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
Federal Register / Vol. 62, No. 67 / Tuesday, April 8, 1997 / Notices 16841

achieving continuous quality

improvement of their services for

children and low-income families.

Rather than a system of T/TA that relies

principally on Federal direction and

decision-making, this new approach

seeks to assist experts in the

communities where Head Start

programs provide services in becoming

collaborators in a renewed quality

improvement effort.

This revised Head Start T/TA system

will promote excellence by supporting a

continuous learning environment for

Head Start staff. It will foster

partnerships among Head Start

programs, communities, academic

institutions (two or four year colleges

and universities) and governments to

engage them in helping children,

parents, and staff develop their full

potential.

The HSQICs are to work with Head

Start grantees to enable Head Start

programs to develop the following

capacities:

• Provide effective early childhood

education programs that model a

comprehensive child development approach;

• Enhance the quality of life and maximize

the potential of Head Start-eligible children

and their families;

• Identify and effectively access a wide

variety of resources available to the grantees

and delegate agencies, 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 child

development programs; and

• Maintain the unique qualities of Head

Start and help sustain these qualities through

periods of growth and change.

Among the services the HSQICs will

provide are the following:

• Provide joint training opportunities with

academic institutions for clusters of grantees

that have the same needs based on an indepth 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.

• Focus upon management, coordination

and facilitation of T/TA services within the

Region or sub-Region.

• Enhance local program capacity to

ensure continuous improvement.

• Establish and maintain a cadre of

qualified, locally-based consultants to

provide T/TA.

• Customize services based upon research

and supported by state-of-the-art technology.

• Facilitate information sharing and

collaboration with stakeholders in Head Start

and in the early child care communities as

well as academic communities.

• Engage in an ongoing strategic planning

process that will allow the system to adapt

to a demanding and changing environment.

The HSQICs will each establish

structures for the delivery of services

that meet the needs of their service area.

We expect these structures will vary

from HSQIC to HSQIC. These structures

might involve creating one or more

satellite sites to serve the Head Start

grantees in a State, in several States or

a cluster of grantees in parts of one or

more States. Such State or cluster sites

may be used to establish a presence

closer to grantee communities. Large

States may have more than one cluster

site and smaller States may share a

cluster site. The American Indian

Programs Branch’s HSQIC may have up

to three cluster sites and the Migrant

Programs Branch’s HSQIC may have up

to two cluster sites. In other instances,

a HSQIC might assign staff within its

central office to serve as liaison to

grantees in a State or part of a State.

Applicants are encouraged to propose

efficient and effective approaches to

achieving this kind of geographic

proximity.

It is assumed that Head Start grantees

and delegate agencies will have varying

levels of T/TA needs and will, therefore,

seek varying levels of assistance from

this project.

HSQICs will be responsible for

fulfilling the program goals and

objectives outlined in their applications,

including responsibilities for directing,

managing and implementing programs

of training and technical assistance for

the Regions that they serve. These

programs should be tailored to meet the

needs of the various Head Start grantees,

the state of the field of early childhood,

and the existing resources within the

Region or sub-Region.

Additional information about the

range of program areas and needs of

Head Start grantees and guidance to

approaches to training and technical

assistance is provided in Appendix B.

Federal Involvement

Federal involvement in the HSQICs

will include substantial roles for the

Head Start Bureau, which includes the

American Indian Programs Branch and

the Migrant Programs Branch, and the

ACF Regional Offices. Substantial Head

Start Bureau and ACF Regional Office

involvement with the HSQIC will occur

when:

• Changes in initiatives or national Head

Start policy need to be communicated to the

HSQIC because of the effect on the Head Start

programs with which the HSQICs are

working;

• Federal approval is needed for the

HSQIC 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 HSQIC’s Regional T/

TA Coordinating Council with others, as

described in Appendix B, will assist the

HSQIC provider in setting overall policies

and in conducting an ongoing evaluation of

the T/TA provided.

The roles of the Head Start Bureau

and ACF Regional Offices are as follows:

The Head Start Bureau will:

• Provide leadership and support for the

national Head Start T/TA system, which

includes the use of national contractors and

HSQICs to support meetings, program

monitoring, materials development and other

specific needs;

• Set Head Start program priorities and

formulate new initiatives that may affect the

plans and priorities of the HSQICs, and

consult regularly with the HSQICs to ensure

that they are fully informed of these national

priorities and initiatives;

• Set standards for the HSQICs in the

provision of quality Head Start T/TA services

for children and families;

• 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 HSQICs will be invited; and

• Monitor the HSQICs to ensure

accountability and fiscal responsibility

throughout the T/TA system.

The ACF Regional Offices and the

Head Start Bureau’s American Indian

Programs Branch and Migrant Programs

Branch will each:

• Appoint a T/TA coordinator to

coordinate Regional or sub-Regional T/TA

services and to serve as a liaison with the

HSQIC;

• Participate in the HSQIC’s Regional or

sub-Regional Coordinating Council, as

described in Appendix B;

• Review a summary of the needs

assessments and the T/TA plans for grantees

in the Region or sub-Region in order to

effectively coordinate T/TA activities;

• Conduct bimonthly (every other month)

conference calls or Regional or sub-Regional

T/TA coordinating meetings;

• Attend national T/TA meetings;

• Seek out collaborations within and

outside the Head Start program by

participating on the HSQIC’s Regional or subRegional Coordinating Council; exhibiting

leadership in coordinating child care/Head

Start partnerships and working with the

Head Start State Collaboration grantees;

• Annually review all services performed

by the Regional HSQIC prior to submission

of the continuation application in order to

provide relevant consultation to the HSQIC

and Regional or sub-Regional coordination;
16842 Federal Register / Vol. 62, No. 67 / Tuesday, April 8, 1997 / Notices

• Conduct reviews and manage the followup process for deficient grantees, i.e., carry

out joint planning with the HSQIC designed

to address identified deficiencies and to

identify the T/TA needed by deficient

grantees in order to implement their Quality

Improvement Plans (QIPs); and

• Encouraging well-performing grantees to

develop their own T/TA plans and to

implement their own T/TA.

Program Duration

This announcement is soliciting

applications for project periods up to

five years. Awards, on a competitive

basis, will be for a one-year budget

period. Applications for continuation

cooperative agreements funded under

these awards beyond the one-year

budget period, but within the five-year

project period, will be entertained in

subsequent years on a noncompetitive

basis, subject to the availability of

funds, satisfactory progress of the

cooperative agreement grantee and a

determination that continued funding

would be in the best interest of the

government.

Eligible Applicants

Public, private nonprofit, and private

for-profit organizations are eligible to

apply for these cooperative agreements.

It should be noted that for-profit

organizations must waive their fee/

profit.

Only incorporated agencies and

organizations, not individuals, are

eligible to apply. On all applications

developed jointly by more than one

agency or organization, the application

must identify only one organization as

the lead organization and the official

applicant. The other organizations may

be included as participants, subgrantees

or subcontractors.

Before the applications are reviewed,

each application will be screened to

determine that the applicant

organization is an eligible applicant as

specified. Ineligible applicants will be

notified at that time.

Project Development

Applicants are urged to discuss their

interests and ideas for developing

HSQICs early in the planning stage with

local Head Start grantees and

appropriate State, Regional, and local

agencies. Community support should be

encouraged by providing opportunities

for public and private participation in

the planning and development phases.

This program is covered under

Executive Order 12372,

‘‘Intergovernmental Review of Federal

Programs,’’ and 45 CFR Part 100,

‘‘Intergovernmental Review of Health

and Human Services Program and

Activities.’’

Under the Executive Order, States

may design their own processes for

reviewing and commenting on proposed

Federal assistance under covered

programs. All jurisdictions which

participate in the Executive Order

process have established Single Points

of Contact (SPOCs). A list of the Single

Points of Contact for each State and

Territory is included in this program

announcement as Appendix C.

Applicants from participating

jurisdictions should contact their SPOCs

as soon as possible to alert them to the

prospective applications and to receive

instructions. Applicants must submit

any required material to the SPOCs as

soon as possible so that the ACF

program office can obtain and review

SPOC comments as part of the award

process. The applicant must submit all

required materials, if any, to the SPOC

and indicate the date of this submittal

(or the date of contact if no submittal is

required) on the Standard Form 424,

item 16a. Under 45 CFR 100.8(a)(2), a

SPOC has 60 days from the application

deadline to comment on proposed new

and competing continuation awards.

SPOCs are encouraged to eliminate the

submission of routine endorsements as

official recommendations. Additionally,

SPOCs are requested to clearly

differentiate between mere advisory

comments and those official State

process recommendations which may

trigger the ‘‘accommodate or explain’’

rule. When comments are submitted

directly to ACF, they should be

addressed to: Department of Health and

Human Services, Head Start Bureau,

Administration on Children, Youth and

Families, P.O. Box 1182, 330 C Street,

S.W., Washington, D.C. 20201.

Completing the Application

In preparing the application, use

standard English language and avoid

jargon. For the program narrative, type

using black print no smaller than 12

pitch or 12 point size. An application

may not exceed 250 double-spaced

pages inclusive of resumes, charts and

appendices. If applications exceed 250

double-spaced pages, the other pages

will be removed from the application

and not considered by the reviewers.

