16816 Federal Register / Vol. 62, No. 67 / Tuesday, April 8, 1997 / Notices

DEPARTMENT OF HEALTH AND

HUMAN SERVICES

Administration for Children and

Families

[Program Announcement No. 93600–97–2]

Head Start Bureau: Fiscal Year 1997

Discretionary Announcement for

Cooperative Agreements to support

Head Start Disability Services Quality

Improvement Centers; Availability of

Funds and Request for Applications

AGENCY: Administration on Children,

Youth and Families, ACF, DHHS.

ACTION: Notice.

SUMMARY: The Administration for

Children and Families, Administration

on Children Youth and Families’ Head

Start Bureau announces the availability

of competitively awarded cooperative

agreements to assist qualified

institutions and organizations in the

provision of training and technical

assistance (T/TA) on Head Start

disabilities services activities in 12

service areas. The cooperative

agreements will support Head Start

Disabilities Services Quality

Improvement Centers (DSQICs). ACF

Regions I through X, and the American

Indian Program and Migrant Program

Branches will each have one DSQIC.

The States included in each of these 12

service areas are listed in Appendix A.

DATES: The closing date for the

submission of applications under this

announcement is June 9, 1997.

FOR FURTHER INFORMATION CONTACT: For

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

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 800,000 children are

expected to be enrolled. Approximately

1,480 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 homebased 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.

Program Purpose

The Head Start Disabilities Services

Quality Improvement Centers (DSQICs)

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. 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 capacitybuilding and ongoing evaluation.

The major purpose of the DSQICs is

to provide Head Start and Early Head

Start grantees with technical assistance

and training to enable them to include

children with disabilities into these

programs so that the special needs

resulting from their disabilities and the

special needs of their parents are met.

Head Start programs are required to

make at least ten percent of their

enrollment opportunities available to

children with disabilities. In the 1995–

96 program year children with

disabilities comprised approximately

13% of the children enrolled in Head

Start. Head Start programs provide

services to children with disabilities

and their families in a manner which

includes them in all aspects of the

program and supports collaborative

arrangements with other community

programs, particularly local education

agencies (LEAs), to deliver needed

special services. Head Start programs

must comply with the Performance

Standards in designing and delivering

services for children with disabilities.

Quality Improvement Centers

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 Quality

Improvement Center will provide

assistance to institutions and

organizations with expertise in the field

of early child 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 academicallybased early childhood development and

education programs; and to work with

grantees and delegate agencies and with

communities in 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
Federal Register / Vol. 62, No. 67 / Tuesday, April 8, 1997 / Notices 16817

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.

DSQICs Roles and Responsibilities

The DSQICs are to work with Head

Start grantees to enable Head Start

programs to develop the following

capacities:

• Provide effective early childhood

education programs that model an

inclusive and collaborative approach to

disabilities services;

• Enhance the quality of life and

maximize the potential of Head Starteligible children and their families;

• Identify and effectively access a

wide variety of resources available to

support quality disabilities services,

both within and outside Head Start;

• 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;

• Establish and maintain linkages

with the child care community to assure

effective partnerships among providers

of services to children with disabilities

and their families; and

• Maintain the unique qualities of

Head Start and help sustain these

qualities through periods of growth and

change.

Among the services the DSQICs will

provide are the following:

• Provide joint training opportunities

with academic institutions for clusters

of grantees that have the same needs

based on an in-depth needs assessment.

• 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 affecting disabilities

services.

• Enhance Head Start program

capacity to ensure continuous

improvement in disabilities services.

• Establish and maintain a cadre of

qualified, locally-based consultants to

provide T/TA on disabilities services.

• Promote quality improvements in

disabilities services for all grantees.

• Customize services based upon

research and supported by state-of-theart technology.

• Facilitate the development and

implementation of State-level

interagency agreements between Head

Start/Early Head Start programs and the

local educational agencies and Part H

providers responsible for assuring the

implementation of the Individuals with

Disabilities Education Act (IDEA).

• Facilitate information sharing and

collaboration with stakeholders in Head

Start and in the early child care

communities as well as academic

communities as it relates to disabilities

services.

DSQICs Structure and Design

The DSQICs will each establish

structures for the delivery of services

that meet the needs of their service area

based on the training needs

identification process. We expect these

structures will vary from DSQIC to

DSQIC. These structures might involve

creating one or more satellite offices 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, to provide training,

technical assistance or networking with

grantees with similar needs. Large States

may have more than one cluster office

and smaller States may share a cluster

office. The DSQIC is encouraged to

consider establishing satellite offices

with other Head Start T/TA providers.

The American Indian Programs Branch’s

DSQIC may have up to three cluster

offices and the Migrant Programs

Branch’s DSQIC may have up to two

cluster offices. In other instances, a

DSQIC might assign staff within its

central office to serve as a 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.

DSQICs 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

disability services T/TA needs of the

various Head Start grantees.

