18966 Federal Register / Vol. 62, No. 74 / Thursday, April 17, 1997 / Notices

DEPARTMENT OF HEALTH AND

HUMAN SERVICES

Administration for Children and

Families

[Program Announcement No. ACYF–HS–

93600–97–03]

Early Head Start Program Grant

Availability

AGENCY: Administration on Children,

Youth and Families (ACYF), ACFD,

HHS.

ACTION: Announcement of financial

assistance to be competitively awarded

to public and non-profit private

entities—including Head Start grantees,

Parent and Child Centers and

Comprehensive Child Development

Programs—to provide child and family

development services for low-income

families with children under age three

and pregnant women.

SUMMARY: Section 645A of the Head

Start Act, as amended, 42 U.S.C. 9801

et seq., requires that, beginning in fiscal

year 1995, the Secretary of Health and

Human Services award grants

competitively to agencies and

organizations to implement programs

which we call ‘‘Early Head Start.’’ These

programs provide early, continuous,

intensive, and comprehensive child

development and family support

services on a year-round basis to lowincome families with children under age

three and pregnant women. The purpose

of the program is to enhance children’s

physical, social, emotional, and

intellectual development; to support

parents’ efforts to fulfill their parental

roles; and to help parents move toward

self-sufficiency. Thus, the goals for

Early Head Start are to:

• Promote the physical, cognitive,

social and emotional growth of infants

and toddlers and prepare them for

future growth and development;

• Support parents—mothers, fathers,

and guardians—in their role as the

primary caregivers and educators of

their children, and in meeting family

goals and achieving self-sufficiency

across a wide variety of domains;

• Strengthen community supports for

families with young children; and

• Develop highly-trained, caring and

adequately compensated program staff,

because the quality of staff and their

relationships with children and parents

are critical to achieving all the other

goals.

DATES: The CLOSING TIME AND DATE

FOR RECEIPT of applications is 4:30 pm

(Eastern Time Zone), June 16, 1997.

Applications received after 4:30 pm will

not be accepted.

Applications transmitted to ACF in

any electronic form will not be accepted

regardless of date of time of submission

and time of receipt. All applications

must be in hard copy form to be

considered acceptable.

ADDRESSES: Applications may be mailed

to:

Early Head Start Program Category

llllll, ACYF Operations Center,

3030 Clarendon Blvd., Suite 240,

Arlington, Virginia 22201.

Hand Delivered, Courier or Overnight

delivery applications are received

during the normal working hours of 8:00

a.m. to 4:30 p.m., Monday through

Friday, on or prior to the established

closing date at the above address.

If you plan to submit an application,

we ask that you send a postcard or call

in the following information: the name,

address, and telephone number of the

contact person; the name of the

organization; and the category of

funding for which you may submit an

application, within two weeks of receipt

of this announcement to: Early Head

Start, Administration on Children,

Youth and Families Operations Center,

3030 Clarendon Boulevard, Suite 240,

Arlington, VA 22201. The telephone

number is 1–800–351–2293. This

information will be used to determine

the number of expert reviewers needed

and to update the mailing list of persons

to whom the program announcement is

sent.

FOR FURTHER INFORMATION CONTACT: For

questions related to the Program

Announcement, please contact the

Administration on Children, Youth and

Families Operations Center, Technical

Assistance Team at 1–800–351–2293.

Staff at this Center will answer

questions regarding the application

requirements or refer you to the

appropriate contact person in ACYF for

programmatic questions. You may also

locate frequently asked questions about

this program announcement on the

ACYF website at http://

www.acf.dhhs.gov.

For a copy of the application kit, or

for another copy of the program

announcement, please call or fax your

request to the ACYF Operations Center

at 1–800–351–2293 (phone) or 1–800–

351–4490 (fax).

SUPPLEMENTARY INFORMATION:

Part I. General Information

A. Introduction

This program announcement is

divided into five sections:

• Part I contains general information

and an introductory section which

contains the history and background of

the Early Head Start program and the

principles and program description that

will guide the development,

implementation and operation of the

program.

• Part II contains key program

information such as a description of

competitive categories, eligible

applicants, project periods, applicable

Head Start regulations, and Early Head

Start as a learning community.

• Part III presents requirements for

information that must be included in

each application.

• Part IV presents the criteria upon

which applications will be reviewed

and evaluated.

• Part V contains instructions for

preparing the fiscal year 1997

application. This section notes that the

Commissioner of the Administration on

Children, Youth and Families,

depending on the availability of funds

and an adequate number of acceptable

applications, may choose to fund a

fiscal year 1998 cohort of programs out

of the pool of applications submitted as

a response to this program

announcement.

Appendix A—ACF Uniform

Discretionary Grant Application Form—

This material includes the relevant

forms, certifications, disclosures and

assurances necessary for completing and

submitting the application.

Appendix B lists the Single Points of

Contact for each State and Territory.

Appendix C is The Statement of the

Advisory Committee on Services for

Families with Infants and Toddlers.

Appendix D—Category One—New

Early Head Start Awards provides a list

of the geographic areas not open for

competition under Category One.

Appendix E—Category Two—New

Awards to Communities Served by

Parent and Child Centers provides a list

of geographic areas open to competition

under Category Two.

An application kit containing the ACF

Uniform Discretionary Grant

Application Form, applicable Head Start

Regulations, State Contact lists (e.g.,

Part H Lead Agency Coordinators) and

other useful information should be

obtained by applicants. (See address

listed earlier in this announcement

under ‘‘For Further Information.’’)

B. Program Purpose

With the reauthorization of the Head

Start Act in 1994, Congress established

a new program for low-income families

with infants and toddlers and pregnant

women which is called Early Head

Start. Beginning in fiscal year 1995, 68

grants were awarded and, in fiscal year

1996, an additional 75 grants were

selected from among competing
Federal Register / Vol. 62, No. 74 / Thursday, April 17, 1997 / Notices 18967

agencies and organizations to

implement Early Head Start programs

which provide early, continuous,

intensive, and comprehensive child

development and family support

services.

In creating this program, the Congress

acted upon evidence from research and

practice which illustrates that early

intervention through high quality

programs enhances children’s physical,

social, emotional, and cognitive

development; enables parents to be

better caregivers and teachers to their

children; and helps parents meet their

own goals, including economic

independence. Such programs answer

an undeniable need. As pointed out in

‘‘The Report of the Carnegie Task Force

on Meeting The Needs of Young

Children,’’ many of the 12 million

children under three and their families

in the United States today face a ‘‘quiet

crisis.’’ The numerous indicators of this

crisis include: one in four infants and

toddlers live in families with incomes

below the poverty line; nine out of every

thousand infants die before the age of

one; and, more than five million

children under three receive child care

from other adults while their parents

work, much of that care being of poor

quality.

The Early Head Start program

provides resources to community

programs to address such needs and to

achieve the purposes set forth by

Congress. The local programs funded

through Early Head Start operate as a

national laboratory to demonstrate the

impact that can be gained when early,

continuous, intensive and

comprehensive services are provided to

pregnant women and very young

children and their families.

Programs participating in this

demonstration effort will:

• Ensure quality by meeting the

requirements in the Head Start Program

Performance Standards and other

applicable regulations;

• Provide early, individualized child

development and parent education

services to low-income infants and

toddlers and their families according to

a plan developed jointly by the parents

and staff;

• Provide these services through an

appropriate mix of home visits,

experiences at the Early Head Start

center, and experiences in other settings

such as family-or center-based child

care;

• Provide early opportunities for

infants and toddlers with and without

disabilities to grow and develop

together in nurturing and inclusive

settings;

• Ensure that the Early Head Start

program is supportive and nurturing of

families;

• Respond to the needs of families,

including the need for full-time child

care for working families;

• Connect with other service

providers at the local level to ensure

that a comprehensive array of health,

nutrition, and other services is provided

to the program’s pregnant women, very

young children, and their families;

• Recruit, train, and supervise high

quality staff to ensure the kind of warm

and continuous relationships between

caregivers and children that are crucial

to learning and development for infants

and toddlers;

• Ensure parent involvement in

policy and decision making; and

• Coordinate with local Head Start

and other child development programs

in order to ensure continuity of services

for these children and families.

C. History and Background

1. Legislation

In May 1994, the President signed

into law the bipartisan Head Start

Reauthorization Act of 1994. This

reauthorization established within the

Head Start Bureau a new program for

low-income pregnant women and

families with infants and toddlers. The

reauthorization sets aside funds from

the total Head Start budget for the

subsequent four years at a rate of three

percent in FY 1995; four percent in FY

1996 and 1997; and five percent in FY

1998. Consolidated into the new

initiative were the Parent and Child

Centers Program and the

Comprehensive Child Development

Program.

This section of the legislation had a

number of sources, including the

recommendations of the Advisory

Committee on Head Start Quality and

Expansion, as well as recent lessons

from research and practice.

2. The Advisory Committee on Head

Start Quality and Expansion

In June 1993, the Secretary of the

Department of Health and Human

Services formed an Advisory Committee

to look at Head Start quality and

expansion. The recommendations of

that Committee centered around:

• Striving for excellence in staffing,

management, oversight, facilities, and

research;

• Expanding to better meet the needs

of children and families; and

• Forging new partnerships with

communities, schools, the private

sector, and other national initiatives.

Included in the report was a

recommendation that the Department

develop a new initiative for expanded

Head Start supports to families with

infants and toddlers, as well as convene

a high-level committee charged with

developing guidelines for this new

effort. This recommendation was fueled

by relevant research findings and

recognition in the field that much more

could be accomplished with earlier,

more sustained support for very young

children and their families.

3. Relevant Research

Findings from more than three

decades of research in child and family

development illustrate that the time

from conception to age three is critical

for human development. The basic

cognitive, social, and emotional

foundation is established in these early

years. The research also indicates that,

to develop optimally, infants and

toddlers must have healthy beginnings

and the continuity of responsive and

caring relationships. Together, these

supports help promote optimal

cognitive, social, emotional, physical,

and language development. When these

supports are missing, the immediate and

future development of the child may be

compromised. Recent research identifies

the characteristics of effective programs

that enhance both child and family

development. This growing body of

knowledge provides a foundation upon

which the Early Head Start program is

based.

A more detailed discussion about the

research in maternal and infant health,

child-caregiver relationships, and the

characteristics of successful programs

can be found in the Statement of the

Advisory Committee on Services for

Families with Infants and Toddlers,

which is included as Appendix C.

In FY 1995 a contract was awarded to

Mathematica Policy Research, Inc. to

conduct a cross-site evaluation of Early

Head Start. In FY 1996, 16 university

partners of the initial 68 Early Head

Start grantees were selected to conduct

site-specific research. Thus, those 16

sites became the participants in the

national cross-site evaluation conducted

by Mathematica. Results are not yet

available. Because the evaluation of

Early Head Start is already underway,

the FY 1997–1998 Cohort of Early Head

Start grantees will not participate in the

cross-site evaluation.

4. Precursor Program Experiences

In enacting Early Head Start, Congress

was building on lessons learned through

Federal, State, and community programs

that serve some of our country’s very

young children and their families.

Most notable among the early Federal

efforts include the following:
18968 Federal Register / Vol. 62, No. 74 / Thursday, April 17, 1997 / Notices

• The Maternal and Child Health

Services Block Grant has its roots in

Title V of the Social Security Act, which

was enacted in 1935. It is administered

by the Maternal and Child Health

Bureau (MCHB) of the Health Resources

and Services Administration in HHS

which provides leadership for building

the infrastructure for health care

services delivery to all mothers and

children in the U.S., with particular

responsibility for serving those lowincome or isolated populations who

would otherwise have limited access to

care.

• The Parent and Child Centers

Program (PCC) was established in 1967

to provide an array of services for

pregnant women, infants/toddlers,

parents, and families as a whole.

Services include health, education,

personal and interpersonal

development, and family assistance.

There are currently 58 PCCs across the

country. Thirty-four others have been

competitively selected and converted

into Early Head Start programs.

• The Migrant Head Start program

was established in 1969 to meet the

needs of mobile farmworker children

and their families. The program

provides age-appropriate infant, toddler

and preschool programming, full-day

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

week services (five to seven days per

week) based on the needs of working

families. These services are offered in

center-based and family child care

settings during peak agricultural

seasons. There are currently 25 Migrant

Head Start grantees and 42 delegate

agencies operating in 39 States. Infants

and toddlers comprise over 40 percent

of the children served annually.

• The Child and Family Resource

Program (CFRP) operated as a

demonstration from 1973 to 1983. Ten

CFRP programs linked community

resources in efforts to enhance families’

abilities to provide safe, stable,

nurturing environments for their

children.

• Part H of the Individuals with

Disabilities Education Act was initiated

in 1986 as an early intervention program

for children birth to age three who have

or are at risk for developmental

disability. Part H supports

comprehensive, statewide programs

which identify and coordinate needed

services within the context of a familycentered services delivery model.

• The Comprehensive Child

Development Program (CCDP) was

enacted in 1988 to provide and

coordinate a wide range of services to

children and families including child

development, health care, education,

economic self-sufficiency, mental

health, substance abuse treatment and

prevention and other services to

strengthen the home and family. There

are currently 19 CCDPs in communities

throughout the country. Eighteen others

have been competitively selected to

become Early Head Start programs.

• The Even Start Literacy Program,

administered by the Department of

Education, integrates early childhood

education and adult education for

parents into a unified program.

• The Healthy Start Initiative,

administered by the Maternal and Child

Health Bureau in HHS, started in 1991

as a demonstration program to combat

infant mortality through community

coalitions.

In addition to these Federal efforts,

many States and foundations are

focusing on the special needs of very

young children and their families.

Carnegie and Ford are among the

foundations addressing the needs of

pregnant women and families with

infants and toddlers.

D. Consultation

In the statute establishing the new

program called Early Head Start,

Congress called on the Secretary to

develop program guidelines in

consultation with experts in early

childhood development, health, and

family services; and take into

consideration the knowledge and

experience gained from other early

childhood programs that serve large

numbers of infants and toddlers

including the Comprehensive Child

Development Program, Head Start

Parent and Child Centers and the

Migrant Head Start program. As a result,

the Secretary formed the Advisory

Committee on Services for Families

with Infants and Toddlers. The

Committee was charged with advising

the Department on the development of

program approaches for the Early Head

Start initiative. In September 1994, the

Advisory Committee unanimously

agreed to a statement that sets forth the

vision, goals, principles, and program

cornerstones for Early Head Start (the

Statement, which includes the Advisory

Committee membership list, is included

as Appendix C).

In addition, Federal staff conducted

approximately 30 focus groups during

the summer of 1994 to hear from

parents, practitioners, researchers,

advocates, and representatives of

professional organizations. Federal staff

also met with or received materials and

recommendations from a number of

other parents, practitioners, and

researchers. The suggestions, guidance,

and information received through this

consultation process helped shape the

development of the original fiscal year

1995 program announcement as well as

this announcement.

The results of this consultation

contributed significantly to the recently

revised Head Start Program Performance

Standards (45 CFR Part 1304), which

address services to infants, toddlers, and

pregnant women as well as to preschool

children and their families.

E. Principles Recommended by the Field

The Advisory Committee on Services

for Families with Infants and Toddlers

identified nine principles that are

characteristic of successful programs for

families with very young children.

These principles are consistent with the

themes that emerged from the broader

consultation conducted by the

Department. Therefore, applicants are

expected to take into consideration

these principles in designing their

programs.

1. High Quality: Programs will ensure

high quality in both the services

provided to children and families

directly, and the services provided

through referrals. Programs will

recognize that the conception-to-three

age period is unique both in the rate of

development and in the way young

children’s physical and mental growth

reflects and absorbs experiences with

caregivers and the surroundings.

Because of this, the experiences and

environments provided need to be of

highest quality to promote child

development.

2. Prevention and Promotion:

Recognizing that windows of

opportunity open and close quickly for

very young children and their families,

programs will seek out opportunities to

promote the physical, social, emotional,

cognitive and language development of

young children and families before

conception, prenatally, upon birth, and

during the early years. Program staff

will seek to prevent and detect problems

at their earliest stages, rallying the

services needed to help the child and

family anticipate and overcome

problems before they interfere with

healthy development.

3. Positive Relationships and

Continuity: Programs will support and

enhance strong, caring, continuous

relationships among the child, parents,

family, and caregiving staff. Programs

will support the mother-child, fatherchild bond by recognizing each parent

as his or her child’s first and primary

source of love, nurturance and

guidance. Programs will ensure that

relationships between caregiving staff

and young children support infant and

toddler attachment to a limited number

of skilled and caring individuals, thus
Federal Register / Vol. 62, No. 74 / Thursday, April 17, 1997 / Notices 18969

maintaining relationships with

caregivers over time and avoiding the

trauma of loss experienced with

frequent turnover of key people in the

child’s life.

4. Parent Involvement: Programs will

ensure the highest level of partnership

with parents, both mothers and fathers.

Programs will support parents as

primary nurturers, educators, and

advocates for their children; assure that

each parent has opportunities for

experiences that support his or her own

growth and goals, including that of

parenting; encourage independence and

self-sufficiency for parents; and provide

a policy-making and decision-making

role in the program for parents.

5. Inclusion: Programs will develop

services and create an environment

which builds upon and responds to the

unique strengths and needs of each

child and family. Further, programs will

support participation in community life

by young children with disabilities and

their families; and families of very

young children with significant

disabilities will be fully included in all

program services.

6. Culture: Programs will demonstrate

an understanding of, respect for, and

responsiveness to the home culture of

children and families as culture is the

context for healthy identity

development in the first years of life.

7. Comprehensiveness, Flexibility,

Responsiveness, and Intensity: Programs

will respond in flexible ways to the

unique strengths, abilities, and needs of

the children, families and communities

they serve. Developmental opportunities

provided to each infant and toddler will

address the whole child and be

continually adapted to keep pace with

his or her developmental growth.

Programs also need to be responsive to

the distinct needs and experiences of

parents whose children are disabled and

those parents who have disabilities.

8. Transition: Programs will be

responsible for ensuring the smooth

transition of children and their families

into Head Start or other preschool or

child development programs which are

of high quality and provide consistent

and responsive caregiving.

9. Collaboration: Recognizing that no

one program will be able to meet all of

a child’s and family’s needs, programs

will build strong connections to other

service providers and to community

sources of support for families. These

efforts will foster a caring,

comprehensive and integrated

community-wide response to families

with young children, maximize scarce

financial resources, and avoid

duplication of agency effort.

These principles are explained in

more detail in the Statement of the

Advisory Committee on Services for

Families with Infants and Toddlers,

which is attached as Appendix C.

F. Program Description

In addition to the principles outlined

above, a description of the Early Head

Start program also emerged during

consultation with the field. The

Advisory Committee members

conceptualized the program as having

four cornerstones: child development;

family development; community

building; and staff development.

1. Child Development

To develop fully, children need

individualized support that honors the

unique characteristics and pace of their

physical, social, emotional, cognitive

and language development. Critical to

this development are the promotion of

child health; positive relationships

between the child and parents and other

significant caregivers; opportunities for

children’s active involvement in

appropriately stimulating environments;

and enhancement of each parent’s

knowledge about the development of

their child within healthy, safe

environments. The services that

programs must provide to support the

child development cornerstone include:

• High quality early education

services provided both in and out of the

home in a range of developmentally

appropriate settings for infants and

toddlers;

• Home visits (especially for families

with newborns and other infants, as

needed);

• Parent education, including parentchild activities;

• Comprehensive health and mental

health services for children; and

• Part-and full-day child care

services, as needed by children and

families.

In addition, Early Head Start

programs will be responsible for helping

the family identify and access the

services of a consistent health

professional who can provide ongoing

care for the family, child and pregnant

woman. Further, Early Head Start

programs will be responsible for

coordinating with programs providing

services in accordance with Part H of

the Individuals with Disabilities

Education Act so that children and

families served by these two programs

can experience a seamless system of

services.

2. Family Development

Healthy child development depends

on the ability of parents and families to

support and nurture children while, at

the same time, meeting other critical

social and economic needs. Therefore,

programs must work to help parents set

and achieve goals for themselves and

their children through individualized

family development plans, which are

collaboratively designed and updated by

families and staff, and are responsive to

the goals and ideals of the families.

When families are served by additional

programs which also require an

individualized family development or

service plan, such as a family

employability plan or a plan under Part

H of the Individuals with Disabilities

Education Act, then a single

coordinated plan should be developed

so families experience a seamless

system of services.

The types of services that programs

must provide directly or through

referrals include:

• Ongoing support to parents through

case management, peer support groups,

or other approaches;

• Child development information and

services;

• Health services, including services

for women prior to, during, and after

pregnancy;

• Mental health services;

• Services to improve health behavior

such as smoking cessation and

substance abuse treatment;

• Services to adults to support

progress towards economic

independence, such as adult education

and basic literacy skills, job training, job

placement services, assistance in

obtaining income support, child support

or related assistance, food, and decent,

safe housing, and emergency cash or inkind assistance; and

• Transportation to program services.

Programs also must directly provide

opportunities for parent involvement in

the program so that parents can be

involved as decision-makers,

volunteers, and/or employees.

Additional services not listed above, but

identified by families through

community assessments and mappings,

may be provided either directly or

through referral at local option.

3. Community Building

Children develop within the context

of the family and the family develops

within the context of the community.

Therefore, to support children’s

development, Early Head Start programs

must establish collaborative

relationships with other community

providers to create an environment that

shares responsibility for the healthy

development of its children and their

families.
18970 Federal Register / Vol. 62, No. 74 / Thursday, April 17, 1997 / Notices

The goal of these community

relationships is three-fold: increasing

access to high quality services for

program families; assuring that the

program’s approach to serving pregnant

women and families with infants and

toddlers fits into the existing

constellation of services in the

community so that there is a coherent,

integrated approach to supporting

families with very young children; and

encouraging systemic improvements in

service delivery for all the families in a

community.

All programs will be required to

conduct an in-depth assessment of

existing community resources and

needs and engage in an ongoing

collaborative planning process with a

range of stakeholders, including parents

and residents of the community. If the

community recently conducted such an

assessment, the program would be able

to use the results from that study and

then proceed with the collaborative

planning process.

4. Staff Development

Programs are only as good as the

individuals who staff them. Thus, staff

development is a key element of Early

Head Start programs.

To ensure the recruitment and

development of high quality staff, all

programs will be required to:

• Select staff who, together, cover the

spectrum of skills, knowledge and

professional competencies necessary to

provide high quality, comprehensive,

inclusive, culturally appropriate, and

family-centered services to young

children and their families;

• Select staff who are capable of

entering into one-to-one caregiving

relationships with infants and toddlers,

and caring, respectful and empowering

relationships with families and other

coworkers;

• Select program directors who

possess the above characteristics and are

highly skilled administrators who

exemplify leadership qualities such as

integrity, warmth, intuition and holistic

thinking;

• Provide ongoing staff training,

supervision and mentoring for both line

staff and supervisors that reflects an

interdisciplinary approach and an

emphasis on relationship building and

employs techniques and opportunities

for practice, feedback and reflection;

• Provide training so that staff are

‘‘cross-trained’’ in the areas of child

development, family development and

community building in addition to the

areas of home visiting, caregiving

relationships, effective communication

with parents, family literacy, healthy/

safe environments and caregiving

practices, early identification of

unhealthy behaviors or health problems,

service coordination, and the provision

of services and support to diverse

populations, including families and

children with disabilities and

developmental delays; and

• Recognize that high quality

performance and development occur

when they are linked to rewards such as

salary, compensation, and career

advancement.

These cornerstones are explained in

more detail in the Statement of the

Advisory Committee on Services for

Families with Infants and Toddlers,

which is attached as Appendix C.

Applicants are expected to take into

consideration these four cornerstones,

the Head Start Program Performance

Standards and other applicable

regulations when designing their

programs.

Part II. Program Information and

Requirements

A. Statutory Authority

The Head Start Act, as amended, 42

U.S.C. 9801 et seq.

B. Grant Competition

The funds available for Early Head

Start grants in fiscal years 1997–1998

will be awarded through competitions

in two categories:

1. Category One—New Awards to

Unserved Areas

Grants will be competitively awarded

to eligible applicants to operate Early

Head Start programs in geographic areas

not currently served by Head Start

Parent and Child Centers (PCC) and

existing Early Head Start (EHS)

programs. See Appendix D for a list of

the geographic areas not open to

competition under Category One.

Applicants in Category One will

compete on a national basis with all

other organizations that apply to serve

currently unserved areas.

In awarding grants in this category,

ACYF shall ensure an equitable

geographic distribution of the grants.

ACYF will consider the benefit to

communities of funding new providers.

2. Category Two—New Awards to

Communities Served by PCCs

Grants will be competitively awarded

to operate Early Head Start programs in

geographic areas currently served by

existing Head Start Parent and Child

Centers (PCCs). See Appendix E for a

list of the geographic areas. In awarding

grants in this category, ACYF is

interested in assuring that communities

currently served by PCCs will have an

opportunity to continue receiving

services to low-income families with

infants and toddlers through Early Head

Start programs after the authority for

funding the PCCs expires in FY 1997.

Applicants in each geographic area

will compete for funds against other

applicants wishing to serve the same

geographic area. There are 58 such

competitive areas (see Appendix E).

C. Eligible Applicants

Applicants eligible to apply to

become an Early Head Start program are

public agencies and private non-profit

agencies. Eligible applicants include

agencies that operate Comprehensive

Child Development Programs (CCDPs).

Before applications are reviewed, each

application will be screened to

determine whether the applicant

organization is eligible as specified

under this section. Applications from

organizations which do not meet

eligibility requirements will not be

considered or reviewed in this

competition and the applicant will be so

informed. In addition, inadequate

preparation or omission of essential

components of the application or failure

to comply with format specifications as

described in Parts III and IV will result

in applications being withdrawn from

further consideration.

