[Federal Register Volume 62, Number 67 (Tuesday, April 8, 1997)]
[Notices]
[Pages 16840-16862]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-8840]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Administration for Children and Families
[Program Announcement No. 93600-97-1]


Availability of Funds and Request for Applications Fiscal Year 
1997 Discretionary Announcement for Cooperative Agreements To Support 
Head Start Quality Improvement Centers

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

ACTION: Announcement of the availability of fiscal year 1997 funds and 
request for applications for 16 multi-year Head Start Quality 
Improvement Centers to provide training and technical assistance to 
local Head Start projects.

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SUMMARY: The Administration for Children and Families, Administration 
on Children Youth and Families' Head Start Bureau announces the 
availability of competitively awarded cooperative agreement grants to 
assist qualified institutions and organizations in the provision of 
training and technical assistance (T/TA) to local Head Start projects 
in 16 service areas. The cooperative agreements will support Head Start 
Quality Improvement Centers (HSQICs). ACF Regions I, III, VII, VIII, 
IX, X, the American Indian Program and Migrant Program Branches will 
have one HSQIC each while ACF Regions II, IV, V, and VI will have two 
HSQICs. The States included in each of these 16 service areas are 
listed in Appendix A.

DATES: The closing date for receipt of applications under this 
announcement is June 9, 1997.

FOR FURTHER INFORMATION CONTACT: Questions related to the Program 
Announcement, please contact the ACYF 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.

Background and Program Purpose

    Head Start is a national program that provides comprehensive 
developmental services for preschool children, ages three to five from 
low-income families and, under the Early Head Start program, for 
infants, toddlers and pregnant women. An essential feature of every 
Head Start program is the involvement of parents, both in the 
development of their children and in the direction of the program at 
the local level.
    Now administered by the Administration for Children and Families, 
the Head Start program began in 1965 in the Office of Economic 
Opportunity as an innovative way to serve children and their low-income 
families. For FY 1997, $3,981,000,000 is available for Head Start and 
approximately 752,000 children are expected to be enrolled. 
Approximately 1,430 community-based, public and private non-profit 
organizations receive Head Start grants and develop unique and 
innovative programs within a framework of national standards to meet 
their specific local needs. Head Start links families with other 
community institutions and local education agencies through both center 
and home-based programs.
    In FY 1994 the Advisory Committee on Head Start Quality and 
Expansion issued its recommendations for improvement and expansion. It 
recommended that Head Start (1) Strive to achieve quality and 
excellence in every local Head Start program, (2) respond flexibly to 
the needs of the children served and their families and (3) forge new 
partnerships at the community, State and Federal levels. The Committee 
found that most Head Start grantees provide high quality services; 
however, the quality of programs is uneven across the country.
    In renewing the Head Start vision in a way that responds more 
effectively to a changing world, Head Start is continuing to provide 
high quality comprehensive services and to strive for excellence. As 
Head Start is expanding and renewing itself, there is a concomitant 
need for assistance from institutions and organizations that can 
provide effective and responsive training and technical assistance that 
support the work of the grantee and delegate agencies that directly 
provide the services to children and their families.
    The Head Start Quality Improvement Centers (HSQICs) created through 
this announcement will form a regionally-based system, composed of 
institutions and organizations whose common purpose will be to work 
with local Head Start programs through training and technical 
assistance (T/TA). This nationwide T/TA effort is designed to support 
the continuous improvement of all grantees and delegate agencies as 
they work to provide high quality and effective services to children 
and families and address the emerging priorities of child care 
partnerships, Head Start expansion and welfare reform. The T/TA system 
reflects a national commitment to quality improvement, local capacity-
building and ongoing evaluation.
    In previous years, ACF operated its national Head Start T/TA system 
through contracts, acquiring the services of qualified providers to 
meet the training and technical assistance needs of local Head Start 
programs. In this announcement, ACF responds to the recommendations of 
the Secretary's Advisory Committee on Head Start Quality and Expansion 
and to consultations with more than 1,000 people in the field of Head 
Start and early childhood development to redesign its T/TA system. This 
cooperative agreement approach will provide assistance to institutions 
and organizations with expertise in the field of early childhood 
development and education to: Respond to the needs of grantees and 
delegate agencies and of communities for flexible technical assistance; 
expand the influence of Head Start as a national laboratory to other 
community- and academically-based early childhood programs; and to work 
with grantees and delegate agencies and with communities in

[[Page 16841]]

achieving continuous quality improvement of their services for children 
and low-income families. Rather than a system of T/TA that relies 
principally on Federal direction and decision-making, this new approach 
seeks to assist experts in the communities where Head Start programs 
provide services in becoming collaborators in a renewed quality 
improvement effort.
    This revised Head Start T/TA system will promote excellence by 
supporting a continuous learning environment for Head Start staff. It 
will foster partnerships among Head Start programs, communities, 
academic institutions (two or four year colleges and universities) and 
governments to engage them in helping children, parents, and staff 
develop their full potential.
    The HSQICs are to work with Head Start grantees to enable Head 
Start programs to develop the following capacities:

    <bullet> Provide effective early childhood education programs 
that model a comprehensive child development approach;
    <bullet> Enhance the quality of life and maximize the potential 
of Head Start-eligible children and their families;
    <bullet> Identify and effectively access a wide variety of 
resources available to the grantees and delegate agencies, both 
within and outside Head Start;
    <bullet> Integrate all of the component resources available to a 
Head Start program so as to enhance and reinforce a comprehensive 
approach to families and children;
    <bullet> Establish and maintain linkages with the child care 
community to assure effective partnerships among providers of child 
development programs; and
    <bullet> Maintain the unique qualities of Head Start and help 
sustain these qualities through periods of growth and change.

    Among the services the HSQICs will provide are the following:

    <bullet> Provide joint training opportunities with academic 
institutions for clusters of grantees that have the same needs based 
on an in-depth needs assessment.
    <bullet> Interact with Head Start State Associations and 
American Indian and Migrant Head Start Associations, State agencies 
and community organizations to coordinate services and to track 
relevant State legislation and regulations.
    <bullet> Focus upon management, coordination and facilitation of 
T/TA services within the Region or sub-Region.
    <bullet> Enhance local program capacity to ensure continuous 
improvement.
    <bullet> Establish and maintain a cadre of qualified, locally-
based consultants to provide T/TA.
    <bullet> Customize services based upon research and supported by 
state-of-the-art technology.
    <bullet> Facilitate information sharing and collaboration with 
stakeholders in Head Start and in the early child care communities 
as well as academic communities.
    <bullet> Engage in an ongoing strategic planning process that 
will allow the system to adapt to a demanding and changing 
environment.

    The HSQICs will each establish structures for the delivery of 
services that meet the needs of their service area. We expect these 
structures will vary from HSQIC to HSQIC. These structures might 
involve creating one or more satellite sites to serve the Head Start 
grantees in a State, in several States or a cluster of grantees in 
parts of one or more States. Such State or cluster sites may be used to 
establish a presence closer to grantee communities. Large States may 
have more than one cluster site and smaller States may share a cluster 
site. The American Indian Programs Branch's HSQIC may have up to three 
cluster sites and the Migrant Programs Branch's HSQIC may have up to 
two cluster sites. In other instances, a HSQIC might assign staff 
within its central office to serve as liaison to grantees in a State or 
part of a State. Applicants are encouraged to propose efficient and 
effective approaches to achieving this kind of geographic proximity.
    It is assumed that Head Start grantees and delegate agencies will 
have varying levels of T/TA needs and will, therefore, seek varying 
levels of assistance from this project.
    HSQICs will be responsible for fulfilling the program goals and 
objectives outlined in their applications, including responsibilities 
for directing, managing and implementing programs of training and 
technical assistance for the Regions that they serve. These programs 
should be tailored to meet the needs of the various Head Start 
grantees, the state of the field of early childhood, and the existing 
resources within the Region or sub-Region.
    Additional information about the range of program areas and needs 
of Head Start grantees and guidance to approaches to training and 
technical assistance is provided in Appendix B.