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 Roles and

Responsibilities

Federal involvement in the DSQICs

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 DSQIC will occur

when:

• Changes in initiatives or national

Head Start policy need to be

communicated to the DSQIC because of

their effect on the Head Start programs

with which the DSQICs are working;

• Federal approval is needed for the

DSQIC to select or award a subgrant or

contract;

• Federal consultation and approval

is needed in the selection of a project

director;

• 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

• Participation on the Regional T/TA

Coordinating Council with other T/TA

providers, as described in Appendix B,

will assist the DSQIC 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:

• Provide leadership and support for

the national Head Start T/TA system,

which includes the use of national

contractors and DSQICs to support

meetings, program monitoring, materials

development and other specific needs;

• Set Head Start program priorities

and formulate new initiatives that may

affect the plans and priorities of the

DSQICs, and consult regularly with the

DSQICs to ensure that they are fully

informed of these national priorities and

initiatives;

• Set standards for the DSQIC centers

in the provision of quality Head Start T/

TA services for children and families

based on Human Resource Development

principles of adult learning, on-going

needs identification, interactive skill

development and evaluation;

• Foster collaboration within and

outside of Head Start, develop

partnerships among Federal programs,

and promote partnerships with the

business community;

• Conduct semiannual T/TA

meetings, to which the DSQIC centers

will be invited; and

• Monitor the DSQICs to ensure

accountability and fiscal responsibility

throughout the T/TA system.
16818 Federal Register / Vol. 62, No. 67 / Tuesday, April 8, 1997 / Notices

The ACF Regional Offices and the

Head Start Bureau’s American Indian

Programs Branch and Migrant Programs

Branch will each:

• Appoint a T/TA coordinator to

coordinate Regional T/TA services and

to serve as a liaison with the DSQIC

center;

• Participate in the Regional

Coordinating Council, as described in

Appendix B;

• Review a summary of the needs

assessments and the T/TA plans related

to disabilities services for grantees in

the Region in order to effectively

coordinate T/TA activities;

• Conduct bimonthly (every other

month) conference calls or Regional T/

TA coordinating meetings;

• Attend national T/TA meetings;

• Seek out collaborations within and

outside the Head Start program by

participating on the Regional

Coordinating Council; exhibiting

leadership in coordinating child care/

Head Start partnerships and working

with the Head Start State Collaboration

grantees.

• Exhibit leadership in coordinating

interagency agreements with State

Departments of Education, State Part H

Lead Agencies, and other relevant

agencies.

• Annually review all services

performed by the Regional DSQIC prior

to submission of the continuation

application in order to provide relevant

consultation to the DSQIC and Regional

coordination;

• Conduct reviews and manage the

follow-up process for deficient grantees,

i.e., carry out joint planning with the

DSQIC 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

• Encourage 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.

An applicant may apply for more than

one service area, but must submit a

separate application for each service

area for which it is applying.

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

DSQICs 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, Administration for

Children, Youth and Families, Head

Start Bureau, 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 Form 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
Federal Register / Vol. 62, No. 67 / Tuesday, April 8, 1997 / Notices 16819

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 specific salary rates

or amounts for individuals identified in

the application budget. This information

will be made available to the nonFederal reviewers. 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

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., Suite 240, Arlington, Virginia

22201, (703) 351–7676, (703) 528–0716

(FAX).

An applicant may apply for more than

one 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 2100, Switzer Building,

330 C St., S.W., Washington, D.C.

20201, Monday through Friday,

(excluding Federal holidays).

(Applicants are cautioned that express/

overnight mail services do not always

deliver as agreed.)

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, you are asked to 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 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 mailing labels with their

applications to help expedite this

process. If provided, the mailing label(s)

should reflect the mailing address of the

authorizing official who is applying on

behalf of the organization. If

acknowledgement 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 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 DSQICs

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 DSQICs.

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 that will be used 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
16820 Federal Register / Vol. 62, No. 67 / Tuesday, April 8, 1997 / Notices

decisions and will be a part of the

official application file.

The applicant must demonstrate

capacities to work with communitybased, family-centered programs, lowincome 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 DSQIC. 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 DSQIC, 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 T/TA service that will be

provided to different categories of

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

DSQIC; details how the proposed T/TA

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

re ́sume ́s 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.

The anticipated annual funding for

the DSQICs will range from a minimum

of approximately $475,000 to a

maximum of approximately $1,025,000,

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.

Service areas

Number of

grantees in

service area

Estimated

funding

Region I ............. 80 $540,000

Region II ............ 106 820,000

Region III ........... 146 710,000

Region IV .......... 233 1,025,000

Region V ........... 213 1,025,000

Region VI .......... 180 860,000

Region VII ......... 73 550,000

Region VIII ........ 75 575,000

Service areas

Number of

grantees in

service area

Estimated

funding

Region IX .......... 79 725,000

Region X ........... 64 475,000

American Indian

Program ......... 130 650,000

Migrant Program 25 650,000

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 twelve Regional

DSQICs will be funded under this

announcement. ACYF intends to award

the new cooperative agreements under

this announcement during the fourth

quarter 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
Federal Register / Vol. 62, No. 67 / Tuesday, April 8, 1997 / Notices 16821

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

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 centerbased, home-based, combination, partand 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 project 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 disabilities services,

early childhood development/early

childhood education, Head Start

programs, supporting interagency

collaboration in disabilities 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, coordinated with the Federal

Project Officer and the Regional

Coordinator, 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 following

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
16822 Federal Register / Vol. 62, No. 67 / Tuesday, April 8, 1997 / Notices

Public Law 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

requirements or program

announcements. This program

announcement meets all information

collection requirements approved for

ACF grant applications under OMB

Control Number 0970–0139.