On all applications developed jointly

by more than one organization, the

application must identify only one

organization as the lead organization

and official applicant. The lead

organization must meet the criteria of an

‘‘Eligible Applicant.’’ The other

participating agencies and organizations

can be included as co-participants such

as contractors or delegate agencies. Only

organizations, not individuals, are

eligible to apply under this

announcement.

D. Eligible Participants

Persons who may participate in the

Early Head Start program include

pregnant women and families with

children under age three who have

incomes at or below the poverty line.

Head Start regulations permit, however,

up to 10 percent of children in local

programs to be from families which do

not meet these low-income criteria.

Head Start regulations also require that

a minimum of 10 percent of enrollment

opportunities in each program be made

available to children with disabilities.

Such children are expected to be

enrolled in the full range of services and

activities in inclusive settings with their

non-disabled peers and to receive

individualized services as needed. The

report from Congress discussing the

creation of this program encouraged that

participants in programs funded
Federal Register / Vol. 62, No. 74 / Thursday, April 17, 1997 / Notices 18971

through this initiative be identified

while pregnant or while their children

are infants.

E. Target Populations

Target populations are those that are

specified in Part II, Section D. Within

these categories, applicants may choose

to focus on special populations, such as

teen parents, or to design a program

linked to welfare reform initiatives if

they wish.

F. Project Period, Funding and Project

Sizes

We estimate that a total of

approximately $25,800,000 in ACYF

funds will be available for funding new

Early Head Start programs in fiscal year

l997.

A considerable amount of additional

funds may be available in FY 1998

because the Head Start Act increases

funding for Early Head Start projects

from four percent of total Head Start

funding in FY 1997 to five percent in FY

1998. If the Administration’s FY 1998

budget requests were appropriated, a

total of approximately $89,000,000 in

funds for Early Head Start would be

available. As previously noted, the

selecting official may decide to select

some or all of the awardees of FY 1998

funds from among the applicants to this

announcement. The amount that will be

awarded will be dependent on the

amount of funds available and the

nature and quality of applications

received.

Applicants are encouraged to apply

for projects that will serve between 32

and 120 infants, toddlers and pregnant

women. It is felt that projects serving

fewer than 32 children and pregnant

women would have difficulty providing

high quality services while being cost

effective. The recommended upper limit

is intended to ensure that projects are of

a manageable size and will also allow

funds to be distributed among more

communities. Applicants may propose

projects outside of these recommended

sizes, but must justify doing so.

Examples of such justifications might be

a project to serve an isolated or sparsely

populated community with a small

number of eligible families. Conversely,

a project from a high population area

that can demonstrate that it has the

capacity to serve a larger number of

children and pregnant women would be

considered.

There are no pre-determined cost per

child amounts for which applicants

must apply. It is expected that there

may be considerable variation in

amounts applicants receive depending

on a number of factors, including the

way in which the program is structured,

the size of the program, the costs of

operating in different communities and

the amount of support that is provided

from non-federal sources or through

partnerships with other community

agencies and funding sources, such as

child care providers.

Each applicant is encouraged to

request an amount of funds that would

allow it to carry out an effective, high

quality program that is cost-effective

and meets the needs of its community.

Awards, on a competitive basis, will

be for a one-year budget period,

although project periods will be for fiveyears. Applications for continuation

grants funded under these awards

beyond the first one-year budget period,

but within the five-year project period,

will be entertained in subsequent years

on a non-competitive basis, subject to

the availability of funds, satisfactory

progress of the grantee and a

determination that continued funding

would be in the best interest of the

Government. Continuation funds will be

available to serve eligible infants,

toddlers and pregnant women who were

initially enrolled and those eligible

children and pregnant women who

replace starting infants, toddlers and

pregnant women who left the program

during any single year.

Allowable costs for developing and

administering an Early Head Start

program may not exceed 15 percent of

the total approved costs of the program.

Costs classified as development and

administrative costs are those costs

related to the overall management of the

program. Additional information

pertaining to limitations of costs on

development and administration of

Early Head Start programs can be found

in Head Start regulation 45 CFR

1301.32, Limitations on Costs of

Development and Administration of a

Head Start Program, which is available

in the application kit.

All programs will be reviewed at the

end of the first year of operation to

determine their suitability for receiving

continued funding. Programs will be

expected to submit an ongoing

operational plan and revised budget.

Federal staff also may ask for additional

material as part of the review.

Given the importance of planning,

selecting high quality staff and setting in

place training mechanisms, and

coordinating with other programs

within the community, we expect that

programs will spend some portion of

their first year focusing on start-up

activities.

Programs are required to begin serving

children, families and pregnant women

within the first year. Programs must be

fully operational no later than one year

from the date of their grant award.

Because the first year is unlikely to

include 12 months of full operation, it

is assumed that first year budgets will

be lower than budgets for future years.

Applicants are expected to submit a first

year budget which will include a startup budget and a prorated operational

budget as well as an on-going

annualized budget.

G. Required Match

Grantees that operate Early Head Start

programs must provide at least 20

percent of the total approved costs of

the project. The total approved cost of

the project is the sum of the ACF share

and the non-Federal share. The nonFederal share may be met by cash or inkind contributions, fairly evaluated,

including facilities, equipment or

volunteer services. Therefore, a project

requesting $100,000 in Federal funds

(based on an award of $125,000 per

budget period), must include a match of

at least $25,000 (20 percent of the total

project costs). Applicants are

encouraged to provide more than the

minimum 20 percent non-Federal share.

In certain instances, the requirement for

a 20 percent non-federal match may be

waived in part or in whole, if the

circumstances described in Section

640(b) of the Head Start Act exist.

H. Applicable Head Start Standards

Agencies that receive funding under

this announcement must adhere to the

standards set forth in certain regulations

that govern Head Start programs in

addition to Department of Health and

Human Services’ regulations that govern

discretionary grants generally. The

relevant Head Start regulations are:

Head Start Grants Administration, 45

CFR Part 1301; Program Performance

Standards for Operation of Head Start

Programs by Grantee and Delegate

Agencies, 45 CFR Part 1304; and

Eligibility, Recruitment, Selection,

Enrollment and Attendance in Head

Start, 45 CFR Part 1305; and Head Start

Program Performance Standards on

Services for Children with Disabilities,

45 CFR Part 1308.

On November 5, 1996, the final

version of the revised Head Start

Program Performance Standards (45

CFR Part 1304) was published in the

Federal Register [61 FR 57186]. In

addition to revising the standards for

Head Start services to preschool

children and their families, these

regulations provide, for the first time,

performance standards for Early Head

Start programs serving pregnant women

and families with infants and toddlers.

The effective date for these regulations

is January 1, 1998. At that time, all Head
18972 Federal Register / Vol. 62, No. 74 / Thursday, April 17, 1997 / Notices

Start and Early Head Start programs will

be expected to comply with the revised

Performance Standards. Applications

for Early Head Start grants must provide

evidence of the applicant’s knowledge

of and capacity to meet the relevant

Head Start regulations, including the

requirements of the revised Performance

Standards.

The Head Start Program Performance

Standards prescribe the program

requirements that grantees must meet as

they administer Early Head Start

programs. The four cornerstones and

nine principles identify the factors that

must be considered in designing an

Early Head Start program. The

cornerstones and principles are

embedded in the Head Start Program

Performance Standards which are

critical in the implementation of an

Early Head Start program.

I. Early Head Start as a Learning

Community

1. Overview

On both the local and national level,

Early Head Start is envisioned as a

learning community for how quality

services should be delivered to lowincome pregnant women and families

with infants and toddlers. Thus,

continuous improvement, evaluation,

research and dissemination activities

play a critical role in this initiative.

These activities include, but are not

limited to:

• Continuous review and

measurement of program processes to

determine progress toward stated

objectives and for the purpose of

program improvement;

• Studies of program processes

including services offered to and

received by families and descriptions of

how the services are delivered;

• Qualitative studies of individual

families and programs;

• Studies of child, family, program

and community variables that

contribute to program outcomes;

• Studies of program quality and the

relationship of quality to program

outcomes;

• Studies of program variations and

their relationship to impacts;

• National impact studies, conducted

by a national contractor;

• Establishment of longitudinal

research in a sample of Early Head Start

national impact study sites; and

• Documentation of the program

models and development of materials

for dissemination purposes.

2. Requirement on the Use of an

Automated Information System

All Early Head Start programs will be

required to use an automated

information system to collect program

information on infants, toddlers and

pregnant women, services, collaborative

arrangements, staff, training, services

utilization and costs. The Head Start

Family Information System (HSFIS) is

currently being modified to

accommodate the needs of Early Head

Start. The HSFIS software and User’s

Manual will be made available to Early

Head Start grantees at the time of grant

award. Grantees will be responsible for

coordinating the collection of data for

and management of HSFIS.

3. Continuous Improvement

Requirements

In order to enter fully into the

learning community environment on

both the national and local level, all

Early Head Start programs will be

required to:

• Conduct a local assessment of

progress toward stated objectives and

program improvement using the

automated information system and other

sources of data which measure progress

toward stated objectives and contribute

to a process of continuous improvement

within the program and sponsoring

agency; and

• Provide information from the Early

Head Start automated information

system as approved by OMB.

Part III. Application Requirements

Applicants must address the

following requirements in their

applications for financial assistance. For

the convenience of applicants, these

requirements have been organized

according to the evaluation criteria

presented in Part IV.

A. Objectives and Need for Assistance

1. State the objectives for the program

and indicate how these objectives relate

to the Head Start Program Performance

Standards (see Section II. H of this

Announcement) and demonstrate that

there is a need for the program that

relates to these standards and is based

on an assessment of need in the

community. Describe the method used

to undertake the community assessment

and consumer consultation process that

led the applicant to conclude that there

is a need for the proposed program. An

applicant need not conduct an

independent assessment of the

community if such an assessment

already exists. In this case, the applicant

should describe the method used in the

recently conducted assessment and

explain any additional consultation

with consumers as it relates to the

development of the proposed program.

Provide letters of support for your

program from community leaders and

residents.

2. Identify the population to be served

by the project and explain why this

population is most in need of the

program. Identify the target enrollment

size (the estimated number of infants,

toddlers and pregnant women) and

provide assurances that the population

the program intends to recruit and

enroll will meet Early Head Start

eligibility criteria.

3. Identify the geographic location to

be served by the program. Describe the

key characteristics of the targeted area

and explain what makes the area an

identifiable community or

neighborhood. Describe what services

and resources are/are not currently

available in the area to serve pregnant

women, infants and toddlers. Provide

demographic and other information on

the target area which demonstrates that

there are a sufficient number of eligible,

unserved infants, toddlers and pregnant

women in the area to justify the target

enrollment size. For Category One funds

only, demonstrate that the geographic

area is currently unserved by an Early

Head Start program or a Head Start

Parent and Child Center. For Category

Two, demonstrate that the geographic

area is in the same area as that served

by the current Parent and Child Center

or explain why the boundaries of the

service area are proposed to be changed

(e.g. as a result of the needs assessment).

B. Results or Benefits

1. Identify the specific results or

benefits that could be expected for

children, families and pregnant women

participating in the program. Identify

the specific community-wide results or

benefits. Identify the specific results or

benefits that could be expected for the

staff working in a collaborative

partnership with other child

development caregivers and family

development staff working in a variety

of relevant community agencies.

2. Identify the kinds of qualitative and

quantitative data the program will

collect to measure progress towards the

stated results or benefits. State how you

will determine the extent to which the

program has achieved its stated

objectives.

3. Provide assurances that the

program will collect data on groups of

individuals and geographic areas

served, types of services provided,

service utilization information, types

and nature of needs identified and met,

and such other information as may be

required periodically by the ACF.
Federal Register / Vol. 62, No. 74 / Thursday, April 17, 1997 / Notices 18973

C. Approach

In designing the approach, applicants

are reminded that, as of January 1, 1998,

all Early Head Start (EHS) programs

must meet the requirements of the

revised Head Start Program Performance

Standards, 45 CFR Part 1304. Therefore,

all elements of the EHS program should

be consistent with these standards.

1. All applicants must describe the

planning the program will conduct

during the start-up period to prepare for

implementation of the program and

explain how consumers and other

stakeholders in the community will be

involved in the planning.

2. Explain the approach to be used to

recruit and enroll the number and type

of infants, toddlers and pregnant women

from the target recruitment area, as

discussed in Part III, Section A. Discuss

any special efforts you will make to

recruit and enroll low-income pregnant

women and children under age one.

3. Describe how the program will

ensure that at least 10 percent of

enrollment opportunities will be made

available to children with disabilities

(as defined by the IDEA Part H Lead

Agency for the State). Describe the

policies and practices the program will

have in place to assure that a child will

not be denied enrollment or

participation in the program on the

basis of a disability or the severity of

such a condition. Describe how the

program will work with the Part H local

lead agency or, if available, the local

Interagency Coordinating Council, to

recruit and enroll children with

disabilities (and their families) who

have been previously identified by the

Part H agency, and to collaborate with

the Part H agency to arrange and

provide for special services needed by

these children and their families.

Describe how staff will coordinate their

efforts with others to ensure children

with disabilities and their families

receive high quality services.

4. Describe the approach to providing

child development services and explain

the rationale for choosing the approach.

Identify and describe the specific

approaches that will be used for

assuring the intellectual, social,

emotional and physical development of

the infants and toddlers served.

Describe the philosophy, curricula,

staffing patterns, staff qualifications,

types and quality of settings and any

other relevant information that will

comprise the program’s model for

supporting the growth and development

of very young children. Clearly explain

how your model will meet the

developmental needs of very young

children (including children from nonEnglish speaking families).

5. Explain how the program’s child

development approach will promote

parent/guardian-child interaction and

support the mother-child and/or fatherchild bond. Also explain how caregiving

will be provided in ways that support

infant and toddler attachment to a

limited number of skilled and caring

individuals.

6. Describe how high quality infant

and toddler full-and part-day child care

will be provided to children of parents

who are working or in training or to

children who require out-of-home care

due to special parental circumstances

such as substance abuse treatment.

Discuss the relationship between these

resources and the program’s overall

child development approach. Describe

the process the program will use to

determine that child care (provided

either directly or through referral) will

be of high quality. Include the location

and description of the proposed child

care facilities and describe any

improvements and the costs associated

with them which may be required to

comply with the Head Start

Performance Standards. Indicate if the

facility is immediately available or

indicate the estimated date for

occupancy. In addition, describe the

program’s approach to building capacity

in communities where high quality

infant/toddler child care is lacking.

7. Describe the efforts the program

will make to help assure continuation of

developmentally-appropriate services

for children, once the children reach the

age of three.

8. Describe the specific approaches for

providing, either directly or through

referrals, ongoing well-baby and wellchild health services such as early and

periodic screenings, diagnosis,

treatment, immunizations, nutritional

assessments, developmental

surveillance and anticipatory guidance.

In addition, describe the approach for

ensuring that children are cared for in

safe and hygienic environments.

9. Describe the approach for

supporting family growth and

development and explain the rationale

for choosing the approach. Explain the

framework of and procedures for

developing each family’s individualized

plan. Explain how you intend to work

with other service delivery systems

which require a similar plan, such as

the Part H Individualized Family

Service Plan (IFSP), to ensure that the

family only needs to complete one plan

and that one plan can be used by all

relevant programs to ensure a seamless

service delivery system for the child and

family. Describe how your family

development approach will assist

families and individual family members

in identifying, pursuing and achieving

goals and overcoming obstacles on the

way to achieving those goals.

10. Describe how the program will

develop relationships with parents

which promote their involvement with

the program. Describe the strategy and

the opportunities for parent

involvement, providing assurances that

it meets or exceeds the parent

involvement standards described in 45

CFR Part 1304, the Head Start Program

Performance Standards. Explain what

special efforts the program will make to

reach out to and to involve fathers.

11. Describe what services the

program will provide, either directly or

through referrals, to promote adult and

family health and wellness. Identify and

explain the mental and physical health

services which will be made available

and accessible to the families of the

infants and toddlers served by the

program. Describe what the program

will do to promote women’s health and

wellness prior to, during and after

pregnancy. In addition, describe what

the program will do to facilitate access

to substance abuse prevention and

treatment services and smoking

cessation programs for affected families.

12. Describe what services the

program will provide, either directly or

through referrals, to promote progress

toward economic self-sufficiency for

parents. Describe the program’s

approach to basic literacy training, adult

basic eduction, employability skills

training, job development and

placement services and any other

employment and training services that

are planned.

13. Describe what assistance the

program will provide, either directly or

through referrals, to families in

obtaining needed income support, child

support and related assistance.

14. Identify the existing transportation

resources available to families in

reaching services provided at the

program site and in off-site locations.

Describe any transportation

arrangements the program will make to

ensure that children and pregnant

women are able to access needed

services.

15. Describe the program’s approach

to community building and explain the

rationale for choosing the approach.

Describe how the program will be

coordinated with other programs and

services in the community which serve

pregnant women, infants, toddlers and

their families and how the program will

assist in the development of local

community capability, expertise and

commitment to carry out comprehensive
18974 Federal Register / Vol. 62, No. 74 / Thursday, April 17, 1997 / Notices

service programs built around the needs

of low-income pregnant women and

families with very young children.

Describe any barriers to collaboration in

your community and explain the

program’s strategy for addressing these.

Identify by name specific providers,

agencies and organizations with which

the applicant will coordinate in order to

carry out the requirements of this

project. Applicants should furnish

formal interagency agreements or

contracts (if available) indicating which

services will be provided to which

program participants and for what

periods of time, by each of those

provider agencies and/or organizations.

16. Describe linkages with community

resources that the program will establish

and maintain during the planning,

implementation and operation of the

program: health and nutrition (e.g.,

public health departments and other

health providers and programs

including Title V, Supplemental Food

Program for Women, Infants and

Children (WIC) and Medicaid prenatal

care services and the Medicaid Early

and Periodic Screening, Diagnosis and

Treatment program (EPSDT)); early

intervention (e.g., Part H local lead

agency or, if available, local interagency

coordinating councils and University

Affiliated Programs); mental health and

substance abuse prevention and

treatment; the agency administering

Temporary Assistance for Needy

Families (TANF); education (e.g., local

preschool, child care, Head Start, and

elementary schools); other Early Head

Start programs; child care resource and

referral agencies and their networks;

business (e.g., the local Private Industry

Council); parent groups; and other

strength-building organizations.

17. Describe the approach to staff

selection and explain the rationale for

choosing the approach. Describe what

staffing patterns and mix of staff

qualifications and language/cultural

competencies the program will require

to ensure that staff, together, cover the

spectrum of skills, knowledge and

professional competencies necessary to

provide quality, comprehensive,

inclusive and family-centered services

to pregnant women and young children

and families. Describe the process the

applicant will use to identify and select

individual staff—from directors to

caregivers to data management staff—

who demonstrate the personal

characteristics, competencies and skills

necessary to provide quality services

and promote quality relationships with

and among children, families, the

community and other staff. Explain how

the program will ensure that all infant/

toddler caregivers are qualified, with

sufficient grounding in infant/toddler

development and care and parent/

caregiver relations prior to working with

children and families enrolled in the

program. Please note the revised Head

Start Program Performance Standards

require that Early Head Start staff

working as teachers with infants and

toddlers must obtain a Child

Development Associate (CDA)

credential for infant and toddler

caregivers or an equivalent credential

that addresses comparable competencies

within one year of the effective date of

the final rule (January 1, 1998) or,

thereafter, within one year, as a teacher

of infants and toddlers (45 CFR Part

1304.52(f)).

18. Describe the approach to staff

development and the rationale for

choosing the approach. Describe the

training, technical assistance, and

supervision that will be provided to

ensure continued enhancement of staff

skills and teamwork. Describe how

training and technical assistance

opportunities will be coordinated with

other service providers in the

community so that Early Head Start

both provides and benefits from the

knowledge, expertise, and training

opportunities of other relevant

community programs and service

delivery systems. Describe how the

program will ensure that staff are

knowledgeable about the rights of

children with disabilities and are

capable of providing such infants and

toddlers with high quality care in a

supportive and developmentally

appropriate environment.

19. Identify and explain the

management and continuous

improvement plan(s) for implementing

the program. Include: an outline of the

timeframes and milestones for all key

activities that the program will engage

in during the first year of operation, as

well as a preliminary outline of

timeframes and milestones for key

activities in the remaining years of the

project; a description of the procedures

for assessing progress toward stated

objectives, including how the collection

of data on results and benefits will

contribute to a process of continuous

improvement within the program and

the sponsoring agency; a description of

how an automated information system

will become an integral component in

the management and continuous

improvement of the program; a

description of how confidentiality of

user data will be maintained; a

description of the applicant’s capacity

(e.g. administrative and support

personnel, etc.) to support the program

at the proposed target enrollment size;

a description of the strategy for

minimizing staff turnover; and a

description of how the program will go

about establishing a Policy Council (as

described by 45 CFR Part 1304) and a

Health Services Advisory Committee (as

described by 45 CFR Part 1304).

20. Identify and describe the proposed

site which will be used to serve children

and families and include a description

of the size and location of classroom,

administrative, and food service space,

if applicable. If incidental alteration and

renovation costs are proposed, include a

written estimate and the date by which

the proposed facility will be licensed

and available to provide child and

family services.

D. Collaboration

Describe the collaborative

relationships the applicant will develop

in order to maximize resources in the

community. Include letters of support

and commitment from other partner

agencies in the community. In the area

of child care to meet the needs of lowincome parents, describe collaborative

approaches to funding and service

delivery with other community-based

child care agencies and providers or

child care funding sources. In

partnerships with child care agencies

and providers, the child care programs

gain the benefit of Early Head Start

resources and experience in enhancing

the quality of staffing and program

services to levels consistent with Head

Start Program Performance Standards.

Include letters of commitment from

child care and early childhood agencies

who will assist the grantee in delivering

services.

E. Staff Background and Organizational

Experience

1. Describe the applicant’s experience

in providing comprehensive child and

family development services to infants

and toddlers and their families as well

as pregnant women. Describe the

applicant’s experience in collaborating

with local, State and Federal partners.

Describe the applicant’s history and

relationship with the target community.

Include a complete discussion of

relevant program, administrative and

fiscal management experience.

2. If the applicant represents a

consortium of partner agencies, explain

the relevant background of each partner

and its experience in planning and

implementing programs to serve

children and families. Each partner

must provide a letter of commitment

which authorizes the applicant to apply

on behalf of the consortium.

3. Identify and provide a brief

description of key staff who are

proposed to work in the program and
Federal Register / Vol. 62, No. 74 / Thursday, April 17, 1997 / Notices 18975

indicate their educational training and

experience working with similar

programs. Provide resumes. Build on

the answer to Part III, Section C,

Number 17 by explaining how these

particular staff comprise a multidisciplinary team of experts. In

addition, explain how the ethnic and

racial composition and language

proficiencies of these particular staff are

reflective of the community where the

program will be located.

4. Describe the expertise the

organization will utilize in conducting

continuous improvement activities.

Describe the experience of and provide

resumes for the individuals who will

assist the program with continuous

improvement activities.

F. Budget Appropriateness

1. Provide two detailed, line-item

budgets: one budget that separates all

relevant start-up costs from a prorated

amount of operating costs to be incurred

in the first year of the project (e.g. one

column for start-up costs and one

column for prorated operating costs);

and one budget that reflects ongoing

annual operating costs. In the proposed

budgets, applicants must set aside

sufficient funds so that at least two staff

can travel to Washington, D.C. for two

annual meetings of four days each to be

convened by ACYF. In addition,

applicants must set aside sufficient

funds so that at least one staff can travel

to a mid-point in the U.S. for two trips

per year of seven days each for intensive

training. Each budget should include

the required non-Federal share of the

cost of the project (See Part II, Section

G).

2. Describe how these budgets reflect

high quality, ongoing services provided

at a reasonable cost. Include discussions

on the appropriateness of staff

compensation levels and funds set aside

to assure ongoing staff development and

training; costs associated with special

equipment and technological needs and

the removal of architectural barriers for

persons with disabilities; renovation

costs associated with providing

environments conducive to the high

quality provision of child and family

development services; and costs

associated with family transportation

and emergency resource needs, etc.

Explain what efforts the applicant has

made or will make to secure other

community cash and in-kind resources,

besides those shown in the budgets, and

what additional resources will be used

to support the provision of Early Head

Start services to children and families.

3. In providing high quality infant and

toddler child care, applicants should

describe how a variety of existing

community resources will be utilized

and maximized. Provide documentation

of the additional resources that will be

combined with Early Head Start funds

to provide high quality child care which

meets the Head Start Program

Performance Standards. Explain and

itemize these resources or services,

whether or not these costs are included

as part of the non-federal share.

4. Provide information on the

facilities the applicant will use,

including the estimated cost and scope

of any changes that are needed and

when such facilities are available. In

most cases, it is expected that, given the

finite project period for which Early

Head Start grants will be funded,

applicants will not propose to use Early

Head Start grant funds to purchase,

construct or undertake a major

renovation of a facility. If an applicant,

however, believes that such a purchase,

construction or major renovation is in

the best interests of the government, and

can demonstrate this in its application,

it may propose to purchase, construct or

undertake a major renovation of an

Early Head Start facility.

Part IV. Evaluation Criteria

In considering how applicants will

carry out the responsibilities addressed

under Part III of this announcement,

competing applications for financial

assistance will be reviewed and

evaluated against the following six

criteria. The point values following each

criterion indicate the numerical weight

each criterion will be accorded in the

review process.

A. Criterion 1. Objectives and Need for

Assistance (15 Points)

The extent to which, based on

community assessment information, the

applicant identifies any relevant

physical, economic (e.g., poverty in the

community), social, financial,

institutional, or other issues which

demonstrate a need for the Early Head

Start program; in addition, the extent to

which the applicant identifies the

strengths of the community the project

will serve. The extent to which the

applicant lists relevant program

objectives that adequately address the

strengths and needs of the community.

