[Federal Register: April 8, 1997 (Volume 62, Number 67)] [Notices] [Page 16816-16840] From the Federal Register On-line via GPO Access [wais.access.gpo.gov] [DOCID:fr08ap97_dat-87] ---------------------------------------------------------------------- DEPARTMENT OF HEALTH AND HUMAN SERVICES Administration for Children and Families [Program Announcement No. 93600-97-2] Head Start Bureau: Fiscal Year 1997 Discretionary Announcement for Cooperative Agreements to support Head Start Disability Services Quality Improvement Centers; Availability of Funds and Request for Applications AGENCY: Administration on Children, Youth and Families, ACF, DHHS. ACTION: Notice. ----------------------------------------------------------------------- SUMMARY: The Administration for Children and Families, Administration on Children Youth and Families' Head Start Bureau announces the availability of competitively awarded cooperative agreements to assist qualified institutions and organizations in the provision of training and technical assistance (T/TA) on Head Start disabilities services activities in 12 service areas. The cooperative agreements will support Head Start Disabilities Services Quality Improvement Centers (DSQICs). ACF Regions I through X, and the American Indian Program and Migrant Program Branches will each have one DSQIC. The States included in each of these 12 service areas are listed in Appendix A. DATES: The closing date for the submission of applications under this announcement is June 9, 1997. FOR FURTHER INFORMATION CONTACT: For questions related to the Program Announcement, please contact the ACYF Operations Center, Technical Assistance Team at 1-800-351-2293. Staff at this center will answer questions regarding the application requirements or refer you to the appropriate contact person in ACYF for programmatic questions. You may also locate frequently asked questions about this program announcement on the ACYF Website at http:\\www.acf.dhhs.gov. Background Head Start is a national program that provides comprehensive developmental services for preschool children, ages three to five from low-income families and, under the Early Head Start program, for infants, toddlers and pregnant women. An essential feature of every Head Start program is the involvement of parents, both in the development of their children and in the direction of the program at the local level. Now administered by the Administration for Children and Families, the Head Start program began in 1965 in the Office of Economic Opportunity as an innovative way to serve children and their low-income families. For FY 1997, $3,981,000,000 is available for Head Start and approximately 800,000 children are expected to be enrolled. Approximately 1,480 community-based, public and private non-profit organizations receive Head Start grants and develop unique and innovative programs within a framework of national standards to meet their specific local needs. Head Start links families with other community institutions and local education agencies through both center and home-based programs. In FY 1994 the Advisory Committee on Head Start Quality and Expansion issued its recommendations for improvement and expansion. It recommended that Head Start (1) strive to achieve quality and excellence in every local Head Start program, (2) respond flexibly to the needs of the children served and their families and (3) forge new partnerships at the community, State and Federal levels. The Committee found that most Head Start grantees provide high quality services; however, the quality of programs is uneven across the country. In renewing the Head Start vision in a way that responds more effectively to a changing world, Head Start is continuing to provide high quality comprehensive services and to strive for excellence. As Head Start is expanding and renewing itself, there is a concomitant need for assistance from institutions and organizations that can provide effective and responsive training and technical assistance that support the work of the grantee and delegate agencies that directly provide the services to children and their families. Program Purpose The Head Start Disabilities Services Quality Improvement Centers (DSQICs) created through this announcement will form a regionally-based system, composed of institutions and organizations whose common purpose will be to work with local Head Start programs through training and technical assistance. This nationwide T/TA effort is designed to support the continuous improvement of all grantees and delegate agencies as they work to provide high quality and effective services to children and families and address the emerging priorities of child care partnerships, Head Start expansion and welfare reform. The T/TA system reflects a national commitment to quality improvement, local capacity- building and ongoing evaluation. The major purpose of the DSQICs is to provide Head Start and Early Head Start grantees with technical assistance and training to enable them to include children with disabilities into these programs so that the special needs resulting from their disabilities and the special needs of their parents are met. Head Start programs are required to make at least ten percent of their enrollment opportunities available to children with disabilities. In the 1995-96 program year children with disabilities comprised approximately 13% of the children enrolled in Head Start. Head Start programs provide services to children with disabilities and their families in a manner which includes them in all aspects of the program and supports collaborative arrangements with other community programs, particularly local education agencies (LEAs), to deliver needed special services. Head Start programs must comply with the Performance Standards in designing and delivering services for children with disabilities. Quality Improvement Centers In previous years, ACF operated its national Head Start T/TA system through contracts, acquiring the services of qualified providers to meet the training and technical assistance needs of local Head Start programs. In this announcement, ACF responds to the recommendations of the Secretary's Advisory Committee on Head Start Quality and Expansion and to consultations with more than 1,000 people in the field of Head Start and early childhood development to redesign its T/TA system. This cooperative agreement Quality Improvement Center will provide assistance to institutions and organizations with expertise in the field of early child development and education to: respond to the needs of grantees and delegate agencies and of communities for flexible technical assistance; expand the influence of Head Start as a national laboratory to other community- and academically-based early childhood development and education programs; and to work with grantees and delegate agencies and with communities in achieving continuous quality improvement of their services for children and low-income families. Rather than a system of T/TA that relies principally on Federal direction and decision-making, this new approach seeks to assist experts in the communities where Head Start programs provide services in becoming [[Page 16817]] collaborators in a renewed quality improvement effort. This revised Head Start T/TA system will promote excellence by supporting a continuous learning environment for Head Start staff. It will foster partnerships among Head Start programs, communities, academic institutions (two or four year colleges and universities) and governments to engage them in helping children, parents, and staff develop their full potential. DSQICs Roles and Responsibilities The DSQICs are to work with Head Start grantees to enable Head Start programs to develop the following capacities: Among the services the DSQICs will provide are the following: DSQICs Structure and Design The DSQICs will each establish structures for the delivery of services that meet the needs of their service area based on the training needs identification process. We expect these structures will vary from DSQIC to DSQIC. These structures might involve creating one or more satellite offices to serve the Head Start grantees in a State, in several States or a cluster of grantees in parts of one or more States. Such State or cluster sites may be used to establish a presence closer to grantee communities, to provide training, technical assistance or networking with grantees with similar needs. Large States may have more than one cluster office and smaller States may share a cluster office. The DSQIC is encouraged to consider establishing satellite offices with other Head Start T/TA providers. The American Indian Programs Branch's DSQIC may have up to three cluster offices and the Migrant Programs Branch's DSQIC may have up to two cluster offices. In other instances, a DSQIC might assign staff within its central office to serve as a liaison to grantees in a State or part of a State. Applicants are encouraged to propose efficient and effective approaches to achieving this kind of geographic proximity. It is assumed that Head Start grantees and delegate agencies will have varying levels of T/TA needs and will, therefore, seek varying levels of assistance from this project. DSQICs will be responsible for fulfilling the program goals and objectives outlined in their applications, including responsibilities for directing, managing and implementing programs of training and technical assistance for the Regions that they serve. These programs should be tailored to meet the disability services T/TA needs of the various Head Start grantees. Additional information about the range of program areas and needs of Head Start grantees and guidance to approaches to training and technical assistance is provided in Appendix B. Federal Involvement Roles and Responsibilities Federal involvement in the DSQICs will include substantial roles for the Head Start Bureau, which includes the American Indian Programs Branch and the Migrant Programs Branch, and the ACF Regional Offices. Substantial Head Start Bureau and ACF Regional Office involvement with the DSQIC will occur when: The roles of the Head Start Bureau and ACF Regional Offices are as follows: The Head Start Bureau will: [[Page 16818]] The ACF Regional Offices and the Head Start Bureau's American Indian Programs Branch and Migrant Programs Branch will each: Program Duration This announcement is soliciting applications for project periods up to five years. Awards, on a competitive basis, will be for a one-year budget period. Applications for continuation cooperative agreements funded under these awards beyond the one-year budget period, but within the five-year project period, will be entertained in subsequent years on a noncompetitive basis, subject to the availability of funds, satisfactory progress of the cooperative agreement grantee and a determination that continued funding would be in the best interest of the government. Eligible Applicants Public, private nonprofit, and private for-profit organizations are eligible to apply for these cooperative agreements. It should be noted that for-profit organizations must waive their fee/profit. Only incorporated agencies and organizations, not individuals, are eligible to apply. On all applications developed jointly by more than one agency or organization, the application must identify only one organization as the lead organization and the official applicant. The other organizations may be included as participants, subgrantees or subcontractors. An applicant may apply for more than one service area, but must submit a separate application for each service area for which it is applying. Before the applications are reviewed, each application will be screened to determine that the applicant organization is an eligible applicant as