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 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, VA 22201,

703–351–7676, 703–528–0716 (FAX).

Six information sharing meetings will

be conducted in person or via videoconference in the following locations.

Please call the telephone numbers

provided for information about exact

date, time and place of the meetings:

Washington, D.C., at the Switzer

Building, in Room 2100, 330 C St., S.W.,

the contact: Rosalind Dailey, 202–205–

8347.

New York, New York, at Region II

Office, call 212–264 2974.

Atlanta, GA, at Region IV Office, call

404–331–2398.

Chicago, Illinois, at Region V Office,

call 312–353–8322.

Dallas, Texas, at Region VI Office, call

214–767–9648.

San Francisco, California, at Region

IX Office, call 415–437–8481.

The questions and responses

discussed at these meetings will be

typed and mailed to all participating

parties as well as organizations

expressing an interest in receiving

copies.

Statutory Authority

Catalog of Federal Domestic Assistance

(CFDA) number 93.600, Project Head Start.

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

as amended.

Dated: April 1, 1997.

James A. Harrell,

Acting Commissioner, Administration on

Children, Youth and Families.

Appendix A—Regional Service Areas

To Be Served by Disabilities Services

Head Start Quality Improvement

Centers

Region I Connecticut, Maine,

Massachusetts, New Hampshire,

Rhode Island, Vermont

Region II New Jersey, New York,

Puerto Rico, Virgin Islands

Region III Delaware, Maryland,

Pennsylvania, Virginia, Washington,

D.C., West Virginia

Region IV Kentucky, North Carolina,

South Carolina, Tennessee, Alabama,

Florida, Georgia, Mississippi

Region V Michigan, Minnesota,

Wisconsin, Illinois, Indiana, Ohio

Region VI Arkansas, Louisiana,

Oklahoma, 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

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 Disabilities Services Head

Start Quality Improvement Center

The Regional Disabilities Services

Head Start Quality Improvement

Centers (DSQICs) 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 to support the ongoing

quality improvement of Head Start

(including Early Head Start) services to

children with disabilities and their

families. The DSQICs 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 all

T/TA providers and with the Head Start

Bureau and ACF Regional Offices.

The DSQICs will have responsibility

for assuring that Head Start grantees are

informed and supported in efforts to

acquire quality T/TA on disabilities

services and assuring that T/TA can be

provided statewide and to clusters of

grantees, as well as to individuals at the

grantee level. The DSQICs may consider

the development of State/cluster sites.

These State/cluster sites, suggested to

ACF in consultations carried out in the

preparation of this program

announcement, are envisioned as

extensions of the DSQICs. 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.

As partners at the state level a

significant focus for the DSQICs will be

to promote collaboration between Head

Start grantees and other programs and

agencies in the development of plans for

collaborative and coordinated services

for preschool children with disabilities.

Since 1977 ACYF has charged the Head

Start Disabilities T/TA Network to serve

as liaisons between Head Start and State

Education Agencies (SEAs) for the

purpose of developing agreements that

support coordinated efforts to serve

young children with disabilities. These

agreements provide leadership and
Federal Register / Vol. 62, No. 67 / Tuesday, April 8, 1997 / Notices 16823

guidance for the development of local

interagency agreements between Head

Start programs and the local education

agencies in their community. Written

interagency agreements between Head

Start representatives and SEAs are in

place in most States.

Since Head Start is a Federal program

that directly funds local grantees, there

is a special need for support of the

development of State-level agreements

which specifically outline the approach

for Head Start and local education

agency (LEA) coordination to jointly

meet the needs of young children with

disabilities, including infants and

toddlers, and their families. The SEAs

are required by Individual with

Disabilities Education Act (IDEA) to

develop and implement interagency

agreements with agencies serving young

children with disabilities. For most

agreements, the State Head Start

Association and the ACF Regional

Office are the Head Start representatives

to the agreement.

Head Start programs need ongoing

assistance in the development and/or

revision of agreements between the SEA

and Head Start by soliciting information

from Head Start programs on needs and

opportunities for collaboration in their

State: incorporating input from the

Regional Office Coordinator and the

State Head Start Association; and

preparing/revising an agreement to be

signed by the ACF Regional

Administrator, the appropriate SEA

administrator, State Head Start

Association representative, and other

agencies participating in the agreement.