Each copy should be secured with a

binder clip in the upper left-hand

corner. The application must be

paginated beginning with the Standard

Form 424 (SF–424) and also contain a

table of contents listing each section of

the application with the respective

pages. To facilitate handling, do not use

covers, ring binders or tabs. Applicants

are requested not to send pamphlets,

brochures, or other printed materials as

these pose xeroxing difficulties nor

should any video material be submitted.

These materials, if submitted, will not

be included in the review process if

they exceed the page limitation. Each

page of the application will be counted

to determine total length. Applicants are

advised that the copies of application

submitted, not the original, will be

reproduced by the Federal government

for review.

Instructions for completing the forms

are found either on the reverse sides of

the forms or on supplemental pages.

Additional guidance may be provided

in the program announcement. If more

space is needed than is provided, use a

blank sheet of paper to complete the

item, using the identical format. Clearly

identify the continuation page as such,

and the information items contained

thereon, and attach the page after the

appropriate page of the application.

Computer-generated facsimiles may be

substituted for any of the forms

provided in this packet. Such substitute

forms should be printed in black ink

and must maintain the exact wording

and format of the government-printed

forms, including all captions and

spacing. Any deviations may be grounds

for ACF to reject the entire application.

Additional note: For SF–424 item

‘‘Federal Identifier,’’ if the applicant

organization currently has a payment

account with the Department of Health

and Human Services, cite the Payee EIN

or PIN in the ‘‘Federal Identifier’’ block.

Assembling

To facilitate the review and

processing of the application by the

awarding office, all pages should be

numbered and preceded by a table of

contents. Assemble the application with

the cover letter (if provided) on top

followed by a table of contents, the SF–

424 series forms, the program narrative,

and any remaining documents.

Completed applications should be

signed and dated in ink by the

authorized official of the applicant

organization. An original and two

copies of the application should be

provided. Applicants may omit from the

application copies which will be made

available to the non-Federal reviewers

that specify salary rates or amounts for

individuals identified in the application

budget. Rather, only summary

information is required.

Applicants are encouraged to use the

least costly, but most efficient method

for binding and securing their

application documents.

Application Submission

Mail or hand deliver completed

applications in accordance with the

instructions in this announcement. Be
Federal Register / Vol. 62, No. 67 / Tuesday, April 8, 1997 / Notices 16843

aware that the deadline specified in this

announcement is either a ‘receipt date’

or a ‘postmark date’ deadline. Also note

that there are different instructions and

addresses for mail delivery and hand

delivery of applications. ACF cannot

accommodate transmissions of

applications by fax or through other

electronic media. Therefore,

applications transmitted to ACF

electronically will not be accepted

regardless of date or time of submission

and time of receipt.

An applicant should submit an

original and two copies of its

application by mail to: ACYF

Operations Center, 3030 Clarendon

Blvd., Room 240, Arlington, Virginia

22201, (703) 351–7676, (703) 528–0716

(FAX).

An applicant may apply for more than

one Regional or sub-Regional service

area, but must submit a separate

application for each service area for

which it is applying.

Applications hand-carried by

applicants, applicant couriers, or by

overnight/express mail couriers shall be

considered as meeting an announced

deadline date if delivered between the

normal working hours of 8 a.m. and 4:30

p.m., to Room 240, 3030 Clarendon

Blvd., Arlington, Virginia, Monday

through Friday, (excluding Federal

holidays). (Applicants are cautioned

that express/overnight mail services do

not always deliver as agreed.)

The closing date for the submission of

applications under this announcement

is June 9, 1997.

Deadlines: Applications will be

considered as meeting the above

deadline if they are either:

1. received on or before the deadline date

at the receipt point specified in this program

announcement, or

2. sent on or before the deadline date and

received by ACF in time for the independent

review.

Applicants are responsible for mailing

applications well in advance, when

using all mail services, to ensure that

applications are received on or before

the deadline date.

Applicants are cautioned to request a

legibly dated U.S. Postal Service

postmark or to obtain a legibly dated

receipt from a commercial carrier or

U.S. Postal Service. Private metered

postmarks shall not be acceptable as

proof of timely mailing.

Late Applications

Applications which do not meet the

criteria above are considered late

applications. ACF will notify each late

applicant that its application will not be

considered in the current competition.

ACF may extend the deadline for all

applicants because of acts of God such

as floods, hurricanes, etc., or when there

is a widespread disruption of the mails.

However, if ACF does not extend the

deadline for all applicants, it may not

waive or extend the deadline for any

applicants.

Intent To Apply

If you are going to submit an

application, send a postcard or call in

the following information: the name,

address, and telephone number of the

contact person; the name of the

organization; and the Regional or subRegional service area in which you may

submit an application within two weeks

of receipt of this announcement to:

Administration on Children, Youth and

Families, Operations Center, 3030

Clarendon Boulevard, Room 240,

Arlington, Va. 22201. The telephone

number is 1–800–351–2293. This

information will be used to determine

the number of expert reviewers needed

and to update the mailing list of persons

to whom the program announcement is

sent.

Acknowledgement of Receipt

Each applicant will be sent a written

acknowledgement of receipt by ACF as

soon as possible after receipt of an

application. Applicants are welcome to

provide a mailing label with their

application to help expedite this

process. If provided, the mailing label

should reflect the mailing address of the

authorizing official who is applying on

behalf of the organization. If

acknowledgment of receipt of your

application is not received within eight

weeks after the deadline date, please

notify the ACYF Operations Center by

telephone at 1–800–351–2293.

Nonconforming Applications

Applications which are determined to

be nonconforming shall not be accepted

for processing and shall be returned to

the applicant. A grant application may

be classified as nonconforming if it does

not meet the requirements of this

program announcement.

Application Review

Applications will be evaluated and

rated according to criteria and priorities

which are established for the particular

grant program involved and which are

described in this announcement (see

below).

ACF anticipates awarding cooperative

agreements for the T/TA grants

described in this announcement. A

cooperative agreement is a financial

assistance award that allows substantial

Federal involvement in the activities

undertaken with Federal financial

support. Supporting the HSQICs

through cooperative agreements will

ensure cooperation and coordination in

the provision of T/TA to Head Start

programs and related community child

development efforts between the

Federal government and the

organizations and institutions that

operate HSQICs.

Timely applications from eligible

applicants will be reviewed and scored

competitively. Experts in the field,

generally persons from outside the

Federal government, will use the

evaluation criteria listed below to

review and score the applications. The

results of this review are the primary

factor in making funding decisions.

ACYF may also solicit written

comments from ACF Regional Offices,

the Head Start Bureau and other Federal

agencies with knowledge of the

applicant’s capability and expertise.

These comments, along with those of

the expert reviewers, will be considered

in making funding decisions and will be

a part of the official application file.

The applicant must demonstrate

capacities to work with 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

HSQIC. Supporting documentation or other

testimony from concerned interests other

than the applicant on the need for assistance

may be used.

b. Results or Benefits Expected (10 points)

The applicant clearly and concisely identifies

the specific and measurable results and

benefits to be achieved by the proposed

HSQIC, which are consistent with the

objectives of the proposal, and indicates

anticipated contributions to the quality of

Head Start services, policy, and practice.

c. Approach (40 points) The applicant

describes how the project will be conducted.

The applicant describes: How grantees will

be supported in moving toward higher levels

of quality and excellence; the levels of

training and technical assistance service that

will be provided to different categories of
16844 Federal Register / Vol. 62, No. 67 / Tuesday, April 8, 1997 / Notices

grantees and how grantees will be selected

for each level of service; the uses that will

be made of communication technology and

learning modules; how priorities will be set

among competing demands; and how work

assignments will be managed. The applicant

proposes a realistic and comprehensive plan

of action for achieving the objectives of the

proposed HSQIC; details how the proposed

training and technical assistance would be

accomplished and lists organizations,

consultants, and other key individuals who

will work on the project; and describes its

approach to ensuring continuous

improvement in its efforts to meet the

identified needs and to achieve the identified

results and benefits.

d. Staff Background and Organization’s

Experience (20 points) The applicant

identifies qualified staff with the necessary

educational and experiential backgrounds

and documents the background of the

proposed project director and other proposed

project staff (providing name, address,

training, most relevant educational

background and other qualifying experiences

along with resumes and short descriptions of

their proposed responsibilities or

contributions to the applicant’s work plan);

the experience of the applicant in

administering a project like the one

proposed; and the applicant’s ability to

effectively and efficiently administer this

project.

e. Budget Appropriateness and

Reasonableness (20 Points) The applicant

clearly describes and justifies as reasonable

and realistic the project’s costs in view of the

activities to be carried out and the

anticipated outcomes.

Funding Decisions

After a decision has been reached to

disapprove or not fund a grant

submission during a given review cycle,

a written notice shall be sent to the

unsuccessful applicant by the

responsible program official within 30

days after that decision.