The extent to which the applicant

describes the population to be served by

the project and explains why this

population is most in need of services

to be provided by the program. The

extent to which the applicant gives a

precise location and rationale for the

project site(s) and area(s) to be served by

the proposed project. For Category One

funds, the applicant needs to

demonstrate that the geographic area is

currently unserved. For Category Two

funds, the applicant needs to

demonstrate that the geographic area

chosen is in the same area as that served

by the current Parent and Child Center

or explain why the service area is

proposed to be changed.

Information provided in response to

Part III, Section A of this announcement

will be used to evaluate applicants on

this criterion.

B. Criterion 2. Results or Benefits

Expected (10 Points)

The extent to which the applicant

identifies the results and benefits to be

derived from the project and links these

to the stated objectives. The extent to

which the applicant describes the kinds

of data to be collected and how they

will be utilized to measure progress

towards the stated results or benefits.

Information provided in response to

Part III, Section B of this announcement

will be used to evaluate applicants on

this criterion.

C. Criterion 3. Approach (35 Points)

The extent to which the applicant

demonstrates the knowledge and

capacity to meet the requirements of the

Head Start Program Performance

Standards. The extent to which the

applicant explains why the approach

chosen is effective in light of the needs,

objectives, results and benefits

described above. The extent to which

the approach is grounded in recognized

standards and/or guidelines for high

quality service provision or is defensible

from a research or ‘‘best practices’’

standpoint.

The extent to which the applicant’s

management plan demonstrates

sufficient management capacity to

implement a high-quality Early Head

Start program.

Information provided in Part III,

Section C of this announcement will be

used to evaluate applicants on this

criterion.

D. Criterion 4. Collaboration (10 Points)

The extent to which the applicant

presents documentation of efforts

(letters of commitment, interagency

agreements, etc.) to establish and

maintain ongoing collaborative

relationships with community partners.

The extent and thoroughness of

approaches to combining Early Head

Start resources and capabilities with

those of other local child care agencies

and providers to provide high quality

child care services to infants and

toddlers which meet the Head Start

Program Performance Standards.

Information concerning collaboration

which is provided in response to Part
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III, Section D of this announcement will

be used to evaluate applicants on this

criterion.

E. Criterion 5. Staff Background and

Organizational Experience (20 Points)

The extent to which the proposed

program director, proposed key project

staff, and the organization’s experience

and history with the community

demonstrate the ability to effectively

and efficiently administer a project of

this size, complexity and scope. The

extent to which the organization

demonstrates an ability to carry out

continuous improvement activities. Up

to five points will be given based on the

organization’s experience in providing

early, continuous, and comprehensive

child and family development services.

Information provided in response to

Part III, Section E of this announcement

will be used to evaluate applicants on

this criterion.

F. Criterion 6. Budget Appropriateness

(10 Points)

The extent to which the program’s

costs are reasonable in view of the

planning and activities to be carried out

and the anticipated outcomes. The

extent to which the salaries and fringe

benefits reflect the level of

compensation appropriate for the

responsibilities of staff. The extent to

which assurances are provided that the

applicant can and will contribute the

non-Federal share of the total project

cost. The extent to which the program

has attempted to and/or succeeded in

garnering cash or in-kind resources from

other sources in the community. The

extent to which costs for facilities are

reasonable and cost effective, given the

five year project period for the Early

Head Start grant.

Information provided in response to

Part III, Section F of this announcement

will be used to evaluate applicants on

this criterion.

Part V. The Application Process

A. Availability of Forms

Eligible applicants interested in

applying for funds must submit all the

required forms included at the end of

this announcement in Appendix A. This

material is also included in the

application kit provided by contacting

the ACF Operations Center at 1–800–

351–2293 (phone) or 1–800–351–4490

(fax). Applicants are required to use the

Standard Forms, Certifications,

Disclosures and Assurances provided

under Appendix A—ACF Uniform

Discretionary Grant Application Form

(ACF/UDGAF). Under the ACF/UDGAF,

applications submitted for funds under

this announcement are considered NEW

APPLICATIONS. Applicants should

follow instructions in the ACF/UDGAF

for NEW APPLICATIONS.

In order to be considered for a grant

under this Announcement, an

application must be submitted on the

Standard Form 424 which has been

approved by the Office of Management

and Budget (OMB) under Control

Number 0970–0139. A copy has been

provided (see Appendix A). Each

application must have an original

signature by an individual authorized to

act for the applicant and to assume

responsibility for the obligations

imposed by the terms and conditions of

the grant award. A copy of the

governing body’s authorization for this

person to sign this application as official

representative must be on file in the

applicant’s office.

In preparing the program narrative

statement, the applicant should provide

the information that the panel will use

to evaluate and rank the proposal. That

information should be concise and

complete when addressing the activities

for which Federal funds are being

requested. Supporting documents

should be included where they present

information clearly and succinctly.

Applicants should respond to the

instructions under ACF/UDGAF—

Program Narrative—Items A (Project

Description—Components) and D

(Budget and Budget Justification). Under

Project Description—Component, the

applicant should address the specific

information requested under each area

in this program announcement. Some of

the following sections of the Program

Narrative portion of the ACF/UDGAF do

not require a response under this

announcement, while information on

other sections noted below should be

placed under a different section than

prescribed in the Program Narrative of

the ACF/UDGAF:

Section A.1.—Project Summary/

Abstract—This should be a one page or

less summary of the project with

reference to the funding requested and

placed directly under the table of

contents or SF424. This page will not

count against the page limit for program

description.

Section A.5.—Evaluation—Do not

address the section as stated in the ACF/

UDGAF in this application; it is not

required under this announcement.

Section A.6.—Geographic Location—

Should be addressed under the

Objective and Needs for Assistance

section of this announcement (Part III

A).

Section A.7.—Additional

Information—Should be addressed

under the Staff Background and

Organizational Experience section of

this announcement (Part III E). Letters of

Support should be addressed under the

appendices to the application.

Section B.—(Non-competing

continuation applications) Does not

apply to this announcement.

Section C.—(Supplemental requests)

Does not apply to this announcement.

Section D.—Budget and Budget

Justification—should be addressed

under the Budget Appropriateness

section of this announcement (Part III

F).

Requests to renovate a facility should

be addressed under SF 424A—Budget

Information Non-Construction

Programs. Applicants requesting

financial assistance for a nonconstruction project must file the

Standard Form 424B, ‘‘Assurances: NonConstruction Programs.’’ Applicants

must sign and return the Standard Form

424B with their application. SF 424C—

Budget Information for Construction

Programs and SF424D—‘‘Assurances’’

for Construction Programs do not apply

to this announcement, unless the

applicant is proposing construction

under Part III.F.4.

Applicants must provide a

certification concerning lobbying. Prior

to receiving an award in excess of

$100,000, applicants shall furnish an

executed copy of the lobbying

certification. Applicants must sign and

return the certification with their

application.

Applicants must sign the disclosure of

lobbying activities, if appropriate.

Applicants must make the appropriate

certification that they are not presently

debarred, suspended or otherwise

ineligible for award. By signing and

submitting the application, applicants

are providing the certification and need

not mail back the certification with the

application.

Applicants must make the appropriate

certification of their compliance with

the Drug-Free Workplace Act of 1988.

By signing and submitting the

application, applicants are providing

the certification and need not mail back

the certification with the application.

Applicants must also understand that

they will be held accountable for the

smoking prohibition included within

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

1994. A copy of the Federal Register

notice which implements the smoking

prohibition is included in the

application kit.

B. Application Submission

Applicants submitting proposals

should use the following format

guidelines: Proposals should be

organized according to the evaluation
Federal Register / Vol. 62, No. 74 / Thursday, April 17, 1997 / Notices 18977

criteria located in Part IV of this Federal

Register announcement. For each of the

six specified criteria, applicants should

provide information in response to the

application requirements described in

Part III of this announcement. These

application requirements are crossreferenced by number in the last

paragraph of each criterion. All persons

who prepared sections of the proposal

should be identified along with those

sections, as well as identified according

to their responsibilities with regard to

the proposed program.

One signed original and two complete

copies of the grant application,

including all attachments, are required.

The program announcement number

(ACYF–HS–93600–97–03) must be

clearly identified on the application.

Each application must be limited to no

more than 100 double-spaced pages of

program narrative (not including the

forms which make up the SF–424 and

resumes) excluding the one-page project

summary. If the narrative portion of the

application is more than 100 doublespaced pages, the other pages will be

removed from the application and not

considered by the reviewers. The

attachments/appendices to each

application must be limited to no more

than 100 pages, (in addition to the 100

pages permitted for the narrative portion

of the application). If the attachments/

appendices to each application are more

than 100 pages, the other pages will be

removed from the application and not

considered by the reviewers.

Applicants must indicate on page one

of their Application for Federal

Assistance, SF 424, whether they are

applying for funding under Category

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

Please indicate in the ‘‘applicant

identifier’’ box at the top of page one of

the SF 424, the category for which you

are applying (Category One or Two). For

Category Two, the applicants must list

the number of the Parent and Child

Center (PCC) geographic area for which

they are applying to serve (see II.B.2 and

Appendix E list of PCC geographic

areas). Indicate the geographic area

number for which you are applying in

box # 12, ‘‘areas affected by project’’ on

page one of the SF 424.

C. Application Considerations

Applicants will be scored against the

evaluation criteria described above. The

review will be conducted in

Washington, DC. or in an HHS Regional

office by a panel consisting of experts in

the areas of child and family

development and other related fields.

The results of the competitive review

will be taken into consideration by the

Associate Commissioner, Head Start

Bureau, in recommending the projects

to be funded. The Commissioner of

ACYF will make the final selection of

the applicants to be funded. An

application may be funded in whole or

in part, depending on the relative need

for services, applicant ranking,

geographic location and funds available.

The Commissioner may elect not to

fund applicants that have management,

fiscal, or other problems and situations

that make it unlikely that they would be

able to provide effective Early Head

Start services.

The Commissioner may decide not to

fund projects that would require

unreasonably large initial start-up costs

for facilities or equipment.

Successful applicants will be notified

through the issuance of a Financial

Assistance Award which sets forth the

amount of funds granted, the terms and

conditions of the grant, the effective

date of the grant, the budget period for

which support is given, and the total

project period for which support is

provided.

In awarding grants to eligible

applicants, the Commissioner shall

ensure an equitable national geographic

distribution of the grants and award

grants to applicants proposing to serve

communities in rural areas and to

applicants proposing to serve

communities in urban areas.

The Commissioner will consider the

benefit to communities of funding new

providers.

Subject to the availability of

additional resources in FY 1998 and the

number of acceptable applications

received as a result of this program

announcement, the Commissioner may

elect to fund grantees in FY 1998 from

the pool of applications submitted in

response to this announcement.

ACYF will determine when the

project period begins for Early Head

Start grants.

D. Checklist for a Complete Application

The checklist below is for your use to

ensure that the application package has

been properly prepared.

—One original, signed and dated

application plus two copies.

—The narrative portion of the

application does not exceed 100

double-spaced pages in a 12-pitch

font with 11⁄2 inch margins at the top

and 1 inch at the bottom and both

sides.

—Attachments/Appendices to the

application do not exceed 100 pages.

Attachments/appendices should be

used only to provide supporting

documentation such as maps,

administration charts, position

descriptions, resumes, and letters of

intent/agreement. Please do not

include books or video tapes as they

are not easily reproduced and are

therefore inaccessible to the

reviewers. Each page should be

numbered sequentially.

—A complete application consists of the

items indicated in the checklist in the

ACF/UDGAF.

E. Due Date for the Receipt of

Applications

Deadlines: Mailed applications shall

be considered as meeting an announced

deadline if they are received on or

before the deadline time and date at the

ACYF Operations Center, Clarendon

Blvd., Suite 240, Arlington, VA 22201,

Attention: Application for Early Head

Start Category llllll. Applicants

are responsible for mailing applications

well in advance, when using all mail

services, to ensure that the applications

are received on or before the deadline

time and date. Applicants are cautioned

that postmarks will not be considered as

a methodology for meeting the deadline.

Applications handcarried by

applicants, applicant couriers, or by

overnight/express mail couriers shall be

considered as meeting the announced

deadline if they are received on or

before the deadline date, between the

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

ACYF Operations Center, 3030

Clarendon Blvd., Suite 240, Arlington,

Virginia 22201, between Monday and

Friday (excluding Federal holidays).

(Applicants are cautioned that express/

overnight mail services do not always

deliver as agreed.)

ACF cannot accommodate

transmission of applications by fax or

through other electronic media.

Therefore, applications transmitted to

ACF electronically will not be accepted

regardless of date or time of submission

and time of receipt.

Late applications: Applications which

do not meet the criteria above are

considered late applications. ACF shall

notify each late applicant that its

application will not be considered.

Extension of deadlines: ACF may

extend the deadline for all applicants

because of acts of God such as floods,

hurricanes, etc., or when there is a

widespread disruption of the mails.

However, if ACF does not extend the

deadline for all applicants, it may not

waive or extend the deadline for any

applicants.

F. Paperwork Reduction Act of 1995

(P.L. 104–13)

All information collections within

this program announcement are

approved under the Uniform

Discretionary Grant Application Form
18978 Federal Register / Vol. 62, No. 74 / Thursday, April 17, 1997 / Notices

under OMB Control Number 0970–0139

(expiration date August 31, 1997). The

estimated burden per response is 20

hours. An agency may not conduct or

sponsor, and a person is not required to

respond to, a collection of information

unless it displays a currently valid OMB

control number.

G. Executive Order 12372—Notification

Process

This program is covered under

Executive Order 12372,

‘‘Intergovernmental Review of Federal

Programs,’’ and 45 CFR Part 100,

‘‘Intergovernmental Review of

Department of Health and Human

Services Programs and Activities.’’

Under the Order, States may design

their own processes for reviewing and

commenting on proposed Federal

assistance under covered programs.

All States and territories except

Alabama, Alaska, Colorado,

Connecticut, Hawaii, Idaho, Kansas,

Louisiana, Massachusetts, Minnesota,

Montana, Nebraska, New Jersey,

Oklahoma, Oregon, Pennsylvania, South

Dakota, Tennessee, Vermont, Virginia,

Washington, American Samoa, and

Palau have elected to participate in the

Executive Order process and have

established Single Points of Contact

(SPOCs). Applicants from these twentythree jurisdictions areas need not take

action regarding Executive Order 12372.

Applications for projects to be

administered by Federally-recognized

Indian Tribes are also exempt from the

requirements of Executive Order 12372.

Otherwise, applicants should contact

their SPOC as soon as possible to alert

them to the prospective application and

to receive any necessary instructions.

Applicants must submit any required

material to the SPOC as early as possible

so that the program office can obtain

and review SPOC comments as part of

the award process. It is imperative that

the applicant submit all required

materials, if any, to the SPOC and

indicate the date of this submittal (or

date of contact if no submittal is

required) on the Standard Form 424,

item 16a.

Under 45 CFR 100.8(a)(2), a SPOC has

60 days from the application deadline to

comment on proposed new or

competing continuation awards.

SPOCs are encouraged to eliminate

the submission of routine endorsements

as official recommendations.

Additionally, SPOCs are requested to

clearly differentiate between mere

advisory comments and those official

State process recommendations which

may trigger the ‘‘accommodate or

explain’’ rule.

When comments are submitted

directly to the ACF, they should be

addressed to: Department of Health and

Human Services, Administration on

Children, Youth and Families, Head

Start Bureau, Grants Officer, 330 C

Street S.W., Room 2310–B, Washington,

D.C. 20201.

A list of Single Points of Contact for

each State and territory is included as

Appendix B of this announcement.

H. Closing Date

The closing date for submission of

applications is June 16, 1997.

(Catalog of Federal Domestic Assistance

Program Number 93.600, Project Head Start)

Dated: April 14, 1997.

James A. Harrell,

Acting Commissioner, Administration on

Children, Youth and Families.

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Instructions for the SF 424

Public reporting burden for this collection

of information is estimated to average 45

minutes per response, including time for

reviewing instructions, searching existing

data sources, gathering and maintaining the

data needed, and completing and reviewing

the collection of information. Send

comments regarding the burden estimate or

any other aspect of this collection of

information, including suggestions for

reducing this burden, to the Office of

Management and Budget, Paperwork

Reduction Project (0348–0043), Washington,

DC 20503.

Please Do Not Return Your Completed Form

to the Office of Management and Budget,

Send It to the Address Provided by the

Sponsoring Agency

This is a standard form used by applicants

as a required facesheet for preapplications

and applications submitted for Federal

assistance. It will be used by Federal agencies

to obtain applicant certification that States

which have established a review and

comment procedure in response to Executive

Order 12372 and have selected the program

to be included in their process, have been

given an opportunity to review the

applicant’s submission.

Item and Entry

1. Self-explanatory.

2. Date application submitted to Federal

agency (or State, if applicable) and

applicant’s control number (if applicable).

3. State use only (if applicable).

4. If this application is to continue or

revise an existing award, enter present

Federal identifier number. If for a new

project, leave blank.

5. Legal name of applicant, name of

primary organizational unit which will

undertake the assistance activity, complete

address of the applicant, and name and

telephone number of the person to contact on

matters related to this application.

6. Enter Employer Identification Number

(EIN) as assigned by the Internal Revenue

Service.

7. Enter the appropriate letter in the space

provided.

8. Check appropriate box and enter

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

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

—‘‘Continuation’’ means an extension for an

additional funding/budget period for a

project with a projected completion date.

—‘‘Revision’’ means any change in the

Federal Government’s financial obligation

or contingent liability from an existing

obligation.

9. Name of Federal agency from which

assistance is being requested with this

application.

10. Use the Catalog of Federal Domestic

Assistance number and title of the program

under which assistance is requested.

11. Enter a brief descriptive title of the

project. If more than one program is

involved, you should append an explanation

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

construction or real property projects), attach

a map showing project location. For

preapplications, use a separate sheet to

provide a summary description of this

project.

12. List only the largest political entities

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

13. Self-explanatory.

14. List the applicant’s Congressional

District and any District(s) affected by the

program or project.

15. Amount requested or to be contributed

during the first funding/budget period by

each contributor. Value of in-kind

contributions should be included on

appropriate lines as applicable. If the action

will result in a dollar change to an existing

award, indicate only the amount of the

change. For decreases, enclose the amounts

in parentheses. If both basic and

supplemental amounts are included, show

breakdown on an attached sheet. For

multiple program funding, use totals and

show breakdown using same categories as

item 15.

16. Applicants should contact the State

Single Point of Contact (SPOC) for Federal

Executive Order 12372 to determine whether

the application is subject to the State

intergovernmental review process.

17. This question applies to the applicant

organization, not the person who signs as the

authorized representative. Categories of debt

include delinquent audit allowances, loans

and taxes.

18. To be signed by the authorized

representative of the applicant. A copy of the

governing body’s authorization for you to

sign this application as official representative

must be on file in the applicant’s office.

(Certain Federal agencies may require that

this authorization be submitted as part of the

application.)

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Instructions for the SF 424A

Public reporting burden for this collection

of information is estimated to average 180

minutes per response, including time for

reviewing instructions, searching existing

data sources, gathering and maintaining the

data needed, and completing and reviewing

the collection of information. Send

comments regarding the burden estimate or

any other aspect of this collection of

information, including suggestions for

reducing this burden, to the Office of

Management and Budget, Paperwork

Reduction Project (0348–0043), Washington,

DC 20503.

Please Do Not Return Your Completed Form

to the Office of Management and Budget,

Send It to the Address Provided by the

Sponsoring Agency

General Instructions

This form is designed so that application

can be made for funds from one or more grant

programs. In preparing the budget, adhere to

any existing Federal grantor agency

guidelines which prescribe how and whether

budgeted amounts should be separately

shown for different functions or activities

within the program. For some programs,

grantor agencies may require budgets to be

separately shown by function or activity. For

other programs, grantor agencies may require

a breakdown by function or activity. Sections

A, B, C, and D should include budget

estimates for the whole project except when

applying for assistance which requires

Federal authorization in annual or other

funding period increments. In the latter case,

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

budget for the first budget period (usually a

year) and Section E should present the need

for Federal assistance in the subsequent

budget periods. All applications should

contain a breakdown by the object class

categories shown in Lines a–k of Section B.

Section A. Budget Summary Lines 1–4,

Columns (a) and (b)

For applications pertaining to a single

Federal grant program (Federal Domestic

Assistance Catalog number) and not requiring

a functional or activity breakdown, enter on

Line 1 under Column (a) the catalog program

title and the catalog number in Column (b).

For applications pertaining to a single

program requiring budget amounts by

multiple function or activities, enter the

name of each activity or function on each

line in Column (a), and enter the catalog

number in Column (b). For applications

pertaining to multiple programs where none

of the programs require a breakdown by

function or activity, enter the catalog

program title on each line in Column (a) and

the respective catalog number of each line in

Column (b).

For applications pertaining to multiple

programs where one or more programs

require a breakdown by function or activity,

prepare a separate sheet for each program

requiring the breakdown. Additional sheets

should be used when one form does not

provide adequate space for all breakdown of

data required. However, when more than one

sheet is used, the first page should provide

the summary totals by programs.

Lines 1–4, Columns (c) Through (g)

For new applications, leave Columns (c)

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

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

the appropriate amounts of funds needed to

support the project for the first funding

period (usually a year).

For continuing grant program applications,

submit these forms before the end of each

funding period as required by the grantor

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

estimated amounts of funds which will

remain unobligated at the end of the grant

funding period only if the Federal grantor

agency instructions provide for this.

Otherwise, leave these columns blank. Enter

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

needed for the upcoming period. The

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

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

For supplemental grants and changes to

existing grants, do not use Columns (c) and

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

increase or decrease of Federal funds and

enter in Column (f) the amount of the

increase or decrease of non-Federal funds. In

Column (g) enter the new total budgeted

amount (Federal and non-Federal) which

includes the total previous authorized

budgeted amounts plus or minus, as

appropriate, the amounts shown in Columns

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

should not equal the sum of amounts in

Columns (e) and (f).

Line 5—Show the total for all columns

used.

Section B. Budget Categories

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

enter the titles of the same programs,

functions, and activities shown on Lines 1–

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

sheets are prepared for Section A, provide

similar column headings on each sheet. For

each program, function or activity, fill in the

total requirements for funds (both Federal

and non-Federal) by object class categories.

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

6h in each column.

Line 6j—Show the amount of indirect cost.

Line 6k—Enter the total of amounts on

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

grants and continuation grants the total

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

same as the total amount shown in Section

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

grants and changes to grants, the total

amount of the increase or decrease as shown

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

same as the sum of the amounts in Section

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

Line 7—Enter the estimated amount of

income, if any, expected to be generated from

this project. Do not add or subtract this

amount from the total project amount. Show

under the program narrative statement the

nature and source of income. The estimated

amount of program income may be

considered by the federal grantor agency in

determining the total amount of the grant.

Section C. Non-Federal Sources

Lines 8–11—Enter amounts of non-Federal

resources that will be used on the grant. If

in-kind contributions are included, provide a

brief explanation on a separate sheet.

Column (a)—Enter the program titles

identical to Column (a), Section A. A

breakdown by function or activity is not

necessary.

Column (b)—Enter the contribution to be

made by the applicant.

Column (c)—Enter the amount of the

State’s cash and in-kind contribution if the

applicant is not a State or State agency.

Applicants which are a State or State

agencies should leave this column blank.

Column (d)—Enter the amount of cash and

in-kind contributions to be made from all

other sources.

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

(c), and (d).

Line 12—Enter the total for each of

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

should be equal to the amount on Line 5,

Column (f), Section A.

Section D. Forecasted Cash Needs

Line 13—Enter the amount of cash needed

by quarter from the grantor agency during the

first year.

Line 14—Enter the amount of cash from all

other sources needed by quarter during the

first year.

Line 15—Enter the totals of amounts on

Lines 13 and 14.

Section E. Budget Estimates of Federal Funds

Needed for Balance of the Project

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

grant program titles shown in Column (a),

Section A. A breakdown by function or

activity is not necessary. For new

applications and continuation grant

applications, enter in the proper columns

amounts of Federal funds which will be

needed to complete the program or project

over the succeeding funding periods (usually

in years). This section need not be completed

for revisions (amendments, changes, or

supplements) to funds for the current year of

existing grants.

If more than four lines are needed to list

the program titles, submit additional

schedules as necessary.

Line 20—Enter the total for each of the

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

are prepared for this Section, annotate

accordingly and show the overall totals on

this line.

Section F. Other Budget Information

Line 21—Use this space to explain

amounts for individual direct object-class

cost categories that may appear to be out of

the ordinary or to explain the details as

required by the Federal grantor agency.

Line 22—Enter the type of indirect rate

(provisional, predetermined, final or fixed)

that will be in effect during the funding

period, the estimated amount of the base to

which the rate is applied, and the total

indirect expense.

Line 23—Provide any other explanations or

comments deemed necessary.

Assurances—Non-Construction Programs

Public reporting burden for this collection

of information is estimated to average 15

minutes per response, including time for

reviewing instructions, searching existing

data sources, gathering and maintaining the

data needed, and completing and reviewing
18984 Federal Register / Vol. 62, No. 74 / Thursday, April 17, 1997 / Notices

the collection of information. Send

comments regarding the burden estimate or

any other aspect of this collection of

information, including suggestions for

reducing this burden, to the Office of

Management and Budget, Paperwork

Reduction Project (0348–0043), Washington,

DC 20503.

Please Do Not Return Your Completed Form

to the Office of Management and Budget,

Send It to the Address Provided by the

Sponsoring Agency

Note: Certain of these assurances may not

be applicable to your project or program. If

you have questions, please contact the

awarding agency. Further, certain Federal

awarding agencies may require applicants to

certify to additional assurances. If such is the

case, you will be notified.

As the duly authorized representative of

the applicant I certify that the applicant:

1. Has the legal authority to apply for

Federal assistance and the institutional,

managerial and financial capability

(including funds sufficient to pay the nonFederal share of project costs) to ensure

proper planning, management and

completion of the project described in this

application.

