead-Based Paint Poisoning Prevention

Act (42 U.S.C. Secs. 4801 et seq.) which prohibits the use of lead

based paint in construction or rehabilitation of residence

structures.

17. Will cause to be performed the required financial and

compliance audits in accordance with the Single Audit Act of 1984 or

OMB Circular No. A-133, Audits of Institutions of Higher Learning

and other Non-profit Institutions.

18. Will comply with all applicable requirements of all other

Federal laws, executive orders, regulations and policies governing

this program.

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

Signature of authorized certifying official

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

Title

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

Applicant organization

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

Date submitted

This certification is required by the regulations implementing

the Drug-Free Workplace Act of 1988: 45 CFR Part 76, Subpart F.

Sections 76.630(c) and (d)(2) and 76.645(a) (1) and (b) provide that

a Federal agency may designate a central receipt point for STATE-

WIDE AND STATE AGENCY-WIDE certifications, and for notification of

criminal drug convictions. For the Department of Health and Human

Services, the central point is: Division of Grants Management and

Oversight, Office of Management and Acquisition, Department of

Health and Human Services, Room 517-D, 200 Independence Avenue, SW

Washington, DC 20201.

Certification Regarding Drug-Free Workplace Requirements

(Instructions for Certification)

1. By signing and/or submitting this application or grant

agreement, the grantee is providing the certification set out below.

2. The certification set out below is a material representation

of fact upon which reliance is placed when the agency awards the

grant. If it is later determined that the grantee knowingly rendered

a false

[[Page 18985]]

certification, or otherwise violates the requirements of the Drug-

Free Workplace Act, the agency, in addition to any other remedies

available to the Federal Government, may take action authorized

under the Drug-Free Workplace Act.

3. For grantees other than individuals, Alternate I applies.

4. For grantees who are individuals, Alternate II applies.

5. Workplaces under grants, for grantees other than individuals,

need not be identified on the certification. If known, they may be

identified in the grant application. If the grantee does not

identify the workplaces at the time of application, or upon award,

if there is no application, the grantee must keep the identity of

the workplace(s) on file in its office and make the information

available for Federal inspection. Failure to identify all known

workplaces constitutes a violation of the grantee's drug-free

workplace requirements.

6. Workplace identifications must include the actual address of

buildings (or parts of buildings) or other sites where work under

the grant takes place. Categorical descriptions may be used (e.g.,

all vehicles of a mass transit authority of State highway department

while in operation, State employees in each local unemployment

office, performers in concert halls or radio studios).

7. If the workplace identified to the agency changes during the

performance of the grant, the grantee shall inform the agency of the

change(s), if it previously identified the workplaces in question

(see paragraph five).

8. Definitions of terms in the Nonprocurement Suspension and

Debarment common rule and Drug-Free Workplace common rule apply to

this certification. Grantees' attention is called, in particular, to

the following definitions from these rules:

Controlled substance means a controlled substance in Schedules I

through V of the Controlled Substances Act (21 U.S.C. 812) and as

further defined by regulation (21 CFR 1308.11 through 1308.15);

Conviction means a finding of guilt (including a plea of nolo

contendere) or imposition of sentence, or both, by any judicial body

charged with the responsibility to determine violations of the

Federal or State criminal drug statutes;

Criminal drug statute means a Federal or non-Federal criminal

statute involving the manufacture, distribution, dispensing, use, or

possession of any controlled substance;

Employee means the employee of a grantee directly engaged in the

performance of work under a grant, including: (i) All direct charge

employees; (ii) All indirect charge employees unless their impact or

involvement is insignificant to the performance of the grant; and,

(iii) Temporary personnel and consultants who are directly engaged

in the performance of work under the grant and who are in the

grantee's payroll. This definition does not include workers not on

the payroll of the grantee (e.g., volunteers, even if used to meet a

matching requirement; consultants or independent contractors not on

the grantee's payroll; or employees of subrecipients or

subcontractors in covered workplaces).

Certification Regarding Drug-Free Workplace Requirements

Alternate I. (Grantees Other Than Individuals)

The grantee certifies that it will or will continue to provide a

drug-free workplace by:

(a) Publishing a statement notifying employees that the unlawful

manufacture, distribution, dispensing, possession, or use of a

controlled substance is prohibited in the grantee's workplace and

specifying the actions that will be taken against employees for

violation of such prohibition;

(b) Establishing an ongoing drug-free awareness program to

inform employees about--

(1) The dangers of drug abuse in the workplace;

(2) The grantee's policy of maintaining a drug-free workplace;

(3) Any available drug counseling, rehabilitation, and employee

assistance programs; and

(4) The penalties that may be imposed upon employees for drug

abuse violations occurring in the workplace;

(c) Making it a requirement that each employee to be engaged in

the performance of the grant be given a copy of the statement

required by paragraph (a);