specified. Ineligible applicants will be notified at that time. Project Development Applicants are urged to discuss their interests and ideas for developing DSQICs early in the planning stage with local Head Start grantees and appropriate State, Regional, and local agencies. Community support should be encouraged by providing opportunities for public and private participation in the planning and development phases. This program is covered under Executive Order 12372, ``Intergovernmental Review of Federal Programs,'' and 45 CFR Part 100, ``Intergovernmental Review of Health and Human Services Program and Activities.'' Under the Executive Order, States may design their own processes for reviewing and commenting on proposed Federal assistance under covered programs. All jurisdictions which participate in the Executive Order process have established Single Points of Contact (SPOCs). A list of the Single Points of Contact for each State and Territory is included in this program announcement as Appendix C. Applicants from participating jurisdictions should contact their SPOCs as soon as possible to alert them to the prospective applications and to receive instructions. Applicants must submit any required material to the SPOCs as soon as possible so that the ACF program office can obtain and review SPOC comments as part of the award process. The applicant must submit all required materials, if any, to the SPOC and indicate the date of this submittal (or the date of contact if no submittal is required) on the Standard Form 424, item 16a. Under 45 CFR 100.8(a)(2), a SPOC has 60 days from the application deadline to comment on proposed new and competing continuation awards. SPOCs are encouraged to eliminate the submission of routine endorsements as official recommendations. Additionally, SPOCs are requested to clearly differentiate between mere advisory comments and those official State process recommendations which may trigger the ``accommodate or explain'' rule. When comments are submitted directly to ACF, they should be addressed to: Department of Health and Human Services, Administration for Children, Youth and Families, Head Start Bureau, P.O. Box 1182, 330 C Street, S.W., Washington, D.C. 20201. Completing the Application In preparing the application, use standard English language and avoid jargon. For the program narrative, type using black print no smaller than 12 pitch or 12 point size. An application may not exceed 250 double-spaced pages inclusive of resumes, charts and appendices. If applications exceed 250 double-spaced pages, the other pages will be removed from the application and not considered by the reviewers. Each copy should be secured with a binder clip in the upper left- hand corner. The application must be paginated beginning with the Form 424 and also contain a table of contents listing each section of the application with the respective pages. To facilitate handling, do not use covers, ring binders or tabs. Applicants are requested not to send pamphlets, brochures, or other printed materials as these pose xeroxing difficulties nor should any video material be submitted. These materials, if submitted, will not be included in the review process if they exceed the page limitation. Each page of the application will be counted to determine total length. Applicants are advised that the copies of application submitted, not the original, will be reproduced by the Federal government for review. Instructions for completing the forms are found either on the reverse sides of the forms or on supplemental pages. Additional guidance may be provided in the program announcement. If more space is needed than is provided, use a blank sheet of paper to complete the item, using the identical format. Clearly identify the continuation page as such, and the information items contained thereon, and attach the page after the appropriate page of the application. Computer- generated facsimiles may be [[Page 16819]] substituted for any of the forms provided in this packet. Such substitute forms should be printed in black ink and must maintain the exact wording and format of the government-printed forms, including all captions and spacing. Any deviations may be grounds for ACF to reject the entire application. Additional note: For SF-424 item ``Federal Identifier,'' if the applicant organization currently has a payment account with the Department of Health and Human Services, cite the Payee EIN or PIN in the ``Federal Identifier'' block. Assembling To facilitate the review and processing of the application by the awarding office, all pages should be numbered and preceded by a table of contents. Assemble the application with the cover letter (if provided) on top followed by a table of contents, the SF-424 series forms, the program narrative, and any remaining documents. Completed applications should be signed and dated in ink by the authorized official of the applicant organization. An original and two copies of the application should be provided. Applicants may omit from the application copies specific salary rates or amounts for individuals identified in the application budget. This information will be made available to the non-Federal reviewers. Rather, only summary information is required. Applicants are encouraged to use the least costly, but most efficient method for binding and securing their application documents. Application Submission Mail or hand deliver completed applications in accordance with the instructions in this announcement. Be aware that the deadline specified in this announcement is either a receipt date or a postmark date deadline. Also note that there are different instructions and addresses for mail delivery and hand delivery of applications. ACF cannot accommodate transmissions of applications by fax or through other electronic media. Therefore, applications transmitted to ACF electronically will not be accepted regardless of date or time of submission and time of receipt. An applicant should submit an original and two copies of its application by mail to: ACYF Operations Center, 3030 Clarendon Blvd., Suite 240, Arlington, Virginia 22201, (703) 351-7676, (703) 528-0716 (FAX). An applicant may apply for more than one Regional service area, but must submit a separate application for each service area for which it is applying. Applications hand-carried by applicants, applicant couriers, or by overnight/express mail couriers shall be considered as meeting an announced deadline date if delivered between the normal working hours of 8 a.m. and 4:30 p.m., to Room 2100, Switzer Building, 330 C St., S.W., Washington, D.C. 20201, Monday through Friday, (excluding Federal holidays). (Applicants are cautioned that express/overnight mail services do not always deliver as agreed.) Deadlines: Applications will be considered as meeting the above deadline if they are either: 1. received on or before the deadline date at the receipt point specified in this program announcement, or 2. sent on or before the deadline date and received by ACF in time for the independent review. Applicants are responsible for mailing applications well in advance, when using all mail services, to ensure that applications are received on or before the deadline date. Applicants are cautioned to request a legibly dated U.S. Postal Service postmark or to obtain a legibly dated receipt from a commercial carrier or U.S. Postal Service. Private Metered postmarks shall not be acceptable as proof of timely mailing. Late Applications Applications which do not meet the criteria above are considered late applications. ACF will notify each late applicant that its application will not be considered in the current competition. ACF may extend the deadline for all applicants because of acts of God such as floods, hurricanes, etc., or when there is a widespread disruption of the mails. However, if ACF does not extend the deadline for all applicants, it may not waive or extend the deadline for any applicants. Intent to Apply If you are going to submit an application, you are asked to send a postcard or call in the following information: the name, address, and telephone number of the contact person; the name of the organization; and the Regional service area in which you may submit an application within two weeks of receipt of this announcement to: Administration on Children, Youth and Families, Operations Center, 3030 Clarendon Boulevard, Room 240, Arlington, Va. 22201. The telephone number is 1- 800-351-2293. This information will be used to determine the number of expert reviewers needed and to update the mailing list of persons to whom the program announcement is sent. Acknowledgement of Receipt Each applicant will be sent a written acknowledgement of receipt by ACF as soon as possible after receipt of an application. Applicants are welcome to provide mailing labels with their applications to help expedite this process. If provided, the mailing label(s) should reflect the mailing address of the authorizing official who is applying on behalf of the organization. If acknowledgement of receipt of your application is not received within eight weeks after the deadline date, please notify the ACYF Operations Center by telephone at 1-800-351- 2293. Nonconforming Applications Applications which are determined to be nonconforming shall not be accepted for processing and shall be returned to the applicant. A grant application may be classified as nonconforming if it does not meet the requirements of this program announcement. Application Review Applications will be evaluated and rated according to criteria and priorities which are described in this announcement (see below). ACF anticipates awarding cooperative agreements for the T/TA grants described in this announcement. A cooperative agreement is a financial assistance award that allows substantial Federal involvement in the activities undertaken with Federal financial support. Supporting the DSQICs through cooperative agreements will ensure cooperation and coordination in the provision of T/TA to Head Start programs and related community child development efforts between the Federal government and the organizations and institutions that operate DSQICs. Timely applications from eligible applicants will be reviewed and scored competitively. Experts in the field, generally persons from outside the Federal government, will use the evaluation criteria listed below to review and score the applications. The results of this review are the primary factor that will be used in making funding decisions. ACYF may also solicit written comments from ACF Regional Offices, the Head Start Bureau and other Federal agencies with knowledge of the applicant's capability and expertise. These comments, along with those of the expert reviewers, will be considered in making funding [[Page 16820]] decisions and will be a part of the official application file. The applicant must demonstrate capacities to work with community- based, family-centered programs, low-income families, and the public and private organizations that relate to them. There must be a congruence of the applicant's mission or purpose with the basic mission of the Head Start program to provide comprehensive child development services for the children of low-income families. Evaluation Criteria All timely applications from eligible applicants will be evaluated on the extent to which they meet the following criteria: a. Objectives and Need for Assistance (10 points) The applicant clearly and concisely identifies and documents relevant economic, social, financial, institutional and other problems requiring training and technical assistance; and states the principal and subordinate objectives of the proposed DSQIC. Supporting documentation or other testimony from concerned interests other than the applicant on the need for assistance may be