2. Will give the awarding agency, the

Comptroller General of United States, and if

appropriate, the State, through any

authorized representative, access to and the

right to examine all records, books, papers,

or documents related to the award; and will

establish a proper accounting system in

accordance with generally accepted

accounting standards or agency directives.

3. Will establish safeguards to prohibit

employees from using their positions for a

purpose that constitutes or presents the

appearance of personal or organizational

conflict of interest, or personal gain.

4. Will initiate and complete the work

within the applicable time frame after receipt

of approval of the awarding agency.

5. Will comply with the Intergovernmental

Personnel Act of 1970 (42 U.S.C. §§ 4728–

4763) relating to prescribed standards for

merit systems for programs funded under one

of the nineteen statutes or regulations

specified in Appendix A of OPM’s Standards

for a Merit System of Personnel

Administration (5 C.F.R. 900, Subpart F).

6. Will comply with all Federal statutes

relating to nondiscrimination. These include

but are not limited to: (a) Title VI of the Civil

Rights Act of 1964 (P.L. 88–352) which

prohibits discrimination on the basis of race,

color or national origin; (b) title IX of the

Education Amendments of 1972, as amended

(20 U.S.C. §§ 1681–1683, and 1685–1686),

which prohibits discrimination on the basis

of sex; (c) Section 504 of the Rehabilitation

Act of 1973, as amended (29 U.S.C. § 794),

which prohibits discrimination on the basis

of handicaps; (d) the Age Discrimination Act

of 1975, as amended (42 U.S.C. § 6101–6107),

which prohibits discrimination on the basis

of age; (e) the Drug Abuse Office and

Treatment Act of 1972 (P.L. 92–255), as

amended, relating to nondiscrimination on

the basis of drug abuse: (f) the

Comprehensive Alcohol Abuse and

Alcoholism Prevention, Treatment and

Rehabilitation Act of 1970 (P.L. 91–616), as

amended, relating to nondiscrimination on

the basis of alcohol abuse or alcoholism; (g)

§§ 523 and 527 of the Public Health Service

Act of 1912 (42 U.S.C. 290 dd-3 and 290 ee3), as amended, relating to confidentiality of

alcohol and drug abuse patient records; (h)

Title VIII of the Civil Rights Act of 1968 (42

U.S.C. § 3601 et seq.), as amended, relating to

non-discrimination in the sale, rental or

financing of housing; (i) any other

nondiscrinimation provisions in the specific

statute(s) under which application for

Federal assistance is being made; and (j) the

requirements of any other nondiscrimination

statute(s) which may apply to the

application.

7. Will comply, or has already complied,

with the requirements of Titles II and III of

the Uniform Relocation Assistance and Real

Property Acquisition Policies Act of 1970

(P.L. 91–646) which provide for fair and

equitable treatment of persons displaced or

whose property is acquired as a result of

Federal or federally assisted programs. These

requirements apply to all interests in real

property acquired for project purposes

regardless of Federal participation in

purchases.

8. Will comply, as applicable, with the

provisions of the Hatch Act (5 U.S.C.

§§ 1501–1508 and 7324–7328) which limit

the political activities of employees whose

principal employment activities are funded

in whole or in part with Federal funds.

9. Will comply as applicable, with the

provisions of the Davis-Bacon Act (40 U.S.C.

§§ 276a to 276a–7), the Copeland Act (40

U.S.C. § 276c and 18 U.S.C. § 874, and the

Contract Work Hours and Safety Standards

Act (40 U.S.C. §§ 327–333), regarding labor

standards for federally assisted construction

subagreements.

10. Will comply, if applicable, with flood

insurance purchase requirements of Section

102(a) of the Flood Disaster Protection Act of

1973 (P.L. 93–234) which requires recipients

in a special flood hazard area to participate

in the program and to purchase flood

insurance if the total cost of insurable

construction and acquisition is $10,000 or

more.

11. Will comply with environmental

standards which may be prescribed pursuant

to the following: (a) Institution of

environmental quality control measures

under the National Environmental Policy Act

of 1969 (P.L. 91–190) and Executive Order

(EO) 11514; (b) notification of violating

facilities pursuant to EO 11738; (c) protection

of wetlands pursuant to EO 11990; (d)

evaluation of flood hazards in floodplains in

accordance with EO 11988; (e) assurance of

project consistency with the approved State

management program developed under the

Coastal Zone Management Act of 1972 (16

U.S.C. §§ 1451 et seq.); (f) conformity of

Federal actions to State (Clear Air)

Implementation Plans under Section 176(c)

of the Clear Air Act of 1955, as amended (42

U.S.C. §§ 7401 et seq.); (g) protection of

underground sources of drinking water under

the Safe Drinking Water Act of 1974, as

amended (P.L. 93–523); and (h) protection of

endangered species under the Endangered

Species Act of 1973, as amended (P. L. 93–

205).

12. Will comply with the Wild and Scenic

Rivers Act of 1968 (16 U.S.C. §§ 1271 et seq.)

related to protecting components or potential

components of the national wild and scenic

rivers system.

13. Will assist the awarding agency in

assuring compliance with Section 106 of the

National Historic Preservation Act of 1966, as

amended (16 U.S.C. 470), EO 11593

(identification and protection of historic

properties), and the Archaeological and

Historic Preservation Act of 1974 (16 U.S.C.

469a–1 et seq.).

14. Will comply with P.L. 93–348

regarding the protection of human subjects

involved in research, development, and

related activities supported by this award of

assistance.

15. Will comply with the Laboratory

Animal Welfare Act of 1966 (P.L. 89–544, as

amended, 7 U.S.C. 2131 et seq.) pertaining to

the care, handling, and treatment of warm

blooded animals held for research, teaching,

or other activities supported by this award of

assistance.

16. Will comply with the Lead-Based Paint

Poisoning Prevention Act (42 U.S.C. §§ 4801

et seq.) which prohibits the use of lead based

paint in construction or rehabilitation of

residence structures.

17. Will cause to be performed the required

financial and compliance audits in

accordance with the Single Audit Act of 1984

or OMB Circular No. A–133, Audits of

Institutions of Higher Learning and other

Non-profit Institutions.

18. Will comply with all applicable

requirements of all other Federal laws,

executive orders, regulations and policies

governing this program.

lllllllllllllllllllll

Signature of authorized certifying official

lllllllllllllllllllll

Title

lllllllllllllllllllll

Applicant organization

lllllllllllllllllllll

Date submitted

This certification is required by the

regulations implementing the Drug-Free

Workplace Act of 1988: 45 CFR Part 76,

Subpart F. Sections 76.630(c) and (d)(2) and

76.645(a) (1) and (b) provide that a Federal

agency may designate a central receipt point

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

criminal drug convictions. For the

Department of Health and Human Services,

the central point is: Division of Grants

Management and Oversight, Office of

Management and Acquisition, Department of

Health and Human Services, Room 517–D,

200 Independence Avenue, SW Washington,

DC 20201.

Certification Regarding Drug-Free Workplace

Requirements

(Instructions for Certification)

1. By signing and/or submitting this

application or grant agreement, the grantee is

providing the certification set out below.

2. The certification set out below is a

material representation of fact upon which

reliance is placed when the agency awards

the grant. If it is later determined that the

grantee knowingly rendered a false
Federal Register / Vol. 62, No. 74 / Thursday, April 17, 1997 / Notices 18985

certification, or otherwise violates the

requirements of the Drug-Free Workplace

Act, the agency, in addition to any other

remedies available to the Federal

Government, may take action authorized

under the Drug-Free Workplace Act.

3. For grantees other than individuals,

Alternate I applies.

4. For grantees who are individuals,

Alternate II applies.

5. Workplaces under grants, for grantees

other than individuals, need not be identified

on the certification. If known, they may be

identified in the grant application. If the

grantee does not identify the workplaces at

the time of application, or upon award, if

there is no application, the grantee must keep

the identity of the workplace(s) on file in its

office and make the information available for

Federal inspection. Failure to identify all

known workplaces constitutes a violation of

the grantee’s drug-free workplace

requirements.

6. Workplace identifications must include

the actual address of buildings (or parts of

buildings) or other sites where work under

the grant takes place. Categorical descriptions

may be used (e.g., all vehicles of a mass

transit authority of State highway department

while in operation, State employees in each

local unemployment office, performers in

concert halls or radio studios).

7. If the workplace identified to the agency

changes during the performance of the grant,

the grantee shall inform the agency of the

change(s), if it previously identified the

workplaces in question (see paragraph five).

8. Definitions of terms in the

Nonprocurement Suspension and Debarment

common rule and Drug-Free Workplace

common rule apply to this certification.

Grantees’ attention is called, in particular, to

the following definitions from these rules:

Controlled substance means a controlled

substance in Schedules I through V of the

Controlled Substances Act (21 U.S.C. 812)

and as further defined by regulation (21 CFR

1308.11 through 1308.15);

Conviction means a finding of guilt

(including a plea of nolo contendere) or

imposition of sentence, or both, by any

judicial body charged with the responsibility

to determine violations of the Federal or

State criminal drug statutes;

Criminal drug statute means a Federal or

non-Federal criminal statute involving the

manufacture, distribution, dispensing, use, or

possession of any controlled substance;

Employee means the employee of a grantee

directly engaged in the performance of work

under a grant, including: (i) All direct charge

employees; (ii) All indirect charge employees

unless their impact or involvement is

insignificant to the performance of the grant;

and, (iii) Temporary personnel and

consultants who are directly engaged in the

performance of work under the grant and

who are in the grantee’s payroll. This

definition does not include workers not on

the payroll of the grantee (e.g., volunteers,

even if used to meet a matching requirement;

consultants or independent contractors not

on the grantee’s payroll; or employees of

subrecipients or subcontractors in covered

workplaces).

Certification Regarding Drug-Free

Workplace Requirements

Alternate I. (Grantees Other Than

Individuals)

The grantee certifies that it will or will

continue to provide a drug-free workplace by:

(a) Publishing a statement notifying

employees that the unlawful manufacture,

distribution, dispensing, possession, or use of

a controlled substance is prohibited in the

grantee’s workplace and specifying the

actions that will be taken against employees

for violation of such prohibition;

(b) Establishing an ongoing drug-free

awareness program to inform employees

about—

(1) The dangers of drug abuse in the

workplace;

(2) The grantee’s policy of maintaining a

drug-free workplace;

(3) Any available drug counseling,

rehabilitation, and employee assistance

programs; and

(4) The penalties that may be imposed

upon employees for drug abuse violations

occurring in the workplace;

(c) Making it a requirement that each

employee to be engaged in the performance

of the grant be given a copy of the statement

required by paragraph (a);

(d) Notifying the employee in the statement

required by paragraph (a) that, as a condition

of employment under the grant, the employee

will—

(1) Abide by the terms of the statement;

and

(2) Notify the employer in writing of his or

her conviction for a violation of a criminal

drug statute occurring in the workplace no

later than five calendar days after such

conviction;

(e) Notifying the agency in writing, within

ten calendar days after receiving notice under

paragraph (d)(2) from an employee or

otherwise receiving actual notice of such

conviction. Employers of convicted

employees must provide notice, including

position title, to every grant officer or other

designee on whose grant activity the

convicted employee was working, unless the

Federal agency has designated a central point

for the receipt of such notices. Notice shall

include the identification number(s) of each

affected grant;

(f) Taking one of the following actions,

within 30 calendar days of receiving notice

under paragraph (d)(2), with respect to any

employee who is so convicted—

(1) Taking appropriate personnel action

against such an employee, up to and

including termination, consistent with the

requirements of the Rehabilitation Act of

1973, as amended; or

(2) Requiring such employee to participate

satisfactorily in a drug abuse assistance or

rehabilitation program approved for such

purposes by a Federal, State, or local health,

law enforcement, or other appropriate

agency;

(g) Making a good faith effort to continue

to maintain a drug-free workplace through

implementation of paragraphs (a), (b), (c), (d),

(e) and (f).

(B) The grantee may insert in the space

provided below the site(s) for the

performance of work done in connection

with the specific grant:

Place of performance (Street address, city,

county, state, zip code):

lllllllllllllllllllll

lllllllllllllllllllll

Check b if there are workplaces on file that

are not identified here.

Alternate II. (Grantees Who Are Individuals)

(a) The grantee certifies that, as a condition

of the grant, he or she will not engage in the

unlawful manufacture, distribution,

dispensing, possession, or use of a controlled

substance in conducting any activity with the

grant;

(b) If convicted of a criminal drug offense

resulting from a violation occurring during

the conduct of any grant activity, he or she

will report the conviction, in writing, within

10 calendar days of the conviction, to every

grant officer or other designee, unless the

Federal agency designates a central point for

the receipt of such notices. When notice is

made to such a central point, it shall include

the identification number(s) of each affected

grant.

[55 FR 21690, 21702, May 25, 1990]

Certification Regarding Debarment,

Suspension, and Other Responsibility

Matters—Primary Covered Transactions

Instructions for Certification

1. By signing and submitting this proposal,

the prospective primary participant is

providing the certification set out below.

2. The inability of a person to provide the

certification required below will not

necessarily result in denial of participation in

this covered transaction. The prospective

participant shall submit an explanation of

why it cannot provide the certification set

out below. The certification or explanation

will be considered in connection with the

department or agency’s determination

whether to enter into this transaction.

However, failure of the prospective primary

participant to furnish a certification or an

explanation shall disqualify such person

from participation in this transaction.

3. The certification in this clause is a

material representation of fact upon which

reliance was placed when the department or

agency determined to enter into this

transaction. If it is later determined that the

prospective primary participant knowingly

rendered an erroneous certification, in

addition to other remedies available to the

Federal Government, the department or

agency may terminate this transaction for

cause or default.

4. The prospective primary participant

shall provide immediate written notice to the

department or agency to which this proposal

is submitted if at any time the prospective

primary participant learns that its

certification was erroneous when submitted

or has become erroneous by reason of

changed circumstances.

5. The terms covered transaction, debarred,

suspended, ineligible, lower tier covered

transaction, participant, person, primary

covered transaction, principal, proposal, and

voluntarily excluded, as used in this clause,

have the meanings set out in the Definitions
18986 Federal Register / Vol. 62, No. 74 / Thursday, April 17, 1997 / Notices

and Coverage sections of the rules

implementing Executive Order 12549. You

may contact the department or agency to

which this proposal is being submitted for

assistance in obtaining a copy of those

regulations.

6. The prospective primary participant

agrees by submitting this proposal that,

should the proposed covered transaction be

entered into, it shall not knowingly enter into

any lower tier covered transaction with a

person who is proposed for debarment under

48 CFR part 9, subpart 9.4, debarred,

suspended, declared ineligible, or voluntarily

excluded from participation in this covered

transaction, unless authorized by the

department or agency entering into this

transaction.

7. The prospective primary participant

further agrees by submitting this proposal

that it will include the clause titled

‘‘Certification Regarding Debarment,

Suspension, Ineligibility and Voluntary

Exclusion-Lower Tier Covered Transaction,’’

provided by the department or agency

entering into this covered transaction,

without modification, in all lower tier

covered transactions and in all solicitations

for lower tier covered transactions.

8. A participant in a covered transaction

may rely upon a certification of a prospective

participant in a lower tier covered

transaction that it is not proposed for

debarment under 48 CFR part 9, subpart 9.4,

debarred, suspended, ineligible, or

voluntarily excluded from the covered

transaction, unless it knows that the

certification is erroneous. A participant may

decide the method and frequency by which

it determines the eligibility of its principals.

Each participant may, but is not required to,

check the List of Parties Excluded from

Federal Procurement and Nonprocurement

Programs.

9. Nothing contained in the foregoing shall

be construed to require establishment of a

system of records in order to render in good

faith the certification required by this clause.

The knowledge and information of a

participant is not required to exceed that

which is normally possessed by a prudent

person in the ordinary course of business

dealings.

10. Except for transactions authorized

under paragraph 6 of these instructions, if a

participant in a covered transaction

knowingly enters into a lower tier covered

transaction with a person who is proposed

for debarment under 48 CFR part 9, subpart

9.4, suspended, debarred, ineligible, or

voluntarily excluded from participation in

this transaction, in addition to other

remedies to the Federal Government, the

department or agency may terminate this

transaction for cause or default.

* * * * *

Certification Regarding Debarment,

Suspension, and Other Responsibility

Matters—Primary Covered Transactions

(1) The prospective primary participants

certifies to the best of its knowledge and

belief, that it and its principals:

(a) Are not presently debarred, suspended,

proposed for debarment, declared ineligible,

or voluntarily excluded by any Federal

department or agency;

(b) Have not within a three-year period

preceding this proposal been convicted of or

had a civil judgment rendered against them

for commission of fraud or a criminal offense

in connection with obtaining, attempting to

obtain, or performing a public (Federal, State

or local) transaction or contract under a

public transaction; violation of Federal or

State antitrust statutes or commission of

embezzlement, theft, forgery, bribery,

falsification or destruction of records, making

false statements, or receiving stolen property;

(c) Are not presently indicted for or

otherwise criminally or civilly charged by a

governmental entity (Federal, State or local)

with commission of any of the offenses

enumerated in paragraph (1)(b) of this

certification; and

(d) Have not within a three-year period

preceding this application/proposal had one

or more public transactions (Federal, State or

local) terminated for cause or default.

(2) Where the prospective primary

participant is unable to certify to any of the

statements in this certification, such

prospective participant shall attach an

explanation to this proposal.

Certification Regarding Debarment,

Suspension, Ineligibility and Voluntary

Exclusion—Lower Tier Covered

Transactions

Instructions for Certification

1. By signing and submitting this proposal,

the prospective lower tier participant is

providing the certification set out below.

2. The certification in this clause is a

material representation of fact upon which

reliance was placed when this transaction

was entered into. If it is later determined that

the prospective lower tier participant

knowingly rendered an erroneous

certification, in addition to other remedies

available to the Federal Government the

department or agency with which this

transaction originated may pursue available

remedies, including suspension and/or

debarment.

3. The prospective lower tier participant

shall provide immediate written notice to the

person to which this proposal is submitted if

at any time the prospective lower tier

participant learns that its certification was

erroneous when submitted or had become

erroneous by reason of changed

circumstances.

4. The terms covered transaction, debarred,

suspended, ineligible, lower tier covered

transaction, participant, person, primary

covered transaction, principal, proposal, and

voluntarily excluded, as used in this clause,

have the meaning set out in the Definitions

and Coverage sections of rules implementing

Executive Order 12549. You may contact the

person to which this proposal is submitted

for assistance in obtaining a copy of these

regulations.

5. The prospective lower tier participant

agrees by submitting this proposal that,

[[Page 33043]] should the proposed covered

transaction be entered into, it shall not

knowingly enter into any lower tier covered

transaction with a person who is proposed

for debarment under 48 CFR part 9, subpart

9.4, debarred, suspended, declared ineligible,

or voluntarily excluded from participation in

this covered transaction, unless authorized

by the department or agency with which this

transaction originated.

6. The prospective lower tier participant

further agrees by submitting this proposal

that it will include this clause titled

‘‘Certification Regarding Debarment,

Suspension, Ineligibility and Voluntary

Exclusion—Lower Tier Covered

Transaction,’’ without modification, in all

lower tier covered transactions and in all

solicitations for lower tier covered

transactions.

7. A participant in a covered transaction

may rely upon a certification of a prospective

participant in a lower tier covered

transaction that it is not proposed for

debarment under 48 CFR part 9, subpart 9.4,

debarred, suspended, ineligible, or

voluntarily excluded from covered

transactions, unless it knows that the

certification is erroneous. A participant may

decide the method and frequency by which

it determines the eligibility of its principals.

Each participant may, but is not required to,

check the List of Parties Excluded from

Federal Procurement and Nonprocurement

Programs.

8. Nothing contained in the foregoing shall

be construed to require establishment of a

system of records in order to render in good

faith the certification required by this clause.

The knowledge and information of a

participant is not required to exceed that

which is normally possessed by a prudent

person in the ordinary course of business

dealings.

9. Except for transactions authorized under

paragraph 5 of these instructions, if a

participant in a covered transaction

knowingly enters into a lower tier covered

transaction with a person who is proposed

for debarment under 48 CFR part 9, subpart

9.4, suspended, debarred, ineligible, or

voluntarily excluded from participation in

this transaction, in addition to other

remedies available to the Federal

Government, the department or agency with

which this transaction originated may pursue

available remedies, including suspension

and/or debarment.

* * * * *

Certification Regarding Debarment,

Suspension, Ineligibility and Voluntary

Exclusion—Lower Tier Covered

Transactions

(1) The prospective lower tier participant

certifies, by submission of this proposal, that

neither it nor its principals is presently

debarred, suspended, proposed for

debarment, declared ineligible, or voluntarily

excluded from participation in this

transaction by any Federal department or

agency.

(2) Where the prospective lower tier

participant is unable to certify to any of the

statements in this certification, such

prospective participant shall attach an

explanation to this proposal.

Certification Regarding Lobbying

Certification for Contracts, Grants, Loans,

and Cooperative Agreements

The undersigned certifies, to the best of his

or her knowledge and belief, that:
Federal Register / Vol. 62, No. 74 / Thursday, April 17, 1997 / Notices 18987

(1) No Federal appropriated funds have

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

the undersigned, to any person for

influencing or attempting to influence an

officer or employee of an agency, a Member

of Congress, an officer or employee of

Congress, or an employee of a Member of

Congress in connection with the awarding of

any Federal contract, the making of any

Federal grant, the making of any Federal

loan, the entering into of any cooperative

agreement, and the extension, continuation,

renewal, amendment, or modification of any

Federal contract, grant, loan, or cooperative

agreement.

(2) If any funds other than Federal

appropriated funds have been paid or will be

paid to any person for influencing or

attempting to influence an officer or

employee of any agency, a Member of

Congress, an officer or employee of Congress,

or an employee of a Member of Congress in

connection with this Federal contract, grant,

loan, or cooperative agreement, the

undersigned shall complete and submit

Standard Form—LLL, ‘‘Disclosure Form to

Report Lobbying,’’ in accordance with its

instructions.

(3) The undersigned shall require that the

language of this certification be included in

the award documents for all subawards at all

tiers (including subcontracts, subgrants, and

contracts under grants, loans, and

cooperative agreements) and that all

subrecipients shall certify and disclose

accordingly.

This certification is a material

representation of fact upon which reliance

was placed when this transaction was made

or entered into. Submission of this

certification is a prerequisite for making or

entering into this transaction imposed by

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

who fails to file the required certification

shall be subject to a civil penalty of not less

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

each such failure.

Statement for Loan Guarantees and Loan

Insurance

The undersigned states, to the best of his

or her knowledge and belief, that:

If any funds have been paid or will be paid

to any person for influencing or attempting

to influence an officer or employee of any

agency, a Member of Congress, an officer or

employee of Congress, or an employee of a

Member of Congress in connection with this

commitment providing for the United States

to insure or guarantee a loan, the

undersigned shall complete and submit

Standard Form—LLL, ‘‘Disclosure Form to

Report Lobbying,’’ in accordance with its

instructions. Submission of this statement is

a prerequisite for making or entering into this

transaction imposed by section 1352, title 31,

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

required statement shall be subject to a civil

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

than $100,000 for each such failure.

lllllllllllllllllllll

Signature

lllllllllllllllllllll

Title

lllllllllllllllllllll

Organization

lllllllllllllllllllll

Date

BILLING CODE 4184–01–P
18988 Federal Register / Vol. 62, No. 74 / Thursday, April 17, 1997 / Notices

BILLING CODE 4184–01–C
Federal Register / Vol. 62, No. 74 / Thursday, April 17, 1997 / Notices 18989

Instructions for Completion of SF–LLL,

Disclosure of Lobbying Activities

This disclosure form shall be completed by

the reporting entity, whether subawardee or

prime Federal recipient, at the initiation or

receipt of a covered Federal action, or a

material change to a previous filing, pursuant

to title 31 U.S.C. section 1352. The filing of

a form is required for each payment or

agreement to make payment to any lobbying

entity for influencing or attempting to

influence an officer or employee of any

agency, a Member of Congress, an officer or

employee of Congress, or an employee of a

Member of Congress in connection with a

covered Federal action. Complete all items

that apply for both the initial filing and

material change report. Refer to the

implementing guidance published by the

Office of Management and Budget for

additional information.

1. Identify the type of covered Federal

action for which lobbying activity is and/or

has been secured to influence the outcome of

a covered Federal action.

2. Identify the status of the covered Federal

action.

3. Identify the appropriate classification of

this report. If this is a followup report caused

by a material change to the information

previously reported, enter the year and

quarter in which the change occurred. Enter

the date of the last previously submitted

report by this reporting entity for this

covered Federal action.

4. Enter the full name, address, city, state

and zip code of the reporting entity. Include

Congressional District, if known. Check the

appropriate classification of the reporting

entity that designates if it is, or expects to be

a prime or subaward recipient. Identify the

tier of the subawardee, e.g., the first

subawardee of the prime is the 1st tier.

Subawards include but are not limited to

subcontracts, subgrants and contract awards

under grants.

5. If the organization filing the report in

item 4 checks ‘‘Subawardee’’, then enter the

full name, address, city, state and zip code

of the prime Federal recipient. Include

Congressional District, if known.

6. Enter the name of the Federal agency

making the award or loan commitment.

Include at least one organizational level

below agency name, if known. For example,

Department of Transportation, United States

Coast Guard.

7. Enter the Federal program name or

description for the covered Federal action

(item 1). If known, enter the full Catalog of

Federal Domestic Assistance (CFDA) number

for grants, cooperative agreements, loans, and

loan commitments.

8. Enter the most appropriate Federal

identifying number available for the Federal

action identified in item 1 [e.g., Request for

Proposal (RFP) number; Invitation for Bid

(IFB) number; grant announcement number;

the contract, grant, or loan award number;

the application/proposal control number

assigned by the Federal agency]. Include

prefixes, e.g., ‘‘RFP–DE–90–001.’’