(d) Notifying the employee in the statement required by

paragraph (a) that, as a condition of employment under the grant,

the employee will--

(1) Abide by the terms of the statement; and

(2) Notify the employer in writing of his or her conviction for

a violation of a criminal drug statute occurring in the workplace no

later than five calendar days after such conviction;

(e) Notifying the agency in writing, within ten calendar days

after receiving notice under paragraph (d)(2) from an employee or

otherwise receiving actual notice of such conviction. Employers of

convicted employees must provide notice, including position title,

to every grant officer or other designee on whose grant activity the

convicted employee was working, unless the Federal agency has

designated a central point for the receipt of such notices. Notice

shall include the identification number(s) of each affected grant;

(f) Taking one of the following actions, within 30 calendar days

of receiving notice under paragraph (d)(2), with respect to any

employee who is so convicted--

(1) Taking appropriate personnel action against such an

employee, up to and including termination, consistent with the

requirements of the Rehabilitation Act of 1973, as amended; or

(2) Requiring such employee to participate satisfactorily in a

drug abuse assistance or rehabilitation program approved for such

purposes by a Federal, State, or local health, law enforcement, or

other appropriate agency;

(g) Making a good faith effort to continue to maintain a drug-

free workplace through implementation of paragraphs (a), (b), (c),

(d), (e) and (f).

(B) The grantee may insert in the space provided below the

site(s) for the performance of work done in connection with the

specific grant:

Place of performance (Street address, city, county, state, zip

code):

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

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

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

identified here.

Alternate II. (Grantees Who Are Individuals)

(a) The grantee certifies that, as a condition of the grant, he

or she will not engage in the unlawful manufacture, distribution,

dispensing, possession, or use of a controlled substance in

conducting any activity with the grant;

(b) If convicted of a criminal drug offense resulting from a

violation occurring during the conduct of any grant activity, he or

she will report the conviction, in writing, within 10 calendar days

of the conviction, to every grant officer or other designee, unless

the Federal agency designates a central point for the receipt of

such notices. When notice is made to such a central point, it shall

include the identification number(s) of each affected grant.

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

Certification Regarding Debarment, Suspension, and Other Responsibility

Matters--Primary Covered Transactions

Instructions for Certification

1. By signing and submitting this proposal, the prospective

primary participant is providing the certification set out below.

2. The inability of a person to provide the certification

required below will not necessarily result in denial of

participation in this covered transaction. The prospective

participant shall submit an explanation of why it cannot provide the

certification set out below. The certification or explanation will

be considered in connection with the department or agency's

determination whether to enter into this transaction. However,

failure of the prospective primary participant to furnish a

certification or an explanation shall disqualify such person from

participation in this transaction.

3. The certification in this clause is a material representation

of fact upon which reliance was placed when the department or agency

determined to enter into this transaction. If it is later determined

that the prospective primary participant knowingly rendered an

erroneous certification, in addition to other remedies available to

the Federal Government, the department or agency may terminate this

transaction for cause or default.

4. The prospective primary participant shall provide immediate

written notice to the department or agency to which this proposal is

submitted if at any time the prospective primary participant learns

that its certification was erroneous when submitted or has become

erroneous by reason of changed circumstances.

5. The terms covered transaction, debarred, suspended,

ineligible, lower tier covered transaction, participant, person,

primary covered transaction, principal, proposal, and voluntarily

excluded, as used in this clause, have the meanings set out in the

Definitions

[[Page 18986]]

and Coverage sections of the rules implementing Executive Order

12549. You may contact the department or agency to which this

proposal is being submitted for assistance in obtaining a copy of

those regulations.

6. The prospective primary participant agrees by submitting this

proposal that, should the proposed covered transaction be entered

into, it shall not knowingly enter into any lower tier covered

transaction with a person who is proposed for debarment under 48 CFR

part 9, subpart 9.4, debarred, suspended, declared ineligible, or

voluntarily excluded from participation in this covered transaction,

unless authorized by the department or agency entering into this

transaction.

7. The prospective primary participant further agrees by

submitting this proposal that it will include the clause titled

``Certification Regarding Debarment, Suspension, Ineligibility and

Voluntary Exclusion-Lower Tier Covered Transaction,'' provided by

the department or agency entering into this covered transaction,

without modification, in all lower tier covered transactions and in

all solicitations for lower tier covered transactions.

8. A participant in a covered transaction may rely upon a

certification of a prospective participant in a lower tier covered

transaction that it is not proposed for debarment under 48 CFR part

9, subpart 9.4, debarred, suspended, ineligible, or voluntarily

excluded from the covered transaction, unless it knows that the

certification is erroneous. A participant may decide the method and

frequency by which it determines the eligibility of its principals.

