[Federal Register: July 11, 2003 (Volume 68, Number 133)]
[Notices]
[Page 41375-41384]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr11jy03-68]
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Administration for Children and Families
[Program Announcement No. ACF/ACYF/HS-HSGS 2003-04]
Fiscal Year 2003 Discretionary Announcement for Head Start
Graduate Student Research Grants; Availability of Funds and Request for
Applications
AGENCY: Administration for Children and Families (ACF) DHHS.
ACTION: Announcement of the availability of funds and request for
doctoral level graduate student research projects (Priority Area 1.01)
in partnership with Head Start programs,
[[Page 41376]]
and pre-doctoral level graduate student research partnership
development projects (Priority Area 1.02) to develop ongoing research
partnerships with Head Start programs.
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SUMMARY: The Administration for Children and Families (ACF) Office of
Planning, Research and Evaluation (OPRE) announces the availability of
funds for Head Start Graduate Student Research Grants to support field-
initiated research activities.
CFDA #: The Catalog of Federal Domestic Assistance number for all
priority areas is 93.600
DATES: The closing time and date for receipt of applications is 5 p.m.
(Eastern Time Zone) August 12, 2003. Regardless of the method by which
they are delivered, applications must be received on or before the
deadline date.
Late Applications. Applications that do not meet the criteria
stated above, will be considered late applications. The Administration
for Children and Families (ACF) will notify each late applicant that
its application will not be considered in the current competition.
Extension of Deadline. ACF may extend an application deadline for
applicants affected by acts of God (such as floods and hurricanes),
when there is widespread disruption of mail service, or for other
disruption of services that affect the public at large (such as
prolonged electrical blackout). Authority to waive or extend deadline
requirements rests with the Chief Grants Management Officer.
Mailing and Delivery Instructions: Applications may be sent through
the U.S. Postal Service, delivered by private courier, or hand
delivered to the ACF Operations Center at the address below.
Applications delivered by hand must be received by the Operations
Center during the normal working hours of 8 a.m. to 5 p.m., Monday
through Friday and no later than 5 p.m. Eastern Time Zone on the
deadline date. Applicants will receive a confirmation postcard upon
receipt of applications. Head Start Research Support Team, 1749 Old
Meadow Road, Suite 600, McLean, VA 22102.
All packages should be clearly labeled as follows: Application for
Head Start Graduate Student Research Grants: Priority Area (indicate
1.01 or 1.02).
FOR FURTHER INFORMATION CONTACT: The Head Start Research Support
Technical Assistance Team (1-877) 663-0250, is available to answer
questions regarding application requirements and to refer you to the
appropriate contact person in ACF for programmatic questions. You may
e-mail your questions to: hsr@xtria.com. Grants Management Contact: William Wilson, Grants Management
Officer, Room 2220 Switzer Building, 330 C Street SW., Washington, DC
20447. Telephone Number (202) 205-8913 or e-mail WWilson@acf.hhs.gov. In order to determine the number of expert reviewers that will be
necessary, if you are going to submit an application, you must send a
post card, call or e-mail at least two weeks prior to the submission
deadline date with the following information: the name, address,
telephone and fax number, e-mail address of the principal investigator,
and the name of the university or non-profit institution to: Head Start
Research Support Team, 1749 Old Meadow Road, Suite 600, McLean, VA
22102, (1-877) 663-0250, E-mail hsr@xtria.com.
SUPPLEMENTARY INFORMATION: The Supplementary Information section
consists of four parts. Part I provides general information about the
Head Start research activities, authorities, funding priorities, and
the application process. Part II describes the Head Start Graduate
Student Research Grants (Priority Area 1.01). Part III describes the
Head Start Graduate Student Partnership Development Grants (Priority
Area 1.02). Part IV includes two appendices that include all
requirements for applications. Appendix 1 provides detailed
instructions for preparing and submitting applications. Appendix 2
contains the OMB-approved Uniform Project Description.
Part I. General Information
A. Purpose of Announcement
The purpose of this announcement is to announce the availability of
funds for Head Start Graduate Student Research Grants to support field-
initiated research activities in partnership with Head Start programs
and to develop ongoing research partnerships with Head Start programs.
B. Background
Priority Area 1.01 and 1.02: Head Start Graduate Student Research
Grants and Research Partnership Development Grants
Since 1991, ACF has explicitly supported the relationship between
established Head Start researchers and their graduate students by
awarding research grants, on behalf of specific graduate students, to
conduct research in Head Start communities. As many previously funded
Head Start graduate students have continued to make significant
contributions to the early childhood research field as they have
pursued their careers, this funding mechanism is an important research
capacity-building effort. To ensure that future research is responsive
to the changing needs of low-income families, graduate students need
strong and positive role models. Therefore, Head Start's support of the
partnership between students and their mentors is essential. The unique
partnership that is forged between mentor and student, within the Head
Start research context, serves as a model for the establishment of
other partnerships within the community (e.g., researcher-Head Start
staff, researcher-family, etc.). This foundation helps foster the
skills necessary to build a graduate student's trajectory of successful
partnership-building and contributions to the scientific community.
Within this nurturing and supportive relationship, young researchers
are empowered to become autonomous researchers, learning theory, as
well as the process of interacting with the various members and
relevant organizations within their communities.