9. For a covered Federal action where there

has been a award or loan commitment by the

Federal agency, enter the Federal amount of

the award loan commitment for the prime

entity identified in item 4 or 5.

10. (a) Enter the full name, address, city,

state and zip code of the lobbying registrant

under the Lobbying Disclosure Act of 1995

engaged by the reporting entity identified in

item 4 to influence the covered Federal

action.

(b) Enter the full name(s) of the

individual(s) performing services, and

include full address if different from 10(a).

Enter Last Name, First Name, and Middle

Initial (MI).

(The instructions for items 11 through 15 are

removed.)

16. The certifying official shall sign and

date the form, print his/her name, title, and

telephone number.

Public reporting burden for this collection

of information is estimated to average 30

minutes per response, including time for

reviewing instructions, searching existing

data sources, gathering and maintaining the

data needed, and completing and reviewing

the collection of information. Send

comments regarding the burden estimate or

any other aspect of this collection of

information, including suggestions for

reducing this burden, to the Office of

Management and Budget, Paperwork

Reduction Project (0348–0046).

Program Narrative

This program narrative section was

designed for use by many and varied

programs. Consequently, it is not possible to

provide specific guidance for developing a

program narrative statement that would be

appropriate in all cases. Applicants must

refer the relevant program announcement for

information on specific program

requirements and any additional guidelines

for preparing the program narrative

statement. The following are general

guidelines for preparing a program narrative

statement.

The program narrative provides a major

means by which the application is evaluated

and ranked to compete with other

applications for available assistance. It

should be concise and complete and should

address the activity for which Federal funds

are requested. Supporting documents should

be included where they can present

information clearly and succinctly.

Applicants are encouraged to provide

information on their organizational structure,

staff, related experience, and other

information considered to be relevant.

Awarding offices use this and other

information to determine whether the

applicant has the capability and resources

necessary to carry out the proposed project.

It is important, therefore, that this

information be included in the application.

However, in the narrative the applicant must

distinguish between resources directly

related to the proposed project from those

which will not be used in support of the

specific project for which funds are

requested.

Cross-referencing should be used rather

than repetition. ACF is particularly interested

in specific factual information and

statements of measurable goals in

quantitative terms. Narratives are evaluated

on the basis of substance, not length.

Extensive exhibits are not required.

(Supporting information concerning

activities which will not be directly funded

by the grant or information which does not

directly pertain to an integral part of the

grant funded activity should be placed in an

appendix.) Pages should be numbered for

easy reference.

Prepare the program narrative statement in

accordance with the following instructions:

• Applicants submitting new applications

or competing continuation applications

should respond to Items A and D.

• Applicants submitting noncompeting

continuation applications should respond to

Item B.

• Applicants requesting supplemental

assistance should respond to Item C.

A. Project Description—Components

1. Project Summary/Abstract

A summary of the project description

(usually a page or less) with reference to the

funding request should be placed directly

behind the table of contents or SF–424.

2. Objectives and Need for Assistance

Applicants must clearly identify the

physical, economic, social, financial,

institutional, or other problem(s) requiring a

solution. The need for assistance must be

demonstrated and the principal and

subordinate objectives of the project must be

clearly stated; supporting documentation

such as letters of support and testimonials

from concerned interests other than the

applicant may be included. Any relevant data

based on planning studies should be

included or referenced in the endnotes/

footnotes. Incorporate demographic data and

participant/beneficiary information, as

needed. In developing the narrative, the

applicant may volunteer or be requested to

provide information on the total range of

projects currently conducted and supported

(or to be initiated), some of which may be

outside the scope of the program

announcement.

3. Results or Benefits Expected

Identify results and benefits to be derived.

For example, when applying for a grant to

establish a neighborhood child care center,

describe who will occupy the facility, who

will use the facility, how the facility will be

used, and how the facility will benefit the

community which it will serve.

4. Approach

Outline a plan of action which describes

the scope and detail of how the proposed

work will be accomplished. Account for all

functions or activities identified in the

application. Cite factors which might

accelerate or decelerate the work and state

your reason for taking this approach rather

than others. Describe any unusual features of

the project such as design or technological

innovations, reductions in cost or time, or

extraordinary social and community

involvement.

Provide quantitative monthly or quarterly

projections of the accomplishments to be

achieved for each function or activity in such

terms as the number of people to be served

and the number of microloans made. When

accomplishments cannot be quantified by

activity or function, list them in
18990 Federal Register / Vol. 62, No. 74 / Thursday, April 17, 1997 / Notices

chronological order to show the schedule of

accomplishments and their target dates.

Identify the kinds of data to be collected,

maintained, and/or disseminated. (Note that

clearance from the U.S. Office of

Management and Budget might be needed

prior to an information collection.) List

organizations, cooperating entities,

consultants, or other key individuals who

will work on the project along with a short

description of the nature of their effort or

contribution.

5. Evaluation

Provide a narrative addressing how you

will evaluate (1) the results of your project

and (2) the conduct of your program. In

addressing the evaluation of results, state

how you will determine the extent to which

the program has achieved its stated objectives

and the extent to which the accomplishment

of objectives can be attributed to the program.

Discuss the criteria to be used to evaluate

results; explain the methodology that will be

used to determine if the needs identified and

discussed are being met and if the project

results and benefits are being achieved. With

respect to the conduct of your program,

define the procedures you will employ to

determine whether the program is being

conducted in a manner consistent with the

work plan you presented and discuss the

impact of the program’s various activities

upon the program’s effectiveness.

6. Geographic Location

Give the precise location of the project and

boundaries of the area to be served by the

proposed project. Maps or other graphic aids

may be attached.

7. Additional Information (Include if

Applicable)

Additional information may be provided in

the body of the program narrative or in the

appendix. Refer to the program

announcement and ‘‘General Information and

Instructions’’ for guidance on placement of

application materials.

Staff and Position Data—Provide a

biographical sketch for key personnel

appointed and a job description for each

vacant key position. Some programs require

both for all positions. Refer to the program

announcement for guidance on presenting

this information. Generally, a biographical

sketch is required for original staff and new

members as appointed.

Plan for Project Continuance Beyond Grant

Support—A plan for securing resources and

continuing project activities after Federal

assistance has ceased.

Business Plan—When federal grant funds

will be used to make an equity investment,

provide a business plan. Refer to the program

announcement for guidance on presenting

this information.

Organization Profiles—Information on

applicant organizations and their cooperating

partners such as organization charts,

financial statements, audit reports or

statements from CPA/Licensed Public

Accountant, Employer Identification

Numbers, names of bond carriers, contact

persons and telephone numbers, child care

licenses and other documentation of

professional accreditation, information on

compliance with federal/state/local

government standards, documentation of

experience in program area, and other

pertinent information. Any non-profit

organization submitting an application must

submit proof of its non-profit status in its

application at the time of submission. The

non-profit agency can accomplish this by

providing a copy of the applicant’s listing in

the Internal Revenue Service’s (IRS) most

recent list of tax-exempt organizations

described in Section 501(c)(3) of the IRS code

or by providing a copy of the currently valid

IRS tax exemption certificate, or by providing

a copy of the articles of incorporation bearing

the seal of the State in which the corporation

or association is domiciled.

Dissemination Plan—A plan for

distributing reports and other project outputs

to colleagues and the public. Applicants

must provide a description of the kind,

volume and timing of distribution.

Third-Party Agreements—Written

agreements between grantees and subgrantees

or subcontractors or other cooperating

entities. These agreements may detail scope

of work, work schedules, remuneration, and

other terms and conditions that structure or

define the relationship.

Waiver Request—A statement of program

requirements for which waivers will be

needed to permit the proposed project to be

conducted.

Letters of Support—Statements from

community, public and commercial leaders

which support the project proposed for

funding.

B. Noncompeting Continuation Applications

A program narrative usually will not be

required for noncompeting continuation

applications for nonconstruction programs.

Noncompeting continuation applications

shall be abbreviated unless the ACF Program

Office administering this program has issued

a notice to the grantee that a full application

will be required.

An abbreviated application consists of:

1. The Standard Form 424 series (SF 424,

SF 424A, SF–424B).

2. The estimated or actual unobligated

balance remaining from the previous budget

period should be identified on an accurate

SF–269 as well as in Section A, Columns (c)

and (d) of the SF–424A.

3. The grant budget, broken down into the

object class categories on the 424A, and if

category ‘‘other’’ is used, the specific items

supported must be identified.

4. Required certifications.

A full application consists of all elements

required for an abbreviated application plus:

1. Program narrative information

explaining significant changes to the original

program narrative statement, a description of

accomplishments from the prior budget

period, a projection of accomplishments

throughout the entire remaining project

period, and any other supplemental

information that ACF informs the grantee is

necessary.

2. A full budget proposal for the budget

period under consideration with a full cost

analysis of all budget categories.

3. A corrective action plan, if requested by

ACF, to address organizational performance

weaknesses.

C. Supplemental Requests

For supplemental assistance requests,

explain the reason for the request and justify

the need for additional funding. Provide a

budget and budget justification only for those

items for which additional funds are

requested. (See Item D for guidelines on

preparing a budget and budget justification.)

D. Budget and Budget Justification

Provide line item detail and detailed

calculations for each budget object class

identified on the Budget Information form.

Detailed calculations must include

estimation methods, quantities, unit costs,

and other similar quantitative detail

sufficient for the calculation to be duplicated.

The detailed budget must also include a

breakout by the funding sources identified in

Block 15 of the SF–424.

Provide a narrative budget justification

which describes how the categorical costs are

derived. Discuss the necessity,

reasonableness, and allocability of the

proposed costs.

The following guidelines are for preparing

the budget and budget justification. Both

federal and non-federal resources should be

detailed and justified in the budget and

narrative justification. For purposes of

preparing the program narrative, ‘‘federal

resources’’ refers only to the ACF grant for

which you are applying. Non-Federal

resources are all other federal and nonfederal resources. It is suggested that for the

budget, applicants use a column format:

Column 1, object class categories; Column 2,

federal budget amounts; Column 3, nonfederal budget amounts, and Column 4, total

amounts. The budget justification should be

a narrative.

Personnel. Costs of employee salaries and

wages.

Justification: Identify the project director or

principal investigator, if known. For each

staff person, show name/title, time

commitment to the project (in months), time

commitment to the project (as a percentage

or full-time equivalent), annual salary, grant

salary, wage rates, etc. Do not include costs

of consultants or personnel costs of delegate

agencies or of specific project(s) or

businesses to be financed by the applicant.

Fringe Benefits. Costs of employee fringe

benefits unless treated as part of an approved

indirect cost rate.

Justification: Provide a breakdown of

amounts and percentages that comprise

fringe benefit costs, such as health insurance,

FICA, retirement insurance, taxes, etc.

Travel. Costs of project related travel by

employees of the applicant organization

(does not include costs of consultant travel).

Justification: For each trip, show the total

number of traveler(s), travel destination,

duration of trip, per diem, mileage

allowances, if privately owned vehicles will

be used, and other transportation costs and

subsistence allowances. Travel costs for key

staff to attend ACF sponsored workshops as

specified in this program announcement

should be detailed in the budget.

Equipment. Costs of all non-expendable,

tangible personal property to be acquired by

the project where each article has a useful

life of more than one year and an acquisition
Federal Register / Vol. 62, No. 74 / Thursday, April 17, 1997 / Notices 18991

cost which equals the lesser of (a) the

capitalization level established by the

applicant organization for financial statement

purposes, or (b) $5000.

Justification: For each type of equipment

requested, provide a description of the

equipment, cost per unit, number of units,

total cost, and a plan for use on the project,

as well as use or disposal of the equipment

after the project ends.

Supplies. Costs of all tangible personal

property (supplies) other than that included

under the Equipment category.

Justification: Specify general categories of

supplies and their costs. Show computations

and provide other information which

supports the amount requested.

Contractual. Costs of all contracts for

services and goods except for those which

belong under other categories such as

equipment, supplies, construction, etc.

Third-party evaluation contracts (if

applicable) and contracts with secondary

recipient organizations including delegate

agencies and specific project(s) or businesses

to be financed by the applicant should be

included under this category.

Justification: All procurement transactions

shall be conducted in a manner to provide,

to the maximum extent practical, open and

free competition. If procurement

competitions were held or if a sole source

procurement is being proposed, attach a list

of proposed contractors, indicating the names

of the organizations, the purposes of the

contracts, the estimated dollar amounts, and

the award selection process. Also provide

back-up documentation where necessary to

support selection process.

Note: Whenever the applicant/grantee

intends to delegate part of the program to

another agency, the applicant/grantee must

provide a detailed budget and budget

narrative for each delegate agency by agency

title, along with the required supporting

information referenced in these instructions.

Applicants must identify and justify any

anticipated procurement that is expected to

exceed the simplified purchase threshold

(currently set at $100,000) and to be awarded

without competition. Recipients are required

to make available to ACF pre-award review

and procurement documents, such as request

for proposals or invitations for bids,

independent cost estimates, etc. under the

conditions identified at 45 CFR part 74.44(e).

Construction. Costs of construction by

applicant or contractor.

Justification: Provide detailed budget and

narrative in accordance with instructions for

other object class categories. Identify which

construction activity/costs will be

contractual and which will be assumed by

the applicant.

Other. Enter the total of all other costs.

Such costs, where applicable and

appropriate, may include but are not limited

to insurance, food, medical and dental costs

(noncontractual), fees and travel paid directly

to individual consultants, space and

equipment rentals, printing and publication,

computer use, training costs, including

tuition and stipends, training service costs

including wage payments to individuals and

supportive service payments, and staff

development costs.

Indirect Charges. Total amount of indirect

costs. This category should be used only

when the applicant currently has an indirect

cost rate approved by the Department of

Health and Human Services or another

cognizant Federal agency.

Justification: With the exception of most

local government agencies, an applicant

which will charge indirect costs to the grant

must enclose a copy of the current rate

agreement if the agreement was negotiated

with a cognizant Federal agency other than

the Department of Health and Human

Services (DHHS). If the rate agreement was

negotiated with the Department of Health

and Human Services, the applicant should

state this in the budget justification. If the

applicant organization is in the process of

initially developing or renegotiating a rate, it

should immediately upon notification that an

award will be made, develop a tentative

indirect cost rate proposal based on its most

recently completed fiscal year in accordance

with the principles set forth in the pertinent

DHHS Guide for Establishing Indirect Cost

Rates, and submit it to the appropriate DHHS

Regional Office. Applicants awaiting

approval of their indirect cost proposals may

also request indirect costs. It should be noted

that when an indirect cost rate is requested,

those costs included in the indirect cost pool

should not be also charged as direct costs to

the grant. Also, if the applicant is requesting

a rate which is less than what is allowed

under this program announcement, the

authorized representative of your

organization needs to submit a signed

acknowledgement that the applicant is

accepting a lower rate than allowed.

Program Income. The estimated amount of

income, if any, expected to be generated from

this project. Separately show expected

program income generated from program

support and income generated from other

mobilized funds. Do not add or subtract this

amount from the budget total. Show the

nature and source of income in the program

narrative statement.

Justification: Describe the nature, source

and anticipated use of program income in the

budget or reference pages in the program

narrative statement which contain this

information.

Non-Federal Resources. Amounts of nonFederal resources that will be used to support

the project as identified in Block 15 of the

SF–424.

Justification: The firm commitment of

these resources must be documented and

submitted with the application in order to be

given credit in the review process.

Total Direct Charges, Total Indirect

Charges, Total Project Costs. (Self

explanatory).

Certification Regarding Environmental

Tobacco Smoke

Public Law 103–227, Part C—

Environmental Tobacco Smoke, also known

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

requires that smoking not be permitted in any

portion of any indoor routinely owned or

leased or contracted for by an entity and used

routinely or regularly for provision of health,

day care, education, or library services to

children under the age of 18, if the services

are funded by Federal programs either

directly or through State or local

governments, by Federal grant, contract, loan,

or loan guarantee. The law does not apply to

children’s services provided in private

residences, facilities funded solely by

Medicare or Medicaid funds, and portions of

facilities used for inpatient drug or alcohol

treatment. Failure to comply with the

provisions of the law may result in the

imposition of a civil monetary penalty of up

to $1000 per day/or the imposition of an

administrative compliance order on the

responsible entity:

By signing and submitting this application

the applicant/grantee certifies that it will

comply with the requirements of the Act. The

applicant/grantee further agrees that it will

require the language of this certification be

included in any subawards which contain

provisions for the children’s services and that

all subgrantees shall certify accordingly.

Certification Regarding Maintenance of

Effort

In accordance with the applicable program

statute(s) and regulation(s), the undersigned

certifies that financial assistance provided by

the Administration for Children and

Families, for the specified activities to be

performed under the

lllllllllllllllllllll

Program by

lllllllllllllllllllll

(Applicant Organization)

will be in addition to, and not in substitution

for, comparable activities previously carried

on without Federal assistance.

lllllllllllllllllllll

Signature of Authorized Certifying Official

lllllllllllllllllllll

Title

lllllllllllllllllllll

Date

Appendix B—OMB State Single Point of

Contact Listing

Arizona

Joni Saad, Arizona State Clearinghouse, 3800

N. Central Avenue, Fourteenth Floor,

Phoenix, Arizona 85012, Telephone (602)

280–1315, FAX: (602) 280–8144

Arkansas

Mr. Tracy L. Copeland, Manager, State

Clearinghouse, Office of Intergovernmental

Services, Department of Finance and

Administration, 1515 W. 7th St., Room

412, Little Rock, Arkansas 72203,

Telephone: (501) 682–1074, FAX: (501)

682–5206

California

Grants Coordinator, Office of Planning and

Research, 1400 Tenth Street, Room 121,

Sacramento, California 95814, Telephone

(916) 323–7480, FAX (916) 323–3018

Delaware

Francine Booth, State Single Point of Contact

Executive Department, Thomas Collins

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

19903, Telephone: (302) 739–3226, FAX:

(302) 739–5661
18992 Federal Register / Vol. 62, No. 74 / Thursday, April 17, 1997 / Notices

District of Columbia

Charles Nichols, State Single Point of

Contact, Office of Grants Mgmt. and Dev.,

717 14th Street, N.W.—Suite 500,

Washington, D.C. 20005, Telephone: (202)

727–6554, FAX: (202) 727–1617

Florida

Florida State Clearinghouse, Department of

Community Affairs, 2740 Centerview

Drive, Tallahassee, Florida 32399–2100,

Telephone: (904) 922–5438, FAX: (904)

487–2899

Georgia

Tom L. Reid, III, Administrator, Georgia State

Clearinghouse, 254 Washington Street

S.W.—Room 401J, Atlanta, Georgia 30334,

Telephone: (404) 656–3855 or (404) 656–

3829, FAX: (404) 656–7938

Illinois

Virginia Bova, State Single Point of Contact,

Department of Commerce and Community

Affairs, James R. Thompson Center, 100

West Randolph, Suite 3–400, Chicago,

Illinois 60601, Telephone: (312) 814–6028,

FAX: (312) 814–1800

Indiana

Amy Brewer, State Budget Agency, 212 State

House, Indianapolis, Indiana 46204,

Telephone: (317) 232–5619, FAX: (317)

233–3323

Iowa

Steven R. McCann, Division for Community

Assistance, Iowa Department of Economic

Development, 200 East Grand Avenue, Des

Moines, Iowa 50309, Telephone: (515)

242–4719, FAX: (515) 242–4859

Kentucky

Ronald W. Cook, Office of the Governor,

Department of Local Government, 1024

Capitol Center Drive, Frankfort, Kentucky

40601–8204, Telephone: (502) 573–2382,

FAX: (502) 573–2512

Maine

Joyce Benson, State Planning Office, State

House Station #38, Augusta, Maine 04333,

Telephone: (207) 287–3261, FAX: (207)

287–6489

Maryland

William G. Carroll, Manager, State

Clearinghouse for Intergovernmental

Assistance, Maryland Office of Planning,

301 W. Preston Street—Room 1104,

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

Relations, Wisconsin Department of

Administration, 101 East Wilson Street—

6th Floor, P.O. Box 7868, Madison,

Wisconsin 53707, Telephone: (608) 266–

2125, FAX: (608) 267–6931

Wyoming

Sheryl Jeffries, State Single Point of Contact,

Office of the Governor, State Capital, Room

124, Cheyenne, Wyoming 82002,

Telephone: (307) 777–5930, FAX: (307)

632–3909

Territories

Guam

Mr. Giovanni T. Sgambelluri, Director,

Bureau of Budget and Management

Research, Office of the Governor, P.O. Box

2950, Agana, Guam 96910, Telephone:

011–671–472–2285, FAX: 011–671–472–

2825

Puerto Rico

Norma Burgos/Jose E. Caro, Chairwoman/

Director, Puerto Rico Planning Board,

Federal Proposals Review Office, Minillas

Government Center, P.O. Box 41119, San

Juan, Puerto Rico 00940–1119, Telephone:

(809) 727–4444 or (809) 723–6190, FAX:

(809) 724–3270 or (809) 724–3103

North Mariana Islands

Mr. Alvaro A. Santos, Executive Officer, State

Single Point of Contact, Office of

Management and Budget, Office of the

Governor, Saipan, MP, Telephone: (670)

664–2256, FAX: (670) 664–2272

Contact Person: Ms. Jacoba T. Seman, Federal

Programs Coordinator, Telephone: (670)

644–2289, FAX: (670) 644–2272

Virgin Islands

Jose George, Director, Office of Management

and Budget, #41 Norregade Emancipation

Garden Station, Second Floor, Saint

Thomas, Virgin Islands 00802

Please direct all questions and

correspondence about intergovernmental

review to:

Linda Clarke, Telephone: (809) 774–0750,

FAX: (809) 776–0069

Appendix C—The Statement of the Advisory

Committee on Services for Families With

Infants and Toddlers

Table of Contents

Overview
Federal Register / Vol. 62, No. 74 / Thursday, April 17, 1997 / Notices 18993

Background, Vision, and Goals

Research Rationale

Program Principles

Program Cornerstones

Federal Commitment

Conclusion

References

Biographies of Advisory Committee Members

Overview

All children from birth to age three need

early child development experiences that

honor their unique characteristics and

provide love, warmth, and positive learning

experiences; and all families need

encouragement and support from their

community so they can achieve their own

goals and provide a safe and nurturing

environment for their very young children.

This recognition is guiding the design of the

new Early Head Start program.

Early Head Start marks a turning point in

America’s commitment to our youngest

children and their families. By focusing on

child development, family development,

community building, and staff development,

a new era of support to very young children

and their families is born, building on the

experiences and lessons learned from

existing Head Start programs.

Early Head Start puts resources into a

constellation of high quality supports and

services that will promote healthy child and

family development, and backs them with a

Federal commitment to training, standards

and monitoring for high quality, research and

evaluation, and services coordination at the

national level. It enables families and

communities to design flexible and

responsive programs but requires that, at a

minimum, programs provide child

development, family support, health services

for young children and pregnant women, and

home visits to families with newborns. This

would include child care services that

respond to the needs of families. When

services are provided through referral, it

requires that the Early Head Start program

assures the services to which families are

referred are of highest quality, available and

accessible, and that needed follow-up occurs.

And although service delivery mechanisms

may vary, a common characteristic will be

that each Early Head Start program will

establish a place which is recognized as a

source of support for very young children,

families, and caregiving staff. Programs will

be encouraged to give this Early Head Start

place visibility and identity.

With this design, the Early Head Start

program will be suited to last well into the

next century, always reshaping itself to

provide high quality, responsive, and

respectful services to America’s youngest

children and their families.

Background, Vision, and Goals

The reauthorization of the Head Start Act

in 1994 made it possible to formally open a

new chapter of Federal support for families

with infants and toddlers by establishing a

special initiative within the context of the

Head Start program. Beginning in Fiscal Year

1995, the Secretary of Health and Human

Services will award grants to Early Head

Start programs which will provide early,

continuous, intensive, and comprehensive

child development and family support

services to low-income families with

children under age three. This initiative will

bring together under one umbrella Head

Start’s existing programs for families with

infants and toddlers, the Comprehensive

Child Development Program and the Parent

and Child Centers; strengthen the Migrant

Head Start Program; and add new resources

to model high quality child development and

family development services for very young

children and their families.

To help with the design of the new

initiative, the Secretary formed the Advisory

Committee on Services for Families with

Infants and Toddlers. The Committee was

charged with advising the Secretary and

Assistant Secretary for Children and Families

on the development of program approaches

for the initiative that would address the

parenting and child development need of

low-income parents and their infants and

toddlers. We were to pay particular attention

to the key principles and array of models of

effective culturally and developmentally

appropriate service delivery. To fulfill this

commitment, we met three times during the

summer of 1994 to engage in discussions

about our vision for a national approach to

high quality, responsive services for very

young children and their families. We

outlined the Federal role for carrying forth

this vision, ensuring such programs can

flourish.

We are excited about the fruits of these

deliberative efforts and confident that the

resulting initiative will advance Head Start

leadership in realizing a national vision of

communities where:

• Children, from birth, receive support

through their family and their community to

achieve optimal growth and development

and build a foundation of security, selfconfidence and character strength which will

in turn enable them to build successful social

relationships for learning and continued

development through later childhood and

adulthood;

• Families receive support to meet their

personal goals, and resources and guidance

to prepare for their child’s birth and provide

a warm, caring, responsive environment for

their very young child;

• Communities embrace and support all

families, celebrating the birth of their

children and creating an environment where

support and resources are mobilized to

ensure a comprehensive, integrated array of

services are available and accessible for all

very young children and their families; and

• Staff receive the professional education

and personal support they need to provide

high quality environments and experiences

and engage in responsive relationships that

promote the healthy development of infants,

toddlers, and their families.