Each participant may, but is not required to, check the List of

Parties Excluded from Federal Procurement and Nonprocurement

Programs.

9. Nothing contained in the foregoing shall be construed to

require establishment of a system of records in order to render in

good faith the certification required by this clause. The knowledge

and information of a participant is not required to exceed that

which is normally possessed by a prudent person in the ordinary

course of business dealings.

10. Except for transactions authorized under paragraph 6 of

these instructions, if a participant in a covered transaction

knowingly enters into a lower tier covered transaction with a person

who is proposed for debarment under 48 CFR part 9, subpart 9.4,

suspended, debarred, ineligible, or voluntarily excluded from

participation in this transaction, in addition to other remedies to

the Federal Government, the department or agency may terminate this

transaction for cause or default.

* * * * *

Certification Regarding Debarment, Suspension, and Other Responsibility

Matters--Primary Covered Transactions

(1) The prospective primary participants certifies to the best

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

(a) Are not presently debarred, suspended, proposed for

debarment, declared ineligible, or voluntarily excluded by any

Federal department or agency;

(b) Have not within a three-year period preceding this proposal

been convicted of or had a civil judgment rendered against them for

commission of fraud or a criminal offense in connection with

obtaining, attempting to obtain, or performing a public (Federal,

State or local) transaction or contract under a public transaction;

violation of Federal or State antitrust statutes or commission of

embezzlement, theft, forgery, bribery, falsification or destruction

of records, making false statements, or receiving stolen property;

(c) Are not presently indicted for or otherwise criminally or

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

with commission of any of the offenses enumerated in paragraph

(1)(b) of this certification; and

(d) Have not within a three-year period preceding this

application/proposal had one or more public transactions (Federal,

State or local) terminated for cause or default.

(2) Where the prospective primary participant is unable to

certify to any of the statements in this certification, such

prospective participant shall attach an explanation to this

proposal.

Certification Regarding Debarment, Suspension, Ineligibility and

Voluntary Exclusion--Lower Tier Covered Transactions

Instructions for Certification

1. By signing and submitting this proposal, the prospective

lower tier participant is providing the certification set out below.

2. The certification in this clause is a material representation

of fact upon which reliance was placed when this transaction was

entered into. If it is later determined that the prospective lower

tier participant knowingly rendered an erroneous certification, in

addition to other remedies available to the Federal Government the

department or agency with which this transaction originated may

pursue available remedies, including suspension and/or debarment.

3. The prospective lower tier participant shall provide

immediate written notice to the person to which this proposal is

submitted if at any time the prospective lower tier participant

learns that its certification was erroneous when submitted or had

become erroneous by reason of changed circumstances.

4. The terms covered transaction, debarred, suspended,

ineligible, lower tier covered transaction, participant, person,

primary covered transaction, principal, proposal, and voluntarily

excluded, as used in this clause, have the meaning set out in the

Definitions and Coverage sections of rules implementing Executive

Order 12549. You may contact the person to which this proposal is

submitted for assistance in obtaining a copy of these regulations.

5. The prospective lower tier participant agrees by submitting

this proposal that, [[Page 33043]] should the proposed covered

transaction be entered into, it shall not knowingly enter into any

lower tier covered transaction with a person who is proposed for

debarment under 48 CFR part 9, subpart 9.4, debarred, suspended,

declared ineligible, or voluntarily excluded from participation in

this covered transaction, unless authorized by the department or

agency with which this transaction originated.

6. The prospective lower tier participant further agrees by

submitting this proposal that it will include this clause titled

``Certification Regarding Debarment, Suspension, Ineligibility and

Voluntary Exclusion--Lower Tier Covered Transaction,'' without

modification, in all lower tier covered transactions and in all

solicitations for lower tier covered transactions.

7. A participant in a covered transaction may rely upon a

certification of a prospective participant in a lower tier covered

transaction that it is not proposed for debarment under 48 CFR part

9, subpart 9.4, debarred, suspended, ineligible, or voluntarily

excluded from covered transactions, unless it knows that the

certification is erroneous. A participant may decide the method and

frequency by which it determines the eligibility of its principals.

Each participant may, but is not required to, check the List of

Parties Excluded from Federal Procurement and Nonprocurement

Programs.

8. Nothing contained in the foregoing shall be construed to

require establishment of a system of records in order to render in

good faith the certification required by this clause. The knowledge

and information of a participant is not required to exceed that

which is normally possessed by a prudent person in the ordinary

course of business dealings.

9. Except for transactions authorized under paragraph 5 of these

instructions, if a participant in a covered transaction knowingly

enters into a lower tier covered transaction with a person who is

proposed for debarment under 48 CFR part 9, subpart 9.4, suspended,

debarred, ineligible, or voluntarily excluded from participation in

this transaction, in addition to other remedies available to the

Federal Government, the department or agency with which this

transaction originated may pursue available remedies, including

suspension and/or debarment.