After Federal funds are exhausted for

a grant competition, applications which

have been independently reviewed and

ranked but have no final disposition

(neither approved nor disapproved for

funding) may again be considered for

funding. Reconsideration may occur at

any time funds become available within

12 months following ranking. ACF does

not select from multiple ranking lists for

a program. Therefore, should a new

competition be scheduled and

applications remain ranked without

final disposition, applicants are

informed of their opportunity to reapply

for the new competition, to the extent

practical.

The anticipated annual funding for

the HSQICs will range from a minimum

of approximately $775,000 to a

maximum of approximately $2,400,000,

depending upon the service area. These

amounts are generally proportionate to

a combination of the number of Head

Start children and the number of Head

Start grantees in each service area, as

compared to other service areas. Below

is a list of the projected annual funding

level for the initial funding year for each

service area. It is anticipated that

funding for each of the four possible

subsequent years of funding will, at a

minimum, equal the funds available for

the first year.

Service areas

Number of

grantees in

service area

Estimated

funding

Region I ............. 80 $1,164,170

Region II(a) ....... 92 1,718,000

Region II(b) ....... 14 778,050

Region III ........... 146 1,970,700

Region IV(a) ...... 118 1,711,000

Region IV(b) ...... 115 2,330,000

Region V(a) ....... 88 1,519,000

Region V(b) ....... 125 2,188,500

Region VI(a) ...... 86 1,431,490

Region VI(b) ...... 94 1,656,000

Region VII ......... 73 1,204,350

Region VIII ........ 75 1,273,390

Region IX .......... 79 2,374,520

Region X ........... 64 922,040

American Indian

Programs ....... 130 1,512,500

Migrant Programs ............. 25 1,696,290

Program income must be reported to

ACF, and its use, accounted for on the

SF 269, must enhance the ACF

cooperative agreement projects and

benefit the Head Start grantees. The

income must be added to funds

committed to the cooperative agreement

and must be used to further eligible

program objectives. There is no

requirement to request prior approval to

defer the use of program income for a

later period of time.

It is anticipated that eight Regional

and eight sub-Regional HSQICs will be

funded under this announcement.

ACYF intends to award the new

cooperative agreements under this

announcement during the third or

fourth quarters of FY 1997.

Program Narrative

The program narrative provides a

major means by which the application

is evaluated and ranked to compete with

other applications for available

assistance. It should be concise and

complete and should address the

activity for which Federal funds are

being requested. Supporting documents

should be included when they can

present information clearly and

succinctly. Applicants are encouraged

to provide information on their

organization structure, staff, related

experience, and other information

considered to be relevant. Awarding

offices use this and other information to

determine whether the applicant has the

capability and resources necessary to

carry out the proposed project. It is

important, therefore, that this

information be included in the

application. However, in the narrative,

the applicant must distinguish between

resources directly related to the

proposed project and those which will

not be used in the support of the

specific project for which funds are

being requested.

Cross-referencing should be used

rather than repetition. ACF is

particularly interested in specific factual

information and statements of

measurable goals in quantitative terms.

Narratives are evaluated on the basis of

substance, not length. Extensive exhibits

are not required. (Supporting

information concerning activities which

will not be directly funded by the grant

or information which does not directly

pertain to an integral part of the grant

funded activity should be placed in an

appendix.) Pages should be numbered

for easy reference.

Prepare the program narrative

statement using the following format

and guidance:

1. Project Summary/Abstract. A

summary of the project description

(usually a page or less) with reference to

the funding request should be placed

directly behind the table of contents or

SF–424.

2. Objectives and Need for Assistance.

Applicants must clearly identify the

physical, economic, social, financial,

institutional or other T/TA problems

requiring solutions. The need for

assistance must be demonstrated and

the principal and subordinate objectives

of the project must be clearly stated;

supporting documentation, such as

letters of support and testimonials from

concerned interests other than the

applicant, may be included. Any

relevant data based on planning studies

should be included or referenced in the

endnotes/footnotes. Incorporate

demographic data and participant/

beneficiary information, as needed. In

developing the narrative, the applicant

is requested to provide information on

the total range of projects currently

conducted and supported (or to be

initiated), some of which may be

outside the scope of the program

announcement.

3. Results or Benefits Expected.

Identify the results and benefits to be

derived from the T/TA services to be

provided.

4. Approach. Outline a plan of action

that describes the scope and detail of

how the proposed work would be

accomplished. Account for all functions

or activities identified in the
Federal Register / Vol. 62, No. 67 / Tuesday, April 8, 1997 / Notices 16845

application. Cite factors which might

accelerate or decelerate the work and

state your reasons for taking your

approach rather than others.

Describe unusual features of the

project such as use of technological

innovations, reductions in costs or time,

or extraordinary social and community

involvement.

Successful applicants will present

approaches for providing training and

technical assistance to Head Start

programs that take into account that

some grantees and delegate agencies

may have self-sufficient, well-developed

and multifaceted T/TA efforts, while

other grantees and delegate agencies

may have a greater need for T/TA from

Regionally-based providers. Additional

guidance on project design is provided

in Appendix B.

Describe the approaches to be taken

and the issues taken into consideration

for establishing close working

relationships at State levels or with

geographically defined clusters of

grantees.

Describe how the T/TA services

would be designed for or could be

adapted for local Head Start programs in

a variety of settings including 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 HSQIC and/or

State/cluster sites and the boundaries of

the area to be served by the proposed

project. Maps or other graphic aides

may be attached.

6. Additional Information. Staffing

and Position Data—Provide biographical

sketches for key personnel proposed

and a job description for each vacant

key position.

Organization Profiles—Describe your

institutional/organizational capability

and background in early childhood

development/early childhood

education, Head Start programs, child

care, family support, community

building, higher education/training and

T/TA delivery.

Include information on applicant

organizations and their cooperating

partners such as organizational charts,

financial statements, audit reports or

statements from a CPA/Licensed Public

Accountant, Employer Identification

Numbers, names of bond carriers,

contact persons and telephone numbers

for chief organizational officer(s).

Any nonprofit organization

submitting an application must submit

proof of its nonprofit status in its

application at the time of submission.

The nonprofit agency can accomplish

this by providing a copy of the

applicant’s listing in the Internal

Revenue Service’s (IRS) most recent list

of tax-exempt organizations described in

Section 501(c)(3) of the IRS code or by

providing a copy of the currently valid

IRS tax exemption certificate, or by

providing a copy of the articles of

incorporation bearing the seal of the

State in which the corporation or

association is domiciled.

For profit organizations submitting an

application must include a written

statement which certifies that they

operate as a corporation incorporated

under the laws of the State of [fill in the

blank], and must provide proof of this

status.’’

Third-Party Agreements—Provide

written agreements between grantees

and subgrantees or subcontractors or

other cooperating entities. These

agreements may detail scope of work,

work schedules, remuneration, and

other terms and conditions that

structure or define the relationship.

Letters of Support—Provide

statements from community, public and

commercial leaders who support the

project proposed for funding.

Reporting—Provide quarterly progress

reports for seriously deficient grantees,

and describe how they were generated

and coordinated with the Federal

Project Officer and the Regional

Coordinator i.e., quarterly statistics on:

the number of on-site T/TA visits, the

number of conferences/workshops, the

number of local T/TA resources

accessed, the number of child care

programs receiving T/TA services.

Provide a quarterly financial

statement which includes information

on the amount of funds expended

during the quarter, the cumulative

amount expended, and the amount of

funds remaining available.

Note: Eligible applicants must submit a

complete application including the required

forms included at the end of this program

announcement.

In order to be considered for a

cooperative agreement under this

announcement, an application must be

submitted on the forms and follow the

directions provided in this

announcement, all of which are

approved by the Office of Management

and Budget under Control Number

0970–0139. Required forms include the

Standard Form 424 application form

and Standard Form 424B, ‘‘Assurances:

Non-Construction Programs.’’

Applicants must provide a

certification concerning lobbying on the

form provided (OMB–0348–0046). Prior

to receiving an award in excess of

$100,000, applicants shall furnish an

executed copy of the lobbying

certification. Applicants must sign and

return the certifications with their

application.

Applicants must make the appropriate

certification of their compliance with

the Drug-Free Work Place Act of 1988.

By signing and submitting the

application, applicants are providing

the certification and need not mail back

the certification with the application.

Applicants must make the appropriate

certification that they are not presently

debarred, suspended or otherwise

ineligible for award. By signing and

submitting the application, applicants

are providing the certification and need

not mail back the certification with the

application.

Applicants must also understand that

they will be held accountable for the

smoking prohibition included within

P.L. 103–227, The Pro-Children’s Act of

1994. A copy of the Federal Register

notice which implements the smoking

prohibition is included with the forms.

Paperwork Reduction Act of 1995

Under the Paperwork Reduction Act

of 1995 (Pub. L. 104–13), the

Department is required to submit to the

Office of Management and Budget

(OMB) for review and approval any

reporting and record-keeping

requirement or program

announcements. This program

announcement meets all information

collection requirements approved for

ACF grant applications under OMB

Control Number 0970—139.

An agency may not conduct or

sponsor, and a person is not required to

respond to, a collection of information

unless it displays a currently valid OMB

control number.