Federal Involvement

    Federal involvement in the HSQICs will include substantial roles 
for the Head Start Bureau, which includes the American Indian Programs 
Branch and the Migrant Programs Branch, and the ACF Regional Offices. 
Substantial Head Start Bureau and ACF Regional Office involvement with 
the HSQIC will occur when:

    <bullet> Changes in initiatives or national Head Start policy 
need to be communicated to the HSQIC because of the effect on the 
Head Start programs with which the HSQICs are working;
    <bullet> Federal approval is needed for the HSQIC to select or 
award a subgrant or contract;
    <bullet> Federal consultation and approval is needed in the 
selection of a project director;
    <bullet> Federal collaboration or joint planning and 
participation in conferences or meetings with Head Start programs 
and child development professionals will achieve efficiencies and 
more effective agendas; and
    <bullet> Participation on the HSQIC's Regional T/TA Coordinating 
Council with others, as described in Appendix B, will assist the 
HSQIC provider in setting overall policies and in conducting an 
ongoing evaluation of the T/TA provided.

    The roles of the Head Start Bureau and ACF Regional Offices are as 
follows:
    The Head Start Bureau will:

    <bullet> Provide leadership and support for the national Head 
Start T/TA system, which includes the use of national contractors 
and HSQICs to support meetings, program monitoring, materials 
development and other specific needs;
    <bullet> Set Head Start program priorities and formulate new 
initiatives that may affect the plans and priorities of the HSQICs, 
and consult regularly with the HSQICs to ensure that they are fully 
informed of these national priorities and initiatives;
    <bullet> Set standards for the HSQICs in the provision of 
quality Head Start T/TA services for children and families;
    <bullet> Foster collaboration within and outside of Head Start, 
develop partnerships among Federal programs, and promote 
partnerships with the business community;
    <bullet> Conduct semiannual T/TA meetings, to which the HSQICs 
will be invited; and
    <bullet> Monitor the HSQICs to ensure accountability and fiscal 
responsibility throughout the T/TA system.

    The ACF Regional Offices and the Head Start Bureau's American 
Indian Programs Branch and Migrant Programs Branch will each:

    <bullet> Appoint a T/TA coordinator to coordinate Regional or 
sub-Regional T/TA services and to serve as a liaison with the HSQIC;
    <bullet> Participate in the HSQIC's Regional or sub-Regional 
Coordinating Council, as described in Appendix B;
    <bullet> Review a summary of the needs assessments and the T/TA 
plans for grantees in the Region or sub-Region in order to 
effectively coordinate T/TA activities;
    <bullet> Conduct bimonthly (every other month) conference calls 
or Regional or sub-Regional T/TA coordinating meetings;
    <bullet> Attend national T/TA meetings;
    <bullet> Seek out collaborations within and outside the Head 
Start program by participating on the HSQIC's Regional or sub-
Regional Coordinating Council; exhibiting leadership in coordinating 
child care/Head Start partnerships and working with the Head Start 
State Collaboration grantees;
    <bullet> Annually review all services performed by the Regional 
HSQIC prior to submission of the continuation application in order 
to provide relevant consultation to the HSQIC and Regional or sub-
Regional coordination;

[[Page 16842]]

    <bullet> Conduct reviews and manage the follow-up process for 
deficient grantees, i.e., carry out joint planning with the HSQIC 
designed to address identified deficiencies and to identify the T/TA 
needed by deficient grantees in order to implement their Quality 
Improvement Plans (QIPs); and
    <bullet> Encouraging well-performing grantees to develop their 
own T/TA plans and to implement their own T/TA.

Program Duration

    This announcement is soliciting applications for project periods up 
to five years. Awards, on a competitive basis, will be for a one-year 
budget period. Applications for continuation cooperative agreements 
funded under these awards beyond the one-year budget period, but within 
the five-year project period, will be entertained in subsequent years 
on a noncompetitive basis, subject to the availability of funds, 
satisfactory progress of the cooperative agreement grantee and a 
determination that continued funding would be in the best interest of 
the government.

Eligible Applicants

    Public, private nonprofit, and private for-profit organizations are 
eligible to apply for these cooperative agreements. It should be noted 
that for-profit organizations must waive their fee/profit.
    Only incorporated agencies and organizations, not individuals, are 
eligible to apply. On all applications developed jointly by more than 
one agency or organization, the application must identify only one 
organization as the lead organization and the official applicant. The 
other organizations may be included as participants, subgrantees or 
subcontractors.
    Before the applications are reviewed, each application will be 
screened to determine that the applicant organization is an eligible 
applicant as specified. Ineligible applicants will be notified at that 
time.

Project Development

    Applicants are urged to discuss their interests and ideas for 
developing HSQICs early in the planning stage with local Head Start 
grantees and appropriate State, Regional, and local agencies. Community 
support should be encouraged by providing opportunities for public and 
private participation in the planning and development phases.
    This program is covered under Executive Order 12372, 
``Intergovernmental Review of Federal Programs,'' and 45 CFR Part 100, 
``Intergovernmental Review of Health and Human Services Program and 
Activities.''
    Under the Executive Order, States may design their own processes 
for reviewing and commenting on proposed Federal assistance under 
covered programs. All jurisdictions which participate in the Executive 
Order process have established Single Points of Contact (SPOCs). A list 
of the Single Points of Contact for each State and Territory is 
included in this program announcement as Appendix C. Applicants from 
participating jurisdictions should contact their SPOCs as soon as 
possible to alert them to the prospective applications and to receive 
instructions. Applicants must submit any required material to the SPOCs 
as soon as possible so that the ACF program office can obtain and 
review SPOC comments as part of the award process. The applicant must 
submit all required materials, if any, to the SPOC and indicate the 
date of this submittal (or the date of contact if no submittal is 
required) on the Standard Form 424, item 16a. Under 45 CFR 100.8(a)(2), 
a SPOC has 60 days from the application deadline to comment on proposed 
new and competing continuation awards. SPOCs are encouraged to 
eliminate the submission of routine endorsements as official 
recommendations. Additionally, SPOCs are requested to clearly 
differentiate between mere advisory comments and those official State 
process recommendations which may trigger the ``accommodate or 
explain'' rule. When comments are submitted directly to ACF, they 
should be addressed to: Department of Health and Human Services, Head 
Start Bureau, Administration on Children, Youth and Families, P.O. Box 
1182, 330 C Street, S.W., Washington, D.C. 20201.

Completing the Application

    In preparing the application, use standard English language and 
avoid jargon. For the program narrative, type using black print no 
smaller than 12 pitch or 12 point size. An application may not exceed 
250 double-spaced pages inclusive of resumes, charts and appendices. If 
applications exceed 250 double-spaced pages, the other pages will be 
removed from the application and not considered by the reviewers.
    Each copy should be secured with a binder clip in the upper left-
hand corner. The application must be paginated beginning with the 
Standard Form 424 (SF-424) and also contain a table of contents listing 
each section of the application with the respective pages. To 
facilitate handling, do not use covers, ring binders or tabs. 
Applicants are requested not to send pamphlets, brochures, or other 
printed materials as these pose xeroxing difficulties nor should any 
video material be submitted. These materials, if submitted, will not be 
included in the review process if they exceed the page limitation. Each 
page of the application will be counted to determine total length. 
Applicants are advised that the copies of application submitted, not 
the original, will be reproduced by the Federal government for review.
    Instructions for completing the forms are found either on the 
reverse sides of the forms or on supplemental pages.
    Additional guidance may be provided in the program announcement. If 
more space is needed than is provided, use a blank sheet of paper to 
complete the item, using the identical format. Clearly identify the 
continuation page as such, and the information items contained thereon, 
and attach the page after the appropriate page of the application. 
Computer-generated facsimiles may be substituted for any of the forms 
provided in this packet. Such substitute forms should be printed in 
black ink and must maintain the exact wording and format of the 
government-printed forms, including all captions and spacing. Any 
deviations may be grounds for ACF to reject the entire application.
    Additional note: For SF-424 item ``Federal Identifier,'' if the 
applicant organization currently has a payment account with the 
Department of Health and Human Services, cite the Payee EIN or PIN in 
the ``Federal Identifier'' block.