In keeping with this vision, the goals set

forth by the Advisory Committee for Early

Head Start will be:

• To provide safe and developmentally

enriching caregiving and environments

which promote the physical, cognitive, social

and emotional growth of infants and toddlers

and prepare them for future growth and

development;

• To support parents, both mothers and

fathers, in their role as primary caregivers

and educators of their children, and families

in meeting personal goals and achieving selfsufficiency across a wide variety of domains;

• To mobilize communities to provide the

resources and environment necessary to

ensure a comprehensive, integrated array of

services and support for families, and to

foster the systems change necessary to

summon forth the guiding vision of this

initiative; and

• To ensure the provision of high quality

responsive services to families with infants

and toddlers through the development of

highly-trained, caring and adequately

compensated program staff.

The Advisory Committee recognizes that

the vision and goals outlined above have also

been shaped by the lessons learned from the

Comprehensive Child Development Program,

Parent and Child Centers, Migrant Head Start

Programs, locally designed Head Start

programs, and other early child development

and family support efforts serving families

with very young children. As part of the

overall consultation for the development of

this initiative, Federal staff conducted over

30 focus groups with parents, practitioners,

researchers, advocates, and representatives of

professional organizations. Focus groups

were designed to address topical areas such

as child care, family services, health care,

support and services for children with

disabilities and their families, community

mobilization, parent involvement and parent

advocacy. In addition, Federal staff met with

or received materials and recommendations

from a number of other experts and

practitioners in the field. The suggestions,

guidance, and information received through

this process have been invaluable to both the

Advisory Committee and the Administration

on Children, Youth and Families.

Research Rationale

Findings from more than three decades of

research in child and family development

support the vision and goals set forth for

support to families with infants and toddlers.

We know that the time from conception to

age three is a critical period of human

development, as change occurs more rapidly

than in any other period of the life span.

Growth in these early years establishes the

basic foundation for future development. For

infants and toddlers to develop optimally,

they must have health beginnings and the

continuity of responsive and caring

relationships. Together, these supports help

promote optimal cognitive, social, emotional,

physical, and language development. When

these supports are missing, the immediate

and future development of the child may be

comprised. Fortunately, recent research

identifies characteristics of effective

programs that enhance both child and family

development. This growing body of

knowledge provides a solid base upon which

the Early Head Start program can be founded.

Maternal and Infant Health

Maternal and infant health are essential for

ensuring normal pre- and post-natal

development of very young children. Late or

inadequate prenatal care, malnutrition, stress
18994 Federal Register / Vol. 62, No. 74 / Thursday, April 17, 1997 / Notices

and exposure to harmful substances are

associated with shortened gestation, reduced

birthweight, birth defects and

underdeveloped brain growth (Osofsky, 1975;

U.S. Department of Health and Human

Services, 1989; Carnegie Corporation, 1994).

These, in turn, have been associated with

higher probabilities for infant mortality,

illness, disabilities, child abuse, difficulty in

relationships (Glasgow and Overall, 1979)

and subsequent learning disorders (Drillien,

Thomson and Bargoyne, 1980). During the

early years of life, proper nutrition, routine

well-child health care, timely

immunizations, safe environments and

health-promoting behaviors are necessary to

support physical growth and development.

Given the paramount importance of health

for very young children, a major focus of the

Early Head Start program must be to ensure

women receive the health services needed to

promote a healthy pregnancy and birth, and

very young children receive early and

ongoing well-baby care, immunizations, and

other essential health services to support

their development.

Child-Caregiver Relationships

The child-caregiver relationships with the

mother, father, grandparent and other

caregivers are critical for providing infants

and toddlers support, engagement, continuity

and emotional nourishment necessary for

healthy development, and the development

of healthy attachments (Ainsworth, Blehar,

Waters and Wall, 1978). Within the context

of caregiving relationships, the infant builds

a sense of what is expected, what feels right

in the world, as well as skills and incentives

for social turn-taking, reciprocity and

cooperation (Emde, Biringen, Clyman and

Oppenheim, 1991; Isabella and Belsky, 1991).

The infant’s activities are nourished and

channeled in appropriate ways so as to

encourage a sense of initiative and selfdirectedness. During the toddler period, the

child, through repeated interactions with

emotionally-available caregivers, also begins

to learn basic skills of self-control, emotional

regulation and negotiation (Kochanska, 1991;

Kopp, 1989; Suess, Grossman and Sroufe,

1992). Empathy for others and prosocial

tendencies for caring and helping also

develop during toddlerhood as well as the

emotions of pride and shame; experiencing

and learning about these capacities require

responsive caregiving relationships in the

midst of life’s inevitable stresses and

challenges (Zahn-Waxler and Radke-Yarrow,

1990).

A sense of pleasure, interest in exploration,

early imaginative capacities, and the sharing

of positive emotions also begin in infancy—

all of which require repeated and consistent

caregiver relationship experiences and form

a basis for social competence that carries

through toddlerhood and the preschool

period (Emde, 1989; Dix, 1991). The

opportunities for play for both infant and

caregiver, as well as the skills that develop

from play, are often under-appreciated

aspects of healthy development (Bruner,

1986; Elicker, Englund and Sroufe, 1992).

Finally, the importance of promoting a

network of healthy caregiving relationships

for the very young child cannot be overstated

(Crockenberg, 1981; Egeland, Jacobvitz and

Sroufe, 1988; Sameroff and Emde, 1989;

Tronick, Winn and Morelli, 1985). The

network of caring relationships provides an

ever-expanding circle of support for both

child and family. Factors that undermine

optimal child-caregiver relationships include

isolation, lack of support and maternal

depression (Crnic, Greenberg, Robinson and

Ragozin, 1984), the latter reported to be a

high as 56% in some samples of low-income

new mothers (Hall, Gurley, Sachs and

Kryscio, 1991). In child care settings, high

staff turnover, low staff wages, low quality

programming and lack of adequate staff

training for substitute caregivers negatively

affects the quality of child-caregiver

relationships (Zigler and Lang, 1991;

Whitebook, Howes and Phillips, 1989). This

in turn further compromises the nature and

quality of the child’s overall development.

Thus, it follows that a major focus for Early

Head State services should be the

development of healthy and skillful

relationship building between very young

children and their parents and caregivers that

encourages interactions and promotes

attention and activity in infants. Hence,

opportunities for sustained relationshipbuilding over extended periods of times will

be an explicit goal throughout the program.

Characteristics of Successful Programs

Serving Families With Infants and Toddlers

The goal of many early child development

programs is to enable the child, with the

support of the parents as primary caregivers

and other caregivers, to establish a

developmental path that will prepare him or

her for long-term success. Hundreds of

programs with a variety of specific emphases

have sought to achieve this goal. From these

many interventions, a picture of the critical

ingredients for successful programs has

emerged. In short, we know effective

programs often are characterized by: early

prenatal services to the expectant woman

(Olds, Henderson, Tatelbaum and

Chamberlin, 1986); a two-generational focus

(Zuckerman and Braxelton, 1994;

Administration on Children, Youth and

Families, 1994; Ramey and Campbell, 1984;

Brooks-Gunn, Klebanov, Liaw, Spiker, 1993);

family-centered services that address selfsufficiency through the provision of social

services and parent education (Booth,

Barnard, Mitchell and Speiker, 1987; Olds,

Henderson, Tatebaum and Chamberlin, 1986;

Olds, Henderson, Tatebaum and Chamberlin,

1988); quality child development services

that are coupled with family services (Lally,

Mangione and Honig, 1987; Brooks-Gunn,

Klebanov, Liaw and Spiker, 1993); continuity

of service delivery for the child and family

that ensures the availability of support over

a number of years with smooth transitions to

other service delivery systems (Campbell and

Ramey, 1994); continutity of caregivers

(Howes and Hamilton, 1992); intensity of

service delivery in terms of availability,

accessibility, and usage of services (Booth,

Barnard, Mitchell and Spieker, 1987; Ramey,

Bryant, Wasik, Sparling, Fendt and LaVange,

1992); and consolidation or integration of

service delivery systems. Further, research

tells us that communities have been found to

become more responsive to the needs of lowincome families as a result of program

activities (Kirschner, 1970).

Clearly, research over the past three

decades has shown that when programs focus

on both child development and family

development through early, high quality,

comprehensive, continuous, intensive

services, opportunities of optimal child and

family development can be realized, even for

the most vulnerable families and very young

children. The challenge for the

Administration on Children, Youth and

Families and the programs which will

receive funds through this initiative is to

translate these research findings into the

design and operation of high quality

programs so all families with young children

served by Early Head Start will be able to

grow and prosper. The following principles

and cornerstones establish the framework for

this to occur.

Program Principles

In recognition that each child is an

individual who is supported by a family and

that families are supported by neighborhoods

and communities, the Advisory Committee

recommends that programs funded under the

new initiative be encouraged to develop a

range of strategies for supporting the growth

of the very young child within the family and

the growth of the family within the

community. Thus, each Early Head Start

program should be family-centered and

community-based. We recommend that the

following principles serve as the conceptual

foundation for Early Head Start:

• High Quality: Commitment to excellence

will enable the new programs to be models

for services to families with infants and

toddlers from all socioeconomic strata of

society. High quality will be assured in the

direct services provided, and in the services

provided through referral. To this end, each

program will acknowledge and utilize the

bodies of knowledge, skills and professional

ethics surrounding the fields of child

development, family development and

community building. In particular, programs

will recognize that the conception-to-three

age period is unique in both the rate of

development and in the way young

children’s physical and mental growth

reflects and absorbs experiences with

caregivers and the surroundings. Thus, high

quality caregiving practices will spring from

the healthy awareness that the unique nature

of infant and toddler development not only

carries with it major opportunities for

intervention, but also leaves children

especially vulnerable to negative inputs. The

Federal government will share in the

commitment to high quality by providing

thorough and ongoing monitoring to assure

program adherence to performance

standards; technical assistance that addresses

each program’s individual needs and

amplifies innovation and development across

all programs; evaluation which measures

program success against meaningful

outcomes for young children and families;

and research which contributes to the state

of the art on child development, family

development and community building.

• Prevention and Promotion: Recognizing

that windows of opportunity open and close
Federal Register / Vol. 62, No. 74 / Thursday, April 17, 1997 / Notices 18995

quickly for families and young children,

programs will seek and pursue opportunities

to play a positive role in promoting the

physical, social, emotional, cognitive and

language development of young children and

families before conception, prenatally, upon

birth, and during the early years. By

supporting the promotion of their health and

well-being, program staff will be able to

prevent and detect problems at their earliest

stages, rallying the services needed to help

the child and family anticipate and overcome

problems before they interfere with healthy

development. While early and proactive

promotion of healthy development and

healthy behaviors will be emphasized,

programs will also need to be able to

understand and respond to family crises that

may occur while the family is enrolled in the

program.

• Positive Relationships and Continuity:

The success of each program will rest on its

ability to support and enhance strong, caring,

continuous relationships which nurture the

child, parents, family, and caregiving staff.

Programs will support the mother-child,

father-child bond by recognizing each parent

as his or her child’s first and primary source

of love, nurturance and guidance. Caregiving

will be provided to families who need it in

ways that support infant and toddler

attachment to a limited number of skilled

and caring individuals, thus maintaining

relationships with caregivers over time and

avoiding the trauma of loss experienced with

frequent turnover of key people in the child’s

life. These relationships will aim to

respectfully enhance child interest, curiosity,

play and imagination, which, in turn, will

develop a shared sense of trust, confidence

and esteem for both caregiver and child. In

addition, programs will model strong,

mutually respectful relationships between

staff and families, among staff, and with

other community organizations and service

providers. To do so, programs will be

receptive to individual strengths,

perspectives and contributions; affirm the

value of the child and family’s home culture;

and support an environment where very

young children, parents and staff can teach

and learn from each other.

• Parent Involvement: As in all Head Start

efforts, a hallmark of the new initiative will

be the creation and sustenance of an

environment that supports the highest level

of partnership with parents, both mothers

and fathers. As such programs, will support

parents as primary nurturers, educators, and

advocates for their children; assure that each

parent has an opportunity for an experience

that supports his or her own growth and

goals, including that of parenting; and

provide a policy- and decision-making role

for parents. Furthermore, opportunities for

parent involvement will encourage

independence and self-sufficiency for

parents. Special efforts will be made to

welcome and support fathers as parenting

partners.

• Inclusion: Programs will seek to build

communities that respect each child and

adult as an individual while at the same time

reinforcing a sense of belonging to the group.

Programs will support participation in

community life by young children with

disabilities and their families; families of

very young children with significant

disabilities will be fully included in all

program services.

• Culture: Children and their families will

come to the new programs rooted in a culture

which gives them meaning and direction.

Programs will demonstrate an understanding

of, respect for, and responsiveness to the

home culture and home language of every

child, thus affirming the values of each

family’s culture and providing the context for

healthy identity development in the early

years of life. Program staff will become aware

of their own core beliefs and values and be

attuned to the role culture and language play

in child development, family development

and the surrounding community values and

attitudes. Programs will pursue opportunities

to support home culture and language, while

also recognizing the significance of a

common culture shared by all. In building a

more harmonious and peaceful community

for children to grow in and for families to

share, programs will encourage and provide

opportunities for families and community

members to engage in dialogue about culture,

language, cultural diversity and

multiculturalism.

• Comprehensiveness, Flexibility,

Responsiveness, and Intensity: Programs will

honor and build upon the unique strengths

and abilities of the children, families and

communities they serve and continually

adapt to meet emerging needs.

Developmental opportunities provided to

each infant and toddler will address the

whole child and be continually adapted to

keep pace with his or her developmental

growth. And just as programs need to be

responsive and attentive to the special needs

of very young children with disabilities, they

also need to be responsive to parents with

disabilities. Family development planning

and service provision will be grounded in the

belief that families, including those whose

problems seem overwhelming, can identify

their own goals, strengths and needs, and are

capable of growth and change. Once these are

identified, program resources of varied

intensity will be marshaled to support the

whole family in an individualized and

responsive manner. Barriers which prevent

families from accessing needed supports will

be overcome through the location,

coordination, and assurance by program staff

that services are provided and received.

Attention will also be given to ensure

programs meet the needs and schedules of

working parents. Ultimately, each parent’s

sense of empowerment and ability to identify

and address his or her family’s needs will be

fostered by responsive and caring

relationships with program staff.

• Transition: Programs will be responsible

for ensuring the smooth transition of children

and their families into Head Start or other

preschool programs which are of high quality

and provide consistent and responsive

caregiving. The Federal government must

support both Early Head Start and Head Start

programs in carrying out this responsibility.

Transition is important for ensuring

continued accessibility to enriching early

child development experiences and for

providing ongoing family support services

that promote healthy family development. To

facilitate this transition, parents and

caregivers should jointly develop a family

and child transition plan, identifying services

which will continue and new services and

programs which will be accessed. Caregivers

from both Early Head Start and the new

service programs will share responsibility for

coordinating and implementing the plan.

• Collaboration: Recognizing that no one

program will be able to meet all of a child’s

and family’s needs, programs will initiate or

become embedded in an integrated

community system of service providers and

strength building organizations such as

churches and other religious institutions,

schools and civic groups. These efforts will

foster a caring, comprehensive and integrated

community-wide response to families with

young children, thus maximizing scarce

financial resources and avoiding duplication

of agency effort. Likewise, the Federal

government will promote systems change

and the efficient use of resources through the

active pursuit of local, State and Federal

partnerships which enhance the capacity of

local programs to collaborate and combine

financial resources.

Program Cornerstones

The principles outlined above establish the

foundation for Early Head Start, a program

that meets child development, family

development, and health related goals while

striving to provide high quality,

comprehensive, and individualized support

and services. In order to accomplish this, the

Advisory Committee recommends that the

Secretary of Health and Human Services

adopt these key elements as the four

cornerstones for Early Head Start: child

development, family development,

community building, and staff development.

Child Development

Programs will seek to enhance and advance

each child’s development by providing

individualized support that honors the

unique characteristics and pace of infant/

toddler physical, social, emotional, cognitive

and language development, including early

education and health care. Critical to this

development is the promotion of positive

parent-child interactions and the

enhancement of each parent’s knowledge

about the development of their child within

healthy, safe environments. An early step for

providing this support to parents will be the

provision of home visits to families with

newborns to offer early encouragement and

support and build bridges for families to

other resources in the community. Also

critical to the child’s development is access

to and delivery of comprehensive health and

mental health services for children, including

regular child health care; screening for health

problems such as hearing, anemia, lead

poisoning, metabolic problems;

immunizations; nutritional assessment;

developmental surveillance and anticipatory

guidance. All children deserve a medical

home that provides these and other

prevention and treatment services. To help

facilitate this, Early Head Start programs will

collaborate with a variety of organizations

and disciplines to ensure health supervision

for children and their families.
18996 Federal Register / Vol. 62, No. 74 / Thursday, April 17, 1997 / Notices

It is particularly important that Early Head

Start ensure coordination and continuity of

services for infants and toddlers with or at

risk of a disability, who are eligible for

services through Early Head Start and Part H

of the Individuals with Disabilities Education

Act. These two service systems should be

coordinated and integrated so that families

and their children experience a seamless

system of services, as identified in their

family development plan or individualized

service plan.

As programs provide child development

services, they must ensure that infants and

toddlers who need child care receive high

quality part- and full-day services. Such

child care can be provided directly or in

collaboration with other community

providers as long as the Early Head Start

program assumes responsibility for ensuring

that all settings meet the Early Head Start

performance standards.

In general, the setting where these services

are delivered is left to local option and the

preferences of families as identified through

their individual family development plan.

Settings can represent a range of options

including home visiting; family support

centers; family child care homes; child care

centers; centers where families are engaged

in education, training, or employment;

community health centers; and others.

Family Development

Programs must recognize that the key to

optimal child development and family

development is the empowerment of parents

in goal setting for themselves and their

children. Therefore, families and staff will

collaboratively design and update

individualized family development plans

which ensure that service delivery strategies

are rooted in the foundation principles and

are responsive to the goals and ideals of the

families. When families are served by

additional programs which also require an

individualized family service plan, such as

Part H of the Individuals with Disabilities

Education Act and family employability

plans, then a single coordinated plan should

be developed so families experience a

seamless system of services. Based on the

plan, programs will ensure the provision of

a full range of family services which consider

the different support and educational

opportunities needed by new parents,

pregnant women and expectant fathers, and

potential parents, as well as by siblings and

extended family members who influence the

development of the family and very young

child.

It is particularly important that parental

health is linked to children’s health and

development. As such, health services for

parents need to be included as part of a twogenerational model of health care. Health

services must be accessible for parents with

a special emphasis on women’s health that

occurs prior to, during, and after pregnancy.

Services which programs must provide

directly or through referral, and which local

Early Head Start programs must actively

ensure are of high quality and appropriately

followed up include: child development

information; health services, including

services for women prior to, during, and after

pregnancy; mental health services; services to

improve health behavior such as smoking

cessation and substance abuse treatment;

services to adults to support self-sufficiency,

including adult education and basic literacy

skills, job training, assistance in obtaining

income support, food, and decent, safe

housing, and emergency cash or in-kind

assistance; and transportation to program

services. Programs must provide directly

opportunities for parent involvement in the

program so that parents can be involved as

decisionmakers, volunteers, and/or

employees. Additional services not listed

above, but identified by families through

community needs assessments and

mappings, may be provided either directly or

through referral at local option.

Community Building

The commitment of programs to high

quality care for very young children and their

families services as a catalyst for creating a

community environment that shares

responsibility for the healthy development of

its children. A program approach that

exemplifies openness and caring is the start

of community building. Programs should

function in communities in a way that

mirrors the principles that are the foundation

of the program itself: parents become a vital

resources for each other and the community

at large; staff nurture networks of support;

and programs develop relationships of trust

with other community institutions,

businesses, and with community leaders. By

becoming a key actor in the life of the

community, programs can serve to mobilize

community resources and energies on behalf

of children and families.

Essential to community building is

ensuring a comprehensive network of

services and supports for very young

children and their families which are

culturally responsive. Programs will be

expected to establish collaborative

relationships with other community

providers and strength-building

organizations such as churches and other

religious institutions, schools and civic

groups. The goal of these relationships will

be three-fold: increased access to high quality

serves for program families; assurance that

the program’s approach to serving families

with infants and toddlers fits into the

existing constellation of services in the

community so that there is a coherent,

integrated approach to supporting families

with very young children; and systems

change which will spark community caring

and responsive service delivery for all the

families with young children who live there.

Thus, all programs will be required to

conduct an in-depth assessment of existing

community resources and needs and engage

in an ongoing collaborative planning process

with a range of stakeholders, including

parents and residents of the community.

Staff Development

Programs are only as good as the

individuals who staff them. This is

particularly true of programs which serve

young children, since the potential to do

harm during the vulnerable years of infancy

and toddlerhood is so great. Thus, staff

development has been included as a key

element in order to underscore its centrality

to the success of the initiative.

Programs will be required to select staff

who, together, cover the spectrum of skills,

knowledge and professional competencies

necessary to provide high quality,

comprehensive, culturally appropriate, and

family-centered services to young children

and families. Equally critical will be each

program’s ability to recognize individuals

capable of entering into one-to-one caregiving

relationships with infants and toddlers

which support the positive formation of their

identities. Likewise, programs will need to

identify the capacity of potential staff

members to develop caring, respectful and

empowering relationships with families and

other coworkers. Such individuals will

demonstrate characteristics such as high selfesteem, personal strength, and the capacity

for being emotionally available. The program

directors who make these selections will,

themselves, need to possess these

characteristics in addition to being highly

skilled administraters who exemplify

leadership qualities such as integrity,

warmth, intuition and holistic thinking.

Ongoing staff training, supervision and

mentoring of both line staff and supervisors

will be an integral part of staff development.

Such training, supervision, and mentoring

will reflect an interdisciplinary approach and

emphasis on relationship building. Staff

training programs will ensure that staff are

‘‘cross-trained’’ in the areas of child

development, family development and

community building. Particular emphasis

will be placed on building skills in the areas

of home visiting; caregiving relationships;

effective communication with parents; family

literacy; healthy/safe environments and

caregiving practices; early identification of

unhealthy behaviors or health problems;

service coordination; and the provision of

services and support to diverse populations,

including families and children with

disabilities and developmental delays. In

addition, training efforts and supervision will

be designed to develop each staff person’s

capacity to function as a member of a wellintegrated, diverse and mutually supportive

team comprised of families and other staff.

To this end, training and supervision will

support opportunities for practice, feedback

and reflection. Another strategy for training

is the development of multi-disciplinary

teams of caregivers who can engage in team

teaching, sharing concerns and problems,

exploring different approaches, and learning

practical skills for working with participants

of the program and service providers from

other relevant delivery systems. As such,

training will model and reinforce the

foundation principles of this initiative.

And finally, staff selection, training and

supervision will be grounded in the

knowledge that high quality performance and

development occurs when they are linked to

rewards such as salary, compensation, and

career advancement; provided in

environments that spark curiosity,

excitement and openness to new ideas; and

grounded in best practices revealed by

ongoing research, evaluation and monitoring.
Federal Register / Vol. 62, No. 74 / Thursday, April 17, 1997 / Notices 18997

Federal Commitment

Both individual programs and the Federal

government must work hand in hand to

realize the vision, principles, and program

concept outlined above for the Early Head

Start program. The Advisory Committee

believes that a Federal commitment to

training, monitoring, research and

evaluation, and partnership building which

respects and supports local program

responsibility, initiative, and flexibility is

paramount for the programs’ success. In

addition, Federal commitment is also needed

to support and learn from existing Federal

programs serving families with infants and

toddlers so that they will have the

opportunity to achieve excellence and meet

the standards that will be set forth for this

initiative. With this commitment, we feel the

initiative for families with infants and

toddlers will be able to serve as a national

laboratory both testing and exemplifying

quality child development and family

development programs.

Training

Clearly the quality of programs is

contingent upon the ongoing support and

development of program staff who are trained

in the various disciplines which support the

principles of family-centered services. As

described earlier, program staff need to be

able to facilitate both the development of

very young children and the development of

families. But in too many communities, staff

who can play this dual role are few or

nonexistent.

The Advisory Committee urges the

Secretary to engage in public-private

partnerships aimed at establishing a cadre of

highly trained practitioners and trainers who

will be able to support the development of

very young children and their families. Such

an effort should extend beyond the scope of

the new initiative for families with infants

and toddlers, so that children cared for in a

variety of settings will benefit from this

commitment to enhancing the quality and

quantity of caregivers. An example of such a

partnership would be a commitment on the

part of the Federal government to work with

institutions of higher learning to ensure

multi-disciplinary pre-service education and

field work experience is available for

students who wish to work in family-focused

programs serving very young children and

their families. Another example would be

partnering with the foundation or

philanthropic community to develop

scholarship programs for low-income

students desiring but unable to enter the

field. A further example is coordinating with

organizations of professional trainers to

ensure they have the skills, resources and

supports needed to work with programs

providing early, continuous, intensive and

comprehensive services and support to very

young children and their families.

When designing the specific training and

technical assistance plan for Early Head

Start, the Federal government must focus on

the whole spectrum of support and services

that are needed for developing and advancing

high quality staff, from pre-service and inservice training to supervision and

mentoring. These supports and services must

be provided in a continuous, holistic,

responsive manner with the goal of building

and nurturing the highest quality caregiving

in all programs.

In addition to the focus on training, the

Federal government also needs to take the

lead in modeling a commitment to and

respect for the importance of the caregiving

profession. Given this, the Advisory

Committee urges the Secretary to implement

the Early Head Start program so that it

models appropriate competencies,

institutionalization of career ladders for staff

working within the programs, and provision

of staff salaries that are comparable to the

importance of the job.

Monitoring

All programs need support and guidance to

engage in continuous improvement. As

directed by the legislation, the Secretary of

the Department of Health and Human

Services must provide this support and

guidance through ongoing monitoring of the

operation of these programs, evaluating their

effectiveness, and providing training and

technical assistance tailored to the particular

needs of such programs.