* * * * *

Certification Regarding Debarment, Suspension, Ineligibility and

Voluntary Exclusion--Lower Tier Covered Transactions

(1) The prospective lower tier participant certifies, by

submission of this proposal, that neither it nor its principals is

presently debarred, suspended, proposed for debarment, declared

ineligible, or voluntarily excluded from participation in this

transaction by any Federal department or agency.

(2) Where the prospective lower tier participant is unable to

certify to any of the statements in this certification, such

prospective participant shall attach an explanation to this

proposal.

Certification Regarding Lobbying

Certification for Contracts, Grants, Loans, and Cooperative

Agreements

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

and belief, that:

[[Page 18987]]

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

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

influencing or attempting to influence an officer or employee of an

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

an employee of a Member of Congress in connection with the awarding

of any Federal contract, the making of any Federal grant, the making

of any Federal loan, the entering into of any cooperative agreement,

and the extension, continuation, renewal, amendment, or modification

of any Federal contract, grant, loan, or cooperative agreement.

(2) If any funds other than Federal appropriated funds have been

paid or will be paid to any person for influencing or attempting to

influence an officer or employee of any agency, a Member of

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

Member of Congress in connection with this Federal contract, grant,

loan, or cooperative agreement, the undersigned shall complete and

submit Standard Form--LLL, ``Disclosure Form to Report Lobbying,''

in accordance with its instructions.

(3) The undersigned shall require that the language of this

certification be included in the award documents for all subawards

at all tiers (including subcontracts, subgrants, and contracts under

grants, loans, and cooperative agreements) and that all

subrecipients shall certify and disclose accordingly.

This certification is a material representation of fact upon

which reliance was placed when this transaction was made or entered

into. Submission of this certification is a prerequisite for making

or entering into this transaction imposed by section 1352, title 31,

U.S. Code. Any person who fails to file the required certification

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

more than $100,000 for each such failure.

Statement for Loan Guarantees and Loan Insurance

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

belief, that:

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

influencing or attempting to influence an officer or employee of any

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

an employee of a Member of Congress in connection with this

commitment providing for the United States to insure or guarantee a

loan, the undersigned shall complete and submit Standard Form--LLL,

``Disclosure Form to Report Lobbying,'' in accordance with its

instructions. Submission of this statement is a prerequisite for

making or entering into this transaction imposed by section 1352,

title 31, U.S. Code. Any person who fails to file the required

statement shall be subject to a civil penalty of not less than

$10,000 and not more than $100,000 for each such failure.

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

Signature

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

Title

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

Organization

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

Date

BILLING CODE 4184-01-P

[[Page 18988]]

[GRAPHIC] [TIFF OMITTED] TN17AP97.003

BILLING CODE 4184-01-C

[[Page 18989]]

Instructions for Completion of SF-LLL, Disclosure of Lobbying

Activities

This disclosure form shall be completed by the reporting entity,

whether subawardee or prime Federal recipient, at the initiation or

receipt of a covered Federal action, or a material change to a

previous filing, pursuant to title 31 U.S.C. section 1352. The

filing of a form is required for each payment or agreement to make

payment to any lobbying entity for influencing or attempting to

influence an officer or employee of any agency, a Member of

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

Member of Congress in connection with a covered Federal action.

Complete all items that apply for both the initial filing and

material change report. Refer to the implementing guidance published

by the Office of Management and Budget for additional information.

1. Identify the type of covered Federal action for which

lobbying activity is and/or has been secured to influence the

outcome of a covered Federal action.

2. Identify the status of the covered Federal action.

3. Identify the appropriate classification of this report. If

this is a followup report caused by a material change to the

information previously reported, enter the year and quarter in which

the change occurred. Enter the date of the last previously submitted

report by this reporting entity for this covered Federal action.

4. Enter the full name, address, city, state and zip code of the

reporting entity. Include Congressional District, if known. Check

the appropriate classification of the reporting entity that

designates if it is, or expects to be a prime or subaward recipient.

Identify the tier of the subawardee, e.g., the first subawardee of

the prime is the 1st tier. Subawards include but are not limited to

subcontracts, subgrants and contract awards under grants.

5. If the organization filing the report in item 4 checks

``Subawardee'', then enter the full name, address, city, state and

zip code of the prime Federal recipient. Include Congressional

District, if known.

6. Enter the name of the Federal agency making the award or loan

commitment. Include at least one organizational level below agency

name, if known. For example, Department of Transportation, United

States Coast Guard.

7. Enter the Federal program name or description for the covered

Federal action (item 1). If known, enter the full Catalog of Federal

Domestic Assistance (CFDA) number for grants, cooperative

agreements, loans, and loan commitments.