Assembling

    To facilitate the review and processing of the application by the 
awarding office, all pages should be numbered and preceded by a table 
of contents. Assemble the application with the cover letter (if 
provided) on top followed by a table of contents, the SF-424 series 
forms, the program narrative, and any remaining documents. Completed 
applications should be signed and dated in ink by the authorized 
official of the applicant organization. An original and two copies of 
the application should be provided. Applicants may omit from the 
application copies which will be made available to the non-Federal 
reviewers that specify salary rates or amounts for individuals 
identified in the application budget. Rather, only summary information 
is required.
    Applicants are encouraged to use the least costly, but most 
efficient method for binding and securing their application documents.

Application Submission

    Mail or hand deliver completed applications in accordance with the 
instructions in this announcement. Be

[[Page 16843]]

aware that the deadline specified in this announcement is either a 
`receipt date' or a `postmark date' deadline. Also note that there are 
different instructions and addresses for mail delivery and hand 
delivery of applications. ACF cannot accommodate transmissions 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.
    An applicant should submit an original and two copies of its 
application by mail to: ACYF Operations Center, 3030 Clarendon Blvd., 
Room 240, Arlington, Virginia 22201, (703) 351-7676, (703) 528-0716 
(FAX).
    An applicant may apply for more than one Regional or sub-Regional 
service area, but must submit a separate application for each service 
area for which it is applying.
    Applications hand-carried by applicants, applicant couriers, or by 
overnight/express mail couriers shall be considered as meeting an 
announced deadline date if delivered between the normal working hours 
of 8 a.m. and 4:30 p.m., to Room 240, 3030 Clarendon Blvd., Arlington, 
Virginia, Monday through Friday, (excluding Federal holidays). 
(Applicants are cautioned that express/overnight mail services do not 
always deliver as agreed.)
    The closing date for the submission of applications under this 
announcement is June 9, 1997.
    Deadlines: Applications will be considered as meeting the above 
deadline if they are either:

    1. received on or before the deadline date at the receipt point 
specified in this program announcement, or
    2. sent on or before the deadline date and received by ACF in 
time for the independent review.

    Applicants are responsible for mailing applications well in 
advance, when using all mail services, to ensure that applications are 
received on or before the deadline date.
    Applicants are cautioned to request a legibly dated U.S. Postal 
Service postmark or to obtain a legibly dated receipt from a commercial 
carrier or U.S. Postal Service. Private metered postmarks shall not be 
acceptable as proof of timely mailing.

Late Applications

    Applications which do not meet the criteria above are considered 
late applications. ACF will notify each late applicant that its 
application will not be considered in the current competition.
    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.

Intent To Apply

    If you are going to submit an application, 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 Regional 
or sub-Regional service area in which you may submit an application 
within two weeks of receipt of this announcement to: Administration on 
Children, Youth and Families, Operations Center, 3030 Clarendon 
Boulevard, Room 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.

Acknowledgement of Receipt

    Each applicant will be sent a written acknowledgement of receipt by 
ACF as soon as possible after receipt of an application. Applicants are 
welcome to provide a mailing label with their application to help 
expedite this process. If provided, the mailing label should reflect 
the mailing address of the authorizing official who is applying on 
behalf of the organization. If acknowledgment of receipt of your 
application is not received within eight weeks after the deadline date, 
please notify the ACYF Operations Center by telephone at 1-800-351-
2293.

Nonconforming Applications

    Applications which are determined to be nonconforming shall not be 
accepted for processing and shall be returned to the applicant. A grant 
application may be classified as nonconforming if it does not meet the 
requirements of this program announcement.

Application Review

    Applications will be evaluated and rated according to criteria and 
priorities which are established for the particular grant program 
involved and which are described in this announcement (see below).
    ACF anticipates awarding cooperative agreements for the T/TA grants 
described in this announcement. A cooperative agreement is a financial 
assistance award that allows substantial Federal involvement in the 
activities undertaken with Federal financial support. Supporting the 
HSQICs through cooperative agreements will ensure cooperation and 
coordination in the provision of T/TA to Head Start programs and 
related community child development efforts between the Federal 
government and the organizations and institutions that operate HSQICs.
    Timely applications from eligible applicants will be reviewed and 
scored competitively. Experts in the field, generally persons from 
outside the Federal government, will use the evaluation criteria listed 
below to review and score the applications. The results of this review 
are the primary factor in making funding decisions. ACYF may also 
solicit written comments from ACF Regional Offices, the Head Start 
Bureau and other Federal agencies with knowledge of the applicant's 
capability and expertise. These comments, along with those of the 
expert reviewers, will be considered in making funding decisions and 
will be a part of the official application file.
    The applicant must demonstrate capacities to work with community-
based, family-centered programs, low-income families, and the public 
and private organizations that relate to them. There must be a 
congruence of the applicant's mission or purpose with the basic mission 
of the Head Start program to provide comprehensive child development 
services for the children of low-income families.

Evaluation Criteria

    All timely applications from eligible applicants will be evaluated 
on the extent to which they meet the following criteria:

    a. Objectives and Need for Assistance (10 points) The applicant 
clearly and concisely identifies and documents relevant economic, 
social, financial, institutional and other problems requiring 
training and technical assistance; and states the principal and 
subordinate objectives of the proposed HSQIC. Supporting 
documentation or other testimony from concerned interests other than 
the applicant on the need for assistance may be used.
    b. Results or Benefits Expected (10 points) The applicant 
clearly and concisely identifies the specific and measurable results 
and benefits to be achieved by the proposed HSQIC, which are 
consistent with the objectives of the proposal, and indicates 
anticipated contributions to the quality of Head Start services, 
policy, and practice.
    c. Approach (40 points) The applicant describes how the project 
will be conducted. The applicant describes: How grantees will be 
supported in moving toward higher levels of quality and excellence; 
the levels of training and technical assistance service that will be 
provided to different categories of

[[Page 16844]]

grantees and how grantees will be selected for each level of 
service; the uses that will be made of communication technology and 
learning modules; how priorities will be set among competing 
demands; and how work assignments will be managed. The applicant 
proposes a realistic and comprehensive plan of action for achieving 
the objectives of the proposed HSQIC; details how the proposed 
training and technical assistance would be accomplished and lists 
organizations, consultants, and other key individuals who will work 
on the project; and describes its approach to ensuring continuous 
improvement in its efforts to meet the identified needs and to 
achieve the identified results and benefits.
    d. Staff Background and Organization's Experience (20 points) 
The applicant identifies qualified staff with the necessary 
educational and experiential backgrounds and documents the 
background of the proposed project director and other proposed 
project staff (providing name, address, training, most relevant 
educational background and other qualifying experiences along with 
resumes and short descriptions of their proposed responsibilities or 
contributions to the applicant's work plan); the experience of the 
applicant in administering a project like the one proposed; and the 
applicant's ability to effectively and efficiently administer this 
project.
    e. Budget Appropriateness and Reasonableness (20 Points) The 
applicant clearly describes and justifies as reasonable and 
realistic the project's costs in view of the activities to be 
carried out and the anticipated outcomes.

Funding Decisions

    After a decision has been reached to disapprove or not fund a grant 
submission during a given review cycle, a written notice shall be sent 
to the unsuccessful applicant by the responsible program official 
within 30 days after that decision.
    After Federal funds are exhausted for a grant competition, 
applications which have been independently reviewed and ranked but have 
no final disposition (neither approved nor disapproved for funding) may 
again be considered for funding. Reconsideration may occur at any time 
funds become available within 12 months following ranking. ACF does not 
select from multiple ranking lists for a program. Therefore, should a 
new competition be scheduled and applications remain ranked without 
final disposition, applicants are informed of their opportunity to 
reapply for the new competition, to the extent practical.
    The anticipated annual funding for the HSQICs will range from a 
minimum of approximately $775,000 to a maximum of approximately 
$2,400,000, depending upon the service area. These amounts are 
generally proportionate to a combination of the number of Head Start 
children and the number of Head Start grantees in each service area, as 
compared to other service areas. Below is a list of the projected 
annual funding level for the initial funding year for each service 
area. It is anticipated that funding for each of the four possible 
subsequent years of funding will, at a minimum, equal the funds 
available for the first year.