The Advisory Committee reminds the

Secretary that performance standards must be

developed and issued in order to set forth the

expectation of high quality services and

environments for programs serving families

with infants and toddlers. It is recommended

that there be consistency in the principles

and framework of the Early Head Start and

Head Start performance standards, with the

goal being a seamless approach to Federal

performance standards for children from

birth to age five. While the goal should be a

seamless approach, clearly the content of the

standards will vary to reflect the differences

in development of children during the age

span. Once these are issued, monitoring

should become a tool for both measuring

progress toward these high quality standards

and for engaging in continuous improvement.

Research and Evaluation

Evaluation of Early Head Start is essential

for determining the effectiveness of the

initiative and for advancing our

understanding about which services work

best for different families under different

circumstances. Evaluation data and

information collected at the local level as

part of management information systems and

ethnographic research are helpful to provide

ongoing feedback to programs and support

staff in packaging and delivering a

comprehensive array of services which are

responsive to and reflective of the individual

needs of very young children and their

families.

The Advisory Committee believes that the

Secretary must approach evaluation not just

as a mechanism for producing summary

statistics and reports about the changes in

child and family development as a result of

these new efforts, but as a tool for individual

programs so that they can continuously

refine their practices based on feedback from

their own program evaluation. This feedback

is essential to identify the particular

conditions and activities that enable parents

and other caregivers to most successfully

support children’s development. It is also

essential to test and refine as appropriate the

quality of planning, training, staff selection,

supervision and program management that is

crucial to program success. These lessons

learned will benefit local Early Head Start

programs, add new knowledge to the fields

of child and family development, and will

help shape future efforts at the Federal level

for very young children and their families.

In keeping with the Head Start national

laboratory role, we encourage research that

examines variations in Early Head Start

experiences on child development to learn

more about the effectiveness of different

interventions for very young children and

their families. Accordingly, we encourage the

testing of new models which might focus on

linkages between this initiative and welfare

reform, special coordination with Part H of

the Individuals with Disabilities Education

Act, or efforts to support teen parents who

are either in school or training. Equally

important will be research that identifies

features of intervention which optimize

relationship building, and research that

examines variations in caregiving

experiences as they influence child

development.

We also recommend that research and

evaluation for this initiative be part of an

overall research agenda for Head Start which

places Head Start in the broader context of

research on young children, families, and

communities; ensures a commitment to

ongoing themes; and has the flexibility to

respond to new and emerging developments

in the broader early childhood and family

development fields.

Partnership Building

Just as local programs will be required to

coordinate services in the State and

community to ensure a comprehensive array

of services, the Federal government must also

build partnerships across programs, agencies

and departments to facilitate effective

integration and coordination of resources and

services.

The Advisory Committee points out that it

is especially important that the Head Start

Bureau work with the U.S. Maternal and

Child Health Bureau and the Medicaid

program to enhance the availability of and

access to comprehensive health services for

pregnant women, and very young children

and their families. The Advisory Committee

particularly recommends Federal leadership

in the development of services that are scarce

in communities, such as mental health

services that meet the needs of families with

infants and toddlers. It is equally important

that linkages be made with the U.S.

Department of Education, Office of Special

Education and Rehabilitative Services and

the Federal Interagency Coordination Council

so that there is a clear message from the

Federal government about the importance of

partnership around early intervention at the

Federal, State and community levels,

especially between this initiative and Part H

of the Individuals with Disabilities Education

Act. The formation of a single Federal

Interagency Coordination Council to address

services for families with infants and

toddlers who are served by Head Start and/
18998 Federal Register / Vol. 62, No. 74 / Thursday, April 17, 1997 / Notices

or by Part H is recommended. Further, the

Head Start Bureau is advised to develop

partnerships with the National Institute of

Child Health and Development and the

National Institute of Mental Health so that

programmatic and research activities can be

coordinated and the results benefit and

influence the work of all institutions.

Beyond coordination and partnership

building among the many programs,

agencies, and departments of the Federal

government, the Advisory Committee advises

the Head Start Bureau to continue

consultation with professional organizations

from relevant child and family development

disciplines. Such consultation will help staff

of the Head Start Bureau learn about

emerging knowledge and apply this to the

planning, implementation, and evaluation of

this and other programs.

Finally, it is equally important that the

Head Start Bureau reevaluate its own

regulations and procedures to support local

creativity and responsiveness to the needs of

very young children and their families. As a

first step, the Advisory Committee

recommends that the Secretary explore

opportunities for Early Head Start programs

to combine these resources with other public

and private funding sources in order to serve

more very young children and their families

who might benefit from Early Head Start

services and support. This is especially

important as many Advisory Committee

members feel that all children within a very

low income community should be afforded

access to these services. By allowing and

encouraging Early Head Start communities to

partner with other funding streams, it may be

possible in some communities to provide

access to most or all families with very young

children.

Funding

All of the above issues—from the

principles to the program concept and

Federal commitments—are moot when there

are not adequate resources to develop and

sustain high quality in each program.

Advisory Committee members see the role of

Early Head Start as a national laboratory and

catalyst for change. The members point out

that a Federal commitment is needed to

ensure that resources are available in the

short- and long-term to support the provision

of high quality, well-integrated services.

Conclusion

Early Head Start represents a new era of

support for America’s youngest children and

their families. It sets forth a vision that

honors the unique strengths of very young

children, their families and communities,

and the staff who work with them. It calls for

programs to provide family-centered and

community-based services and supports that

are individualized, of highest quality, and

that promote positive health and

development. And it commands significant

attention at the Federal level for training,

technical assistance, monitoring, and

research and evaluation to ensure these

programs can flourish.

The members of the Advisory Committee

on Services for Families with Infants and

Toddlers are proud to set forth this vision

and implementation design for Early Head

Start. We call on the Secretary and the nation

to move ahead rapidly with a series of steps

to make this vision a reality. So much is at

stake for our youngest children and their

families.

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Biographies of Advisory Committee

Members

Susan Aronson is a practicing pediatrician

at The Children’s Hospital of Philadelphia, as

well as an active member of the American

Academy of Pediatrics. She also serves as the

Director of the Pennsylvania AAP Early

Childhood Education Linkage System, and

was the Liaison Representative of the AAP to

the Head Start 25th Anniversary Silver

Ribbon Panel, setting national goals for the

future of Head Start. Previously, she was a

member of the Head Start Health Task Force

and the Central Steering Committee of the

AAP/APHA setting national standards for

health and safety in out-of-home settings for

children. She has also published numerous

works on health and care of children in

group settings.

Kathryn E. Barnard is a professor of

nursing and adjunct professor of psychology

at the University of Washington, where she

has also served as associate dean of the

School of Nursing. For the past 30 years, she

has been a scholar, researcher, and educator

with interests in children and parenting. She

coordinated the risk and prevention group for

the John D. and Catherine T. MacArthur

Foundation’s health network on the

transition to early childhood. Her research

has focused on the interaction of children

with their environment, particularly infants

at biological and environmental risk. She is

Past President on the Board of Zero to

Three—the National Center for Clinical

Infant Programs. She is a member of the

American Academy of Nursing and the

Institute of Medicine and has received many

awards in nursing and public health.

Mary Jane Bevins is the Director of a

multifaceted Head Start program that

includes Parent and Child Centers, centerbased and home-based services for three- and

four-year-olds, and a Head Start Transition

project. In addition to her experience as a

practitioner, she has also provided training

and technical assistance to Head Start

programs in all component areas. Ms. Bevins

has been a member of several task forces

including the National Task Force for Parent

and Child Centers, and the PCC Training

Advisory Council for the National Center for

Clinical Infant Programs.

Helen Blank is Director of Child Care and

Development at the Children’s Defense Fund,

where she led a large-scale, successful effort

to pass the first comprehensive federal child

care legislation since World War II. She has

focused a great deal of her efforts on

strengthening both federal child care and

Head Start policies. In addition, she provides

technical assistance to states and policy

leaders on early childhood development

issues. Prior to joining the Children’s Defense

Fund, Ms. Blank worked at Child Welfare

League of America, and helped to improve

and expand participation in federal food

programs serving low-income children with

the National Child Nutrition project and the

Community Nutrition Institute.

Sue Bredekamp is Director of Professional

Development, National Association for the

Education of Young Children. Among some

of her roles as director are managing the

NAEYC accreditation system, directing the

National Institute for Early Childhood

Professional Development, and developing

association position statements relevant to

defining professional standards and

practices. Dr. Bredekamp specializes in

developmentally appropriate practices for

preschoolers and has authored a book on

developmentally appropriate practices for

children birth through age eight. She has

served on numerous panels and as a

consultant on the issues of professional

development and accreditation. She

developed the Early Childhood Classroom

Observation Scale, used by NAEYC’s

accreditation system, and served as a study

advisor to the Observational Study of Early

Childhood Programs, sponsored by the

Department of Education.

Urie Bronfenbrenner, the Jacob Gould

Schurman Professor Emeritus of Human

Development and Family Studies and of

psychology at Cornell University, is an expert

on developmental psychology, child-rearing,

and the ecology of human development. A

founder of the national Head Start Program,

Dr. Bronfenbrenner is internationally

renowned for his cross-cultural studies and

is a recipient of honorary degrees both in this

country and abroad. His theoretical

contributions and his ability to translate

them into rigorous operational research

models and effective social policies spurred

the creation of Head Start and furthered the

goals of Cornell’s Life Course Institute, which

has been renamed in his honor. Dr.

Bronfenbrenner is the author, co-author, or

editor of 13 books and more than 300 articles,

most notably Two Worlds of Childhood: U.S.

and U.S.S.R. and The Ecology of Human

Development.

Bettye Caldwell is Professor of Pediatrics

in Child Development and Education at the

University of Arkansas for Medical Sciences.

Known for her research of the home

environment and its relationship to growth

and development, she has served in many

research and practitioner positions.

Throughout her career, she has published

numerous articles and books on infant and

child development and child care, and

contributed early work around the

establishment of Head Start. One of Dr.

Caldwell’s most recent projects was ‘‘An

Ecological Study of Infant Care,’’ designed to

study the long term effects of infant day care.

In addition, she has been a leader in the early

childhood field, serving as President of the

NAEYC and a member of the Governing

Board of the Society for Research in Child

Development, and participating in

international consulting and speaking

engagements.

Jane Campbell is a State Representative

serving her fifth term in the Ohio House of

Representatives. She chairs the Oversight

Committee on Abused, Neglected, and

Dependent Children and is a member of the

Children and Youth Committee. She has also

been involved with a number of committees

that have looked at Ohio’s school system,

domestic relations, and adolescent sexuality

and pregnancy. She has sponsored a number

of important bills for children and their

families including legislation to expand

subsidized child care so 20,000 additional

children can get quality care which will

enable their parents to work; extending

medicaid to working pregnant women;

correcting discrimination against pregnant

teenagers; and simplifying voluntary

paternity procedures so unmarried fathers

can take responsibility for their children.

Gayle Cunningham is the Executive

Director of the Jefferson County Committee

for Economic Opportunity, the Community

Action Agency based in Birmingham,

Alabama. She directs that agency’s Child

Development Services Division, which

includes Head Start and Parent and Child

Center programs, and a Head Start-Public

School Transition Demonstration Project.

The agency also operates a wide variety of

other programs for low-income families and

individuals. She was formerly an Assistant

Professor responsible for coordination of the

early childhood AA degree program at

Delgado College in New Orleans, and a

Senior Research Associate for Bank Street

College responsible for the expansion of the
19000 Federal Register / Vol. 62, No. 74 / Thursday, April 17, 1997 / Notices

Child Development Associate credentialing

program to include infant/toddler caregivers.

Sharon Darling is the Founder and

President of the National Center for Family

Literacy. In 1989, with a grant from the

Kenan Trust, the National Center for Family

Literacy was created to promote family

literacy programming nationwide. While

State Director of Adult Education in

Kentucky, she directed the development of

the Parent and Child Education program,

forerunner of the family literacy movement.

Ms. Darling is Vice Chair of the Board of

Directors for the National Institute for

Literacy, a board member of both The Barbara

Bush Foundation for Family Literacy, and the

National Coalition for Literacy. She has

received numerous awards for her

contributions to education, including the

prestigious Harold W. McGraw Award for

Outstanding Educator in 1993.

Amy L. Dombo is an Infant/Toddler

Specialist. Formerly Director of the Infant

and Family Center at Bank Street College of

Education, she is an expert in infant/toddler

programs. Ms. Dombro has extensive

experience training Head Start and child care

staff. She has also authored three books and

numerous articles for parents and caregivers.

Currently, consulting with Families and

Work Institute, she is directing the evaluation

of Dayton Hudson’s Child Care Aware/

Family-to-Family Project, a national initiative

to improve the quality of family child care.

Anne Cohn Donnelly is the Executive

Director of the National Committee to

Prevent Child Abuse. As Executive Director,

she oversees a 50-state network of chapters,

a national center on child abuse prevention

research, and extensive training in

educational programs and advocacy efforts.

The National Committee has provided

leadership for the replication of the Hawaii

Healthy Start home visiting model through

its Health Families America initiative. Prior

to joining NCPCA, she served as a White

House Fellow and Special Assistant to the

Secretary of the Department of Healthy and

Human Services, handling a broad range of

issues for the Secretary including children’s

health and social services. She has also

lectured and published widely, and has

designed the first national evaluation study

of child abuse treatment programs.

Robert Emde is professor in the

Department of Psychiatry at the University of

Colorado Health Sciences Center and

Adjunct Professor of Psychology at the

University of Denver. Dr. Emde is highly

respected for his work on infant emotional

development, and is the author or co-author

of over 200 scholarly articles and chapters.

Dr. Emde has held leadership positions in

numerous national organizations and has

served as an editor of developmental and

clinical journals. He is the Past President of

the Society for Research in Child

Development, Senior Scientific Advisor for

the World Association for Infant Mental

Health, and a Board Member of Zero to

Three. Additionally, Dr. Emde has been the

invited plenary speaker for many national

and international conferences.

Lily Wong Fillmore is a professor at the

School of Education, Language and Literacy

Division, at the University of California,

Berkeley. She is recognized as a leading

expert on issues of cultural diversity in child

development and educational progress. Dr.

Fillmore is also known for her work on

language acquisition. She is currently on the

National Advisory Committee of The

Literacies Institute, funded by the Andrew

Mellon Foundation, and the National

Advisory Committee of the Linguistic

Minorities Resource center on Educational

Equity of the Council of Chief State School

Officers.

Susan Fowler is the Head of the

Department of Special Education at the

University of Illinois in Champaign. She is a

well respected researcher in the field of early

childhood special education, and has

authored numerous articles and chapters. Dr.

Fowler has served in a national leadership

role as the President of the Division for Early

Childhood (DEC) in the Council for

Exceptional Children. She is currently a

member of the National Advisory Board of

the National Early Childhood Technical

Assistance System. Dr. Fowler has both State

and Federal experience.

Olivia Golden is the Commissioner for the

Administration on Children, Youth and

Families at the Department of Health and

Human Services. Prior to coming to HHS, Dr.

Golden served as the Director of Programs

and Policy for the Children’s Defense Fund

in Washington, DC, where she was

responsible for policy development,

advocacy, research, data analysis, and

writing about a variety of children and family

issues. Prior to that, she served as Lecturer

in Public Policy at the John F. Kennedy

School of Government, where she focused

her research on child and family policy and

public management. From 1983–1985, Dr.

Golden served as the Budget Director for the

Executive Office of Human Services in the

Commonwealth of Massachusetts. She is the

author of a recently published book, Poor

Children and Welfare Reform (Auburn House

Press, 1992), and several papers and articles.

Her research has focused on the way services

work for real people, including issues of

innovation, collaboration and effective

service delivery for children and families.

Sarah Greene is the Chief Executive Officer

of the National Head Start Association. Mrs.

Greene has held a host of positions in the

Head Start community including President of

the National Head Start Association, a

classroom teacher, Education Director, Head

Start Director and Executive Director of

Manatee Opportunity Council, Inc. (a

Community Action Agency). She serves as an

ambassador for Head Start, speaking across

the country, testifying before Congress, and

participating with many other national

organizations.

Judith Jerald is the Director of a

Comprehensive Child Development Program

(CCDP) in Vermont. She coordinates an early

childhood family support system for

Brattleboro Town School District which

serves families with children prebirth

through age eight, and includes a CCDP, Even

Start, a Parent and Child Center, a Teen

Parent Infant-Toddler Center at the high

school, and transition to school programs.

Ms. Jerald has extensive experience in

program design, providing a wide array of

direct social services, training, community

organization, and administration. She is a

member of the National Association of Social

Workers and National Education Association.

Linda Kills Crow is the Director of Early

Childhood Services (Head Start and the Child

Care Development Block Grant Programs) for

the Osage Tribe of Oklahoma and has been

the President of the National Indian Head

Start Directors Association since 1990. Prior

to her current position, Ms. Kills Crow was

the Director of the Native American

Education Program at the University of

Colorado, Denver. Ms. Kills Crow was a Head

Start/Johnson and Johnson Management

Fellow in 1991 and has served on numerous

state and national boards, committees, and

task forces.

J. Ronald Lally is the Director of the Center

for Child and Family Studies of the Far West

Laboratory for Educational Research and

Development in California. He is also the

Director of the Program for Infant/Toddler

Caregivers. Prior to joining Far West

Laboratory, Dr. Lally was a professor at

Syracuse University, where he directed the

Family Development Research Program. He is

highly respected for his work in the

emotional and social development of infants

and toddlers. Additionally, Dr. Lally has

expertise in developing both programs and

training materials for young children and

their caregivers. He is Founding Member and

serves on the Board of Directors of Zero to

Three (National Center for Clinical Infant

Programs).

Joan Lombardi serves as a Senior Advisor

to the Assistant Secretary for Children and

Families on child care and Head Start issues.

As an early childhood specialist, she has

advocated for improved and expanded

services to very young children and their

families through her work with a wide

variety of national, state, and communitybased organizations. She is the author of

numerous publications, including Creating a

21st Century Head Start, the landmark report

of the Head Start Advisory Committee on

Quality and Expansion.

Harriet Meyer is the Executive Director of

the Ounce of Prevention in Chicago, Illinois.

The Ounce of Prevention supports programs

focusing on teen parents and their children

from 0–3, directly operates and administers

the Beethoven Project, and is one of two

Head Start grantees in Chicago as well as

three school based adolescent health clinics.

The Ounce also directs Kids Pepp, the Public

Education and Policy Analysis Division at

the Ounce. Previously, Ms. Meyer was the

Director of the Wells Community Initiative in

which she directed the Ounce of Prevention’s

involvement in the revitalization of the Ida

B. Wells public housing complex in Chicago.

Evelyn K. Moore is the Executive Director

and founder of the National Black Child

Development Institute, a national network of

40 affiliates in 23 states which work to

improve the quality of life for African

American children and their families. Before

founding the Institute, Ms. Moore worked as

a Special Assistant to Wilbur Cohen, former

Secretary of Health, Education and Welfare,

at the University of Michigan at Ann Arbor.

Ms. Moore currently serves on the Boards of

the National Council of Jewish Women
Federal Register / Vol. 62, No. 74 / Thursday, April 17, 1997 / Notices 19001

Center for the Child, Child Trends, and Child

Care Action Council. She works as a

consultant to the Office of Education in

addition to numerous philanthropic

organizations.

Genoveva P. Morales has been President of

the National Migrant Head Start Director’s

Association for the past two years and

presently serves as the Migrant Head Start

Director for the Washington State Migrant

Council. Ms. Morales has served the migrant

community in many roles including Special

Services Director and Migrant Education

Chapter I Program Director. In addition to her

work with migrant and seasonal

farmworkers, Ms. Morales has held various

positions in the academic setting serving as

a Research Assistant at the University of

Texas at San Antonio, a financial aid

counselor at the University of Washington,

and an academic counselor at Eastern

Washington University and at the Yakima

Valley Community College. Her personal

commitment to an improved transition effort

of Head Start children into public school has

led her to obtain her state certification for

counseling in the public school setting.

Dolores Norton is a professor in the School

of Social Service Administration, University

of Chicago. She writes and teaches in the area

of early human development within a

sociocultural, ecological context, and directs

the ‘‘Building Partnerships for Family

Support Education and Training’’ project, a

collaborative education program between

community based agencies, universities, and

educational training organizations. She

received her M.S.S. and her Ph.D. degrees

from Bryn Mawr College. Dr. Norton’s major

research is an ongoing longitudinal study of

parent-child interaction developmental

outcomes of inner city African American

children form birth through age eleven,

growing up in poverty stricken, dangerous

neighborhoods. The research focuses on the

children’s socio-cognitive development with

an emphasis on temporal and linguistic

development and early academic

achievement. She was a member of the

founding board of Family Focus, Inc., and

currently serves on boards such as Zero to

Three: the National Center for Clinical Infant

Programs and the Ounce of Prevention and

Education for Parenting Advisory Boards.

Maria Elena V. Orrego is currently

consulting and providing technical assistance

to the Commission on Social Services,

Department of Human Services, Government

of the District of Columbia, to develop a five

year strategic plan for the Federal Family

Preservation and Support Services Program.

Ms. Orrego was the former Executive Director

of The Family Place, Inc., a comprehensive

family support program in Washington, D.C.

providing services to Latino and AfricanAmerican families. Ms. Orrego was

responsible for the planning, management,

and evaluation of programs in two family

support centers. Ms. Orrego has 10 years of

experience as a direct social services

provider in inner city communities, and

twelve years of experience in development,

implementation, and evaluation of

community based programs for children and

families. In addition to her work with

families in inner city communities, Ms.

Orrego serves as a member of the Board of

Directors of the Family Resource Coalition

and the D.C. Act for Children.

Carol Brunson Phillips is the Executive

Director of the Council for Early Childhood

Professional Recognition, which administers

the Child Development Associate National

Credentialing Program. Throughout her

career in early childhood education, she has

been involved in both teaching young

children and training teachers, first as a Head

Start teacher. For 13 years she was a member

of the Human Development Faculty at Pacific

Oaks College in Pasadena specializing in

early childhood education and cultural

influences on development. Dr. Phillips is

currently a member of the Technical

Advisory Panel of the Head Start Bilingual

and Multicultural Program Services Study

and the National Head Start Training Panel

of Experts.

Deborah Phillips is Director of the Board

on Children and Families on the National

Research Council’s Commission on

Behavioral and Social Sciences and

Education and the Institute of Medicine. She

is on leave as associate professor of

psychology at the University of Virginia. Dr.

Phillips received her Ph.D. in developmental

psychology at Yale University. She was the

first director of the Child Care Information

Services of the National Association for the

Education of Young Children and is a

member of many task forces and advisory

groups that address child and family policy

issues, including the research task force of

the Secretary’s Advisory Committee on Head

Start Quality and Expansion of the U.S.

Department of Health and Human Services.

Dr. Phillips has testified frequently before

Congress on issues of child care quality.

Ed Pitt is Associate Director of the

Fatherhood Project at the Families and Work

Institute. The project is a national research

and education initiative examining the future

of fatherhood and ways to support men’s

involvement in childrearing. Mr. Pitt has

been involved in many significant initiatives

such as the White House Conference on

Families, President’s Commission on Mental

Health, Secretary’s Task Panel on Teen

Pregnancy Prevention, and the National

Health Council.

Gloria Johnson Powell is a child

psychiatrist, formerly a professor of child

psychiatry at Neuropsychiatric Institute at

UCLA, and is currently a tenured Professor

at Harvard Medical School. She is best

known for her research on the psychosocial

development of minority group children. She

wrote the first textbook in child psychiatry

on ethnically and racially diverse children,

The Psychosocial Development of Minority

Group Children. Currently, she is director of

the Ambulatory Care Center at the Judge

Baker Children’s Center in Boston and has

developed a home-based services program for

inner-city children and families in Boston

called ‘‘Partnerships in Prevention: Building

Rainbows’’ which uses a mobile service

center to bring primary mental health care

services ‘‘to the doorsteps’’ of children and

families in need. This program has provided

services to twelve housing projects and six

Head Start programs whose children and

families are trapped in their communities

and homes because of drug-related crime,

violence, and poverty.

Linda Randolph is a graduate of the

Howard University College of Medicine and

the School of Public Health, the University

of California at Berkeley. For seven years, Dr.

Randolph was National Director of Health

Services, Project Head Start. She continued

her work in government by joining the New

York State Department of Health serving first

as an Associate Commissioner in New York

City and subsequently as Deputy

Commissioner, Office of Public Health in

Albany. Concurrently Dr. Randolph was

appointed Professor of Health Policy and

Management, Graduate School of Public

Health, State University of New York at

Albany. In 1991, Dr. Randolph was

appointed Clinical Professor, Department of

Community Medicine, Mount Sinai School of

Medicine. She served on assignment from the

medical school as Executive Director of the

Carnegie Corporation Task Force on Meeting

the Needs of Young Children which released

its report—Starting Points—earlier this year.

Julius B. Richmond is the John D.

MacArthur Professor of Health Policy,

Emeritus at Harvard University Medical

School. Dr. Richmond, trained in psychiatry

and pediatrics, was the first person to hold

the positions of Assistant Secretary for

Health and Surgeon General. Dr. Richmond,

together with his colleague Dr. Bettye

Caldwell, designed one of the early programs

for low-income preschoolers that integrated

health and school readiness programs, which

later became the model for Head Start, of

which Dr. Richmond was the first Director in

1965 and 1966. Dr. Richmond has been

awarded numerous honors, including the

National Academy of Sciences Institute of

Medicine’s Gustav O. Lienhard award, which

recognizes ‘‘outstanding achievement in

improving personal health care services in

the United States.’’

Ann Rosewater is the Deputy Assistant

Secretary for Policy and External Affairs in

the Administration for Children and

Families, Department of Health and Human

Services. As Deputy Assistant Secretary, she

has major management and policy-making

responsibilities. Prior to coming to ACF, she

was senior associate at the Chapin Hall

Center for Children at the University of

Chicago and senior consultant to both the

Pew Charitable Trusts’ Children’s initiative

and the Annie E. Casey, Ford and Rockefeller

Foundation’s Urban Change initiatives. Ms.