8. Enter the most appropriate Federal identifying number

available for the Federal action identified in item 1 [e.g., Request

for Proposal (RFP) number; Invitation for Bid (IFB) number; grant

announcement number; the contract, grant, or loan award number; the

application/proposal control number assigned by the Federal agency].

Include prefixes, e.g., ``RFP-DE-90-001.''

9. For a covered Federal action where there has been a award or

loan commitment by the Federal agency, enter the Federal amount of

the award loan commitment for the prime entity identified in item 4

or 5.

10. (a) Enter the full name, address, city, state and zip code

of the lobbying registrant under the Lobbying Disclosure Act of 1995

engaged by the reporting entity identified in item 4 to influence

the covered Federal action.

(b) Enter the full name(s) of the individual(s) performing

services, and include full address if different from 10(a). Enter

Last Name, First Name, and Middle Initial (MI).

(The instructions for items 11 through 15 are removed.)

16. The certifying official shall sign and date the form, print

his/her name, title, and telephone number.

Public reporting burden for this collection of information is

estimated to average 30 minutes per response, including time for

reviewing instructions, searching existing data sources, gathering

and maintaining the data needed, and completing and reviewing the

collection of information. Send comments regarding the burden

estimate or any other aspect of this collection of information,

including suggestions for reducing this burden, to the Office of

Management and Budget, Paperwork Reduction Project (0348-0046).

Program Narrative

This program narrative section was designed for use by many and

varied programs. Consequently, it is not possible to provide

specific guidance for developing a program narrative statement that

would be appropriate in all cases. Applicants must refer the

relevant program announcement for information on specific program

requirements and any additional guidelines for preparing the program

narrative statement. The following are general guidelines for

preparing a program narrative statement.

The program narrative provides a major means by which the

application is evaluated and ranked to compete with other

applications for available assistance. It should be concise and

complete and should address the activity for which Federal funds are

requested. Supporting documents should be included where they can

present information clearly and succinctly. Applicants are

encouraged to provide information on their organizational structure,

staff, related experience, and other information considered to be

relevant. Awarding offices use this and other information to

determine whether the applicant has the capability and resources

necessary to carry out the proposed project. It is important,

therefore, that this information be included in the application.

However, in the narrative the applicant must distinguish between

resources directly related to the proposed project from those which

will not be used in support of the specific project for which funds

are requested.

Cross-referencing should be used rather than repetition. ACF is

particularly interested in specific factual information and

statements of measurable goals in quantitative terms. Narratives are

evaluated on the basis of substance, not length. Extensive exhibits

are not required. (Supporting information concerning activities

which will not be directly funded by the grant or information which

does not directly pertain to an integral part of the grant funded

activity should be placed in an appendix.) Pages should be numbered

for easy reference.

Prepare the program narrative statement in accordance with the

following instructions:

Applicants submitting new applications or competing

continuation applications should respond to Items A and D.

Applicants submitting noncompeting continuation

applications should respond to Item B.

Applicants requesting supplemental assistance should

respond to Item C.

A. Project Description--Components

1. Project Summary/Abstract

A summary of the project description (usually a page or less)

with reference to the funding request should be placed directly

behind the table of contents or SF-424.

2. Objectives and Need for Assistance

Applicants must clearly identify the physical, economic, social,

financial, institutional, or other problem(s) requiring a solution.

The need for assistance must be demonstrated and the principal and

subordinate objectives of the project must be clearly stated;

supporting documentation such as letters of support and testimonials

from concerned interests other than the applicant may be included.

Any relevant data based on planning studies should be included or

referenced in the endnotes/footnotes. Incorporate demographic data

and participant/beneficiary information, as needed. In developing

the narrative, the applicant may volunteer or be requested to

provide information on the total range of projects currently

conducted and supported (or to be initiated), some of which may be

outside the scope of the program announcement.

3. Results or Benefits Expected

Identify results and benefits to be derived. For example, when

applying for a grant to establish a neighborhood child care center,

describe who will occupy the facility, who will use the facility,

how the facility will be used, and how the facility will benefit the

community which it will serve.

4. Approach

Outline a plan of action which describes the scope and detail of

how the proposed work will be accomplished. Account for all

functions or activities identified in the application. Cite factors

which might accelerate or decelerate the work and state your reason

for taking this approach rather than others. Describe any unusual

features of the project such as design or technological innovations,

reductions in cost or time, or extraordinary social and community

involvement.

Provide quantitative monthly or quarterly projections of the

accomplishments to be achieved for each function or activity in such

terms as the number of people to be served and the number of

microloans made. When accomplishments cannot be quantified by

activity or function, list them in

[[Page 18990]]

chronological order to show the schedule of accomplishments and

their target dates.