------------------------------------------------------------------------
                                                 Number of              
                                                grantees in   Estimated 
                 Service areas                    service      funding  
                                                    area                
------------------------------------------------------------------------
Region I......................................           80   $1,164,170
Region II(a)..................................           92    1,718,000
Region II(b)..................................           14      778,050
Region III....................................          146    1,970,700
Region IV(a)..................................          118    1,711,000
Region IV(b)..................................          115    2,330,000
Region V(a)...................................           88    1,519,000
Region V(b)...................................          125    2,188,500
Region VI(a)..................................           86    1,431,490
Region VI(b)..................................           94    1,656,000
Region VII....................................           73    1,204,350
Region VIII...................................           75    1,273,390
Region IX.....................................           79    2,374,520
Region X......................................           64      922,040
American Indian Programs......................          130    1,512,500
Migrant Programs..............................           25    1,696,290
------------------------------------------------------------------------

    Program income must be reported to ACF, and its use, accounted for 
on the SF 269, must enhance the ACF cooperative agreement projects and 
benefit the Head Start grantees. The income must be added to funds 
committed to the cooperative agreement and must be used to further 
eligible program objectives. There is no requirement to request prior 
approval to defer the use of program income for a later period of time.
    It is anticipated that eight Regional and eight sub-Regional HSQICs 
will be funded under this announcement. ACYF intends to award the new 
cooperative agreements under this announcement during the third or 
fourth quarters of FY 1997.

Program Narrative

    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 being requested. 
Supporting documents should be included when they can present 
information clearly and succinctly. Applicants are encouraged to 
provide information on their organization 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 and those which will not be used in the support of the specific 
project for which funds are being 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 using the following format 
and guidance:
    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 T/TA problems requiring solutions. 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 is 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 the results and benefits 
to be derived from the T/TA services to be provided.
    4. Approach. Outline a plan of action that describes the scope and 
detail of how the proposed work would be accomplished. Account for all 
functions or activities identified in the

[[Page 16845]]

application. Cite factors which might accelerate or decelerate the work 
and state your reasons for taking your approach rather than others.
    Describe unusual features of the project such as use of 
technological innovations, reductions in costs or time, or 
extraordinary social and community involvement.
    Successful applicants will present approaches for providing 
training and technical assistance to Head Start programs that take into 
account that some grantees and delegate agencies may have self-
sufficient, well-developed and multifaceted T/TA efforts, while other 
grantees and delegate agencies may have a greater need for T/TA from 
Regionally-based providers. Additional guidance on project design is 
provided in Appendix B.
    Describe the approaches to be taken and the issues taken into 
consideration for establishing close working relationships at State 
levels or with geographically defined clusters of grantees.
    Describe how the T/TA services would be designed for or could be 
adapted for local Head Start programs in a variety of settings 
including center-based, home-based, combination, part-and full-day 
programs.
    Describe a strategy for working in cooperation with the ACF 
Regional Office responsible for the service area in which the 
application proposes to provide T/TA or with the American Indian 
Program Branch and Migrant Programs Branch, respectively.
    5. Geographic Location. Give the precise location of the HSQIC and/
or State/cluster sites and the boundaries of the area to be served by 
the proposed project. Maps or other graphic aides may be attached.
    6. Additional Information. Staffing and Position Data--Provide 
biographical sketches for key personnel proposed and a job description 
for each vacant key position.
    Organization Profiles--Describe your institutional/organizational 
capability and background in early childhood development/early 
childhood education, Head Start programs, child care, family support, 
community building, higher education/training and T/TA delivery.
    Include information on applicant organizations and their 
cooperating partners such as organizational charts, financial 
statements, audit reports or statements from a CPA/Licensed Public 
Accountant, Employer Identification Numbers, names of bond carriers, 
contact persons and telephone numbers for chief organizational 
officer(s).
    Any nonprofit organization submitting an application must submit 
proof of its nonprofit status in its application at the time of 
submission. The nonprofit 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.
    For profit organizations submitting an application must include a 
written statement which certifies that they operate as a corporation 
incorporated under the laws of the State of [fill in the blank], and 
must provide proof of this status.''
    Third-Party Agreements--Provide 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.
    Letters of Support--Provide statements from community, public and 
commercial leaders who support the project proposed for funding.
    Reporting--Provide quarterly progress reports for seriously 
deficient grantees, and describe how they were generated and 
coordinated with the Federal Project Officer and the Regional 
Coordinator i.e., quarterly statistics on: the number of on-site T/TA 
visits, the number of conferences/workshops, the number of local T/TA 
resources accessed, the number of child care programs receiving T/TA 
services.
    Provide a quarterly financial statement which includes information 
on the amount of funds expended during the quarter, the cumulative 
amount expended, and the amount of funds remaining available.

    Note: Eligible applicants must submit a complete application 
including the required forms included at the end of this program 
announcement.

    In order to be considered for a cooperative agreement under this 
announcement, an application must be submitted on the forms and follow 
the directions provided in this announcement, all of which are approved 
by the Office of Management and Budget under Control Number 0970-0139. 
Required forms include the Standard Form 424 application form and 
Standard Form 424B, ``Assurances: Non-Construction Programs.''
    Applicants must provide a certification concerning lobbying on the 
form provided (OMB-0348-0046). 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 certifications with 
their application.
    Applicants must make the appropriate certification of their 
compliance with the Drug-Free Work Place 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 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 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 with the forms.

Paperwork Reduction Act of 1995

    Under the Paperwork Reduction Act of 1995 (Pub. L. 104-13), the 
Department is required to submit to the Office of Management and Budget 
(OMB) for review and approval any reporting and record-keeping 
requirement or program announcements. This program announcement meets 
all information collection requirements approved for ACF grant 
applications under OMB Control Number 0970--139.
    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.

Additional Information To Assist Applicants in Preparing Their 
Applications

    For an information kit which identifies the Head Start grantees in 
each Regional and sub-Regional service area and which includes a copy 
of the revised Head Start Performance Standards, a copy of the Head 
Start regulations and other materials that may be useful in preparing 
of a response to this announcement, please contact: ACYF Operations 
Center, 3030 Clarendon Blvd., Suite 240, Arlington, Virginia 22201, 
703-351-7676, 703-528-0716 (FAX).
    Six information sharing meetings will be conducted in person or via 
video-

[[Page 16846]]

 conference in the following locations and at the following times: 
(Please call the telephone numbers below for information about exact 
time and place):

<bullet> Washington, D.C., Switzer Building, Room 2100, 330 C 
Street, S.W., Contact: Rosalind Dailey, (202) 205-8347.
<bullet> New York, NY, ACF Region II, (212) 264-2974.
<bullet> Atlanta, GA, ACF Region IV, (404) 331-2398.
<bullet> Chicago, IL, ACF Region V, (312) 353-8322.
<bullet> Dallas, TX, ACF Region VI, (214) 767-9648.
<bullet> San Francisco, CA, ACF Region IX, (415) 437-8481.

    The questions and responses discussed at these meetings will be 
shared with all participating parties as well as organizations 
expressing an interest in receiving copies.

    Statutory Authority: Catalog of Federal Domestic Assistance 
(CFDA) number 93.600.

    Dated: March 31, 1997.
James A. Harrell,
Deputy Commissioner, Administration on Children, Youth and Families.