Additional Information To Assist

Applicants in Preparing Their

Applications

For an information kit which

identifies the Head Start grantees in

each Regional and sub-Regional service

area and which includes a copy of the

revised Head Start Performance

Standards, a copy of the Head Start

regulations and other materials that may

be useful in preparing of a response to

this announcement, please contact:

ACYF Operations Center, 3030

Clarendon Blvd., Suite 240, Arlington,

Virginia 22201, 703–351–7676, 703–

528–0716 (FAX).

Six information sharing meetings will

be conducted in person or via video-
16846 Federal Register / Vol. 62, No. 67 / Tuesday, April 8, 1997 / Notices

conference in the following locations

and at the following times: (Please call

the telephone numbers below for

information about exact time and place):

• Washington, D.C., Switzer Building, Room

2100, 330 C Street, S.W., Contact:

Rosalind Dailey, (202) 205–8347.

• New York, NY, ACF Region II, (212) 264–

2974.

• Atlanta, GA, ACF Region IV, (404) 331–

2398.

• Chicago, IL, ACF Region V, (312) 353–

8322.

• Dallas, TX, ACF Region VI, (214) 767–

9648.

• San Francisco, CA, ACF Region IX, (415)

437–8481.

The questions and responses

discussed at these meetings will be

shared with all participating parties as

well as organizations expressing an

interest in receiving copies.

Statutory Authority: Catalog of Federal

Domestic Assistance (CFDA) number 93.600.

Dated: March 31, 1997.

James A. Harrell,

Deputy Commissioner, Administration on

Children, Youth and Families.

Appendix A—Regional and SubRegional Service Areas To Be Served by

Individual Head Start Quality

Improvement Centers

Region I Connecticut, Maine,

Massachusetts, New Hampshire, Rhode

Island, Vermont

Region II

Sub-region (a): New Jersey, New York

Sub-region (b): Puerto Rico, Virgin Islands

Region III Delaware, Maryland,

Pennsylvania, Virginia, Washington,

D.C., West Virginia

Region IV

Sub-region (a): Kentucky, North Carolina,

South Carolina, Tennessee

Sub-region (b): Alabama, Florida, Georgia,

Mississippi

Region V

Sub-region (a): Michigan, Minnesota,

Wisconsin

Sub-region (b): Illinois, Indiana, Ohio

Region VI

Sub-region (a): Arkansas, Louisiana,

Oklahoma

Sub-region (b): New Mexico, Texas

Region VII Iowa, Kansas, Missouri,

Nebraska

Region VIII Colorado, Montana, North

Dakota, South Dakota, Utah, Wyoming

Region IX Arizona, California, Hawaii,

Nevada, American Samoa,

Commonwealth of the Marianas, Guam,

Trust Territories

Region X Idaho, Oregon, Washington; and a

satellite center located in Alaska, serving

both Region X and American Indian

Program grantees.

American Indian Programs Branch

American Indian Head Start grantees in

Alaska, Arizona, California, Colorado,

Florida, Idaho, Kansas, Michigan,

Minnesota, Mississippi, Montana,

Nebraska, Nevada, New Mexico, New

York, North Carolina, North Dakota,

Oklahoma, Oregon, South Dakota, Utah,

Washington, Wisconsin, Wyoming

Migrant Programs Branch

Migrant Head Start grantees in Alabama,

Arizona, Arkansas, California, Colorado,

Delaware, Florida, Georgia, Idaho,

Illinois, Indiana, Maryland, Michigan,

Minnesota, New Jersey, New Mexico,

New York, North Carolina, Ohio, Oregon,

Pennsylvania, South Carolina,

Tennessee, Texas, Utah, Virginia,

Washington, Wisconsin

Appendix B—Guidance for the Project

Design of a Head Start Quality

Improvement Center

The Regional or sub-Regional Head

Start Quality Improvement Centers

(HSQICs) are envisioned to be

coordinator/information hubs at the

Regional/American Indian Programs

Branch (AIPB)/Migrant Programs

Branch (MPB) level, disseminating and

collecting information from the ACF

Regional and National Offices, the

American Indian Programs and Migrant

Programs Branches, and Head Start

grantees, as well as the broader child

care community. The HSQICs are

encouraged to work with local agencies

to develop interagency agreements and

partnerships for the delivery of T/TA.

As partners with the Head Start

Bureau and ACF Regional Offices, the

recipients of these awards are

encouraged to propose plans that define

strategies to meet the needs of Head

Start grantees and delegate agencies as

well as the child development field in

the areas that they will serve. The

strategies should provide for some level

of support for all grantees and delegate

agencies. The provision of T/TA should

begin with a strategic planning process

that will include a needs assessment

and plan development and will

continue with steps for the

implementation of T/TA services and

for the evaluation of those services.

Information may be shared among the

HSQICs and with the Head Start Bureau

and ACF Regional Offices.

The HSQICs will have responsibility

for assuring T/TA that can be provided

statewide and to clusters of grantees, as

well as to individuals at the grantee

level. The HSQICs may consider the

development of State/cluster sites. The

State/cluster sites, suggested to ACF in

consultations carried out in the

preparation of this program

announcement, are envisioned as

extensions of the HSQICs. The number

of skilled staff located at the State/

cluster site would be dependent upon

the size and number of grantees and

delegate agencies and within the

geographic area covered. Current

teaching centers or State/American

Indian/Migrant Head Start Association

offices might be considered as possible

State/cluster sites.

In addition, the Regional and subRegional HSQICs should work with the

ACF Regional Offices, 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 each content area

and to implement program improvement

plans and best practices.

+ Needs Assessments using information

collected, analyses and syntheses from

National Head Start T/TA providers, the

Head Start Bureau and ACF Regional Offices,

State/cluster sites and local Head Start

grantees themselves.

+ Regional or sub-Regional training based

on needs assessments and emerging priorities

shared by many grantees.

+ Short- and long-range Regional T/TA

plans developed by the Regional

Coordinating Council, based on assessments,

national and Regional program improvement

plans, State/cluster information and national

initiatives.

+ Model evaluation plans for grantees and

States/clusters to obtain assessments of the

quality and effectiveness of T/TA services

provided on-site, in workshops, and in direct

consultation and the use of the evaluation

data in planning future T/TA activities.

+ Assistance to grantees in developing and

implementing T/TA funded directly to Head

Start grantees by Program Account #20 and

other funds.

+ In collaboration with the American

Indian Programs and the Migrant Programs

Branches, T/TA especially directed to meet

the needs of American Indian and Migrant

grantees for information on relevant

Regional/State issues, regulations, and

available resources or services.

+ Emerging literacy and numeric

development through materials and activities

according to the developmental level of each

child.

* Early Head Start (EHS)

+ Collaboration with the Early Head StartNational Resource Contract (EHS–NRC) to

enhance and reinforce a comprehensive

approach to meeting the multiple needs of

pregnant women, and families with infants

and toddlers.

+ Assistance in ensuring that EHS child

and family development program models

provide early opportunities for infants and

toddlers to grow and develop in warm,

nurturing and inclusive settings.

+ State and Regional networks for the

exchange of models, strategies and materials

on partnership approaches to the funding

and delivery of high quality, comprehensive

early childhood services among and across

Head Start grantees, child care centers and

homes, school-based early childhood

programs and other providers and settings

serving young children and families.
Federal Register / Vol. 62, No. 67 / Tuesday, April 8, 1997 / Notices 16847

+ Assistance to EHS programs to identify

and assess a wide variety of resources

available in communities.

+ Assistance to EHS programs to ensure

continuous learning opportunities for

training, supervision and mentoring in

response to the ongoing development of new

knowledge across disciplines and to enable

the staff to recognize and respond to the best

practices, lessons learned and quality goals of

EHS.

* Child Development Associate (CDA)

Certification

+ Assistance to grantee and delegate

agencies to locate staff training with

academic credit, as feasible, to help ensure:

• renewal of CDA credentials;

• qualified staff as defined in the Head

Start Program Performance Standards,

including teachers of infants and toddlers

and teachers of preschool age children;

+ Assistance to grantee and delegate

agencies in identifying qualified and

experienced experts capable of providing onsite training and mentoring to teachers of

infants and toddlers, teachers of preschool

age children, home visitors, and family child

care providers, and their respective

supervisors over substantial periods of time.

+ Assistance to grantee and delegate

agencies in implementing a curriculum

suitable for the ages and stages of

development of the children served which is

consistent with the definition in the Head

Start Program Performance Standards.

+ Identification of training resources and

consultants to implement CDA requirements

for home-based programs.

* Quality Improvement Plans and

Monitoring Follow-up

+ Assistance to grantees found to be

deficient to ensure that Quality Improvement

Plans (QIPs) are implemented and identified

deficiencies addressed, at the grantee’s

request.

+ Use of information from monitoring

reviews, Program Information Reports (PIR),

and data provided by the ACF Regional

Office, the American Indian Programs and

the Migrant Programs Branches to plan T/TA

for grantees.

+ Development of procedures for grantees

to communicate their special needs for T/TA

to their Regional or sub-Regional and cluster

coordinators.

In providing T/TA in the aboveoutlined areas, HSQICs 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.

+ Special projects to meet Regional or subRegional service area needs.