used. b. Results or Benefits Expected (10 points) The applicant clearly and concisely identifies the specific and measurable results and benefits to be achieved by the proposed DSQIC, which are consistent with the objectives of the proposal, and indicates anticipated contributions to the quality of Head Start services, policy, and practice. c. Approach (40 points) The applicant describes how the project will be conducted. The applicant describes: how grantees will be supported in moving toward higher levels of quality and excellence; the levels of T/TA service that will be provided to different categories of grantees and how grantees will be selected for each level of service; the uses that will be made of communication technology and learning modules; how priorities will be set among competing demands; and how work assignments will be managed. The applicant proposes a realistic and comprehensive plan of action for achieving the objectives of the proposed DSQIC; details how the proposed T/TA would be accomplished and lists organizations, consultants, and other key individuals who will work on the project; and describes its approach to ensuring continuous improvement in its efforts to meet the identified needs and to achieve the identified results and benefits. d. Staff Background and Organization's Experience (20 Points) The applicant identifies qualified staff with the necessary educational and experiential backgrounds and documents the background of the proposed project director and other proposed project staff (providing name, address, training, most relevant educational background and other qualifying experiences along with resumes and short descriptions of their proposed responsibilities or contributions to the applicant's work plan); the experience of the applicant in administering a project like the one proposed; and the applicant's ability to effectively and efficiently administer this project. e. Budget Appropriateness and Reasonableness (20 Points) The applicant clearly describes and justifies as reasonable and realistic the project's costs in view of the activities to be carried out and the anticipated outcomes. Funding Decisions After a decision has been reached to disapprove or not fund a grant submission during a given review cycle, a written notice shall be sent to the unsuccessful applicant by the responsible program official within 30 days after that decision. The anticipated annual funding for the DSQICs will range from a minimum of approximately $475,000 to a maximum of approximately $1,025,000, depending upon the service area. These amounts are generally proportionate to a combination of the number of Head Start children and the number of Head Start grantees in each service area, as compared to other service areas. Below is a list of the projected annual funding level for the initial funding year for each service area. It is anticipated that funding for each of the four possible subsequent years of funding will, at a minimum, equal the funds available for the first year. ------------------------------------------------------------------------ Number of grantees in Estimated Service areas service funding area ------------------------------------------------------------------------ Region I...................................... 80 $540,000 Region II..................................... 106 820,000 Region III.................................... 146 710,000 Region IV..................................... 233 1,025,000 Region V...................................... 213 1,025,000 Region VI..................................... 180 860,000 Region VII.................................... 73 550,000 Region VIII................................... 75 575,000 Region IX..................................... 79 725,000 Region X...................................... 64 475,000 American Indian Program....................... 130 650,000 Migrant Program............................... 25 650,000 ------------------------------------------------------------------------ Program income must be reported to ACF, and its use, accounted for on the SF 269, must enhance the ACF cooperative agreement projects and benefit the Head Start grantees. The income must be added to funds committed to the cooperative agreement and must be used to further eligible program objectives. There is no requirement to request prior approval to defer the use of program income for a later period of time. It is anticipated that twelve Regional DSQICs will be funded under this announcement. ACYF intends to award the new cooperative agreements under this announcement during the fourth quarter of FY 1997. Program Narrative The program narrative provides a major means by which the application is evaluated and ranked to compete with other applications for available assistance. It should be concise and complete and should address the activity for which Federal funds are being requested. Supporting documents should be included when they can present information clearly and succinctly. Applicants are encouraged to provide information on their organization structure, staff, related experience, and other information considered to be relevant. Awarding offices use this and other information to determine whether the applicant has the capability and resources necessary to carry out the proposed project. It is important, therefore, that this information be included in the application. However, in the narrative, the applicant must distinguish between resources directly related to the proposed project and those which will not be used in the support of the specific project for which funds are being requested. Cross-referencing should be used rather than repetition. ACF is particularly interested in specific factual information and statements of measurable goals in quantitative terms. Narratives are evaluated on the basis of substance, not length. Extensive exhibits are not required. (Supporting information concerning activities which will not be directly funded by the grant or information which does not directly pertain to an integral part of the grant [[Page 16821]] funded activity should be placed in an appendix.) Pages should be numbered for easy reference. Prepare the program narrative statement using the following format and guidance: 1. Project Summary/Abstract. A summary of the project description (usually a page or less) with reference to the funding request should be placed directly behind the table of contents or SF-424. 2. Objectives and Need for Assistance. Applicants must clearly identify the physical, economic, social, financial, institutional or other T/TA problems requiring solutions. The need for assistance must be demonstrated and the principal and subordinate objectives of the project must be clearly stated; supporting documentation, such as letters of support and testimonials from concerned interests other than the applicant, may be included. Any relevant data based on planning studies should be included or referenced in the endnotes/footnotes. Incorporate demographic data and participant/beneficiary information, as needed. In developing the narrative, the applicant is requested to provide information on the total range of projects currently conducted and supported (or to be initiated), some of which may be outside the scope of the program announcement. 3. Results or Benefits Expected. Identify the results and benefits to be derived from the T/TA services to be provided. 4. Approach. Outline a plan of action that describes the scope and detail of how the proposed work would be accomplished. Account for all functions or activities identified in the application. Cite factors which might accelerate or decelerate the work and state your reasons for taking your approach rather than others. Describe unusual features of the project such as use of technological innovations, reductions in costs or time, or extraordinary social and community involvement. Successful applicants will present approaches for providing training and technical assistance to Head Start programs that take into account that some grantees and delegate agencies may have self- sufficient, well-developed and multifaceted T/TA efforts, while other grantees and delegate agencies may have a greater need for T/TA from Regionally-based providers. Additional guidance on project design is provided in Appendix B. Describe the approaches to be taken and the issues taken into consideration for establishing close working relationships at State levels or with geographically defined clusters of grantees. Describe how the T/TA services would be designed for or could be adapted for local Head Start programs in a variety of settings including center-based, home-based, combination, part-and full-day programs. Describe a strategy for working in cooperation with the ACF Regional Office responsible for the service area in which the application proposes to provide T/TA or with the American Indian Program Branch and Migrant Programs Branch, respectively. 5. Geographic Location. Give the precise location of the project and the boundaries of the area to be served by the proposed project. Maps or other graphic aides may be attached. 6. Additional Information. Staffing and Position Data--Provide biographical sketches for key personnel proposed and a job description for each vacant key position. Organization Profiles--Describe your institutional/organizational capability and background in disabilities services, early childhood development/early childhood education, Head Start programs, supporting interagency collaboration in disabilities and T/TA delivery. Include information on applicant organizations and their cooperating partners such as organizational charts, financial statements, audit reports or statements from a CPA/Licensed Public Accountant, Employer Identification Numbers, names of bond carriers, contact persons and telephone numbers for chief organizational officer(s). Any nonprofit organization submitting an application must submit proof of its nonprofit status in its application at the time of submission. The nonprofit agency can accomplish this by providing a copy of the applicant's listing in the Internal Revenue Service's (IRS) most recent list of tax-exempt organizations described in Section 501(c)(3) of the IRS code or by providing a copy of the currently valid IRS tax exemption certificate, or by providing a copy of the articles of incorporation bearing the seal of the State in which the corporation or association is domiciled. For-profit organizations submitting an application must include a written statement which certifies that they operate as a corporation incorporated under the laws of the State of (fill in the blank), and must provide proof of this status. Third-Party Agreements--Provide written agreements between grantees and subgrantees or subcontractors or other cooperating entities. These agreements may detail scope of work, work schedules, remuneration, and other terms and conditions that structure or define the relationship. Letters of Support--Provide statements from community, public and commercial leaders who support the project proposed for funding. Reporting--Provide quarterly progress reports for seriously deficient grantees and, coordinated with the Federal Project Officer and the Regional Coordinator, quarterly statistics on: The number of on-site T/TA visits, the number of conferences/workshops, the number of local T/TA resources accessed, the number of child care programs receiving T/TA services. Provide a quarterly financial statement which includes information on the amount of funds expended during the quarter, the cumulative amount expended, and the amount of funds remaining available. Note: Eligible applicants must submit a complete application including the required forms included at the end of this program announcement. In order