Identify the kinds of data to be collected, maintained, and/or

disseminated. (Note that clearance from the U.S. Office of

Management and Budget might be needed prior to an information

collection.) List organizations, cooperating entities, consultants,

or other key individuals who will work on the project along with a

short description of the nature of their effort or contribution.

5. Evaluation

Provide a narrative addressing how you will evaluate (1) the

results of your project and (2) the conduct of your program. In

addressing the evaluation of results, state how you will determine

the extent to which the program has achieved its stated objectives

and the extent to which the accomplishment of objectives can be

attributed to the program. Discuss the criteria to be used to

evaluate results; explain the methodology that will be used to

determine if the needs identified and discussed are being met and if

the project results and benefits are being achieved. With respect to

the conduct of your program, define the procedures you will employ

to determine whether the program is being conducted in a manner

consistent with the work plan you presented and discuss the impact

of the program's various activities upon the program's

effectiveness.

6. Geographic Location

Give the precise location of the project and boundaries of the

area to be served by the proposed project. Maps or other graphic

aids may be attached.

7. Additional Information (Include if Applicable)

Additional information may be provided in the body of the

program narrative or in the appendix. Refer to the program

announcement and ``General Information and Instructions'' for

guidance on placement of application materials.

Staff and Position Data--Provide a biographical sketch for key

personnel appointed and a job description for each vacant key

position. Some programs require both for all positions. Refer to the

program announcement for guidance on presenting this information.

Generally, a biographical sketch is required for original staff and

new members as appointed.

Plan for Project Continuance Beyond Grant Support--A plan for

securing resources and continuing project activities after Federal

assistance has ceased.

Business Plan--When federal grant funds will be used to make an

equity investment, provide a business plan. Refer to the program

announcement for guidance on presenting this information.

Organization Profiles--Information on applicant organizations

and their cooperating partners such as organization charts,

financial statements, audit reports or statements from CPA/Licensed

Public Accountant, Employer Identification Numbers, names of bond

carriers, contact persons and telephone numbers, child care licenses

and other documentation of professional accreditation, information

on compliance with federal/state/local government standards,

documentation of experience in program area, and other pertinent

information. Any non-profit organization submitting an application

must submit proof of its non-profit status in its application at the

time of submission. The non-profit agency can accomplish this by

providing a copy of the applicant's listing in the Internal Revenue

Service's (IRS) most recent list of tax-exempt organizations

described in Section 501(c)(3) of the IRS code or by providing a

copy of the currently valid IRS tax exemption certificate, or by

providing a copy of the articles of incorporation bearing the seal

of the State in which the corporation or association is domiciled.

Dissemination Plan--A plan for distributing reports and other

project outputs to colleagues and the public. Applicants must

provide a description of the kind, volume and timing of

distribution.

Third-Party Agreements--Written agreements between grantees and

subgrantees or subcontractors or other cooperating entities. These

agreements may detail scope of work, work schedules, remuneration,

and other terms and conditions that structure or define the

relationship.

Waiver Request--A statement of program requirements for which

waivers will be needed to permit the proposed project to be

conducted.

Letters of Support--Statements from community, public and

commercial leaders which support the project proposed for funding.

B. Noncompeting Continuation Applications

A program narrative usually will not be required for

noncompeting continuation applications for nonconstruction programs.

Noncompeting continuation applications shall be abbreviated unless

the ACF Program Office administering this program has issued a

notice to the grantee that a full application will be required.

An abbreviated application consists of:

1. The Standard Form 424 series (SF 424, SF 424A, SF-424B).

2. The estimated or actual unobligated balance remaining from

the previous budget period should be identified on an accurate SF-

269 as well as in Section A, Columns (c) and (d) of the SF-424A.

3. The grant budget, broken down into the object class

categories on the 424A, and if category ``other'' is used, the

specific items supported must be identified.

4. Required certifications.

A full application consists of all elements required for an

abbreviated application plus:

1. Program narrative information explaining significant changes

to the original program narrative statement, a description of

accomplishments from the prior budget period, a projection of

accomplishments throughout the entire remaining project period, and

any other supplemental information that ACF informs the grantee is

necessary.

2. A full budget proposal for the budget period under

consideration with a full cost analysis of all budget categories.

3. A corrective action plan, if requested by ACF, to address

organizational performance weaknesses.

C. Supplemental Requests

For supplemental assistance requests, explain the reason for the

request and justify the need for additional funding. Provide a

budget and budget justification only for those items for which

additional funds are requested. (See Item D for guidelines on

preparing a budget and budget justification.)

D. Budget and Budget Justification

Provide line item detail and detailed calculations for each

budget object class identified on the Budget Information form.

Detailed calculations must include estimation methods, quantities,

unit costs, and other similar quantitative detail sufficient for the

calculation to be duplicated. The detailed budget must also include

a breakout by the funding sources identified in Block 15 of the SF-

424.