These agreements typically describe,

at a minimum, how Head Start and the

Local Education Agencies should

collaborate to serve young children with

disabilities, including:

• sharing information on Head Start

and State regulations regarding services

to young children with disabilities;

• joint Child Find and Screening

Activities;

• facilitating Head Start’s Child Count

report to the LEA;

• coordinated screening, assessment

and referral;

• jointly developing and

implementing Individualized Education

Programs (IEPs);

• promoting smooth transitions from

Part H early intervention programs into

Head Start, and from Head Start into

elementary school programs;

• promoting resource sharing;

• promoting joint training of Head

Start and LEA staff and parents on

issues regarding disabilities services;

and

• addressing the disabilities services

needs of children served in that State by

Head Start Migrant and Indian

programs;

• disseminating information about

the agreement and describe how local

agencies may acquire assistance in

implementing these collaborative

practices in their communities.

Additional efforts to support

collaborative approaches to services

could include:

• facilitating agreements between the

Part H Lead Agency of each State and

the Head Start programs serving infants

and toddlers.

• collaboration between the DSQIC

for Regions I–X and the DSQICs for the

American Indian Programs and the

Migrant Programs to ensure that needs

and opportunities for collaboration with

the Indian and/or Migrant Programs in

each State are represented in the State

interagency agreement, and that special

issues affecting those programs, are

addressed in the agreement. As

appropriate, a representative of the

Tribal organization will be included as

a cosigner to the agreement.

In addition, the DSQICs should work

with their ACF Regional Offices, or the

American Indian Programs and Migrant

Programs Branches to implement T/TA

in the following areas:

• Quality improvement:

* Core Head Start Services

+ T/TA resources needed to assure

compliance with the Head Start Program

Performance Standards in Disabilities

Services 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

levels and local Head Start Programs.

+ Needs assessment by State on

needs for T/TA on implementation of

early childhood partnership strategies in

funding and program delivery.

+ Assistance in designing and

implementing a disabilities service plan,

through coordination with local

education agencies and other

community partnerships.

+ Training based on needs

assessments and emerging priorities

shared by many grantees, i.e.

recruitment and enrollment of children

with disabilities, including those with

more significant disabilities;

management practices which provide

staff with the supervision, information

and support needed to meet identified

needs of children and families served;

promoting the involvement of parents

on all aspects of the child’s program,

including the child’s transition to public

school.

+ 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; promote

coordination of joint training

opportunities to support the exchange of

information between grantees on areas

of disabilities service that require

cooperation and interaction.

* Early Head Start (EHS)

+ Collaboration with the Early Head

Start-National Resource Contract (EHSNRC) to enhance and reinforce a

comprehensive approach to providing

T/TA in disabilities services in meeting

the multiple needs of families with

infants and toddlers and pregnant

women.

+ Assistance in ensuring that EHS

child and family development program

models provide early opportunities for

infants and toddlers with disabilities 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

disability 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.

+ Assistance in the development of

agreements between the Part H Lead

Agency of each State and the Head Start

programs serving infants and toddlers.

+ Assistance to EHS programs to

identify and assess a wide variety of

resources on disabilities services

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

in disability services across disciplines

and to enable the staff to recognize and

respond to the best practices, lessons

learned and quality goals of EHS.

* 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, when those deficiencies are

related to disabilities services.

+ Use of information from monitoring

reviews, Program Information Reports

(PIR), and data provided by the ACF

Regional Office, the American Indian
16824 Federal Register / Vol. 62, No. 67 / Tuesday, April 8, 1997 / Notices

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 cluster

coordinators.

In providing T/TA in the aboveoutlined areas, DSQICs may use the

following approaches:

• Forms of collaboration and

assistance

* On-site collaboration/assistance

+ On-site T/TA in response to needs

identified during the needs assessment

process.

+ On-site T/TA to address the

development and implementation of

local agreements between LEAs and

Head Start in keeping with the

Performance Standards on disabilities

services.

+ Special projects to meet Regional

service area needs.

* Workshops and conferences

+ Regional training workshops and

institutes for grantees on Head Startspecific topics related to disabilities

services as determined by need.

+ Development of topics and

schedules of workshops provided at

State/cluster levels.

+ 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 onsite, in clusters, and/or at State-or

Region-wide settings using the train-thetrainer model with Head Start program

personnel responsible for leadership on

disabilities services.

+ Development and implementation

of opportunities for distance learning.

+ Training on newly developed Head

Start materials.

+ Assistance in monitor reviewer

training.

+ 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.

+ Facilitating Head Start/SEA

interagency agreements; facilitating

development of agreements between the

DSQICs for American Indian and

Migrant Programs and Regions I through

X to ensure that the needs of children

and families in these programs are

reflected in the agreements.

+ Linkages with State partners of

Head Start programs including the State

Education Agency program responsible

for assuring implementation of the

requirements for special education

services to preschool children (under

the Individuals with Disabilities Act

IDEA) and with the Lead state agency

for implementation of Part H of IDEA

services for infants and toddlers with

disabilities, University Affiliated

Programs (UAP) and Developmental

Disabilities Councils.