to be considered for a cooperative agreement under this announcement, an application must be submitted on the forms and following the directions provided in this announcement, all of which are approved by the Office of Management and Budget under Control Number 0970-0139. Required forms include the Standard Form 424 application form and Standard Form 424B, ``Assurances: Non-Construction Programs.'' Applicants must provide a certification concerning lobbying on the form provided (OMB-0348-0046). Prior to receiving an award in excess of $100,000, applicants shall furnish an executed copy of the lobbying certification. Applicants must sign and return the certifications with their application. Applicants must make the appropriate certification of their compliance with the Drug-Free Work Place Act of 1988. By signing and submitting the application, applicants are providing the certification and need not mail back the certification with the application. Applicants must make the appropriate certification that they are not presently debarred, suspended or otherwise ineligible for award. By signing and submitting the application, applicants are providing the certification and need not mail back the certification with the application. Applicants must also understand that they will be held accountable for the smoking prohibition included within [[Page 16822]] Public Law 103-227, The Pro-Children's Act of 1994. A copy of the Federal Register notice which implements the smoking prohibition is included with the forms. Paperwork Reduction Act of 1995 Under the Paperwork Reduction Act of 1995 (Pub. L. 104-13), the Department is required to submit to the office of Management and Budget (OMB) for review and approval any reporting and record-keeping requirements or program announcements. This program announcement meets all information collection requirements approved for ACF grant applications under OMB Control Number 0970-0139. An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number. Additional Information to Assist Applicants in Preparing Their Applications For an information kit which identifies the Head Start grantees in each Regional service area and which includes a copy of the revised Head Start Performance Standards, a copy of the Head Start regulations and other materials that may be useful in preparing of a response to this announcement, please contact: ACYF Operations Center, 3030 Clarendon Blvd., Suite 240, Arlington, VA 22201, 703-351-7676, 703-528- 0716 (FAX). Six information sharing meetings will be conducted in person or via video-conference in the following locations. Please call the telephone numbers provided for information about exact date, time and place of the meetings: Washington, D.C., at the Switzer Building, in Room 2100, 330 C St., S.W., the contact: Rosalind Dailey, 202-205-8347. New York, New York, at Region II Office, call 212-264 2974. Atlanta, GA, at Region IV Office, call 404-331-2398. Chicago, Illinois, at Region V Office, call 312-353-8322. Dallas, Texas, at Region VI Office, call 214-767-9648. San Francisco, California, at Region IX Office, call 415-437-8481. The questions and responses discussed at these meetings will be typed and mailed to all participating parties as well as organizations expressing an interest in receiving copies. Statutory Authority Catalog of Federal Domestic Assistance (CFDA) number 93.600, Project Head Start. 42 U.S.C. Sec. 9801, et seq., The Head Start Act, as amended. Dated: April 1, 1997. James A. Harrell, Acting Commissioner, Administration on Children, Youth and Families. Appendix A--Regional Service Areas To Be Served by Disabilities Services Head Start Quality Improvement Centers Region I Connecticut, Maine, Massachusetts, New Hampshire, Rhode Island, Vermont Region II New Jersey, New York, Puerto Rico, Virgin Islands Region III Delaware, Maryland, Pennsylvania, Virginia, Washington, D.C., West Virginia Region IV Kentucky, North Carolina, South Carolina, Tennessee, Alabama, Florida, Georgia, Mississippi Region V Michigan, Minnesota, Wisconsin, Illinois, Indiana, Ohio Region VI Arkansas, Louisiana, Oklahoma, New Mexico, Texas Region VII Iowa, Kansas, Missouri, Nebraska Region VIII Colorado, Montana, North Dakota, South Dakota, Utah, Wyoming Region IX Arizona, California, Hawaii, Nevada, American Samoa, Commonwealth of the Marianas, Guam, Trust Territories Region X Idaho, Oregon, Washington American Indian Programs Branch American Indian Head Start grantees in Alaska, Arizona, California, Colorado, Florida, Idaho, Kansas, Michigan, Minnesota, Mississippi, Montana, Nebraska, Nevada, New Mexico, New York, North Carolina, North Dakota, Oklahoma, Oregon, South Dakota, Utah, Washington, Wisconsin, Wyoming Migrant Programs Branch Migrant Head Start grantees in Alabama, Arizona, Arkansas, California, Colorado, Delaware, Florida, Georgia, Idaho, Illinois, Indiana, Maryland, Michigan, Minnesota, New Jersey, New Mexico, New York, North Carolina, Ohio, Oregon, Pennsylvania, South Carolina, Tennessee, Texas, Utah, Virginia, Washington, Wisconsin Appendix B--Guidance for the Project Design of a Disabilities Services Head Start Quality Improvement Center The Regional Disabilities Services Head Start Quality Improvement Centers (DSQICs) are envisioned to be coordinator/information hubs at the Regional/American Indian Programs Branch (AIPB)/Migrant Programs Branch (MPB) level, disseminating and collecting information from the ACF Regional and National Offices, the American Indian Programs and Migrant Programs Branches, and Head Start grantees, as well as the broader child care community to support the ongoing quality improvement of Head Start (including Early Head Start) services to children with disabilities and their families. The DSQICs are encouraged to work with local agencies to develop interagency agreements and partnerships for the delivery of T/TA. As partners with the Head Start Bureau and ACF Regional Offices, the recipients of these awards are encouraged to propose plans that define strategies to meet the needs of Head Start grantees and delegate agencies as well as the child development field in the areas that they will serve. The strategies should provide for some level of support for all grantees and delegate agencies. The provision of T/TA should begin with a strategic planning process that will include a needs assessment and plan development and will continue with steps for the implementation of T/TA services and for the evaluation of those services. Information may be shared among all T/TA providers and with the Head Start Bureau and ACF Regional Offices. The DSQICs will have responsibility for assuring that Head Start grantees are informed and supported in efforts to acquire quality T/TA on disabilities services and assuring that T/TA can be provided statewide and to clusters of grantees, as well as to individuals at the grantee level. The DSQICs may consider the development of State/cluster sites. These State/cluster sites, suggested to ACF in consultations carried out in the preparation of this program announcement, are envisioned as extensions of the DSQICs. The number of skilled staff located at the State/cluster site would be dependent upon the size and number of grantees and delegate agencies and within the geographic area covered. Current teaching centers or State/American Indian/Migrant Head Start Association offices might be considered as possible State/cluster sites. As partners at the state level a significant focus for the DSQICs will be to promote collaboration between Head Start grantees and other programs and agencies in the development of plans for collaborative and coordinated services for preschool children with disabilities. Since 1977 ACYF has charged the Head Start Disabilities T/TA Network to serve as liaisons between Head Start and State Education Agencies (SEAs) for the purpose of developing agreements that support coordinated efforts to serve young children with disabilities. These agreements provide leadership and [[Page 16823]] guidance for the development of local interagency agreements between Head Start programs and the local education agencies in their community. Written interagency agreements between Head Start representatives and SEAs are in place in most States. Since Head Start is a Federal program that directly funds local grantees, there is a special need for support of the development of State-level agreements which specifically outline the approach for Head Start and local education agency (LEA) coordination to jointly meet the needs of young children with disabilities, including infants and toddlers, and their families. The SEAs are required by Individual with Disabilities Education Act (IDEA) to develop and implement interagency agreements with agencies serving young children with disabilities. For most agreements, the State Head Start Association and the ACF Regional Office are the Head Start representatives to the agreement. Head Start programs need ongoing assistance in the development and/ or revision of agreements between the SEA and Head Start by soliciting information from Head Start programs on needs and opportunities for collaboration in their State: incorporating input from the Regional Office Coordinator and the State Head Start Association; and preparing/ revising an agreement to be signed by the ACF Regional Administrator, the appropriate SEA administrator, State Head Start Association representative, and other agencies participating in the agreement. These agreements typically describe, at a minimum, how Head Start and the Local Education Agencies should collaborate to serve young children with disabilities, including: Additional efforts to support collaborative approaches to services could include: In addition, the DSQICs should work with their ACF Regional Offices, or the American Indian Programs and Migrant Programs Branches to implement T/TA in the following areas:
Quality improvement: * Core Head Start Services + T/TA resources needed to assure compliance with the Head Start Program Performance Standards in Disabilities Services and to implement program improvement plans and best practices. + Needs Assessments using information collected, analyses and syntheses from National Head Start T/TA providers, the Head Start Bureau and ACF Regional Offices, State/cluster levels and local Head Start Programs. + Needs assessment by State on needs for T/TA on implementation of early childhood partnership strategies in funding and program delivery. + Assistance in designing and implementing a disabilities service plan, through coordination with local education agencies and other community partnerships. + Training based on needs assessments and emerging priorities shared by many grantees, i.e. recruitment and enrollment of children with disabilities, including those with more significant disabilities; management practices which provide staff with the supervision, information and support needed to meet identified needs of children and families served; promoting the involvement of parents on all aspects of the child's program, including the child's transition to public school. + In collaboration with the American Indian Programs and the Migrant Programs Branches, T/TA especially directed to meet the needs of American Indian and Migrant grantees for information on relevant Regional/State issues, regulations, and available resources or services; promote coordination of joint training opportunities to support the exchange of information between grantees on areas of disabilities service that require cooperation and interaction. * Early Head Start (EHS) + Collaboration with the Early Head Start-National Resource Contract (EHS-NRC) to enhance and reinforce a comprehensive approach to providing T/TA in disabilities services in meeting the multiple needs of families with infants and toddlers and pregnant women. + Assistance in ensuring that EHS child and family development program models provide early opportunities for infants and toddlers with disabilities to grow and develop in warm, nurturing and inclusive settings. + State and Regional networks for the exchange of models, strategies and materials on partnership approaches to the funding and delivery of high quality, comprehensive early childhood disability services among and across Head Start grantees, child care centers and homes, school-based early childhood programs and other providers and settings serving young children and families. + Assistance in the development of agreements between the Part H Lead Agency of each State and the Head Start programs serving infants and toddlers. + Assistance to EHS programs to identify and assess a wide variety of resources on disabilities services available in communities. + Assistance to EHS programs to ensure continuous learning opportunities for training, supervision and mentoring in response to the ongoing development of new knowledge in disability services across disciplines and to enable the staff to recognize and respond to the best practices, lessons learned and quality goals of EHS. * Quality Improvement Plans and Monitoring Follow-up + Assistance to grantees found to be deficient to ensure that Quality Improvement Plans (QIPs) are implemented and identified deficiencies addressed, when those deficiencies are related to disabilities services. + Use of information from monitoring reviews, Program Information Reports (PIR), and data provided by the ACF Regional Office, the American Indian