* Workshops and conferences

+ Regional or sub-Regional training

workshops and institutes for grantees on

Head Start-specific topics and other topics as

determined by need, including fiscal

management, management training (strategic

long-range planning, communication

systems, organizational structure, systems

theory and program self-assessment), the

Head Start Financial Information System

(HSFIS), Program Information Report (PIR)

orientation for new directors and

coordinators and orientation on the Head

Start Program Performance Standards

(historically, these have been held at least

annually).

+ Development of topics and schedules of

workshops provided at State/cluster sites.

+ Presentations/workshops for State and

National Head Start Association conferences

and national Head Start Bureau events.

+ Participation in meetings/events

sponsored by public and private

organizations offering opportunities to

provide T/TA-related information to

appropriate constituencies.

+ Use of current technologies/approaches,

such as distance learning, interactive systems

computers, videos, satellite down links,

internet, etc., for maximizing the

dissemination and provision of T/TA.

* Training and technical assistance

institutes

+ Training provided to grantees on-site, in

clusters, and/or at State- or Region-wide

settings, including use of the train-the-trainer

model.

+ Development and implementation of

opportunities for distance learning.

+ Training on newly developed Head Start

materials.

+ Development and implementation of

procedures for grantee staff to engage in

inquiry research and in program/curriculum

development opportunities.

* Information dissemination/networking

+ Regional information dissemination on

T/TA to grantees and State/cluster sites.

+ Technological networks at the Regional

level using innovative communication

technology, particularly to disseminate

information on Head Start policies and

regulations.

+ Shared information and results of

evaluations of consultants through the

National T/TA Information Resource Bank.

+ Demonstrations of, and information on,

and dissemination of materials developed by

national contractors and Regional and subRegional HSQICs.

+ Collaboration with Head Start-sponsored

or related national initiatives, such as

Medicaid, immunizations, substance abuse

prevention and treatment, transportation,

facilities and mental health.

+ Information and/or training about Head

Start Bureau publications, such as training

guides.

+ Assistance in developing Head Start

Family Information System (HSFIS) reports

for local use, maintaining contact with the

HSFIS contractor regarding the usage of the

system.

+ Working with HSFIS sites, encouraging

the use of the HSFIS by Head Start programs

in the Region or sub-Region through the

distribution of reports and other information;

assisting programs in determining hardware

requirements, staffing requirements, and data

entry methods; maintaining contact with the

Head Start mentor programs; assisting mentor

programs in arranging for cluster training

involving one or more mentor groups;

assisting at cluster training events;

maintaining contact with the HSFIS

contractor regarding the performance of the

software and other aspects of ongoing usage

of the system; and recommending

improvements in the system.

+ Maintaining and publishing information

on statewide T/TA resources including Child

Care Resource and Referral programs.

+ Maintaining a video/materials resource

library.

+ Contributing articles to the Head Start

Bulletin.

+ Maintaining of up-to-date fact sheets on

grantees and program model descriptions.

+ Maintaining a Regional or sub-Regional

calendar of T/TA events.

+ Participating in semiannual national

T/TA network meetings, along with quarterly

meetings/conference calls with the Federal

Project Officer (FPO) and the Regional HSQIC

liaison.

• HSQICs should organize and structure

T/TA activities to achieve maximum

coordination, efficiency and effectiveness.

Suggested approaches include:

* A Regional or sub-Regional Coordinating

Council comprised of various stakeholders,

such as ACF Regional Office staff, the Federal

Project Officer from the Head Start Bureau,

State Collaboration Project grantees, State

Head Start Association representatives and

other T/TA providers in the areas of child

care, early childhood education, health,

family development, community

development and program planning. The

Council would support the HSQIC in

identifying needs for T/TA, developing a

Regional or sub-Regional T/TA plan,

connecting and coordinating services in and

among the different levels of the system and

to reach out to the community. It would meet

regularly to consult with the leadership of

the HSQIC in assessing needs, developing a

fair balance for the provision of services

among grantees, and preparing and updating

Regional or sub-Regional T/TA plans.

* State-/cluster-based activities functioning

as extensions of the HSQIC to provide joint

training opportunities to clusters of grantees

that have the same needs based on needs

assessments. The use of expert trainers and

consultants to provide T/TA to grantees

within the cluster and to interact with

American Indian, Migrant and State Head

Start Associations, State agencies and

community organizations to coordinate

services and to track relevant State legislation

and regulations. Work with ‘‘exemplary’’

grantees to help them move forward as the

new system is designed. Trainers need a

knowledge base and an awareness of adult

continuous learning and applicability to

issues in the community/program to be

served. Large States may have more than one

cluster site and smaller States may share

clusters of grantees. The American Indian

Programs Branch grantees may have up to

three cluster sites and the Migrant Programs

Branch grantees may have up to two cluster

sites. State/cluster site staff could be colocated with other T/TA providers.

* Regular meetings, communications:

+ Use of technology, such as satellites,

computers, voice links, internet, etc.

+ Use of interconnected feedback loops for

the purpose of issue identification, policy

interpretations, evaluation, etc.

* Collaboration with Community-Based

Child Care:
16848 Federal Register / Vol. 62, No. 67 / Tuesday, April 8, 1997 / Notices

+ Assistance in creating and managing

partnership strategies with child care and

early childhood agencies and providers to

meet the needs of working families and

parent preparing for employment.

+ Assistance to Head Start grantees in

managing multiple sources of funding to

support high quality, full-day/full-year

services.

+ Assistance in adapting staffing patterns,

classroom- and home-based child

development services and family

involvement and support.

+ Assistance to State Head Start

Associations, State Collaboration Projects,

state and community early childhood

agencies and Head Start grantees in

systematic approaches to needs, assessment,

planning, funding, and staff development in

early care and education services.

* Linkages with Federal-State and other

partners, such as the U.S. Departments of

Agriculture, Labor, Housing and Urban

Development, Transportation, Education,

federally recognized Tribes, and institutions

of higher learning.

• Geographic Coverage

* Types of grantees in service area: Large/

small, rural/urban, center-based, home-based,

Early Head Start, full-day, part-day.

* Level of quality among grantees:

+ Assistance to well performing grantees

in developing their own T/TA services.

+ Identification of grantees to serve as

mentors to new and/or deficient and

seriously deficient grantees. Assistance in the

management of supplementary grant funds

for the mentoring grantees and collection of

evaluative information on the mentoring

efforts.

+ Assistance in designing T/TA plans for

deficient and seriously deficient grantees, at

their request and in collaboration with the

ACF Regional Office, American Indian

Programs and Migrant Programs Branches to

enable them to meet the Head Start Program

Performance Standards.

• Management and staffing issues

(including consultant banks)

+ Sufficient HSQIC staff to coordinate

training, manage staff and consultant

resources, provide necessary subject-specific

expertise, and administer cooperative

agreement fiscal resources.

* Sufficient leadership and consultant

expertise to address health responsibilities,

including the specialty areas (medical,

dental, nutrition, mental health) at the

Regional or sub-Regional and State/cluster

sites.

* Family and Community Partnership/

Governance:

+ Skilled leadership in establishing

linkages and effective interactions with

Federal and State partners, distributing

resource materials and conducting regular

ongoing State/cluster Policy Council training

with an emphasis on the timely training of

parents who are new Policy Council

members, arranging for follow-up on-site and

being fully knowledgeable of each State’s

unique approach to Welfare Reform and

providing on-site consultation regarding

issues or effects which may impact Head

Start programs and their operations/services.

* Management and Leadership

+ Sufficient staff and consultant support

for ensuring training and technical assistance

opportunities in management, human

resources and leadership in addressing the

Head Start Program Performance Standards.

* Child Care Responsibilities

+ Skilled leadership and support on

assessing needs for training and technical

assistance on Head Start/Child Care

partnership issues.

+ Assistance in locating and describing

innovative and successful Head Start/Child

Care partnerships which expand the

availability of high quality full-day/full-year

services.

+ Assistance in State and Regional

networking strategies for exchange of

strategies and problem-solving around the

challenges of partnership approaches to

funding and managing high quality full-day/

full-year services by Head Start grantees and

other community-based child care and early

childhood agencies.

+ Collaboration with other Federal, State,

and local child care and early childhood

agencies, programs and professional

organizations in training, technical

assistance, professional development, and

planning efforts.

* HSFIS expertise to encourage its use by

Head Start programs in each service area.

+ Assisting programs in determining

hardware requirements, grantee staffing

requirements, data entry methods, etc.

+ Maintaining contact with the mentor

programs through e-mail, conference calls,

etc., in order to assist mentor programs in

arranging for cluster training.

* Transportation expertise:

+ Maintaining a resource library of

transportation materials, including such

topics as vehicles, driver training, monitor

training, child restraints, model

transportation plans, State pupil

transportation safety plans, etc.

+ Assisting programs in keeping abreast of

various Regional or sub-Regional and

national conferences sponsored by school

transportation organizations and legislative

activities at the State and Regional level.

+ Familiarity with the driver training

requirements for each State in the Regional

or sub-Regional service area; assisting

programs in accessing driver training needs

and acquiring training resources, including

train-the-trainer programs.