• Collaboration between regional

DSQICs and the American Indian and

Migrant Programs DSQICs and the

programs they serve in the following

ways:

+ Making information available to

Indian and Migrant programs serving

children in their Regions on relevant

State or Regional disabilities services

issues, e.g., new state regulations on

disabilities services, or State/Regional

disabilities training or service resources;

+ Inviting Indian and Migrant Head

Start programs to participate in DSQIC

workshops and training;

+ Providing the Indian and Migrant

DSQICs with existing Head Start/SEA

Interagency Agreements services in their

Region, and the schedule for their

development/revision.

• Sharing information and results of

evaluations of consultants through the

National T/TA Information Resource

Bank, such as:

+ Demonstrations of, and information

on, and dissemination of materials

developed by the national and Regional

DSQICs.

+ Collaboration with Head Startsponsored or related national initiatives,

such as Medicaid, immunizations,

substance abuse prevention and

treatment, and mental health.

+ Information and/or training about

Head Start Bureau publications, such as

training guides.

+ Maintaining and publishing

resource information on statewide T/TA

resources directed to issues relevant for

early childhood disabilities services.

+ Maintaining a video/materials

resource library.

+ Information and demonstrations on

training resources which Head Start

programs could utilize.

+ Contributing articles to the Head

Start Bulletin.

+ Maintaining of up-to-date fact

sheets on grantees.

+ Assisting in developing a Regional

calendar of T/TA events.

+ Participating in semiannual

national T/TA network meetings, along

with meetings/conference calls with the

Federal Project Officer (FPO).

+ Assisting Head Start programs to

identify T/TA resources and service

providers in local community and state

which may be independently accessed

to meet the special needs of Head Start

eligible children with disabilities or

their parents.

• DSQICs should organize and

structure T/TA activities to achieve

maximum coordination, efficiency and

effectiveness. Suggested approaches

include:

+ Assisting in a 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, disabilities

services, health, family development,

community development and program

planning. The Council would support

the DSQIC in identifying needs for T/

TA, developing a 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

DSQIC in assessing needs, developing a

fair balance for the provision of services

among grantees, and preparing and

updating Regional or T/TA plans.

* State-/cluster-based activities

functioning as extensions of the DSQIC

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
Federal Register / Vol. 62, No. 67 / Tuesday, April 8, 1997 / Notices 16825

one cluster and smaller States may share

clusters of grantees. The American

Indian Programs Branch grantees may

have up to three cluster offices and the

Migrant Programs Branch grantees may

have up to two cluster offices. 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 CommunityBased Child Care:

+ 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,

education and disability services.

* Linkages with Federal-State and

other partners, such as the Department

of Education, federally recognized

Tribes, and institutions of higher

learning.

• Geographic Coverage

* Types of grantees in service area:

Large/small, rural/urban, centerbased, 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 and Migrant

Programs Branches to enable them to

meet the Head Start Program

Performance Standards.

• Management and staffing issues

(including consultant banks)

* Sufficient DSQIC staff to coordinate

training, manage staff and consultant

resources, provide necessary subjectspecific expertise, and administer

cooperative agreement fiscal resources.

* Sufficient leadership and

consultant expertise to address all

aspects of disabilities services T/TA

responsibilities, including the areas of

infant.toddler services, accessibility,

and developing and implementing local

interagency agreements with

community partners (e.g., Local

Education Agencies, Part H providers) at

the regional and State/cluster sites.

* Skilled leadership and support on

State disabilities services policy issues,

to support efforts of grantees to work

with States in planning, monitoring and

meeting logistical needs; to participate

in State-wide meetings; to coordinate

with community/local organizations

that provide child care and other

services to low income families; and

assistance to States in implementing

Federal programs that involve the

development of child care systems in

partnership with communities.

+ Support at State meetings regarding

disabilities services issues.

+ Supporting strategic planning and

coordinating meetings among State

program administrators and community

and local organizations that collaborate

with Head Start in serving children with

disabilities in the development of

comprehensive systems.

* Child Care Responsibilities

+ Skilled leadership and support on

assessing needs for training and

technical assistance on Head Start/Child

Care partnership issues related to

including children with disabilities.

+ 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

related to inclusive services for children

with disabilities.

* Consultant Pool

+ A 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 onsite activities of

consultants at the Regional, or State/

cluster level.

+ Monitoring and evaluation of

Regional-level T/TA and the

performance of consultants through

onsite 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 Copeland, Manager, State

Clearinghouse, Office of

Intergovernmental Services, Department

of Finance and Administration, 1515 W.

7th St., Room 412, Little Rock, Arkansas

72203 Telephone: (501) 682–1074, FAX:

(501) 682–5206.

California

Grants Coordinator, Office of Planning &

Research, 1400 Tenth Street, Room 121,

Sacramento, California 95814,

Telephone: (916) 323–7480, FAX: (916)

323–3018.

Delaware

Francine Booth, State Single Point of

Contact Executive Department, Thomas

Collins Building, P.O. Box 1401, Dover,

Delaware 19903, Telephone: (302) 739–

3326, FAX: (302) 739–5661.