[[Page 16824]] Programs and the Migrant Programs Branches to plan T/TA for grantees. + Development of procedures for grantees to communicate their special needs for T/TA to their Regional cluster coordinators. In providing T/TA in the above-outlined areas, DSQICs may use the following approaches:
Forms of collaboration and assistance * On-site collaboration/assistance + On-site T/TA in response to needs identified during the needs assessment process. + On-site T/TA to address the development and implementation of local agreements between LEAs and Head Start in keeping with the Performance Standards on disabilities services. + Special projects to meet Regional service area needs. * Workshops and conferences + Regional training workshops and institutes for grantees on Head Start-specific topics related to disabilities services as determined by need. + Development of topics and schedules of workshops provided at State/cluster levels. + Presentations/workshops for State and National Head Start Association conferences and national Head Start Bureau events. + Participation in meetings/events sponsored by public and private organizations offering opportunities to provide T/TA-related information to appropriate constituencies. + Use of current technologies/approaches, such as distance learning, interactive systems computers, videos, satellite down links, internet, etc., for maximizing the dissemination and provision of T/TA. * Training and technical assistance institutes + Training provided to grantees on-site, in clusters, and/or at State-or Region-wide settings using the train-the-trainer model with Head Start program personnel responsible for leadership on disabilities services. + Development and implementation of opportunities for distance learning. + Training on newly developed Head Start materials. + Assistance in monitor reviewer training. + Development and implementation of procedures for grantee staff to engage in inquiry research and in program/curriculum development opportunities. * Information dissemination/networking + Regional information dissemination on T/TA to grantees and State/ cluster sites. + Technological networks at the Regional level using innovative communication technology, particularly to disseminate information on Head Start policies and regulations. + Facilitating Head Start/SEA interagency agreements; facilitating development of agreements between the DSQICs for American Indian and Migrant Programs and Regions I through X to ensure that the needs of children and families in these programs are reflected in the agreements. + Linkages with State partners of Head Start programs including the State Education Agency program responsible for assuring implementation of the requirements for special education services to preschool children (under the Individuals with Disabilities Act IDEA) and with the Lead state agency for implementation of Part H of IDEA services for infants and toddlers with disabilities, University Affiliated Programs (UAP) and Developmental Disabilities Councils.
Collaboration between regional DSQICs and the American Indian and Migrant Programs DSQICs and the programs they serve in the following ways:
+ Making information available to Indian and Migrant programs serving children in their Regions on relevant State or Regional disabilities services issues, e.g., new state regulations on disabilities services, or State/Regional disabilities training or service resources; + Inviting Indian and Migrant Head Start programs to participate in DSQIC workshops and training; + Providing the Indian and Migrant DSQICs with existing Head Start/ SEA Interagency Agreements services in their Region, and the schedule for their development/revision.
Sharing information and results of evaluations of consultants through the National T/TA Information Resource Bank, such as: + Demonstrations of, and information on, and dissemination of materials developed by the national and Regional DSQICs. + Collaboration with Head Start-sponsored or related national initiatives, such as Medicaid, immunizations, substance abuse prevention and treatment, and mental health. + Information and/or training about Head Start Bureau publications, such as training guides. + Maintaining and publishing resource information on statewide T/TA resources directed to issues relevant for early childhood disabilities services. + Maintaining a video/materials resource library. + Information and demonstrations on training resources which Head Start programs could utilize. + Contributing articles to the Head Start Bulletin. + Maintaining of up-to-date fact sheets on grantees. + Assisting in developing a Regional calendar of T/TA events. + Participating in semiannual national T/TA network meetings, along with meetings/conference calls with the Federal Project Officer (FPO). + Assisting Head Start programs to identify T/TA resources and service providers in local community and state which may be independently accessed to meet the special needs of Head Start eligible children with disabilities or their parents.
DSQICs should organize and structure T/TA activities to achieve maximum coordination, efficiency and effectiveness. Suggested approaches include:
+ Assisting in a Regional Coordinating Council comprised of various stakeholders, such as ACF Regional Office staff, the Federal Project Officer from the Head Start Bureau, State Collaboration Project grantees, State Head Start Association representatives and other T/TA providers in the areas of child care, early childhood education, disabilities services, health, family development, community development and program planning. The Council would support the DSQIC in identifying needs for T/TA, developing a Regional T/TA plan, connecting and coordinating services in and among the different levels of the system and to reach out to the community. It would meet regularly to consult with the leadership of the DSQIC in assessing needs, developing a fair balance for the provision of services among grantees, and preparing and updating Regional or T/TA plans. * State-/cluster-based activities functioning as extensions of the DSQIC to provide joint training opportunities to clusters of grantees that have the same needs based on needs assessments. The use of expert trainers and consultants to provide T/TA to grantees within the cluster and to interact with American Indian, Migrant and State Head Start Associations, State agencies and community organizations to coordinate services and to track relevant State legislation and regulations. Work with ``exemplary'' grantees to help them move forward as the new system is designed. Trainers need a knowledge base and an awareness of adult continuous learning and applicability to issues in the community/ program to be served. Large States may have more than
[[Page 16825]] one cluster and smaller States may share clusters of grantees. The American Indian Programs Branch grantees may have up to three cluster offices and the Migrant Programs Branch grantees may have up to two cluster offices. State/cluster site staff could be co-located with other T/TA providers.
* Regular meetings, communications: + Use of technology, such as satellites, computers, voice links, internet, etc. + Use of interconnected feedback loops for the purpose of issue identification, policy interpretations, evaluation, etc. * Collaboration with Community-Based Child Care: + Assistance to State Head Start Associations, State Collaboration Projects, State and community early childhood agencies and Head Start grantees in systematic approaches to needs, assessment, planning, funding, and staff development in early care, education and disability services. * Linkages with Federal-State and other partners, such as the Department of Education, federally recognized Tribes, and institutions of higher learning.
Geographic Coverage
* Types of grantees in service area: Large/small, rural/urban, center-based, home-based, Early Head Start, full-day, part-day. * Level of quality among grantees: + Assistance to well performing grantees in developing their own T/ TA services. + Identification of grantees to serve as mentors to new and/or deficient and seriously deficient grantees. Assistance in the management of supplementary grant funds for the mentoring grantees and collection of evaluative information on the mentoring efforts. + Assistance in designing T/TA plans for deficient and seriously deficient grantees, at their request and in collaboration with the ACF Regional Office, American Indian and Migrant Programs Branches to enable them to meet the Head Start Program Performance Standards.
Management and staffing issues (including consultant banks)
* Sufficient DSQIC staff to coordinate training, manage staff and consultant resources, provide necessary subject-specific expertise, and administer cooperative agreement fiscal resources. * Sufficient leadership and consultant expertise to address all aspects of disabilities services T/TA responsibilities, including the areas of infant.toddler services, accessibility, and developing and implementing local interagency agreements with community partners (e.g., Local Education Agencies, Part H providers) at the regional and State/cluster sites. * Skilled leadership and support on State disabilities services policy issues, to support efforts of grantees to work with States in planning, monitoring and meeting logistical needs; to participate in State-wide meetings; to coordinate with community/local organizations that provide child care and other services to low income families; and assistance to States in implementing Federal programs that involve the development of child care systems in partnership with communities. + Support at State meetings regarding disabilities services issues. + Supporting strategic planning and coordinating meetings among State program administrators and community and local organizations that collaborate with Head Start in serving children with disabilities in the development of comprehensive systems. * Child Care Responsibilities + Skilled leadership and support on assessing needs for training and technical assistance on Head Start/Child Care partnership issues related to including children with disabilities. + Collaboration with other Federal, State, and local child care and early childhood agencies, programs and professional organizations in training, technical assistance, professional development, and planning efforts related to inclusive services for children with disabilities. * Consultant Pool + A Regional consultant pool, identified, screened, contracted and linked to the National T/TA Information Resource Bank. + Provision of orientation and ongoing training for consultants. + Management of onsite activities of consultants at the Regional, or State/cluster level. + Monitoring and evaluation of Regional-level T/TA and the performance of consultants through onsite observations, interviews with grantee staff, reviews of workshop evaluations, etc. + Maintenance of evaluation data on consultants for the use of national network. * Sufficient staff at State/cluster sites to broker/coordinate local resources, strengthen training and staff development, assess the needs of individual grantees and assist with the development of grantee T/TA plans.