+ Development of classroom materials and

other guidance materials for use in educating

children and parents about safe riding

practices and safe pedestrian practices.

+ Assisting programs in determining the

transportation option most suitable for their

program, e.g., coordinated systems, other

contract arrangements, fleet purchases.

* Facilities expertise:

+ Provide training for grantees and ACF

staff in conducting cost analysis when

applying for funding for renovation,

construction or purchase of facilities.

* Child development expertise to help

grantees provide quality services for pregnant

women, infant/toddlers, and children to age

five.

* Consultant Pool

+ A Regional or sub-Regional consultant

pool, identified, screened, contracted and

linked to the National T/TA Information

Resource Bank.

+ Provision of orientation and ongoing

training for consultants.

+ Management of on-site activities of

consultants at the Regional, sub-Regional or

State/cluster site.

+ Monitoring and evaluation of Regionallevel T/TA and the performance of

consultants through on-site observations,

interviews with grantee staff, reviews of

workshop evaluations, etc.

+ Maintenance of evaluation data on

consultants for the use of national network.

+ Sufficient staff at State/cluster sites to

broker/coordinate local resources, strengthen

training and staff development, assess the

needs of individual grantees and assist with

the development of grantee T/TA plans.

Appendix C—OMB State Single Point of

Contact Listing

Arizona

Joni Saad, Arizona State Clearinghouse,

3800 N. Central Avenue, Fourteenth

Floor, Phoenix, Arizona 85012,

Telephone (602) 280–1315, FAX: (602)

280–8144.

Arkansas

Mr. Tracy L. Copelend, Manager, State

Clearinghouse, Office of

Intergovernmental Services, Department

of Finance and Administration, 1515 W.

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

72203, Telephone: (501) 682–1074, FAX:

(501) 682–5206.

California

Grants Coordinator, Office of Planning &

Research, 1400 Tenth Street, Room 121,

Sacramento, California 95814, Telehpone

(916) 323–7480, FAX (916) 323–3018.

Delaware

Francine Booth, State Single Point of

Contact Executive Department, Thomas

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

Delaware 19903, Telephone: (202) 739–

3326, FAX (302) 739–5661.

District of Columbia

Charles Nichols, State Single Point of

Contact, Office of Grants Mgmt. & Dev.,

717 14th Street, N.W.—Suite 500,

Washington, D.C. 20005, Telephone:

(202) 727–6554, FAX (202) 727–1617.

Florida

Florida State Clearinghouse, Department of

Community Affairs, 2740 Centerview

Drive, Tallahassee, Florida 32399–2100,

Telephone: (904) 922–5438, FAX (904)

487–2899.

Georgia

Tom L. Reid, III, Administrator, Georgia

State Clearinghouse, 254 Washington

Street, S.W.—Room 401J, Atlanta,

Georgia 30334, Telephone: (404) 656–

3855 or (404) 656–3829, FAX (404) 656–

7938.

Illinois

Virginia Bova, State Single Point of

Contact, Department of Commerce and

Community Affairs, James R. Thompson

Center, 100 West Randolph, Suite 3–400,

Chicago, Illinois 60601, Telephone: (312)

814–6028, FAX (312) 814–1800.

Indiana

Amy Brewer, State Budget Agency, 212

State House, Indianapolis, Indiana
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46204, Telephone: (317) 232–5619, FAX

(317) 233–3323.

Iowa

Steven R. McCann, Division for

Community Assistance, Iowa

Department of Economic Development,

200 East Grand Avenue, Des Moines,

Iowa 50309, Telephone: (515) 242–4719,

FAX (515) 242–4859.

Kentucky

Ronald W. Cook, Office of the Governor,

Department of Local Government, 1024

Capitol Center Drive, Frankfort,

Kentucky 40601–8204, Telephone: (502)

573–2382, FAX: (502) 573–2512.

Maine

Joyce Benson, State Planning Office, State

House Station #38, Augusta, Maine

04333, Telephone: (207) 287–3261, FAX:

(207) 287–6489.

Maryland

William G. Carroll, Manager, State

Clearinghouse for Intergovernmental

Assistance, Maryland Office of Planning,

301 W. Preston Street—Room 1104,

Baltimore, Maryland 21201–2365, Staff

Contact: Linda Janey, Telephone: (410)

225–4490, FAX: (410) 225–4480.

Michigan

Richard Pfaff, Southeast Michigan Council

of Governments, 1900 Edison Plaza, 660

Plaza Drive, Detroit, Michigan 48226,

Telephone: (313) 961–4266, FAX: (313)

961–4869.

Mississippi

Cathy Malette, Clearinghouse Officer,

Department of Finance and

Administration, 455 North Lamar Street,

Jackson, Mississippi 39202–3087,

Telephone: (601) 359–6762, FAX: (601)

359–6764.

Missouri

Lois Pohl, Federal Assistance

Clearinghouse, Office of Administration,

P.O. Box 809, Room 760, Truman

Building, Jefferson City, Missouri 65102,

Telephone: (314) 751–4834, FAX: (314)

751–7819.

Nevada

Department of Administration, State

Clearinghouse, Capitol Complex, Carson

City, Nevada 89710, Telephone: (702)

687–4065, FAX: (702) 687–3983.

New Hampshire

Jeffrey H. Taylor, Director, New Hampshire

Office of State Planning, Attn:

Intergovernmental Review Process, Mike

Blake, 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 58505–0170, Telephone:

(701) 224–2094, FAX: (701) 224–2308.

Ohio

Larry Weaver, State Single Point of

Contact, State Clearinghouse, Office of

Budget and Management, 30 East Broad

Street, 34th Floor, Columbus, Ohio

43266–0411.

Please direct correspondence and

questions about intergovernmental review to:

Linda Wise, Telephone: (614) 466–0698,

FAX: (614) 466–5400.

Rhode Island

Daniel W. Varin, Associate Director,

Department of Administration/Division

of Planning, One Capitol Hill, 4th Floor,

Providence, Rhode Island 02908–5870,

Telephone: (401) 277–2656, FAX: (401)

277–2083.

Please direct correspondence and

questions to: Review Coordinator, Office of

Strategic Planning.

South Carolina

Omeagia Burgess, State Single Point of

Contact, Grant Services, Office of the

Governor, 1205 Pendleton Street—Room

477, Columbia, South Carolina 29201,

Telephone: (803) 734–0494, FAX: (803)

734–0385.

Texas

Tom Adams, Governors Office, Director,

Intergovernmental Coordination, P.O.

Box 12428, Austin, Texas 78711,

Telephone: (512) 463–1771, FAX: (512)

463–1888.

Utah

Carolyn Wright, Utah State Clearinghouse,

Office of Planning and Budget, Room

116, State Capitol, Salt Lake City, Utah

84114, Telephone: (801) 538–1535, FAX:

(801) 538–1547.

West Virginia

Fred Cutlip, Director, Community

Development Division, W. Virginia

Development Office, Building #6, Room

553, Charleston, West Virginia 25305,

Telephone: (304) 558–4010, FAX: (304)

558–3248.

Wisconsin

Martha Kerner, Section Chief, State/

Federal Regulations, Wisconsin

Department of Administration, 101 East

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

Madison, Wisconsin 53707, Telephone:

(608) 266–2125, FAX: (608) 267–6931.

Wyoming

Sheryl Jeffries, State Single Point of

Contact, Office of the Governor, State

Capital, Room 124, Cheyenne, Wyoming

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

(307) 632–3909.

Territories

Guam

Mr. Giovanni T. Sgambelluri, Director,

Bureau of Budget and Management

Research, Office of the Governor, P.O.

Box 2950, Agana, Guam 96910,

Telephone: 011–671–472–2285, FAX:

011–671–472–2825.

Puerto Rico

Norma Burgos/Jose E. Caro, Chairwoman/

Director, Puerto Rico Planning Board,

Federal Proposals Review Office,

Minillas Government Center, P.O. 41119,

San Juan, Puerto Rico 00940–1119,

Telephone: (809) 727–4444, (809) 723–

6190, FAX: (809) 724–3270, (809) 724–

3103.

North Mariana Islands

Mr. Alvaro A. Santos, Executive Officer,

State Single Point of Contract, Office of

Management and Budget, Office of the

Governor, Saipan, MP, Telephone: (670)

664–2256, FAX: (670) 664–2272.

Contact Person: Ms. Jacoba T. Seman,

Federal Programs Coordinator,

Telephone: (670) 644–2289, FAX: (670)

644–2272.

Virgin Islands

Jose George, Director, Office of

Management and Budget, #41 Norregade

Emancipation Garden Station, Second

Floor, Saint Thomas, Virgin Islands

00802.

Please direct all questions and

correspondence about intergovernmental

review to: Linda Clarke, Telephone: (809)

774–0750, FAX: (809) 776–0069.

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BILLING CODE 4184–01–C
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Instructions for the SF 424

This is a standard form used by applicants

as a required facesheet for preapplications

and applications submitted for Federal

assistance. It will be used by Federal agencies

to obtain applicant certification that States

which have established a review and

comment procedure in response to Executive

Order 12372 and have selected the program

to be included in their process, have been

given an opportunity to review the

applicant’s submission.