District of Columbia

Charles Nichols, State Single Point of

Contact, Office of Grants Mgmt. & Dev.

717 14th Street, N.W.–Suite 500,

Washington, D.C. 20005, Telephone:

(202) 727–6554, FAX: (202) 727–1617.

Florida

Florida State Clearinghouse, Department of

Community Affairs, 2740 Centerview

Drive, Tallahassee, Florida 32399–2100,

Telephone: (904) 922–5438, FAX: (904)

487–2899.

Georgia

Tom L. Reid, III, Administrator, Georgia

State Clearinghouse, 254 Washington

Street, S.W.–Room 401J, Atlanta, Georgia

30334, Telephone: (404) 656–3855 or

(404) 656–3829, FAX: (404) 656–7938.

Illinois

Virginia Bova, State Single Point of

Contact, Department of Commerce and

Community Affairs, James R. Thompson

Center, 100 West Randolph, Suite 3–400,

Chicago, Illinois 60601, Telephone: (312)

814–6028, FAX: (312) 814–1800.

Indiana

Amy Brewer, State Budget Agency, 212

State House, Indianapolis, Indiana

46204, Telephone: (317) 232–5619, FAX:

(317) 233–3323.

Iowa

Steven R. McCann, Division for

Community Assistance, Iowa

Department of Economic Development,

200 East Grand Avenue, Des Moines,

Iowa 50309, Telephone: (515) 242–4719

FAX: (515) 242–4859.

Kentucky

Ronald W. Cook, Office of the Governor,

Department of Local Government, 1024

Capitol Center Drive, Frankfort,

Kentucky 40601–8204, Telephone: (502)

573–2382, 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,
16826 Federal Register / Vol. 62, No. 67 / Tuesday, April 8, 1997 / Notices

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, 21⁄2 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 58504–0170, 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 Relations, Wisconsin

Department of Administration, 101 East

Wilson Street—6th Floor, P.O. Box 7868,

Madison, Wisconsin 53707, Telephone:

(608) 266–2125, FAX: (608) 267–6931.

Wyoming

Sheryl Jeffries, State Single Point of

Contact, Office of the Governor, State

Capital, Room 124, Cheyenne, Wyoming

82002, Telephone: (307) 777–5930, FAX:

(307) 632–3909.

Territories

Guam

Mr. Giovanni T. Sgambelluri, Director,

Bureau of Budget and Management

Research, Office of the Governor, P.O.

Box 2950, Agana, Guam 96910,

Telephone: 011–671–472–2285, FAX:

011–671–472–2825.

Puerto Rico

Norma Burgos/Jose E. Caro, Chairwoman/

Director, Puerto Rico Planning Board,

Federal Proposals Review Office,

Minillas Government Center, P.O. Box

41119, San Juan, Puerto Rico 00940–

1119, Telephone: (809) 727–4444, (809)

723–6190, FAX: (809) 724–3270, (809)

724–3103.

North Mariana Islands

Mr. Alvaro A. Santos, Executive Officer,

State Single Point of Contact, Office of

Management and Budget, Office of the

Governor, Saipan, MP, Telephone: (670)

664–2256, FAX: (670) 664–2272.

Contact Person: Ms. Jacoba T. Seman,

Federal Programs Coordinator,

Telephone: (670) 644–2289, FAX: (670)

644–2272.

Virgin Islands

Jose George, Director, Office of

Management and Budget, #41 Norregade

Emancipation Garden Station, Second

Floor, Saint Thomas, Virgin Islands

00802

Please direct all questions and

correspondence about intergovernmental

review to: Linda Clarke, Telephone: (809)

774–0750, FAX: (809) 776–0069.

BILLING CODE 4184–01–P
Federal Register / Vol. 62, No. 67 / Tuesday, April 8, 1997 / Notices 16827

BILLING CODE 4184–01–C
16828 Federal Register / Vol. 62, No. 67 / Tuesday, April 8, 1997 / Notices

Instructions for the SF 424

This is a standard form used by applicants

as a required facesheet for preapplications

and applications submitted for Federal

assistance. It will be used by Federal agencies

to obtain applicant certification that States

which have established a review and

comment procedure in response to Executive

Order 12372 and have selected the program

to be included in their process, have been

given an opportunity to review the

applicant’s submission.

Item and Entry

1. Self-explanatory.

2. Date application submitted to Federal

agency (or State if applicable) & applicant’s

control number (if applicable).

3. State use only (if applicable).

4. If this application is to continue or

revise an existing award, enter present

Federal identifier number. If for a new

project, leave blank.

5. Legal name of applicant, name of

primary organizational unit which will

undertake the assistance activity, complete

address of the applicant, and name and

telephone number of the person to contact on

matters related to this application.

6. Enter Employer Identification Number

(EIN) as assigned by the Internal Revenue

Service.

7. Enter the appropriate letter in the space

provided.