Appendix C--OMB State Single Point of Contact Listing Arizona Joni Saad, Arizona State Clearinghouse, 3800 N. Central Avenue, Fourteenth Floor, Phoenix, Arizona 85012, Telephone (602) 280-1315, FAX: (602) 280-8144. Arkansas Mr. Tracy Copeland, Manager, State Clearinghouse, Office of Intergovernmental Services, Department of Finance and Administration, 1515 W. 7th St., Room 412, Little Rock, Arkansas 72203 Telephone: (501) 682-1074, FAX: (501) 682-5206. California Grants Coordinator, Office of Planning & Research, 1400 Tenth Street, Room 121, Sacramento, California 95814, Telephone: (916) 323-7480, FAX: (916) 323-3018. Delaware Francine Booth, State Single Point of Contact Executive Department, Thomas Collins Building, P.O. Box 1401, Dover, Delaware 19903, Telephone: (302) 739-3326, FAX: (302) 739-5661. District of Columbia Charles Nichols, State Single Point of Contact, Office of Grants Mgmt. & Dev. 717 14th Street, N.W.-Suite 500, Washington, D.C. 20005, Telephone: (202) 727-6554, FAX: (202) 727-1617. Florida Florida State Clearinghouse, Department of Community Affairs, 2740 Centerview Drive, Tallahassee, Florida 32399-2100, Telephone: (904) 922-5438, FAX: (904) 487-2899. Georgia Tom L. Reid, III, Administrator, Georgia State Clearinghouse, 254 Washington Street, S.W.-Room 401J, Atlanta, Georgia 30334, Telephone: (404) 656-3855 or (404) 656-3829, FAX: (404) 656-7938. Illinois Virginia Bova, State Single Point of Contact, Department of Commerce and Community Affairs, James R. Thompson Center, 100 West Randolph, Suite 3-400, Chicago, Illinois 60601, Telephone: (312) 814-6028, FAX: (312) 814-1800. Indiana Amy Brewer, State Budget Agency, 212 State House, Indianapolis, Indiana 46204, Telephone: (317) 232-5619, FAX: (317) 233-3323. Iowa Steven R. McCann, Division for Community Assistance, Iowa Department of Economic Development, 200 East Grand Avenue, Des Moines, Iowa 50309, Telephone: (515) 242-4719 FAX: (515) 242-4859. Kentucky Ronald W. Cook, Office of the Governor, Department of Local Government, 1024 Capitol Center Drive, Frankfort, Kentucky 40601- 8204, Telephone: (502) 573-2382, FAX: (502) 573-2512. Maine Joyce Benson, State Planning Office, State House Station #38, Augusta, Maine 04333, Telephone: (207) 287-3261, FAX: (207) 287- 6489. Maryland William G. Carroll, Manager, State Clearinghouse for Intergovernmental Assistance, Maryland Office of Planning, 301 W. Preston Street-Room 1104, [[Page 16826]] Baltimore, Maryland 21201-2365, Staff Contact: Linda Janey, Telephone: (410) 225-4490, FAX: (410) 225-4480. Michigan Richard Pfaff, Southeast Michigan Council of Governments, 1900 Edison Plaza, 660 Plaza Drive, Detroit, Michigan 48226, Telephone: (313) 961-4266, FAX: (313) 961-4869. Mississippi Cathy Malette, Clearinghouse Officer, Department of Finance and Administration, 455 North Lamar Street, Jackson, Mississippi 39202- 3087, Telephone: (601) 359-6762, FAX: (601) 359-6764. Missouri Lois Pohl, Federal Assistance Clearinghouse, Office of Administration, P.O. Box 809, Room 760, Truman Building, Jefferson City, Missouri 65102, Telephone: (314) 751-4834, FAX: (314) 751- 7819. Nevada Department of Administration, State Clearinghouse, Capitol Complex, Carson City, Nevada 89710, Telephone: (702) 687-4065, FAX: (702) 687-3983. New Hampshire Jeffrey H. Taylor, Director, New Hampshire Office of State Planning, Attn: Intergovernmental Review Process, Mike Blake, 2\1/2\ Beacon Street, Concord, New Hampshire 03301, Telephone: (603) 271- 2155, FAX: (603) 271-1728. New Mexico Robert Peters, State Budget Division, Room 190 Bataan Memorial Building, Santa Fe, New Mexico 87503, Telephone: (505) 827-3640. New York New York State Clearinghouse, Division of the Budget, State Capitol, Albany, New York 12224, Telephone: (518) 474-1605. North Carolina Chrys Baggett, Director, N.C. State Clearinghouse, Office of the Secretary of Admin., 116 West Jones Street, Raleigh, North Carolina 27603-8003, Telephone: (919) 733-7232, FAX: (919) 733-9571. North Dakota North Dakota Single Point of Contact, Office of Intergovernmental Assistance, 600 East Boulevard Avenue, Bismarck, North Dakota 58504-0170, Telephone: (701) 224-2094, FAX: (701) 224- 2308. Ohio Larry Weaver, State Single Point of Contact, State Clearinghouse, Office of Budget and Management, 30 East Broad Street, 34th Floor, Columbus, Ohio 43266-0411. Please direct correspondence and questions about intergovernmental review to: Linda Wise, Telephone: (614) 466-0698, FAX: (614) 466-5400. Rhode Island Daniel W. Varin, Associate Director, Department of Administration/Division of Planning, One Capitol Hill, 4th Floor, Providence, Rhode Island 02908-5870, Telephone: (401) 277-2656 FAX: (401) 277-2083. Please direct correspondence and questions to: Review Coordinator, Office of Strategic Planning. South Carolina Omeagia Burgess, State Single Point of Contact, Grant Services, Office of the Governor, 1205 Pendleton Street--Room 477, Columbia, South Carolina 29201, Telephone: (803) 734-0494 FAX: (803) 734-0385. Texas Tom Adams, Governors Office, Director, Intergovernmental Coordination, P.O. Box 12428, Austin, Texas 78711, Telephone: (512) 463-1771, FAX: (512) 463-1888. Utah Carolyn Wright, Utah State Clearinghouse, Office of Planning and Budget, Room 116, State Capitol, Salt Lake City, Utah 84114, Telephone: (801) 538-1535, FAX: (801) 538-1547. West Virginia Fred Cutlip, Director, Community Development Division, W. Virginia Development Office, Building #6, Room 553, Charleston, West Virginia 25305, Telephone: (304) 558-4010, FAX: (304) 558-3248. Wisconsin Martha Kerner, Section Chief, State/Federal Relations, Wisconsin Department of Administration, 101 East Wilson Street--6th Floor, P.O. Box 7868, Madison, Wisconsin 53707, Telephone: (608) 266-2125, FAX: (608) 267-6931. Wyoming Sheryl Jeffries, State Single Point of Contact, Office of the Governor, State Capital, Room 124, Cheyenne, Wyoming 82002, Telephone: (307) 777-5930, FAX: (307) 632-3909. Territories Guam Mr. Giovanni T. Sgambelluri, Director, Bureau of Budget and Management Research, Office of the Governor, P.O. Box 2950, Agana, Guam 96910, Telephone: 011-671-472-2285, FAX: 011-671-472-2825. Puerto Rico Norma Burgos/Jose E. Caro, Chairwoman/Director, Puerto Rico Planning Board, Federal Proposals Review Office, Minillas Government Center, P.O. Box 41119, San Juan, Puerto Rico 00940-1119, Telephone: (809) 727-4444, (809) 723-6190, FAX: (809) 724-3270, (809) 724-3103. North Mariana Islands Mr. Alvaro A. Santos, Executive Officer, State Single Point of Contact, Office of Management and Budget, Office of the Governor, Saipan, MP, Telephone: (670) 664-2256, FAX: (670) 664-2272. Contact Person: Ms. Jacoba T. Seman, Federal Programs Coordinator, Telephone: (670) 644-2289, FAX: (670) 644-2272. Virgin Islands Jose George, Director, Office of Management and Budget, #41 Norregade Emancipation Garden Station, Second Floor, Saint Thomas, Virgin Islands 00802 Please direct all questions and correspondence about intergovernmental review to: Linda Clarke, Telephone: (809) 774- 0750, FAX: (809) 776-0069. BILLING CODE 4184-01-P [[Page 16827]] [GRAPHIC] [TIFF OMITTED] TN08AP97.000 BILLING CODE 4184-01-C [[Page 16828]] Instructions for the SF 424 This is a standard form used by applicants as a required facesheet for preapplications and applications submitted for Federal assistance. It will be used by Federal agencies to obtain applicant certification that States which have established a review and comment procedure in response to Executive Order 12372 and have selected the program to be included in their process, have been given an opportunity to review the applicant's submission. Item and Entry
  1. Self-explanatory.
  2. Date application submitted to Federal agency (or State if applicable) & applicant's control number (if applicable).
  3. State use only (if applicable).
  4. If this application is to continue or revise an existing award, enter present Federal identifier number. If for a new project, leave blank.
  5. Legal name of applicant, name of primary organizational unit which will undertake the assistance activity, complete address of the applicant, and name and telephone number of the person to contact on matters related to this application.
  6. Enter Employer Identification Number (EIN) as assigned by the Internal Revenue Service.
  7. Enter the appropriate letter in the space provided.
  8. Check appropriate box and enter appropriate letter(s) in the space(s) provided: --``New'' means a new assistance award. --``Continuation'' means an extension for an additional funding/ budget period for a project with a projected completion date. --``Revision'' means any change in the Federal Government's financial obligation or contingent liability from an existing obligation.
  9. Name of Federal agency from which assistance is being requested with this application.
  10. Use the Catalog of Federal Domestic Assistance number and title of the program under which assistance is requested.
  11. Enter a brief descriptive title of the project. If more than one program is involved, you should append an explanation on a separate sheet. If appropriate (e.g., construction or real property projects), attach a map showing project location. For preapplications, use a separate sheet to provide a summary description of this project.
  12. List only the largest political entities affected (e.g., State, counties, cities).
  13. Self-explanatory.
  14. List the applicant's Congressional District and any District(s) affected by the program or project.
  15. Amount requested or to be contributed during the first funding/budget period by each contributor. Value of in-kind contributions should be included on appropriate lines as applicable. If the action will result in a dollar change to an existing award, indicate only the amount of the change. For decreases, enclose the amounts in parentheses. If both basic and supplemental amounts are included, show breakdown on an attached sheet. For multiple program funding, use totals and show breakdown using same categories as item
  16. Applicants should contact the State Single Point of Contact (SPOC) for Federal Executive Order 12372 to determine whether the application is subject to the State intergovernmental review process.
  17. This question applies to the applicant organization, of the person who signs as the authorized representative. Categories of debt include delinquent audit disallowances, loans and taxes.
  18. To be signed by the authorized representative of the applicant. A copy of the governing body's authorization for you to sign this application as official representative must be on file in the applicant's office. (Certain Federal agencies may require that this authorization be submitted as part of the application.)