Appendix A--Regional and Sub-Regional Service Areas To Be Served by 
Individual Head Start Quality Improvement Centers

Region I  Connecticut, Maine, Massachusetts, New Hampshire, Rhode 
Island, Vermont
Region II
    Sub-region (a): New Jersey, New York
    Sub-region (b): Puerto Rico, Virgin Islands
Region III  Delaware, Maryland, Pennsylvania, Virginia, Washington, 
D.C., West Virginia
Region IV
    Sub-region (a): Kentucky, North Carolina, South Carolina, 
Tennessee
    Sub-region (b): Alabama, Florida, Georgia, Mississippi
Region V
    Sub-region (a): Michigan, Minnesota, Wisconsin
    Sub-region (b): Illinois, Indiana, Ohio
Region VI
    Sub-region (a): Arkansas, Louisiana, Oklahoma
    Sub-region (b): New Mexico, Texas
Region VII  Iowa, Kansas, Missouri, Nebraska
Region VIII  Colorado, Montana, North Dakota, South Dakota, Utah, 
Wyoming
Region IX  Arizona, California, Hawaii, Nevada, American Samoa, 
Commonwealth of the Marianas, Guam, Trust Territories
Region X  Idaho, Oregon, Washington; and a satellite center located 
in Alaska, serving both Region X and American Indian Program 
grantees.
American Indian Programs Branch
    American Indian Head Start grantees in Alaska, Arizona, 
California, Colorado, Florida, Idaho, Kansas, Michigan, Minnesota, 
Mississippi, Montana, Nebraska, Nevada, New Mexico, New York, North 
Carolina, North Dakota, Oklahoma, Oregon, South Dakota, Utah, 
Washington, Wisconsin, Wyoming
Migrant Programs Branch
    Migrant Head Start grantees in Alabama, Arizona, Arkansas, 
California, Colorado, Delaware, Florida, Georgia, Idaho, Illinois, 
Indiana, Maryland, Michigan, Minnesota, New Jersey, New Mexico, New 
York, North Carolina, Ohio, Oregon, Pennsylvania, South Carolina, 
Tennessee, Texas, Utah, Virginia, Washington, Wisconsin

Appendix B--Guidance for the Project Design of a Head Start Quality 
Improvement Center

    The Regional or sub-Regional Head Start Quality Improvement Centers 
(HSQICs) are envisioned to be coordinator/information hubs at the 
Regional/American Indian Programs Branch (AIPB)/Migrant Programs Branch 
(MPB) level, disseminating and collecting information from the ACF 
Regional and National Offices, the American Indian Programs and Migrant 
Programs Branches, and Head Start grantees, as well as the broader 
child care community. The HSQICs are encouraged to work with local 
agencies to develop interagency agreements and partnerships for the 
delivery of T/TA.
    As partners with the Head Start Bureau and ACF Regional Offices, 
the recipients of these awards are encouraged to propose plans that 
define strategies to meet the needs of Head Start grantees and delegate 
agencies as well as the child development field in the areas that they 
will serve. The strategies should provide for some level of support for 
all grantees and delegate agencies. The provision of T/TA should begin 
with a strategic planning process that will include a needs assessment 
and plan development and will continue with steps for the 
implementation of T/TA services and for the evaluation of those 
services. Information may be shared among the HSQICs and with the Head 
Start Bureau and ACF Regional Offices.
    The HSQICs will have responsibility for assuring T/TA that can be 
provided statewide and to clusters of grantees, as well as to 
individuals at the grantee level. The HSQICs may consider the 
development of State/cluster sites. The State/cluster sites, suggested 
to ACF in consultations carried out in the preparation of this program 
announcement, are envisioned as extensions of the HSQICs. The number of 
skilled staff located at the State/cluster site would be dependent upon 
the size and number of grantees and delegate agencies and within the 
geographic area covered. Current teaching centers or State/American 
Indian/Migrant Head Start Association offices might be considered as 
possible State/cluster sites.
    In addition, the Regional and sub-Regional HSQICs should work with 
the ACF Regional Offices, the American Indian Programs and Migrant 
Programs Branches to implement T/TA in the following areas:

    <bullet> Quality improvement:
    * Core Head Start Services
    + T/TA resources needed to assure compliance with the Head Start 
Program Performance Standards in each content area and to implement 
program improvement plans and best practices.
    + Needs Assessments using information collected, analyses and 
syntheses from National Head Start T/TA providers, the Head Start 
Bureau and ACF Regional Offices, State/cluster sites and local Head 
Start grantees themselves.
    + Regional or sub-Regional training based on needs assessments 
and emerging priorities shared by many grantees.
    + Short- and long-range Regional T/TA plans developed by the 
Regional Coordinating Council, based on assessments, national and 
Regional program improvement plans, State/cluster information and 
national initiatives.
    + Model evaluation plans for grantees and States/clusters to 
obtain assessments of the quality and effectiveness of T/TA services 
provided on-site, in workshops, and in direct consultation and the 
use of the evaluation data in planning future T/TA activities.
    + Assistance to grantees in developing and implementing T/TA 
funded directly to Head Start grantees by Program Account #20 and 
other funds.
    + In collaboration with the American Indian Programs and the 
Migrant Programs Branches, T/TA especially directed to meet the 
needs of American Indian and Migrant grantees for information on 
relevant Regional/State issues, regulations, and available resources 
or services.
    + Emerging literacy and numeric development through materials 
and activities according to the developmental level of each child.
    * Early Head Start (EHS)
    + Collaboration with the Early Head Start-National Resource 
Contract (EHS-NRC) to enhance and reinforce a comprehensive approach 
to meeting the multiple needs of pregnant women, and families with 
infants and toddlers.
    + Assistance in ensuring that EHS child and family development 
program models provide early opportunities for infants and toddlers 
to grow and develop in warm, nurturing and inclusive settings.
    + State and Regional networks for the exchange of models, 
strategies and materials on partnership approaches to the funding 
and delivery of high quality, comprehensive early childhood services 
among and across Head Start grantees, child care centers and homes, 
school-based early childhood programs and other providers and 
settings serving young children and families.

[[Page 16847]]

    + Assistance to EHS programs to identify and assess a wide 
variety of resources available in communities.
    + Assistance to EHS programs to ensure continuous learning 
opportunities for training, supervision and mentoring in response to 
the ongoing development of new knowledge across disciplines and to 
enable the staff to recognize and respond to the best practices, 
lessons learned and quality goals of EHS.
    * Child Development Associate (CDA) Certification
    + Assistance to grantee and delegate agencies to locate staff 
training with academic credit, as feasible, to help ensure:
    <bullet> renewal of CDA credentials;
    <bullet> qualified staff as defined in the Head Start Program 
Performance Standards, including teachers of infants and toddlers 
and teachers of preschool age children;
    + Assistance to grantee and delegate agencies in identifying 
qualified and experienced experts capable of providing on-site 
training and mentoring to teachers of infants and toddlers, teachers 
of preschool age children, home visitors, and family child care 
providers, and their respective supervisors over substantial periods 
of time.
    + Assistance to grantee and delegate agencies in implementing a 
curriculum suitable for the ages and stages of development of the 
children served which is consistent with the definition in the Head 
Start Program Performance Standards.
    + Identification of training resources and consultants to 
implement CDA requirements for home-based programs.
    * Quality Improvement Plans and Monitoring Follow-up
    + Assistance to grantees found to be deficient to ensure that 
Quality Improvement Plans (QIPs) are implemented and identified 
deficiencies addressed, at the grantee's request.
    + Use of information from monitoring reviews, Program 
Information Reports (PIR), and data provided by the ACF Regional 
Office, the American Indian Programs and the Migrant Programs 
Branches to plan T/TA for grantees.
    + Development of procedures for grantees to communicate their 
special needs for T/TA to their Regional or sub-Regional and cluster 
coordinators.