8. Check appropriate box and enter

appropriate letter(s) in the space(s) provided:

—‘‘New’’ means a new assistance award.

—‘‘Continuation’’ means an extension for an

additional funding/budget period for a

project with a projected completion date.

—‘‘Revision’’ means any change in the

Federal Government’s financial obligation

or contingent liability from an existing

obligation.

9. Name of Federal agency from which

assistance is being requested with this

application.

10. Use the Catalog of Federal Domestic

Assistance number and title of the program

under which assistance is requested.

11. Enter a brief descriptive title of the

project. If more than one program is

involved, you should append an explanation

on a separate sheet. If appropriate (e.g.,

construction or real property projects), attach

a map showing project location. For

preapplications, use a separate sheet to

provide a summary description of this

project.

12. List only the largest political entities

affected (e.g., State, counties, cities).

13. Self-explanatory.

14. List the applicant’s Congressional

District and any District(s) affected by the

program or project.

15. Amount requested or to be contributed

during the first funding/budget period by

each contributor. Value of in-kind

contributions should be included on

appropriate lines as applicable. If the action

will result in a dollar change to an existing

award, indicate only the amount of the

change. For decreases, enclose the amounts

in parentheses. If both basic and

supplemental amounts are included, show

breakdown on an attached sheet. For

multiple program funding, use totals and

show breakdown using same categories as

item 15.

16. Applicants should contact the State

Single Point of Contact (SPOC) for Federal

Executive Order 12372 to determine whether

the application is subject to the State

intergovernmental review process.

17. This question applies to the applicant

organization, of the person who signs as the

authorized representative. Categories of debt

include delinquent audit disallowances,

loans and taxes.

18. To be signed by the authorized

representative of the applicant. A copy of the

governing body’s authorization for you to

sign this application as official representative

must be on file in the applicant’s office.

(Certain Federal agencies may require that

this authorization be submitted as part of the

application.)

BILLING CODE 4184–01–P
Federal Register / Vol. 62, No. 67 / Tuesday, April 8, 1997 / Notices 16829

BILLING CODE 4184–01–C
16830 Federal Register / Vol. 62, No. 67 / Tuesday, April 8, 1997 / Notices

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.

BILLING CODE 4184–01–P
Federal Register / Vol. 62, No. 67 / Tuesday, April 8, 1997 / Notices 16831

BILLING CODE 4184–01–C
16832 Federal Register / Vol. 62, No. 67 / Tuesday, April 8, 1997 / Notices

Line 7—Enter the estimated amount of

income, if any, expected to be generated from

this project. Do not add or substract 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

determinimg 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 constribution 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 form all

other sources.

Column (e)—Enter totals of Columns (b),

(c), and (d).

Line 12—Enter the total for each of

Columns (b)–(e). The amount in Column (e)

should be equal to the amount on Line 5,

Column (f), Section A.

Section D. Forecasted Cash Needs

Line 13—Enter the amount of cash needed

by quarter from the grantor agency during the

first year.

Line 14—Enter the amount of cash from all

other sources needed by quarter during the

first year.

Line 15—Enter the totals of amounts on

Lines 13 and 14.

Section E. Budget Estimates of Federal Funds

Needed for Balance of the Project

Lines 16–19—Enter in Column (a) the same

grant program titles shown in Column (a),

Section A. A breakdown by function or

activity is not necessary. For new

applications and continuation grant

applications, enter in the proper columns

amounts of Federal funds which will be

needed to complete the program or project

over the succeeding funding periods (usually

in years). This section need not be completed

for revisions (amendments, changes, or

supplements) to funds for the current year of

existing grants.

If more than four lines are needed to list

the program titles, submit additional

schedules as necessary.

Lines 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.

BILLING CODE 4184–01–P
Federal Register / Vol. 62, No. 67 / Tuesday, April 8, 1997 / Notices 16833
16834 Federal Register / Vol. 62, No. 67 / Tuesday, April 8, 1997 / Notices
Federal Register / Vol. 62, No. 67 / Tuesday, April 8, 1997 / Notices 16835
16836 Federal Register / Vol. 62, No. 67 / Tuesday, April 8, 1997 / Notices

BILLING CODE 4184–01–C
Federal Register / Vol. 62, No. 67 / Tuesday, April 8, 1997 / Notices 16837

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

remedies available to the Federal

Government, the department or agency may
16838 Federal Register / Vol. 62, No. 67 / Tuesday, April 8, 1997 / Notices

terminate this transaction for cause or

default.

Certification Regarding Debarment,

Suspension, and Other Responsibility

Matters—Primary Covered Transactions

(1) The prospective primary participant

certifies to the best of its knowledge and

belief, that it and its principals:

(a) Are not presently debarred, suspended,

proposed for debarment, declared ineligible,

or voluntarily excluded by any Federal

department or agency;

(b) Have not within a three-year period

preceding this proposal been convicted of or

had a civil judgment rendered against them

for commission of fraud or a criminal offense

in connection with obtaining, attempting to

obtain, or performing a public (Federal, State

or local) transaction or contract under a

public transaction; violation of Federal or

State antitrust statutes or commission of

embezzlement, theft, forgery, bribery,

falsification or destruction of records, making

false statements, or receiving stolen property;

(c) Are not presently indicted for or

otherwise criminally or civilly charged by a

governmental entity (Federal, State or local)

with commission of any of the offenses

enumerated in paragraph (1)(b) of this

certification; and

(d) Have not within a three-year period

preceding this application/proposal had one

or more public transactions (Federal, State or

local) terminated for cause or default.