BILLING CODE 4184-01-P

[[Page 16829]]

[GRAPHIC] [TIFF OMITTED] TN08AP97.001

BILLING CODE 4184-01-C [[Page 16830]] Instructions for the SF-424A General Instructions This form is designed so that application can be made for funds from one or more grant programs. In preparing the budget, adhere to any existing Federal grantor agency guidelines which prescribe how and whether budgeted amounts should be separately shown for different functions or activities within the program. For some programs, grantor agencies may require budgets to be separately shown by function or activity. For other programs, grantor agencies may require a breakdown by function or activity. Sections A,B,C, and D should include budget estimates for the whole project except when applying for assistance which requires Federal authorization in annual or other funding period increments. In the latter case, Sections A,B,C, and D should provide the budget for the first budget period (usually a year) and Section E should present the need for Federal assistance in the subsequent budget periods. All applications should contain a breakdown by the object class categories shown in Lines a-k of Section B. Section A. Budget Summary Lines 1-4, Columns (a) and (b) For applications pertaining to a single Federal grant program (Federal Domestic Assistance Catalog number) and not requiring a functional or activity breakdown, enter on Line 1 under Column (a) the catalog program title and the catalog number in Column (b). For applications pertaining to a single program requiring budget amounts by multiple functions or activities, enter the name of each activity or function on each line in Column (a), and enter the catalog number in Column (b). For applications pertaining to multiple programs where none of the programs require a breakdown by function or activity, enter the catalog program title on each line in Column (a) and the respective catalog number on each line in Column (b). For applications pertaining to multiple programs where one or more programs require a breakdown by function or activity, prepare a separate sheet for each program requiring the breakdown. Additional sheets should be used when one form does not provide adequate space for all breakdown of data required. However, when more than one sheet is used, the first page should provide the summary totals by programs. Lines 1-4, Columns (c) through (g.) For new applications, leave Columns (c) and (d) blank. For each line entry in Columns (a) and (b), enter in Columns (e), (f), and (g) the appropriate amounts of funds needed to support the project for the first funding period (usually a year). For continuing grant program applications, submit these forms before the end of each funding period as required by the grantor agency. Enter in Columns (c) and (d) the estimated amounts of funds which will remain unobligated at the end of the grant funding period only if the Federal grantor agency instructions provide for this. Otherwise, leave these columns blank. Enter in columns (e) and (f) the amounts of funds needed for the upcoming period. The amount(s) in Column (g) should be the sum of amounts in Columns (e) and (f). For supplemental grants and changes to existing grants, do not use Columns (c) and (d). Enter in Column (e) the amount of the increase or decrease of Federal funds and enter in Column (f) the amount of the increase or decrease of non-Federal funds. In Column (g) enter the new total budgeted amount (Federal and non-Federal) which includes the total previous authorized budgeted amounts plus or minus, as appropriate, the amounts shown in Columns (e) and (f). The amount(s) in Column (g) should not equal the sum of amounts in Columns (e) and (f). Line 5--Show the totals for all columns used. Section B. Budget Categories In the column headings (1) through (4), enter the titles of the same programs, functions, and activities shown on Lines 1-4, Column (a), Section A. When additional sheets are prepared for Section A, provide similar column headings on each sheet. For each program, function or activity, fill in the total requirements for funds (both Federal and non-Federal) by object class categories. Lines 6a-i--Show the totals of Lines 6a to 6h in each column. Line 6j--Show the amount of indirect cost. Line 6k--Enter the total of amounts on Lines 6i and 6j. For all applications for new grants and continuation grants the total amount in column (5), Line 6k, should be the same as the total amount shown in Section A, Column (g), Line 5. For supplemental grants and changes to grants, the total amount of the increase or decrease as shown in Columns (1)-(4), Line 6k should be the same as the sum of the amounts in Section A, Columns (e) and (f) on Line 5. BILLING CODE 4184-01-P [[Page 16831]] [GRAPHIC] [TIFF OMITTED] TN08AP97.002 BILLING CODE 4184-01-C [[Page 16832]] Line 7--Enter the estimated amount of income, if any, expected to be generated from this project. Do not add or substract this amount from the total project amount. Show under the program narrative statement the nature and source of income. The estimated amount of program income may be considered by the federal grantor agency in determinimg the total amount of the grant. Section C. Non-Federal-Resources Lines 8-11--Enter amounts of non-Federal resources that will be used on the grant. If in-kind contributions are included, provide a brief explanation on a separate sheet. Column (a)--Enter the program titles identical to Column (a), Section A. A breakdown by function or activity is not necessary. Column (b)--Enter the constribution to be made by the applicant. Column (c)--Enter the amount of the State's cash and in-kind contribution if the applicant is not a State or State agency. Applicants which are a State or State agencies should leave this column blank. Column (d)--Enter the amount of cash and in-kind contributions to be made form all other sources. Column (e)--Enter totals of Columns (b), (c), and (d). Line 12--Enter the total for each of Columns (b)-(e). The amount in Column (e) should be equal to the amount on Line 5, Column (f), Section A. Section D. Forecasted Cash Needs Line 13--Enter the amount of cash needed by quarter from the grantor agency during the first year. Line 14--Enter the amount of cash from all other sources needed by quarter during the first year. Line 15--Enter the totals of amounts on Lines 13 and 14. Section E. Budget Estimates of Federal Funds Needed for Balance of the Project Lines 16-19--Enter in Column (a) the same grant program titles shown in Column (a), Section A. A breakdown by function or activity is not necessary. For new applications and continuation grant applications, enter in the proper columns amounts of Federal funds which will be needed to complete the program or project over the succeeding funding periods (usually in years). This section need not be completed for revisions (amendments, changes, or supplements) to funds for the current year of existing grants. If more than four lines are needed to list the program titles, submit additional schedules as necessary. Lines 20--Enter the total for each of the Columns (b)-(e). When additional schedules are prepared for this Section, annotate accordingly and show the overall totals on this line. Section F. Other Budget Information Line 21--Use this space to explain amounts for individual direct object-class cost categories that may appear to be out of the ordinary or to explain the details as required by the Federal grantor agency. Line 22--Enter the type of indirect rate (provisional, predetermined, final or fixed) that will be in effect during the funding period, the estimated amount of the base to which the rate is applied, and the total indirect expense. Line 23--Provide any other explanations or comments deemed necessary. BILLING CODE 4184-01-P [[Page 16833]] [GRAPHIC] [TIFF OMITTED] TN08AP97.003 [[Page 16834]] [GRAPHIC] [TIFF OMITTED] TN08AP97.004 [[Page 16835]] [GRAPHIC] [TIFF OMITTED] TN08AP97.005 [[Page 16836]] [GRAPHIC] [TIFF OMITTED] TN08AP97.006 BILLING CODE 4184-01-C [[Page 16837]] Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion--Lower Tier Covered Transactions Instructions for Certification 1. By signing and submitting this proposal, the prospective lower tier participant is providing the certification set out below. 2. The certification in this clause is a material representation of fact upon which reliance was placed when this transaction was entered into. If it is later determined that the prospective lower tier participant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government the department or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment. 3. The prospective lower tier participant shall provide immediate written notice to the person to which this proposal is submitted if at any time the prospective lower tier participant learns that its certification was erroneous when submitted or had become erroneous by reason of changed circumstances. 4. The terms covered transaction, debarred, suspended, ineligible, lower tier covered transaction, participant, person, primary covered transaction, principal, proposal, and voluntarily excluded, as used in this clause, have the meaning set out in the Definitions and Coverage sections of rules implementing Executive Order 12549. You may contact the person to which this proposal is submitted for assistance in obtaining a copy of those regulations. 