Item and Entry

1. Self-explanatory.

2. Date application submitted to Federal

agency (or State if applicable) & applicant’s

control number (if applicable).

3. State use only (if applicable).

4. If this application is to continue or

revise an existing award, enter present

Federal identifier number. If for a new

project, leave blank.

5. Legal name of applicant, name of

primary organizational unit which will

undertake the assistance activity, complete

address of the applicant, and name and

telephone number of the person to contact on

matters related to this application.

6. Enter Employer Identification Number

(EIN) as assigned by the Internal Revenue

Service.

7. Enter the appropriate letter in the space

provided.

8. Check appropriate box and enter

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

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

—‘‘Continuation’’ means an extension for an

additional funding/budget period for a

project with a projected completion date.

—‘‘Revision’’ means any change in the

Federal Government’s financial obligation

or contingent liability from an existing

obligation.

9. Name of Federal agency from which

assistance is being requested with this

application.

10. Use the Catalog of Federal Domestic

Assistance number and title of the program

under which assistance is requested.

11. Enter a brief descriptive title of the

project. If more than one program is

involved, you should append an explanation

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

construction or real property projects), attach

a map showing project location. For

preapplications, use a separate sheet to

provide a summary description of this

project.

12. List only the largest political entities

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

13. Self-explanatory.

14. List the applicant’s Congressional

District and any District(s) affected by the

program or project.

15. Amount requested or to be contributed

during the first funding/budget period by

each contributor. Value of in-kind

contributions should be included on

appropriate lines as applicable. If the action

will result in a dollar change to an existing

award, indicate only the amount of the

change. For decreases, enclosed the amounts

in parentheses. If both basic and

supplemental amounts are included, show

breakdown on an attached sheet. For

multiple program funding, use totals and

show breakdown using same categories as

item 15.

16. Applicants should contact the State

Single Point of Contract (SPOC) for Federal

Executive Order 12372 to determine whetter

the application is subject to the State

intergovernmental review process.

17. This question applies to the applicant

organization, not the person who signs as the

authorized representative. Categories of debt

include delinquent audit disallowances,

loans and taxes.

18. To be signed by the authorized

representative of the applicant. A copy of the

governing body’s authorization for you to

sign this application as official representative

must be on file in the applicant’s office.

(Certain Federal agencies may require that

this authorization be submitted as part of the

application.)

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BILLING CODE 4184–01–C
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Instructions for the SF–424A

General Instructions

This form is designed so that application

can be made for funds from one or more grant

programs. In preparing the budget, adhere to

any existing Federal grantor agency

guidelines which prescribe how and whether

budgeted amounts should be separately

shown for different functions or activities

within the program. For some programs,

grantor agencies may require budgets to be

separately shown by function or activity. For

other programs, grantor agencies may require

a breakdown by function or activity. Sections

A, B, C, and D should include budget

estimates for the whole project except when

applying for assistance which requires

Federal authorization in annual or other

funding period increments. In the latter case,

Sections A, B, C, and D should provide the

budget for the first budget period (usually a

year) and Section E should present the need

for Federal assistance in the subsequent

budget periods. All applications should

contain a breakdown by the object class

categories shown in Lines a–k of Section B.

Section A. Budget Summary Lines 1–4,

Columns (a) and (b)

For applications pertaining to a single

Federal grant program (Federal Domestic

Assistance Catalog number) and not requiring

a functional or activity breakdown, enter on

Line 1 under Column (a) the catalog program

title and the catalog number in Column (b).

For applications pertaining to a single

program requiring budget amounts by

multiple functions or activities, enter the

name of each activity or function on each

line in Column (a), and enter the catalog

number in Column (b). For applications

pertaining to multiple programs where none

of the programs require a breakdown by

function or activity, enter the catalog

program title on each line in Column (a) and

the respective catalog number on each line in

Column (b).

For applications pertaining to multiple

programs where one or more programs

require a breakdown by function or activity,

prepare a separate sheet for each program

requiring the breakdown. Additional sheets

should be used when one form does not

provide adequate space for all breakdown of

data required. However, when more than one

sheet is used, the first page should provide

the summary totals by programs.

Lines 1–4, Columns (c) through (g.)

For new applications, leave Columns (c)

and (d) blank. For each line entry in Columns

(a) and (b), enter in Columns (e), (f), and (g)

the appropriate amounts of funds needed to

support the project for the first funding

period (usually a year).

For continuing grant program applications,

submit these forms before the end of each

funding period as required by the grantor

agency. Enter in Columns (c) and (d) the

estimated amounts of funds which will

remain unobligated at the end of the grant

funding period only if the Federal grantor

agency instructions provide for this.

Otherwise, leave these columns blank. Enter

in columns (e) and (f) the amounts of funds

needed for the upcoming period. The

amount(s) in Column (g) should be the sum

of amounts in Columns (e) and (f).

For supplemental grants and changes to

existing grants, do not use Columns (c) and

(d). Enter in Column (e) the amount of the

increase or decrease of Federal funds and

enter in Column (f) the amount of the

increase or decrease of non-Federal funds. In

Column (g) enter the new total budgeted

amount (Federal and non-Federal) which

includes the total previous authorized

budgeted amounts plus or minus, as

appropriate, the amounts shown in Columns

(e) and (f). The amount(s) in Column (g)

should not equal the sum of amounts in

Columns (e) and (f).

Line 5—Show the totals for all columns

used.

Section B Budget Categories

In the column headings (1) through (4),

enter the titles of the same programs,

functions, and activities shown on Lines 1–

4, Column (a), Section A. When additional

sheets are prepared for Section A, provide

similar column headings on each sheet. For

each program, function or activity, fill in the

total requirements for funds (both Federal

and non-Federal) by object class categories.

Lines 6a–i—Show the totals of Lines 6a to

6h in each column.

Line 6j—Show the amount of indirect cost.

Line 6K—Enter the total of amounts on

Lines 6i and 6j. For all applications for new

grants and continuation grants the total

amount in column (5), Line 6k, should be the

same as the total amount shown in Section

A, Column (g), Line 5. For supplemental

grants and changes to grants, the total

amount of the increase or decrease as shown

in Columns (1)–(4), Line 6k should be the

same as the sum of the amounts in Section

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

Line 7—Enter the estimated amount of

income, if any, expected to be generated from

this project. Do no add or subtract this

amount from the total project amount. Show

under the program narrative statement the

nature and source of income. The estimated

amount of program income may be

considered by the federal grantor agency in

determining the total amount of the grant.

Section C. Non-Federal-Resources

Lines 8–11—Enter amounts of non-Federal

resources that will be used on the grant. If

in-kind contributions are included, provide a

brief explanation on a separate sheet.

Column (a)—Enter the program titles

identical to Column (a), Section A. A

breakdown by function or activity is not

necessary.

Column (b)—Enter the contribution to be

made by the applicant.

Column (c)—Enter the amount of the

State’s cash and in-kind contribution if the

applicant is not a State or State agency.

Applicants which are a State or State

agencies should leave this column blank.

Column (d)—Enter the amount of cash and

in-kind contributions to be made from all

other sources.

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

(c), and (d).

Line 12—Enter the total for each of Column

(b)–(e). The amount in Column (e) should be

equal to the amount of Line 5, Column (f),

Section A.

Section D. Forecasted Cash Needs

Line 13—Enter the amount of cash needed

by quarter from the grantor agency during the

first year.

Line 14—Enter the amount of cash from all

other sources needed by quarter during the

first year.

Line 15—Enter the totals of amounts on

Lines 13 and 14.

Section E. Budget Estimates of Federal Funds

Needed for Balance of the Project

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

grant program titles shown in Column (a),

Section A. A breakdown by function or

activity is not necessary. For new

applications and continuation grant

applications, enter in the proper columns

amounts of Federal funds which will be

needed to complete the program or project

over the succeeding funding periods (usually

in years). This section need not be completed

for revisions (amendments, changes, or

supplements) to funds for the current year of

existing grants.

If more than four lines are needed to list

the program titles, submit additional

schedules as necessary.

Line 20—Enter the total for each of the

Columns (b)–(e). When additional schedules

are prepared for this Section, annotate

accordingly and show the overall totals on

this line.

Section F. Other Budget Information

Line 21—Use this space to explain

amounts for individual direct object-class

cost categories that may appear to be out of

the ordinary or to explain the details as

required by the Federal grantor agency.

Line 22—Enter the type of indirect rate

(provisional, predetermined, final or fixed)

that will be in effect during the funding

period, the estimated amount of the base to

which the rate is applied, and the total

indirect expense.

Line 23—Provide any other explanations or

comments deemed necessary.

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BILLING CODE 4184–01–C
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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
16860 Federal Register / Vol. 62, No. 67 / Tuesday, April 8, 1997 / Notices

remedies available to the Federal

Government, the department or agency may

terminate this transaction for cause or

default.