(2) Where the prospective primary

participant is unable to certify to any of the

statements in this certification, such

prospective participant shall attach an

explanation to this proposal.

Certification Regarding Lobbying

Certification for Contracts, Grants, Loans,

and Cooperative Agreements

The undersigned certifies, to the best of his

or her knowledge and belief, that:

(1) No Federal appropriated funds have

been paid or will be paid, by or on behalf of

the undersigned, to any person for

influencing or attempting to influence an

officer or employee of any agency, a Member

of Congress, an officer or employee of

Congress, or an employee of a Member of

Congress in connection with the awarding of

any Federal contract, the making of any

Federal grant, the making of any Federal

loan, the entering into of any cooperative

agreement, and the extension, continuation,

renewal, amendment, or modification of any

Federal contract, grant, loan, or cooperative

agreement.

(2) If any funds other than Federal

appropriated funds have been paid or will be

paid to any person for influencing or

attempting to influence an officer or

employee of any agency, a Member of

Congress, an officer or employee of Congress,

or an employee of a member of Congress in

connection with this Federal contract, grant,

loan or cooperative agreement, the

undersigned shall complete and submit

Standard Form-LLL, ‘‘Disclosure Form to

Report Lobbying,’’ in accordance with its

instructions.

(3) The undersigned shall require that the

language of this certification be included in

the award documents for all subawards at all

tiers (including subcontracts, subgrants, and

contracts under grants, loans, and

cooperative agreements) and that all

subrecipients shall certify and disclose

accordingly.

This certification is a material

representation of fact upon which reliance

was placed when this transaction was made

or entered into. Submission of this

certification is a prerequisite for making or

entering into this transaction impose by

section 1352, title 31 U.S. Code. Any person

who fails to file the required certification

shall be subject to a civil penalty of not less

than $10,000 and not more than $100,000 for

each such failure.

State for Loan Guarantee and Loan Insurance

The undersigned states, to the best of his

or her knowledge and belief, that:

If any funds have been paid or will be paid

to any person for influencing or attempting

to influence an officer or employee of any

agency, a Member of Congress, an officer or

employee of Congress, or an employee of a

Member of Congress in connection with this

commitment providing for the United States

to insure or guarantee a loan, the

undersigned shall complete and submit

Standard Form-LLL ‘‘Disclosure Form to

Report Lobbying,’’ in accordance with its

instructions.

Submission of this statement is a

prerequisite for making or entering into this

transaction imposed by section 1352, title 31,

U.S. Code. Any person who fails to file the

require statement shall be subject to a civil

penalty of not less than $10,000 and not more

than $100,000 for each such failure.

lllllllllllllllllllll

Signature

lllllllllllllllllllll

Title

lllllllllllllllllllll

Organization

lllllllllllllllllllll

Date

BILLING CODE 4184–01–P
Federal Register / Vol. 62, No. 67 / Tuesday, April 8, 1997 / Notices 16839

BILLING CODE 4184–01–C
16840 Federal Register / Vol. 62, No. 67 / Tuesday, April 8, 1997 / Notices

Certification Regarding Environmental

Tobacco Smoke

Public Law 103–227, Part C—

Environmental Tobacco Smoke, also known

as the Pro-Children Act of 1994 (Act),

requires that smoking not be permitted in any

portion of any indoor routinely owned or

leased or contracted for by an entity and used

routinely or regularly for provision of health,

day care, education, or library services to

children under the age of 18, if the services

are funded by Federal programs either

directly or through State or local

governments, by Federal grant, contract, loan,

or loan guarantee. The law does not apply to

children’s services provided in private

residences, facilities funded solely by

Medicare or Medicaid funds, and portions of

facilities used for inpatient drug or alcohol

treatment. Failure to comply with the

provisions of the law may result in the

imposition of a civil monetary penalty of up

to $1000 per day and/or the imposition of an

administrative compliance order on the

responsible entity.

By signing and submitting this application

the applicant/grantee certifies that it will

comply with the requirements of the Act. The

applicant/grantee further agrees that it will

require the language of this certification be

included in any subawards which contain

provisions for the children’s services and that

all subgrantees shall certify accordingly.

[FR Doc. 97–8839 Filed 4–7–97; 8:45 am]

BILLING CODE 4184–01–P

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 multiyear Head Start Quality Improvement

Centers to provide training and

technical assistance to local Head Start

projects.

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 homebased 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 regionallybased 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 academicallybased early childhood programs; and to

work with grantees and delegate

agencies and with communities in