Rosewater assisted in the creation of the US

House of Representatives Select Committee

on Children, Youth, and Families, and served

as its staff director and deputy staff director

from 1983–1990. From 1979-1983, she served

as a senior legislative assistant to

Congressman George Miller. During the

1970s, she was national education staff for

the Children’s Defense Fund and assistant to

the vice president of the National Urban

Coalition. Ms. Rosewater was the first nonelected official to receive the Leadership in

Human Services Award of the American

Public Welfare Association, received the

President’s Certificate for Outstanding

Service from the American Academy of

Pediatrics and is the author of numerous

publications on child policy.
19002 Federal Register / Vol. 62, No. 74 / Thursday, April 17, 1997 / Notices

Shirley Senegal is a Head Start parent at

the Opelousas Head Start Academy in

Louisiana. She is the president of the Parent

Policy Council and member and Chaplain of

the Louisiana Head Start Association. Ms.

Senegal is a NHSA Board Member and

President of the Louisiana Head Start Parent

Affiliate Group. Ms. Senegal is an active

participant in both the Louisiana Head Start

Association as well as the Region VI Head

Start Association.

Lisbeth B. Schorr is Lecturer in Social

Medicine at Harvard University, a member of

the Harvard University Working Group on

Early Life, and Director of the Harvard

University Project of Effective Services. Ms.

Schorr’s 1988 book, Within Our Reach:

Breaking the Cycle of Disadvantage, analyzed

social programs that have succeeded in

improving the life prospects of disadvantaged

children. Ms. Schorr is currently pursuing

the implications of her findings for the largescale implementation of effective programs.

Previously, Ms. Schorr helped establish the

health division of the Children’s Defense

Fund and directed the health activities of the

O.E.O.’s Community Action Program.

Helen H. Taylor is the Associate

Commissioner of the Head Start Bureau at the

Department of Health and Human Services.

Prior to coming to HHS, Ms. Taylor was

Executive Director of the National Child Day

Care Association, Inc., which operated 16

preschool and 5 before and after school

centers in Washington, DC. Ms. Taylor is a

former member of the Governing Board of the

National Association for the Education of

Young Children and was Chairperson of the

Mayor’s Advisory Committee on Early

Childhood Education. Ms. Taylor has 27

years of experience in designing and

administering large, comprehensive child

development projects, including Head Start,

Model Cities, and locally funded child care

programs.

Sally Vogler has served on the staff of

Colorado Governor Roy Romer since 1988. In

this capacity, she advises the Governor on

policy and programs related to early

childhood and directs First Impressions, the

Governor’s early childhood initiative. Over

the past eight years, First Impressions has

successfully put in place a number of key

educational and community supports that

promote the healthy development of young

children and their families. These include

the establishment of a statewide child care

resource and referral system; the creation of

family development centers and expansion of

family literacy programs in the state through

the ‘‘Read To Me, Colorado’’ program.

Bernice Weissbourd is Founder and

President of Family Focus, an agency

providing comprehensive family support

services in four diverse Chicago

communities. She is also Founder and

President of the Family Resource Coalition,

the national organization representing the

family support movement. Ms. Weissbourd is

a contributing editor to Parents magazine,

and has authored books and articles on

family support programs and policies, and on

child development issues. Ms. Weissbourd

was President of the American

Orthopsychiatric Association, Vice-President

of the National Association for the Education

of Young Children and a member of the

National Commission on Children. She is a

lecturer at the School of Social Service

Administration, University of Chicago.

Edward Zigler is the Sterling Professor of

Psychology, head of the psychology sections

of the Child Study Center and the Bush

Center in Child Development and Social

Policy at Yale University. He is the author

and co-author or editor of numerous

scholarly publications and has conducted

extensive investigations on topics related to

normal child development, as well as

psychotherapy, mental retardation,

intervention programs for economically

disadvantaged children, and the effects of

out-of-home care on the children of working

parents. Dr. Zigler served as the Chief of the

U.S. Children’s Bureau and first Director of

the Office of Child Development, now the

Administration on Children, Youth and

Families. He was one of the original planners

of Project Head Start.

Appendix D—Category One—New Early

Head Start Awards: List of Geographic

Areas Not Open for Competition Under

Category One

Under Category one, applicants may apply

for Early Start funds to serve communities

throughout the country, except for those

listed below. The areas listed below are

either already served by an existing Early

Head Start program or are separate

competitive areas with current Parent and

Child Center programs. (In communities with

an Early Head Start project, the grantee’s

name is shown in parenthesis.)

(Under Category Two, applicants may

apply to serve the communities currently

served by Parent and Child Centers. In

addition to being included in the list below,

these communities are also listed in

Appendix E.)

Alabama

—Jefferson County

Alaska

—The Yukon-Kuskokwim Delta Area in

Southwest Alaska (Rural Alaska

Community Action Program, Inc.,

Anchorage)

—City of Fairbanks (Fairbanks Native

Association, Fairbanks)

Arizona

—El Mirage, Peoria, Williams Air Force Base,

Mesa (Maricopa County Board of

Supervisors, Phoenix)

—Enterprise Zone of Phoenix (Southwest

Human Development, Phoenix)

—City of Tucson

Arkansas

—Counties of Conway, Yell and Johnson

(Child Development, Inc., Russellville)

California

—Cities of Chico and Oroville (Butte County

Office of Education, Oroville)

—Cities of Haywood, San Leandro, San

Lorenzo, Castro Valley, Union City,

Fremont, Newark (Child, Family and

Community Services, Fremont)

—Monterey County, Cities of Marina and

Salinas (Children’s Services International,

Salinas)

—Cities of Placerville (western slope of El

Dorado County), S. Lake Tahoe, Lake

Tahoe Basin (El Dorado County

Superintendent of Schools, Placerville)

—City of Fresno (Fresno County EOC,

Fresno)

—Cities of McKinleyville, Arcata, Eureka,

Fortuna, Rio Dell (North Coast Children’s

Services, Arcata)

—Cities of N. San Juan, Kings Beach,

Foresthill, Lincoln (Placer Community

Action Council, Inc., Auburn)

—Cities of Daly City, South San Francisco,

Half Moon Bay, San Mateo, Redwood City,

E. Palo Alto and E. Menlo Park (The

Institute of Human and Social

Development, South San Francisco)

—San Juan Unified School District,

Sacramento City Unified School District,

and North Sacramento (Sacramento

Employment and Training Agency,

Sacramento)

—Cities of Santa Monica, Venice, Mar Vista,

Culver City, North Inglewood and West of

Fairfax Avenue (West Los Angeles) (Venice

Family Clinic, Venice)

—Cities of Berkeley, Albany, Emeryville

—City of Los Angeles

—City of San Diego

—City of Oakland

—Counties of Shasta, Siskiyou and Trinity

Colorado

—Sunnyside, Jefferson Park, Upper

Highland, Lower Highland areas of

Northwest Denver (Friends of Maria

Mitchell [dba Family Star], Denver)

—Freemont County (Upper Arkansas Area

Council of Governments, Canon City)

—Central and Southeast Colorado Springs

(Community Partnership for Child

Development, Colorado Springs)

—City and County of Denver (Clayton-Mile

High Family Futures, Denver)

—Counties of Bent, Crowley, Otero, and

Prowers

Connecticut

—Windham County

Delaware

—Sussex County

District of Columbia

—Wards 1 and 2 of Washington, DC (Edward

C. Mazique Parent Child Center, Inc.,

Washington, D.C.)

—Wards 1, 2, and 4 of Washington, DC

(Rosemont Child Development Center,

Washington, D.C.)

—Wards 1, 2, and 5 of Washington, DC

(United Planning Organization, Office of

Preschool and Day Care, Washington, D.C.)

Florida

—Leon and Gadsden Counties (Florida State

University, Tallahassee)

—Tampa and Plant City (Hillsborough

County Board of Commissioners, Tampa)

—North Central Dade County and City of

Miami (Dade County Board of

Commissioners, Miami)
Federal Register / Vol. 62, No. 74 / Thursday, April 17, 1997 / Notices 19003

—Highlands, Hardee and Henry Counties

(Redlands Christian Migrant Association,

Immokalee)

—Alachua County (School Board of Alachua

County, Gainesville)

—Belle Glade, West Palm Beach, Rural South

Eastern Florida (East Coast Migrant,

Arlington, VA)

—Broward County

—Duval County

Georgia

—Fulton County (Clark Atlanta University,

Atlanta)

—Counties of Dekalb, Scottsdale and Decatur

(Save the Children Federation, Atlanta)

—Chattooga County (Berry College,

Summerville)

—Counties of Murray and Whitfield

Hawaii

—Loolauloa Area, Island of Oahu (State of

Hawaii, Dept. of Health, Honolulu)

—Kalihi-Palma, Honolulu (Parents and

Children Together, Honolulu)

Idaho

—Nez Perce, Lapwai (Nez Perce Tribe,

Lapwai)

—Nez Perce County, Idaho and Asotin

County, Washington

Illinois

—Garfield School area in the City of Chicago

(City of Chicago, Chicago)

—Robert Taylor Homes area in the City of

Chicago (Ounce of Prevention, Chicago)

—Counties of Wabash, Edwards, Wayne,

White, Hamilton, Saline, and Gallatin

(Wabash Area Development, Inc., Enfield)

—Springfield and Sangamon Counties

(Springfield Urban League, Inc.,

Springfield)

—Proviso, Cicero and Berwyn Townships in

Cook County (Community and Economic

Development Association, Chicago)

—North Lawndale Community in City of

Chicago (Better Boys Foundation, Chicago)

—Madison County (Family Service and

Visiting Nurse Association, Alton)

—Peoria County (Peoria Citizens Committee

for Economic Opportunity, Peoria)

—City of Chicago

Indiana

—Vigo County (Hamilton Center, Terre

Haute)

—Clay, Owen, and Putnam Counties (Child—

Adult Resource Service, Inc., Rockville)

—Madison County (Hopewell Center, Inc.,

Anderson)

—Clark County

Iowa

—Counties of Hardin, Marshall, Poweshiek,

Tama and Story (Mid-Iowa Community

Action, Marshalltown)

—Clay County and Cities of Spencer, Royal,

Langdon, Dickens, Fostoria, Everly and

Moneta (Upper Des Moines Opportunity,

Inc., Graettinger)

—City of Des Moines (Drake University, Des

Moines)

Kansas

—Counties of Wichita and Sedgwick (Child

Care Association of Wichita-Sedgwick,

Wichita)

—Kansas City, Kansas and Wyandotte

County (University of Kansas Medical

Center, Kansas City)

—Saline County (Unified School District

#305, Salina)

Kentucky

—Christian and Daviess Counties (Audubon

Area Community Services, Owensboro)

—Harlan County (Kentucky Communities

Economic Opportunity Council,

Barbourville)

—Grayson and Breckinridge Counties

(Breckinridge-Grayson Programs,

Leitchfield)

—Fulton, Graves, Calloway, Marshall, and

Warren Counties (Murray Board of

Education, Murray)

—Whitley County (Whitley County

Communities for Children, Williamsburg)

—Jefferson County

Louisiana

—City of New Orleans

—Jefferson Parish

Maine

—Oxford County (Community Concepts, Inc.,

South Paris)

—Franklin County (Western Maine

Community Action, East Wilton)

Maryland

—Cities of Rockville, Langley Park, Takoma

Park and Hyattsville (University of

Maryland University, Head Start Resource

and Training Center, College Park)

—Hightown in Baltimore City and Caroline

County (Friends of the Family, Inc.,

Baltimore)

—Cities of Gaithersburg and Germantown

(Family Services Agency, Inc.,

Gaithersburg)

—City of Baltimore

Massachusetts

—City of Lowell (Community Teamwork,

Inc., Lowell)

—City of Boston

Michigan

—Jackson County (Region II CAA, Jackson)

—Genesee County (Carmen-Aimesworth

Community Schools, Flint)

—East and West City of Detroit (City of

Detroit Neighborhood Services

Department, Detroit)

—Grand Haven Area of Ottawa County (Child

Development Service of Ottawa County,

Inc., Holland)

—Menominee, Delta, and Schoolcraft

Counties (Menominee, Delta, and

Schoolcraft Action Agency, Escanaba)

—Clare, Gladwin and Mecosta Counties

(Mid-Michigan Community Action Agency,

Clare)

—Grand Traverse, Artrim, Benzie, Emmet,

Kaldaska, Leelanau, Missaukee,

Roscommon and Wexford Counties

(Northwest Michigan Human Services,

Traverse)

—Counties of Gratiot, Ionia, Isabella, and

Montcalm

—-Indian Reservations of: Bay Mills,

Hannahville, Keweenaw Bay, Isabella, and

Lac Viewux Desert

Minnesota

—American Indian population of North and

Northeast Minneapolis and Phillips

community of So. Minneapolis (Upper

Midwest American Indian Center,

Minneapolis)

—Midway Section of St. Paul (Model Cities

Family Development Center, St. Paul)

—Hennepin County

Mississippi

—Laurel and Jones County (Friends of

Children of Mississippi, Jackson)

—Jackson County

—Leflore County

Missouri

—City of St. Louis (Human Development

Corporation of St. Louis, St. Louis)

—Jackson County (KCMC Child Development

Corporation, Kansas City)

Montana

—Yellowstone County

—Blackfeet Indian Reservation

Nebraska

—Counties of Columbus and Platte (Central

Nebraska Community Services, Loup City)

—Cities of Scotts Bluff and Gering

(Panhandle Community Services, Gering)

—City of Omaha (The Salvation Army,

Western Division, Omaha)

—Douglas County

Nevada

—Counties of Clark, Elko and White Pine

New Hampshire

—Counties of Belknap, Strafford, Laconia

and Rochester (Community Action

Program Belknap-Merrimack, Inc.,

Concord)

New Jersey

—Communities of Rosedale, Duddlye,

Stockton and City of Marlton (Group

Homes of Camden County, Camden)

—Communities of Montclair, Glen Ridge, and

South Essex (East Orange Child

Development Corporation, East Orange)

—West Ward and Central Ward of Newark

(Babyland Nursery, Inc., Newark)

—Sussex and Warren Counties (Northwest

New Jersey Community Action Program,

Phillipsburg)

—Upper Passaic County

New Mexico

—County of Bernalillo

New York

—The School district of Saratoga County

(Ballston Spa Central School District,

Ballston Spa)

—Allegany County (ACCORD, Belmont)

—Chautauqua County (Chautauqua

Opportunities, Inc., Dunkir)

—South and west quadrants of Syracuse

(P.E.A.C.E., Inc., Syracuse)

—City of Utica (Utica Head Start Children

and Families, Utica)

—Lower Eastside Manhattan. This area

covers three Census tracks bounded on the

east by the East River, on the west by Allen

Street, on the north by Houston Street and
19004 Federal Register / Vol. 62, No. 74 / Thursday, April 17, 1997 / Notices

on the south by Delancey Street (Grand

Street Settlement, New York)

—Kingsbridge Heights, Marble Hill, Fordham

and Tremont (Kingsbridge Heights

Community Center, Bronx)

—Washington Heights and Inwood in

Manhattan (Children’s Aid Society, New

York)

—Village of New Square (New Square

Community Improvement Council, Spring

Valley)

—Mott Haven Section in the Bronx

(University Settlement Society of New

York, New York)

—Fort Green Park Community of Brooklyn

(Project Teen Aid/Project Chance,

Brooklyn)

—Dutches County (Astor Home for Children,

Rhinebeck)

—Teen Aid High School in China Town, and

Bellveue Hospital in Lower Manhattan

(The Educational Alliance, New York)

—Far Rockaway in New York City (Visiting

Nurse Service of New York, New York)

—City of Buffalo

—Bronx County

North Carolina

—Emma, Johnston, Woodfin districts in

Duncombe County (Asheville City Schools,

Asheville)

—Craven County

—Macon County

—McDowell County

—Rowan County

—-Wayne County

North Dakota

—Spirit Lake Reservation (Little Hoop

Community College, Fort Totten)

—Standing Rock Sioux Reservation (Standing

Rock Sioux Tribe, Fort Yates)

—Ward County

Ohio

—Clermont County (Child Focus of Clermont

County, Cincinnati)

—Hamilton County (Cincinnati/Hamilton

County CAA, Cincinnati)

—Glenville, Hough, and St. Clair Areas of

Cuhahoga County (Council for Economic

Opportunity in Greater Cleveland,

Cleveland)

—Miami and Darke Counties (Council on

Rural Services Programs, Inc., Greenville)

—Lorain County

Oklahoma

—-Cherokee Nation Reservation (Cherokee

Nation, Tatequah)

—Creek County

Oregon

—Jackson County and Illinois Valley area of

Josephine County (Southern Oregon Child

and Family Council, Inc., Central Point)

—City of Portland

—Umatilla County

Pennsylvania

—City of Allentown (Community Services for

Children, Inc., Bethlehem)

—Cities of Aliquippa and Beaver Falls (Civic

Senior Citizens, Inc., Aliquippa)

—Westmoreland County (Seton Hill Child

Services, Greensburg)

—Terrace Village Public Housing, McKees

Rocks, Stowe township, Clairton, Camden

Hills (University of Pittsburgh, Pittsburgh)

—William Penn High School District in

Philadelphia (Allegheny University of the

Health Sciences, Division of Community

Health, Philadelphia)

—North-Eastern Philadelphia (The

Philadelphia Parent Child Center, Inc.,

Philadelphia)

—Counties of Lackawanna, Pike,

Susquehanna, and Wayne

—Counties of Mifflin, Snyder, and Union

Puerto Rico

—Cano Vanas, Rio Grande (Aspira, Inc. of

Puerto Rico, Rio Piedras)

—Vega Alta, San Juan, Puerto Rico (New

York Foundling Hospital, New York)

—Municipality of Carolina

Rhode Island

—Kent County (CHILD Inc., Warwick)

—City of Cranston and Providence County

(Comprehensive Community Action,

Cranston)

—Newport County

South Carolina

—Sumter County (Sumter School District 17,

Sumter)

—Greenville County (Sunbelt Human

Advancement Resources, Inc., Greenville)

South Dakota

—Counties of Minnehaha, Lake, Moody,

Codington, Hamlin and Brookings (Inter

Lakes Community Action, Madison)

—Rapid City, Ellsworth AFB, and counties of

Box Elder, Black Hawk, Pennington and

Meade (Youth and Family Services, Rapid

City)

—Crow Creek Sioux Reservation and parts of

Pennington County

—Oglala Sioux Reservation

Tennessee

—Hamilton County (City of Chattanooga

Human Resources Dept., Chattanooga)

—Henry, Gibson, Obion, Weakley Counties

(Tennessee State University, Nashville)

—Union City; Counties of Fayette,

Lauderdale, Tippon, Carroll and JacksonMadison (Northwest Tennessee Economic

Development)

—Counties of Giles, Bedford and Lawrence

Texas

—Alice, Jim Wells County, and Kingsville

and Fulfurias in Kleberg Counties (CAC of

South Texas, Alice)

—City of Austin (Child Inc., Austin)

—North-East Dallas (Head Start of Greater

Dallas, Inc., Dallas)

—City of San Antonio and Bexar County

(City of San Antonio Parent and Child,

Inc., San Antonio)

—West Side of San Antonio (Avance, Inc.,

San Antonio)

—San Marcos and Kyle in Hays County (C.A.

Inc. of Hays, Caldwell and Blanco

Counties, San Marcos)

—Hildalgo County (Texas Migrant Council,

Laredo)

—Cherokee County

—City of Houston

Utah

—Box Elder and Cache Counties in Utah;

Franklin County in Idaho (Bear River Head

Start, Logan)

—Davis County

Vermont

—Lamoille, Orange, Washington Counties

(Central Vermont Community Action

Council, Inc., Barre)

—Windham County (Brattleboro Town

School District Early Education Services,

Brattleboro)

—Communities of Newport, Irasburg/Albany,

Barton, Island Pond, Gilman, St.

Johnsbury, Hartwick, Lyndonville and

Burke (North East Kingdom Community

Action, Inc., Newport)

Virginia

—Cities of Bristol, Abingdon, Glade Spring,

Meadowview, Lebanon, Clintwood and

Grundy (People, Inc., Abingdon)

—Route 1 corridor in Fairfax County,

Virginia (United Cerebral Palsy of

Washington DC and Northern Virginia,

Washington, DC)

—Fairfax County, Cities of Fairfax and Falls

Church

Washington

—Communities of Kent, Auburn, Renton

(Children’s Home Society of Washington,

Auburn)

—Port Gamble Reservation; Kitsap County

(Port Gamble S’Klallam Tribe, Kingston)

—Spokane County and City of Spokane

(Washington State Community College

District 17, Spokane)

—Yakima County (Washington State Migrant

Council, Grandview)

—City of Seattle

West Virginia

—Communities of Wadestown and Sabraton

(Monongolia County Board of Education,

Morgantown)

—Counties of Cabell, Lincoln, Mason, and

Wayne

Wisconsin

—Counties of Adams, Columbia, Dodge,

Juneau, and Sauk (Renewal Unlimited,

Baraboo)

—Counties of Barron, Chippewa, Dunn,

Pepin, Pierce, Polk, and St. Croix) (CESA

#11, Turtle Lake)

—I–94 to Capitol Drive; 10th Street to

Sherman Blvd. in the City of Milwaukee;

and Milwaukee County (Next Door

Foundation, Milwaukee)

Wyoming

—Counties of Converse, Goshen, Natrona,

Niobrara, Platte

Appendix E—Category Two—New Awards

to Communities Served by PCCS: List of

Geographic Areas Open to Competition

Under Category Two

Under Category Two, applicants from

communities served by current Parent and

Child Center programs may apply to operate

an Early Head Start program within their

community. Applicants from each

community will compete for funds against
Federal Register / Vol. 62, No. 74 / Thursday, April 17, 1997 / Notices 19005

other applicants from the same community.

The competitive areas are listed below.

Alabama

1. Competitive Area: Jefferson County

Arizona

2. Competitive Area: City of Tucson

California

3. Competitive Area: Cities of Berkeley,

Albany, Emeryville

4. Competitive Area: City of Los Angeles

(excluding the Cities of Santa Monica,

Venice, Mar Vista, Culver City, North

Inglewood and west of Fairfax Avenue

(west LA))

5. Competitive Area: City of San Diego

6. Competitive Area: City of Oakland

7. Competitive Area: Counties of Shasta,

Siskiyou and Trinity

Colorado

8. Competitive Area: Counties of Bent,

Crowley, Otero, and Prowers

Connecticut

9. Competitive Area: Windham County

Delaware

10. Competitive Area: Sussex County

Florida

11. Competitive Area: Broward County

12. Competitive Area: Duval County

Georgia

13. Competitive Area: Counties of Murray

and Whitfield

Idaho

14. Competitive Area: Nez Perce County,

Idaho and Asotin County, Washington

Illinois

15. Competitive Area: City of Chicago

(excluding the Garfield School area, the

Robert Taylor Homes area, and the North

Lawndale Community)

Indiana

16. Competitive Area: Clark County

Kentucky

17. Competitive Area: Jefferson County

Louisiana

18. Competitive Area: City of New Orleans

19. Competitive Area: Jefferson Parish

Maryland

20. Competitive Area: City of Baltimore

(excluding the Hightown area)

Massachusetts

21. Competitive Area: City of Boston

Michigan

22. Competitive Area: Counties of Gratiot,

Ionia, Isabella, and Montcalm

23. Competitive Area: Indian Reservations of:

Bay Mills, Hannahville, Keweenaw Bay,

Isabella, and Lac Viewux Desert

Minnesota

24. Competitive Area: Hennepin Count

(excluding the Midway Section)

Mississippi

25. Competitive Area: Jackson County

26. Competitive Area: Leflore County

Montana

27. Competitive Area: Yellowstone County

28. Competitive Area: Blackfeet Indian

Reservation

Nebraska

29. Competitive Area: Douglas County

Nevada

30. Competitive Area: Counties of Clark, Elko

and White Pine

New Jersey

31. Competitive Area: Upper Passaic County

New Mexico

32. Competitive Area: County of Bernalillo

New York

33. Competitive Area: City of Buffalo

34. Competitive Area: Bronx County

(excluding the areas of Kingsbridge

Heights, Marble Hill, Fordham and

Tremont)

North Carolina

35. Competitive Area: Craven County

36. Competitive Area: Macon County

37. Competitive Area: McDowell County

38. Competitive Area: Rowan County

39. Competitive Area: Wayne County

North Dakota

40. Competitive Area: Ward County

Ohio

41. Competitive Area: Lorain County

Oklahoma

42. Competitive Area: Creek County

Oregon

43. Competitive Area: City of Portland

44. Competitive Area: Umatilla County

Pennsylvania

45. Competitive Area: Counties of

Lackawanna, Pike, Susquehanna, and

Wayne

46. Competitive Area: Counties of Mifflin,

Snyder, and Union

Puerto Rico

47. Competitive Area: Municipality of

Carolina

Rhode Island

48. Competitive Area: Newport County

South Dakota

49. Competitive Area: Crow Creek Sioux

Reservation and parts of Pennington

County

50. Competitive Area: Oglala Sioux

Reservation

Tennessee

51. Competitive Area: Counties of Giles,

Bedford and Lawrence

Texas

52. Competitive Area: Cherokee County

53. Competitive Area: City of Houston

Utah

54. Competitive Area: Davis County

Virginia

55. Competitive Area: Fairfax County, Cities

of Fairfax and Falls Church

Washington

56. Competitive Area: City of Seattle

West Virginia

57. Competitive Area: Counties of Cabell,

Lincoln, Mason, and Wayne

Wyoming

58. Competitive Area: Counties of Converse,

Goshen, Natrona, Niobrara, Platte

[FR Doc. 97–9910 Filed 4–16–97; 8:45 am]

BILLING CODE 4184–01–P