Provide a narrative budget justification which describes how the

categorical costs are derived. Discuss the necessity,

reasonableness, and allocability of the proposed costs.

The following guidelines are for preparing the budget and budget

justification. Both federal and non-federal resources should be

detailed and justified in the budget and narrative justification.

For purposes of preparing the program narrative, ``federal

resources'' refers only to the ACF grant for which you are applying.

Non-Federal resources are all other federal and non-federal

resources. It is suggested that for the budget, applicants use a

column format: Column 1, object class categories; Column 2, federal

budget amounts; Column 3, non-federal budget amounts, and Column 4,

total amounts. The budget justification should be a narrative.

Personnel. Costs of employee salaries and wages.

Justification: Identify the project director or principal

investigator, if known. For each staff person, show name/title, time

commitment to the project (in months), time commitment to the

project (as a percentage or full-time equivalent), annual salary,

grant salary, wage rates, etc. Do not include costs of consultants

or personnel costs of delegate agencies or of specific project(s) or

businesses to be financed by the applicant.

Fringe Benefits. Costs of employee fringe benefits unless

treated as part of an approved indirect cost rate.

Justification: Provide a breakdown of amounts and percentages

that comprise fringe benefit costs, such as health insurance, FICA,

retirement insurance, taxes, etc.

Travel. Costs of project related travel by employees of the

applicant organization (does not include costs of consultant

travel).

Justification: For each trip, show the total number of

traveler(s), travel destination, duration of trip, per diem, mileage

allowances, if privately owned vehicles will be used, and other

transportation costs and subsistence allowances. Travel costs for

key staff to attend ACF sponsored workshops as specified in this

program announcement should be detailed in the budget.

Equipment. Costs of all non-expendable, tangible personal

property to be acquired by the project where each article has a

useful life of more than one year and an acquisition

[[Page 18991]]

cost which equals the lesser of (a) the capitalization level

established by the applicant organization for financial statement

purposes, or (b) $5000.

Justification: For each type of equipment requested, provide a

description of the equipment, cost per unit, number of units, total

cost, and a plan for use on the project, as well as use or disposal

of the equipment after the project ends.

Supplies. Costs of all tangible personal property (supplies)

other than that included under the Equipment category.

Justification: Specify general categories of supplies and their

costs. Show computations and provide other information which

supports the amount requested.

Contractual. Costs of all contracts for services and goods

except for those which belong under other categories such as

equipment, supplies, construction, etc. Third-party evaluation

contracts (if applicable) and contracts with secondary recipient

organizations including delegate agencies and specific project(s) or

businesses to be financed by the applicant should be included under

this category.

Justification: All procurement transactions shall be conducted

in a manner to provide, to the maximum extent practical, open and

free competition. If procurement competitions were held or if a sole

source procurement is being proposed, attach a list of proposed

contractors, indicating the names of the organizations, the purposes

of the contracts, the estimated dollar amounts, and the award

selection process. Also provide back-up documentation where

necessary to support selection process.

Note: Whenever the applicant/grantee intends to delegate part of

the program to another agency, the applicant/grantee must provide a

detailed budget and budget narrative for each delegate agency by

agency title, along with the required supporting information

referenced in these instructions.

Applicants must identify and justify any anticipated procurement

that is expected to exceed the simplified purchase threshold

(currently set at $100,000) and to be awarded without competition.

Recipients are required to make available to ACF pre-award review

and procurement documents, such as request for proposals or

invitations for bids, independent cost estimates, etc. under the

conditions identified at 45 CFR part 74.44(e).

Construction. Costs of construction by applicant or contractor.

Justification: Provide detailed budget and narrative in

accordance with instructions for other object class categories.

Identify which construction activity/costs will be contractual and

which will be assumed by the applicant.

Other. Enter the total of all other costs. Such costs, where

applicable and appropriate, may include but are not limited to

insurance, food, medical and dental costs (noncontractual), fees and

travel paid directly to individual consultants, space and equipment

rentals, printing and publication, computer use, training costs,

including tuition and stipends, training service costs including

wage payments to individuals and supportive service payments, and

staff development costs.

Indirect Charges. Total amount of indirect costs. This category

should be used only when the applicant currently has an indirect

cost rate approved by the Department of Health and Human Services or

another cognizant Federal agency.