    In providing T/TA in the above-outlined areas, HSQICs may use the 
following approaches:

    <bullet> Forms of collaboration and assistance
    * On-site collaboration/assistance
    + On-site T/TA in response to needs identified during the needs 
assessment process.
    + Special projects to meet Regional or sub-Regional service area 
needs.
    * Workshops and conferences
    + Regional or sub-Regional training workshops and institutes for 
grantees on Head Start-specific topics and other topics as 
determined by need, including fiscal management, management training 
(strategic long-range planning, communication systems, 
organizational structure, systems theory and program self-
assessment), the Head Start Financial Information System (HSFIS), 
Program Information Report (PIR) orientation for new directors and 
coordinators and orientation on the Head Start Program Performance 
Standards (historically, these have been held at least annually).
    + Development of topics and schedules of workshops provided at 
State/cluster sites.
    + Presentations/workshops for State and National Head Start 
Association conferences and national Head Start Bureau events.
    + Participation in meetings/events sponsored by public and 
private organizations offering opportunities to provide T/TA-related 
information to appropriate constituencies.
    + Use of current technologies/approaches, such as distance 
learning, interactive systems computers, videos, satellite down 
links, internet, etc., for maximizing the dissemination and 
provision of T/TA.
    * Training and technical assistance institutes
    + Training provided to grantees on-site, in clusters, and/or at 
State- or Region-wide settings, including use of the train-the-
trainer model.
    + Development and implementation of opportunities for distance 
learning.
    + Training on newly developed Head Start materials.
    + Development and implementation of procedures for grantee staff 
to engage in inquiry research and in program/curriculum development 
opportunities.
    * Information dissemination/networking
    + Regional information dissemination on T/TA to grantees and 
State/cluster sites.
    + Technological networks at the Regional level using innovative 
communication technology, particularly to disseminate information on 
Head Start policies and regulations.
    + Shared information and results of evaluations of consultants 
through the National T/TA Information Resource Bank.
    + Demonstrations of, and information on, and dissemination of 
materials developed by national contractors and Regional and sub-
Regional HSQICs.
    + Collaboration with Head Start-sponsored or related national 
initiatives, such as Medicaid, immunizations, substance abuse 
prevention and treatment, transportation, facilities and mental 
health.
    + Information and/or training about Head Start Bureau 
publications, such as training guides.
    + Assistance in developing Head Start Family Information System 
(HSFIS) reports for local use, maintaining contact with the HSFIS 
contractor regarding the usage of the system.
    + Working with HSFIS sites, encouraging the use of the HSFIS by 
Head Start programs in the Region or sub-Region through the 
distribution of reports and other information; assisting programs in 
determining hardware requirements, staffing requirements, and data 
entry methods; maintaining contact with the Head Start mentor 
programs; assisting mentor programs in arranging for cluster 
training involving one or more mentor groups; assisting at cluster 
training events; maintaining contact with the HSFIS contractor 
regarding the performance of the software and other aspects of 
ongoing usage of the system; and recommending improvements in the 
system.
    + Maintaining and publishing information on statewide T/TA 
resources including Child Care Resource and Referral programs.
    + Maintaining a video/materials resource library.
    + Contributing articles to the Head Start Bulletin.
    + Maintaining of up-to-date fact sheets on grantees and program 
model descriptions.
    + Maintaining a Regional or sub-Regional calendar of T/TA 
events.
    + Participating in semiannual national T/TA network meetings, 
along with quarterly meetings/conference calls with the Federal 
Project Officer (FPO) and the Regional HSQIC liaison.
    <bullet> HSQICs should organize and structure T/TA activities to 
achieve maximum coordination, efficiency and effectiveness. 
Suggested approaches include:
    * A Regional or sub-Regional Coordinating Council comprised of 
various stakeholders, such as ACF Regional Office staff, the Federal 
Project Officer from the Head Start Bureau, State Collaboration 
Project grantees, State Head Start Association representatives and 
other T/TA providers in the areas of child care, early childhood 
education, health, family development, community development and 
program planning. The Council would support the HSQIC in identifying 
needs for T/TA, developing a Regional or sub-Regional T/TA plan, 
connecting and coordinating services in and among the different 
levels of the system and to reach out to the community. It would 
meet regularly to consult with the leadership of the HSQIC in 
assessing needs, developing a fair balance for the provision of 
services among grantees, and preparing and updating Regional or sub-
Regional T/TA plans.
    * State-/cluster-based activities functioning as extensions of 
the HSQIC to provide joint training opportunities to clusters of 
grantees that have the same needs based on needs assessments. The 
use of expert trainers and consultants to provide T/TA to grantees 
within the cluster and to interact with American Indian, Migrant and 
State Head Start Associations, State agencies and community 
organizations to coordinate services and to track relevant State 
legislation and regulations. Work with ``exemplary'' grantees to 
help them move forward as the new system is designed. Trainers need 
a knowledge base and an awareness of adult continuous learning and 
applicability to issues in the community/program to be served. Large 
States may have more than one cluster site and smaller States may 
share clusters of grantees. The American Indian Programs Branch 
grantees may have up to three cluster sites and the Migrant Programs 
Branch grantees may have up to two cluster sites. State/cluster site 
staff could be co-located with other T/TA providers.
    * Regular meetings, communications:
    + Use of technology, such as satellites, computers, voice links, 
internet, etc.
    + Use of interconnected feedback loops for the purpose of issue 
identification, policy interpretations, evaluation, etc.
    * Collaboration with Community-Based Child Care:

[[Page 16848]]

    + Assistance in creating and managing partnership strategies 
with child care and early childhood agencies and providers to meet 
the needs of working families and parent preparing for employment.
    + Assistance to Head Start grantees in managing multiple sources 
of funding to support high quality, full-day/full-year services.
    + Assistance in adapting staffing patterns, classroom- and home-
based child development services and family involvement and support.
    + Assistance to State Head Start Associations, State 
Collaboration Projects, state and community early childhood agencies 
and Head Start grantees in systematic approaches to needs, 
assessment, planning, funding, and staff development in early care 
and education services.
    * Linkages with Federal-State and other partners, such as the 
U.S. Departments of Agriculture, Labor, Housing and Urban 
Development, Transportation, Education, federally recognized Tribes, 
and institutions of higher learning.
    <bullet> Geographic Coverage
    * Types of grantees in service area: Large/small, rural/urban, 
center-based, home-based, Early Head Start, full-day, part-day.
    * Level of quality among grantees:
    + Assistance to well performing grantees in developing their own 
T/TA services.
    + Identification of grantees to serve as mentors to new and/or 
deficient and seriously deficient grantees. Assistance in the 
management of supplementary grant funds for the mentoring grantees 
and collection of evaluative information on the mentoring efforts.
    + Assistance in designing T/TA plans for deficient and seriously 
deficient grantees, at their request and in collaboration with the 
ACF Regional Office, American Indian Programs and Migrant Programs 
Branches to enable them to meet the Head Start Program Performance 
Standards.
    <bullet> Management and staffing issues (including consultant 
banks)
    + Sufficient HSQIC staff to coordinate training, manage staff 
and consultant resources, provide necessary subject-specific 
expertise, and administer cooperative agreement fiscal resources.
    * Sufficient leadership and consultant expertise to address 
health responsibilities, including the specialty areas (medical, 
dental, nutrition, mental health) at the Regional or sub-Regional 
and State/cluster sites.
    * Family and Community Partnership/Governance:
    + Skilled leadership in establishing linkages and effective 
interactions with Federal and State partners, distributing resource 
materials and conducting regular ongoing State/cluster Policy 
Council training with an emphasis on the timely training of parents 
who are new Policy Council members, arranging for follow-up on-site 
and being fully knowledgeable of each State's unique approach to 
Welfare Reform and providing on-site consultation regarding issues 
or effects which may impact Head Start programs and their 
operations/services.
    * Management and Leadership
    + Sufficient staff and consultant support for ensuring training 
and technical assistance opportunities in management, human 
resources and leadership in addressing the Head Start Program 
Performance Standards.
    * Child Care Responsibilities
    + Skilled leadership and support on assessing needs for training 
and technical assistance on Head Start/Child Care partnership 
issues.
    + Assistance in locating and describing innovative and 
successful Head Start/Child Care partnerships which expand the 
availability of high quality full-day/full-year services.
    + Assistance in State and Regional networking strategies for 
exchange of strategies and problem-solving around the challenges of 
partnership approaches to funding and managing high quality full-
day/full-year services by Head Start grantees and other community-
based child care and early childhood agencies.
    + Collaboration with other Federal, State, and local child care 
and early childhood agencies, programs and professional 
organizations in training, technical assistance, professional 
development, and planning efforts.
    * HSFIS expertise to encourage its use by Head Start programs in 
each service area.
    + Assisting programs in determining hardware requirements, 
grantee staffing requirements, data entry methods, etc.
    + Maintaining contact with the mentor programs through e-mail, 
conference calls, etc., in order to assist mentor programs in 
arranging for cluster training.
    * Transportation expertise:
    + Maintaining a resource library of transportation materials, 
including such topics as vehicles, driver training, monitor 
training, child restraints, model transportation plans, State pupil 
transportation safety plans, etc.
    + Assisting programs in keeping abreast of various Regional or 
sub-Regional and national conferences sponsored by school 
transportation organizations and legislative activities at the State 
and Regional level.
    + Familiarity with the driver training requirements for each 
State in the Regional or sub-Regional service area; assisting 
programs in accessing driver training needs and acquiring training 
resources, including train-the-trainer programs.
    + Development of classroom materials and other guidance 
materials for use in educating children and parents about safe 
riding practices and safe pedestrian practices.
    + Assisting programs in determining the transportation option 
most suitable for their program, e.g., coordinated systems, other 
contract arrangements, fleet purchases.
    * Facilities expertise:
    + Provide training for grantees and ACF staff in conducting cost 
analysis when applying for funding for renovation, construction or 
purchase of facilities.
    * Child development expertise to help grantees provide quality 
services for pregnant women, infant/toddlers, and children to age 
five.
    * Consultant Pool
    + A Regional or sub-Regional consultant pool, identified, 
screened, contracted and linked to the National T/TA Information 
Resource Bank.
    + Provision of orientation and ongoing training for consultants.
    + Management of on-site activities of consultants at the 
Regional, sub-Regional or State/cluster site.
    + Monitoring and evaluation of Regional-level T/TA and the 
performance of consultants through on-site observations, interviews 
with grantee staff, reviews of workshop evaluations, etc.
    + Maintenance of evaluation data on consultants for the use of 
national network.
    + Sufficient staff at State/cluster sites to broker/coordinate 
local resources, strengthen training and staff development, assess 
the needs of individual grantees and assist with the development of 
grantee T/TA plans.