Certification Regarding Debarment,

Suspension, and Other Responsibility

Matters—Primary Covered Transactions

(1) The prospective primary participant

certifies to the best of its knowledge and

belief, that it and its principals:

(a) Are not presently debarred, suspended,

proposed for debarment, declared ineligible,

or voluntarily excluded by any Federal

department or agency;

(b) Have not within a three-year period

preceding this proposal been convicted of or

had a civil judgment rendered against them

for commission of fraud or a criminal offense

in connection with obtaining, attempting to

obtain, or performing a public (Federal, State

or local) transaction or contract under a

public transaction; violation of Federal or

State antitrust statues or commission of

embezzlement, theft, forgery, bribery,

falsification or destruction of records, making

false statements or receiving stolen property;

(c) Are not presently indicated for or

otherwise criminally or civilly charged by a

governmental entity (Federal, State or local)

with commission of any of the offenses

enumerated in paragraph (1)(b) of this

certification; and

(d) Have not within a three-year period

preceding this application/proposal had one

or more public transactions (Federal, State or

local) terminated for cause or default.

(2) Where the prospective primary

participant is unable to certify to any of the

statements in this certification, such

prospective participant shall attach an

explanation to this proposal.

Certification Regarding Lobbying

Certification for Contracts, Grants, Loans,

and Cooperative Agreements

The undersigned certifies, to the best of his

or her knowledge and belief, that:

(1) No Federal appropriated funds have

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

the undersigned, to any person for

influencing or attempting to influence an

officer or employee of any agency, a Member

of Congress, an officer or employee of

Congress, or an employee of a Member of

Congress in connection with the awarding of

any Federal contract, the making of any

Federal grant, the making of any Federal

loan, the entering into of any cooperative

agreement, and the extension, continuation,

renewal, amendment, or modification of any

Federal contract, grant, loan, or cooperative

agreement.

(2) If any funds other than Federal

appropriated funds have been paid or will be

paid to any person for influencing or

attempting to influence an officer or

employee of any agency, a Member of

Congress, an officer or employee of Congress,

or an employee of a Member of Congress in

connection with this Federal contract, grant,

loan or cooperative agreement, the

undersigned shall complete and submit

Standard Form-LLL, ‘‘Disclosure Form to

Report Lobbying,’’ in accordance with its

instructions.

(3) The undersigned shall require that the

language of this certification be included in

the award documents for all subawards at all

tiers (including subcontracts, subgrants, and

contracts under grants, loans, and

cooperative agreements) and that all

subrecipients shall certify and disclose

accordingly.

This certification is a material

representation of fact upon which reliance

was placed when this transaction was made

or entered into. Submission of this

certification is a prerequisite for making or

entering into this transaction imposed by

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

who fails to file the required certification

shall be subject to a civil penalty of not less

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

each such failure.

State for Loan Guarantee and Loan Insurance

The undersigned states, to the best of his

or her knowledge and belief, that:

If any funds have been paid or will be paid

to any person for influencing or attempting

to influence an officer or employee of any

agency, a Member of Congress, an officer or

employee of Congress, or an employee of a

Member of Congress in connection with this

commitment providing for the United States

to insure or guarantee a loan, the

undersigned shall complete and submit

Standard Form-LLL ‘‘Disclosure Form to

Report Lobbying,’’ in accordance with its

instructions.

Submission of this statement is a

prerequisite for making or entering into this

transaction imposed by section 1352, title 31,

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

required statement shall be subject to a civil

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

than $100,000 for each such failure.

lllllllllllllllllllll

Signature

lllllllllllllllllllll

Title

lllllllllllllllllllll

Organization

lllllllllllllllllllll

Date

BILLING CODE 4184–01–P
Federal Register / Vol. 62, No. 67 / Tuesday, April 8, 1997 / Notices 16861

BILLING CODE 4184–01–C
16862 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 $1,000 per day and/or the imposition of an

administrative compliance order on the

responsible entity.

By signing and submitting this application

the applicant/grantee certifies that it will

comply with the requirements of the Act. The

applicant/grantee further agrees that it will

require the language of this certification be

included in any subawards which contain

provisions for the children’s services and that

all subgrantees shall certify accordingly.

[FR Doc. 97–8840 Filed 4–7–97; 8:45 am]

BILLING CODE 4184–01–P

DEPARTMENT OF HEALTH AND

HUMAN SERVICES

Food and Drug Administration

Grassroots Consumer Participation:

Public Meeting

AGENCY: Food and Drug Administration,

HHS.

ACTION: Notice of a public meeting.

SUMMARY: The Food and Drug

Administration (FDA) is announcing a

grassroots consumer exchange meeting

between the general public and FDA

officials. The meeting will be chaired by

FDA’s Cincinnati District Director and is

intended to encourage dialogue between

consumers and FDA officials, to solicit

consumers’ concerns about the drug

review process, drug clinical trials

(including inclusion of women in

clinical trials), and to discuss how FDA

can improve consumer services.

DATES: The public meeting will be held

on Tuesday, April 29, 1997, 9 a.m. to 12

m.

ADDRESSES: The public meeting will be

held at the Cincinnati Bell Long

Distance Bldg., 36 East 7th St., rm. 1703,

Cincinnati, OH.

FOR FURTHER INFORMATION CONTACT:

Marilyn R. Zipkes, Food and Drug

Administration, 1141 Central Pkwy.,

Cincinnati, OH 45212, 513–684–3501,

ext. 110.

SUPPLEMENTARY INFORMATION: The

purpose of the meeting is to encourage

dialogue between consumers and FDA

officials, to identify consumers’ current

and future health concerns, and to

enhance relations between consumers

and FDA. There is no registration fee for

this meeting. Interested persons are

encouraged to register early because

space is limited. To register contact the

contact person listed above.

Dated: March 31, 1997.

William K. Hubbard,

Associate Commissioner for Policy

Coordination.

[FR Doc. 97–8908 Filed 4–7–97; 8:45 am]

BILLING CODE 4160–01–F

DEPARTMENT OF HEALTH AND

HUMAN SERVICES

Food and Drug Administration

[Docket No. 97M–0126]

CIBA Vision Corp.; Premarket

Approval of Unizyme Enzymatic

Cleaner

AGENCY: Food and Drug Administration,

HHS.

ACTION: Notice.

SUMMARY: The Food and Drug

Administration (FDA) is announcing its

approval of the application by CIBA

Vision Corp., Duluth, GA, for premarket

approval, under the Federal Food, Drug,

and Cosmetic Act (the act), of Unizyme

Enzymatic Cleaner. FDA’s Center for

Devices and Radiological Health (CDRH)

notified the applicant, by letter of

January 31, 1997, of the approval of the

application.

DATES: Petitions for administrative

review by May 8, 1997.

ADDRESSES: Written requests for copies

of the summary of safety and

effectiveness data and petitions for

administrative review to the Dockets

Management Branch (HFA–305), Food

and Drug Administration, 12420

Parklawn Dr., rm. 1–23, Rockville, MD

20857.

FOR FURTHER INFORMATION CONTACT:

James F. Saviola, Center for Devices and

Radiological Health (HFZ–460), Food

and Drug Administration, 9200

Corporate Blvd., Rockville, MD 20850,

301–594–1744.

SUPPLEMENTARY INFORMATION: On August

15, 1996, CIBA Vision Corp., Duluth,

GA, 30155–1518, submitted to CDRH an

application for premarket approval of

Unizyme Enzymatic Cleaner. The device

is a periodic cleaner and is indicated for

use with (hydrogen peroxide), lens care

systems in the weekly cleaning of soft

(hydrophilic) contact lenses (including

daily wear, extended wear, tinted

lenses, and lenses prescribed for

scheduled replacement).

In accordance with the provisions of

section 515(c)(2) of the act (21 U.S.C.

360e(c)(2)) as amended by the Safe

Medical Devices Act of 1990, this

premarket approval application (PMA)

was not referred to the Ophthalmic

Devices Panel of the Medical Devices

Advisory Committee, an FDA advisory

committee, for review and

recommendation because the

information in the PMA substantially

duplicates information previously

reviewed by this panel. On January 31,

1997, CDRH approved the application

by a letter to the applicant from the

Director of the Office of Device

Evaluation, CDRH.

A summary of the safety and

effectiveness data on which CDRH

based its approval is on file in the

Dockets Management Branch (address

above) and is available from that office

upon written request. Requests should

be identified with the name of the

device and the docket number found in

brackets in the heading of this

document.

Opportunity for Administrative Review

Section 515(d)(3) of the act authorizes

any interested person to petition, under

section 515(g) of the act, for

administrative review of CDRH’s

decision to approve this application. A

petitioner may request either a formal

hearing under 21 CFR part 12 of FDA’s

administrative practices and procedures

regulations or a review of the

application and CDRH’s action by an

independent advisory committee of

experts. A petition is to be in the form

of a petition for reconsideration under

21 CFR 10.33(b). A petitioner shall

identify the form of review requested

(hearing or independent advisory

committee) and shall submit with the

petition supporting data and

information showing that there is a

genuine and substantial issue of

material fact for resolution through

administrative review. After reviewing

the petition, FDA will decide whether to

grant or deny the petition and will

publish a notice of its decision in the

Federal Register. If FDA grants the

petition, the notice will state the issue

to be reviewed, the form of the review

to be used, the persons who may

participate in the review, the time and

place where the review will occur, and

other details.