Justification: With the exception of most local government

agencies, an applicant which will charge indirect costs to the grant

must enclose a copy of the current rate agreement if the agreement

was negotiated with a cognizant Federal agency other than the

Department of Health and Human Services (DHHS). If the rate

agreement was negotiated with the Department of Health and Human

Services, the applicant should state this in the budget

justification. If the applicant organization is in the process of

initially developing or renegotiating a rate, it should immediately

upon notification that an award will be made, develop a tentative

indirect cost rate proposal based on its most recently completed

fiscal year in accordance with the principles set forth in the

pertinent DHHS Guide for Establishing Indirect Cost Rates, and

submit it to the appropriate DHHS Regional Office. Applicants

awaiting approval of their indirect cost proposals may also request

indirect costs. It should be noted that when an indirect cost rate

is requested, those costs included in the indirect cost pool should

not be also charged as direct costs to the grant. Also, if the

applicant is requesting a rate which is less than what is allowed

under this program announcement, the authorized representative of

your organization needs to submit a signed acknowledgement that the

applicant is accepting a lower rate than allowed.

Program Income. The estimated amount of income, if any, expected

to be generated from this project. Separately show expected program

income generated from program support and income generated from

other mobilized funds. Do not add or subtract this amount from the

budget total. Show the nature and source of income in the program

narrative statement.

Justification: Describe the nature, source and anticipated use

of program income in the budget or reference pages in the program

narrative statement which contain this information.

Non-Federal Resources. Amounts of non-Federal resources that

will be used to support the project as identified in Block 15 of the

SF-424.

Justification: The firm commitment of these resources must be

documented and submitted with the application in order to be given

credit in the review process.

Total Direct Charges, Total Indirect Charges, Total Project

Costs. (Self explanatory).

Certification Regarding Environmental Tobacco Smoke

Public Law 103-227, Part C--Environmental Tobacco Smoke, also

known as the Pro-Children Act of 1994 (Act), requires that smoking

not be permitted in any portion of any indoor routinely owned or

leased or contracted for by an entity and used routinely or

regularly for provision of health, day care, education, or library

services to children under the age of 18, if the services are funded

by Federal programs either directly or through State or local

governments, by Federal grant, contract, loan, or loan guarantee.

The law does not apply to children's services provided in private

residences, facilities funded solely by Medicare or Medicaid funds,

and portions of facilities used for inpatient drug or alcohol

treatment. Failure to comply with the provisions of the law may

result in the imposition of a civil monetary penalty of up to $1000

per day/or the imposition of an administrative compliance order on

the responsible entity:

By signing and submitting this application the applicant/grantee

certifies that it will comply with the requirements of the Act. The

applicant/grantee further agrees that it will require the language

of this certification be included in any subawards which contain

provisions for the children's services and that all subgrantees

shall certify accordingly.

Certification Regarding Maintenance of Effort

In accordance with the applicable program statute(s) and

regulation(s), the undersigned certifies that financial assistance

provided by the Administration for Children and Families, for the

specified activities to be performed under the

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

Program by

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

(Applicant Organization)

will be in addition to, and not in substitution for, comparable

activities previously carried on without Federal assistance.

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

Signature of Authorized Certifying Official

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

Title

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

Date

Appendix B--OMB State Single Point of Contact Listing

Arizona

Joni Saad, Arizona State Clearinghouse, 3800 N. Central Avenue,

Fourteenth Floor, Phoenix, Arizona 85012, Telephone (602) 280-1315,

FAX: (602) 280-8144

Arkansas

Mr. Tracy L. Copeland, Manager, State Clearinghouse, Office of

Intergovernmental Services, Department of Finance and

Administration, 1515 W. 7th St., Room 412, Little Rock, Arkansas

72203, Telephone: (501) 682-1074, FAX: (501) 682-5206

California

Grants Coordinator, Office of Planning and Research, 1400 Tenth

Street, Room 121, Sacramento, California 95814, Telephone (916) 323-

7480, FAX (916) 323-3018

Delaware

Francine Booth, State Single Point of Contact Executive Department,

Thomas Collins Building, P.O. Box 1401, Dover, Delaware 19903,

Telephone: (302) 739-3226, FAX: (302) 739-5661

[[Page 18992]]

District of Columbia

Charles Nichols, State Single Point of Contact, Office of Grants

Mgmt. and Dev., 717 14th Street, N.W.--Suite 500, Washington, D.C.

20005, Telephone: (202) 727-6554, FAX: (202) 727-1617

Florida

Florida State Clearinghouse, Department of Community Affairs, 2740

Centerview Drive, Tallahassee, Florida 32399-2100, Telephone: (904)

922-5438, FAX: (904) 487-2899

Georgia

Tom L. Reid, III, Administrator, Georgia State Clearinghouse, 254

Washington Street S.W.--Room 401J, Atlanta, Georgia 30334,

Telephone: (404) 656-3855 or (404) 656-3829, FAX: (404) 656-7938

Illinois

Virginia Bova, State Single Point of Contact, Department of Commerce

and Community Affairs, James R. Thompson Center, 100 West Randolph,

Suite 3-400, Chicago, Illinois 60601, Telephone: (312) 814-6

This text is long and has been trimmed here. Open the source document for the complete record.