Appendix C--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. Copelend, 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 & Research, 1400 Tenth 
Street, Room 121, Sacramento, California 95814, Telehpone (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: (202) 739-3326, FAX (302) 739-5661.
District of Columbia
    Charles Nichols, State Single Point of Contact, Office of Grants 
Mgmt. & Dev., 717 14th Street, N.W.--Suite 500, Washington, D.C. 
20005, Telephone: (202) 727-6554, FAX (202) 727-1617.
Florida
    Florida State Clearinghouse, Department of Community Affairs, 
2740 Centerview Drive, Tallahassee, Florida 32399-2100, Telephone: 
(904) 922-5438, FAX (904) 487-2899.
Georgia
    Tom L. Reid, III, Administrator, Georgia State Clearinghouse, 
254 Washington Street, S.W.--Room 401J, Atlanta, Georgia 30334, 
Telephone: (404) 656-3855 or (404) 656-3829, FAX (404) 656-7938.
Illinois
    Virginia Bova, State Single Point of Contact, Department of 
Commerce and Community Affairs, James R. Thompson Center, 100 West 
Randolph, Suite 3-400, Chicago, Illinois 60601, Telephone: (312) 
814-6028, FAX (312) 814-1800.
Indiana
    Amy Brewer, State Budget Agency, 212 State House, Indianapolis, 
Indiana

[[Page 16849]]

46204, Telephone: (317) 232-5619, FAX (317) 233-3323.
Iowa
    Steven R. McCann, Division for Community Assistance, Iowa 
Department of Economic Development, 200 East Grand Avenue, Des 
Moines, Iowa 50309, Telephone: (515) 242-4719, FAX (515) 242-4859.
Kentucky
    Ronald W. Cook, Office of the Governor, Department of Local 
Government, 1024 Capitol Center Drive, Frankfort, Kentucky 40601-
8204, Telephone: (502) 573-2382, FAX: (502) 573-2512.
Maine
    Joyce Benson, State Planning Office, State House Station #38, 
Augusta, Maine 04333, Telephone: (207) 287-3261, FAX: (207) 287-
6489.
Maryland
    William G. Carroll, Manager, State Clearinghouse for 
Intergovernmental Assistance, Maryland Office of Planning, 301 W. 
Preston Street--Room 1104, Baltimore, Maryland 21201-2365, Staff 
Contact: Linda Janey, Telephone: (410) 225-4490, FAX: (410) 225-
4480.
Michigan
    Richard Pfaff, Southeast Michigan Council of Governments, 1900 
Edison Plaza, 660 Plaza Drive, Detroit, Michigan 48226, Telephone: 
(313) 961-4266, FAX: (313) 961-4869.
Mississippi
    Cathy Malette, Clearinghouse Officer, Department of Finance and 
Administration, 455 North Lamar Street, Jackson, Mississippi 39202-
3087, Telephone: (601) 359-6762, FAX: (601) 359-6764.
Missouri
    Lois Pohl, Federal Assistance Clearinghouse, Office of 
Administration, P.O. Box 809, Room 760, Truman Building, Jefferson 
City, Missouri 65102, Telephone: (314) 751-4834, FAX: (314) 751-
7819.
Nevada
    Department of Administration, State Clearinghouse, Capitol 
Complex, Carson City, Nevada 89710, Telephone: (702) 687-4065, FAX: 
(702) 687-3983.
New Hampshire
    Jeffrey H. Taylor, Director, New Hampshire Office of State 
Planning, Attn: Intergovernmental Review Process, Mike Blake, 2\1/2\ 
Beacon Street, Concord, New Hampshire 03301, Telephone: (603) 271-
2155, FAX: (603) 271-1728.
New Mexico
    Robert Peters, State Budget Division, Room 190 Bataan Memorial 
Building, Santa Fe, New Mexico 87503, Telephone: (505) 827-3640.
New York
    New York State Clearinghouse, Division of the Budget, State 
Capitol, Albany, New York 12224, Telephone: (518) 474-1605.
North Carolina
    Chrys Baggett, Director, N.C. State Clearinghouse, Office of the 
Secretary of Admin., 116 West Jones Street, Raleigh, North Carolina 
27603-8003, Telephone: (919) 733-7232, FAX: (919) 733-9571.
North Dakota
    North Dakota Single Point of Contact, Office of 
Intergovernmental Assistance, 600 East Boulevard Avenue, Bismarck, 
North Dakota 58505-0170, Telephone: (701) 224-2094, FAX: (701) 224-
2308.
Ohio
    Larry Weaver, State Single Point of Contact, State 
Clearinghouse, Office of Budget and Management, 30 East Broad 
Street, 34th Floor, Columbus, Ohio 43266-0411.

    Please direct correspondence and questions about 
intergovernmental review to: Linda Wise, Telephone: (614) 466-0698, 
FAX: (614) 466-5400.

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

    Please direct correspondence and questions to: Review 
Coordinator, Office of Strategic Planning.

South Carolina
    Omeagia Burgess, State Single Point of Contact, Grant Services, 
Office of the Governor, 1205 Pendleton Street--Room 477, Columbia, 
South Carolina 29201, Telephone: (803) 734-0494, FAX: (803) 734-
0385.
Texas
    Tom Adams, Governors Office, Director, Intergovernmental 
Coordination, P.O. Box 12428, Austin, Texas 78711, Telephone: (512) 
463-1771, FAX: (512) 463-1888.
Utah
    Carolyn Wright, Utah State Clearinghouse, Office of Planning and 
Budget, Room 116, State Capitol, Salt Lake City, Utah 84114, 
Telephone: (801) 538-1535, FAX: (801) 538-1547.
West Virginia
    Fred Cutlip, Director, Community Development Division, W. 
Virginia Development Office, Building #6, Room 553, Charleston, West 
Virginia 25305, Telephone: (304) 558-4010, FAX: (304) 558-3248.
Wisconsin
    Martha Kerner, Section Chief, State/Federal Regulations, 
Wisconsin Department of Administration, 101 East Wilson Street--6th 
Floor, P.O. Box 7868, Madison, Wisconsin 53707, Telephone: (608) 
266-2125, FAX: (608) 267-6931.
Wyoming
    Sheryl Jeffries, State Single Point of Contact, Office of the 
Governor, State Capital, Room 124, Cheyenne, Wyoming 82002, 
Telephone: (307) 777-5930, FAX: (307) 632-3909.
Territories
Guam
    Mr. Giovanni T. Sgambelluri, Director, Bureau of Budget and 
Management Research, Office of the Governor, P.O. Box 2950, Agana, 
Guam 96910, Telephone: 011-671-472-2285, FAX: 011-671-472-2825.
Puerto Rico
    Norma Burgos/Jose E. Caro, Chairwoman/Director, Puerto Rico 
Planning Board, Federal Proposals Review Office, Minillas Government 
Center, P.O. 41119, San Juan, Puerto Rico 00940-1119, Telephone: 
(809) 727-4444, (809) 723-6190, FAX: (809) 724-3270, (809) 724-3103.
North Mariana Islands
    Mr. Alvaro A. Santos, Executive Officer, State Single Point of 
Contract, Office of Management and Budget, Office of the Governor, 
Saipan, MP, Telephone: (670) 664-2256, FAX: (670) 664-2272.
    Contact Person: Ms. Jacoba T. Seman, Federal Programs 
Coordinator, Telephone: (670) 644-2289, FAX: (670) 644-2272.
Virgin Islands
    Jose George, Director, Office of Management and Budget, #41 
Norregade Emancipation Garden Station, Second Floor, Saint Thomas, 
Virgin Islands 00802.