5. The prospective lower tier participant agrees by submitting this proposal that, [[Page 33043]] should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is proposed for debarment under 48 CFR part 9, subpart 9.4, debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency with which this transaction originated. 6. The prospective lower tier participant further agrees by submitting this proposal that it will include this clause titled ``Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion--Lower Tier Covered Transaction,'' without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions. 7. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that it is not proposed for debarment under 48 CFR part 9, subpart 9.4, debarred, suspended, ineligible, or voluntarily excluded from covered transactions, unless it knows that the certification is erroneous. A participant may decide the method and frequency by which it determines the eligibility of its principals. Each participant may, but is not required to, check the List of Parties Excluded from Federal Procurement and Nonprocurement Programs. 8. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of a participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. 9. Except for transactions authorized under paragraph 5 of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is proposed for debarment under 48 CFR part 9, subpart 9.4, suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the department or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment. Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion--Lower Tier Covered Transactions (1) The prospective lower tier participant certifies, by submission of this proposal, that neither it nor its principals is presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in this transaction by any Federal department or agency. (2) Where the prospective lower tier participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal. Certification Regarding Debarment, Suspension, and Other Responsibility Matters--Primary Covered Transactions Instructions for Certification
  1. By signing and submitting this proposal, the prospective primary participant is providing the certification set out below.
  2. The inability of a person to provide the certification required below will not necessarily result in denial of participation in this covered transaction. The prospective participant shall submit an explanation of why it cannot provide the certification set out below. The certification or explanation will be considered in connection with the department or agency's determination whether to enter into this transaction. However, failure of the prospective primary participant to furnish a certification or an explanation shall disqualify such person from participation in this transaction.
  3. The certification in this clause is a material representation of fact upon which reliance was placed when the department or agency determined to enter into this transaction. If it is later determined that the prospective primary participant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the department or agency may terminate this transaction for cause or default.
  4. The prospective primary participant shall provide immediate written notice to the department or agency to which this proposal is submitted if at any time the prospective primary participant learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances.
  5. The terms covered transaction, debarred, suspended, ineligible, lower tier covered transaction, participant, person, primary covered transaction, principal, proposal, and voluntarily excluded, as used in this clause, have the meanings set out in the Definitions and Coverage sections of the rules implementing Executive Order 12549. You may contact the department or agency to which this proposal is being submitted for assistance in obtaining a copy of those regulations.
  6. The prospective primary participant agrees by submitting this proposal that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is proposed for debarment under 48 CFR part 9, subpart 9.4, debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency entering into this transaction.
  7. The prospective primary participant further agrees by submitting this proposal that it will include the clause titled ``Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion-Lower Tier Covered Transaction,'' provided by the department or agency entering into this covered transaction, without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions.
  8. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that it is not proposed for debarment under 48 CFR part 9, subpart 9.4 debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant may decide the method and frequency by which it determines the eligibility of its principals. Each participant may, but is not required to, check the List of Parties Excluded from Federal Procurement and Nonprocurement Programs.
  9. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of a participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings.
  10. Except for transactions authorized under paragraph 6 of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is proposed for debarment under 48 CFR part 9, subpart 9.4, suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the department or agency may

[[Page 16838]]

terminate this transaction for cause or default.

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

(1) The prospective primary participant certifies to the best of its knowledge and belief, that it and its principals:

(a) Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded by any Federal department or agency;

(b) Have not within a three-year period preceding this proposal been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State or local) transaction or contract under a public transaction; violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property;

(c) Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State or local) with commission of any of the offenses enumerated in paragraph (1)(b) of this certification; and

(d) Have not within a three-year period preceding this application/proposal had one or more public transactions (Federal, State or local) terminated for cause or default.

(2) Where the prospective primary participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal.

Certification Regarding Lobbying

Certification for Contracts, Grants, Loans, and Cooperative Agreements

The undersigned certifies, to the best of his or her knowledge and belief, that:

(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement.

(2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a member of Congress in connection with this Federal contract, grant, loan or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, ``Disclosure Form to Report Lobbying,'' in accordance with its instructions.

(3) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly.

This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction impose by section 1352, title 31 U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.

State for Loan Guarantee and Loan Insurance

The undersigned states, to the best of his or her knowledge and belief, that:

If any funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this commitment providing for the United States to insure or guarantee a loan, the undersigned shall complete and submit Standard Form-LLL ``Disclosure Form to Report Lobbying,'' in accordance with its instructions.

Submission of this statement is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the require statement shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. .----------------------------------------------------------------------

Signature .----------------------------------------------------------------------

Title .----------------------------------------------------------------------

Organization .----------------------------------------------------------------------

Date

BILLING CODE 4184-01-P

[[Page 16839]]

[GRAPHIC] [TIFF OMITTED] TN08AP97.007

BILLING CODE 4184-01-C

[[Page 16840]]

Certification Regarding Environmental Tobacco Smoke

Public Law 103-227, Part C--Environmental Tobacco Smoke, also known as the Pro-Children Act of 1994 (Act), requires that smoking not be permitted in any portion of any indoor routinely owned or leased or contracted for by an entity and used routinely or regularly for provision of health, day care, education, or library services to children under the age of 18, if the services are funded by Federal programs either directly or through State or local governments, by Federal grant, contract, loan, or loan guarantee. The law does not apply to children's services provided in private residences, facilities funded solely by Medicare or Medicaid funds, and portions of facilities used for inpatient drug or alcohol treatment. Failure to comply with the provisions of the law may result in the imposition of a civil monetary penalty of up to $1000 per day and/or the imposition of an administrative compliance order on the responsible entity.

By signing and submitting this application the applicant/grantee certifies that it will comply with the requirements of the Act. The applicant/grantee further agrees that it will require the language of this certification be included in any subawards which contain provisions for the children's services and that all subgrantees shall certify accordingly. Return to Training and Technical Assistance