    Please direct all questions and correspondence about 
intergovernmental review to: Linda Clarke, Telephone: (809) 774-
0750, FAX: (809) 776-0069.

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BILLING CODE 4184-01-C

[[Page 16851]]

Instructions for the SF 424

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

Item and Entry

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

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

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

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BILLING CODE 4184-01-C

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Instructions for the SF-424A

General Instructions

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

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

    For applications pertaining to a single Federal grant program 
(Federal Domestic Assistance Catalog number) and not requiring a 
functional or activity breakdown, enter on Line 1 under Column (a) 
the catalog program title and the catalog number in Column (b).
    For applications pertaining to a single program requiring budget 
amounts by multiple functions or activities, enter the name of each 
activity or function on each line in Column (a), and enter the 
catalog number in Column (b). For applications pertaining to 
multiple programs where none of the programs require a breakdown by 
function or activity, enter the catalog program title on each line 
in Column (a) and the respective catalog number on each line in 
Column (b).
    For applications pertaining to multiple programs where one or 
more programs require a breakdown by function or activity, prepare a 
separate sheet for each program requiring the breakdown. Additional 
sheets should be used when one form does not provide adequate space 
for all breakdown of data required. However, when more than one 
sheet is used, the first page should provide the summary totals by 
programs.
    Lines 1-4, Columns (c) through (g.)
    For new applications, leave Columns (c) and (d) blank. For each 
line entry in Columns (a) and (b), enter in Columns (e), (f), and 
(g) the appropriate amounts of funds needed to support the project 
for the first funding period (usually a year).
    For continuing grant program applications, submit these forms 
before the end of each funding period as required by the grantor 
agency. Enter in Columns (c) and (d) the estimated amounts of funds 
which will remain unobligated at the end of the grant funding period 
only if the Federal grantor agency instructions provide for this. 
Otherwise, leave these columns blank. Enter in columns (e) and (f) 
the amounts of funds needed for the upcoming period. The amount(s) 
in Column (g) should be the sum of amounts in Columns (e) and (f).
    For supplemental grants and changes to existing grants, do not 
use Columns (c) and (d). Enter in Column (e) the amount of the 
increase or decrease of Federal funds and enter in Column (f) the 
amount of the increase or decrease of non-Federal funds. In Column 
(g) enter the new total budgeted amount (Federal and non-Federal) 
which includes the total previous authorized budgeted amounts plus 
or minus, as appropriate, the amounts shown in Columns (e) and (f). 
The amount(s) in Column (g) should not equal the sum of amounts in 
Columns (e) and (f).
    Line 5--Show the totals for all columns used.

Section B Budget Categories

    In the column headings (1) through (4), enter the titles of the 
same programs, functions, and activities shown on Lines 1-4, Column 
(a), Section A. When additional sheets are prepared for Section A, 
provide similar column headings on each sheet. For each program, 
function or activity, fill in the total requirements for funds (both 
Federal and non-Federal) by object class categories.
    Lines 6a-i--Show the totals of Lines 6a to 6h in each column.
    Line 6j--Show the amount of indirect cost.
    Line 6K--Enter the total of amounts on Lines 6i and 6j. For all 
applications for new grants and continuation grants the total amount 
in column (5), Line 6k, should be the same as the total amount shown 
in Section A, Column (g), Line 5. For supplemental grants and 
changes to grants, the total amount of the increase or decrease as 
shown in Columns (1)-(4), Line 6k should be the same as the sum of 
the amounts in Section A, Columns (e) and (f) on Line 5.
    Line 7--Enter the estimated amount of income, if any, expected 
to be generated from this project. Do no add or subtract this amount 
from the total project amount. Show under the program narrative 
statement the nature and source of income. The estimated amount of 
program income may be considered by the federal grantor agency in 
determining the total amount of the grant.

Section C. Non-Federal-Resources

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

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BILLING CODE 4184-01-C

[[Page 16859]]

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 those regulations.
    5. The prospective lower tier participant agrees by submitting 
this proposal that, [[Page 33043]] should the proposed covered 
transaction be entered into, it shall not knowingly enter into any 
lower tier covered transaction with a person who is proposed for 
debarment under 48 CFR part 9, subpart 9.4, debarred, suspended, 
declared ineligible, or voluntarily excluded from participation in 
this covered transaction, unless authorized by the department or 
agency with which this transaction originated.
    6. The prospective lower tier participant further agrees by 
submitting this proposal that it will include this clause titled 
``Certification Regarding Debarment, Suspension, Ineligibility and 
Voluntary Exclusion-Lower Tier Covered Transaction,'' without 
modification, in all lower tier covered transactions and in all 
solicitations for lower tier covered transactions.
    7. A participant in a covered transaction may rely upon a 
certification of a prospective participant in a lower tier covered 
transaction that it is not proposed for debarment under 48 CFR part 
9, subpart 9.4, debarred, suspended, ineligible, or voluntarily 
excluded from covered transactions, unless it knows that the 
certification is erroneous. A participant may decide the method and 
frequency by which it determines the eligibility of its principals. 
Each participant may, but is not required to, check the List of 
Parties Excluded from Federal Procurement and Nonprocurement 
Programs.
    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 Debarment, Suspension, and Other Responsibility 
Matters--Primary Covered Transactions

Instructions for Certification

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

[[Page 16860]]

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

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

    (1) The prospective primary participant certifies to the best of 
its knowledge and belief, that it and its principals:
    (a) Are not presently debarred, suspended, proposed for 
debarment, declared ineligible, or voluntarily excluded by any 
Federal department or agency;
    (b) Have not within a three-year period preceding this proposal 
been convicted of or had a civil judgment rendered against them for 
commission of fraud or a criminal offense in connection with 
obtaining, attempting to obtain, or performing a public (Federal, 
State or local) transaction or contract under a public transaction; 
violation of Federal or State antitrust statues or commission of 
embezzlement, theft, forgery, bribery, falsification or destruction 
of records, making false statements or receiving stolen property;
    (c) Are not presently indicated 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 Lobbying

Certification for Contracts, Grants, Loans, and Cooperative 
Agreements

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

State for Loan Guarantee and Loan Insurance

    The undersigned states, to the best of his or her knowledge and 
belief, that:
    If any funds have been paid or will be paid to any person for 
influencing or attempting to influence an officer or employee of any 
agency, a Member of Congress, an officer or employee of Congress, or 
an employee of a Member of Congress in connection with this 
commitment providing for the United States to insure or guarantee a 
loan, the undersigned shall complete and submit Standard Form-LLL 
``Disclosure Form to Report Lobbying,'' in accordance with its 
instructions.
    Submission of this statement is a prerequisite for making or 
entering into this transaction imposed by section 1352, title 31, 
U.S. Code. Any person who fails to file the 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

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BILLING CODE 4184-01-C

[[Page 16862]]

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 $1,000 
per day and/or the imposition of an administrative compliance order 
on the responsible entity.
    By signing and submitting this application the applicant/grantee 
certifies that it will comply with the requirements of the Act. The 
applicant/grantee further agrees that it will require the language 
of this certification be included in any subawards which contain 
provisions for the children's services and that all subgrantees 
shall certify accordingly.

[FR Doc. 97-8840 Filed 4-7-97; 8:45 am]
BILLING CODE 4184-01-P