ACF further recognizes that effectively developing new research
partnerships between researchers and Head Start communities requires
considerable planning, effort, and commitment. In order to encourage
the development of such new research partnerships, and to facilitate
the entry of new mentor/student teams to the field of Head Start
research, it is also essential to support the process of partnership
development and research conceptualization. Therefore, a new priority
area has been added this year for that purpose.
Thus, the goals of the two priority areas within the Head Start
Graduate Student Research Grant program can be summarized as follows:
1. Provide direct support for graduate students as a way of
encouraging the conduct of research with Head Start populations, thus
contributing to the knowledge base about the best approaches for
delivering services to diverse, low-income families and their children;
2. Promote mentor-student relationships which support students'
graduate training and professional development as young researchers
engaged in policy-relevant, applied research;
3. Emphasize the importance of developing true working research
partnerships with Head Start programs and other relevant entities
within the community, thereby fostering skills necessary to build a
student's trajectory of successful partnership-building and
[[Page 41377]]
contributions to the scientific community; and
4. Support the active communication, networking and collaboration
among graduate students, their mentors and other prominent researchers
in the field, both during their graduate training, as well as into the
early stages of their research careers.
While the specific topics addressed under these Graduate Student
Research Grants are intended to be field-initiated, applicants who
address issues of both local and national significance will be most
likely to succeed. Some illustrative examples of such topics include,
but are not limited to the areas of school readiness, children's mental
health, serving an increasingly culturally and linguistically diverse
population of children and families and promoting child well-being by
strengthening responsible fatherhood and healthy marriages in Head
Start families.
C. Statutory Authority and Other Citations
Statutory authority: Section 649 of the Head Start Act, as amended
by the Coats Human Services Reauthorization Act of 1998 (Pub. L. 105-
285) and 42 U.S.C. 9844.
Paperwork Reduction Act of 1995 (Pub. L. 104-13): Public reporting
for this collection of information is estimated to average 40 hours per
response, including time for reviewing instructions, gathering and
maintaining data needed and reviewing the collection of information.
The project description is approved under OMB control Number 0970-
0139 which expires 12/31/03.
An agency may not conduct or sponsor, and a person is not required
to respond to, a collection of information unless it displays a valid
OMB control number.
D. Priority Areas, Number of Awards, Project Duration, and Funding
Levels
In Fiscal Year 2003, ACF anticipates funding between 5 and 10 new
projects in Priority Area 1.01 and between 2 and 8 new projects in
Priority Area 1.02, pending availability of funds and receipt of
satisfactory applications. ACF intends to commit up to $200,000 per
year to fund new grants in response to both priority areas within this
announcement. It is unlikely that any individual mentor will be funded
for more than one graduate student research grant if there are at least
10 applications from different mentors/institutions that qualify for
support.
Any application that exceeds the maximum dollar range will be
considered ``non-responsive'' and subsequently returned to the
applicant without further review.
Matching Requirement: There is no matching requirement.
Priority Area 1.01. Head Start Graduate Student Research Grants:
The maximum Federal share will range between $10,000-$20,000 for the
first 12-month budget period or a maximum of $40,000 for a 2-year
project period.
For Priority Area 1.01, requests for a second year of funding
within the project period should be identified in the current
application (on SF-424A), but such requests will be considered at a
later date on a noncompetitive basis, subject to the graduate student's
eligibility status, the availability of funds, satisfactory progress of
the grantee, and a determination that continued funding would be in the
best interest of the Government.
Priority Area 1.02. Head Start Graduate Student Partnership Grants:
The maximum Federal share will range between $2,500-$5,000 for the 12-
month budget period.
E. Application Process
This announcement includes all of the information needed to apply
for funding in each of the priority areas. Detailed instructions for
preparing and submitting applications are contained in the appendices.
Applicants are cautioned to follow the prescribed content and format in
preparing their application packages. Each priority area describes the
purpose, goals, technical requirements and evaluation criteria against
which proposals will be reviewed. The Standard Federal Forms that must
be included in applications can be downloaded from the Internet at
http://www.acf.hhs.gov/programs/ofs/.
F. Proposal Review, Selection and Award
1. Each application will be screened to determine whether the
applicant organization is eligible as specified in each of the priority
areas. Applications from ineligible organizations will be excluded from
the review.
1.The review will be conducted in Washington, DC. Expert reviewers
will include researchers, Federal or State staff, and other individuals
experienced in Head Start or related research and evaluation. A panel
of at least three reviewers will evaluate each application to determine
the strengths and weaknesses of the proposal in terms of the Head
Start's research goals and expectations, requirements for the Project
Narrative Statement, and evaluation criteria for the priority area
under consideration.
3. Given the involvement of non-Federal reviewers, applicants have
the option of omitting from the application copies (but not the
original), specific salary rates or amounts for individuals specified
in the application budget and Social Security Numbers, if otherwise
required for individuals. If the applicant omits individual salary
information on application copies, the copies must include summary
salary information.
4. Panelists will provide written comments and assign numerical
scores for each application. The indicated point value for each
criterion is the maximum numerical score for that criterion. The
assigned scores for each criterion will be summed to yield a total
evaluation score for the proposal.
5. In addition to the panel review, ACF may solicit comments from
other Federal offices and agencies, States, non-governmental
organizations, and individuals whose particular expertise is identified
as necessary for the consideration of technical issues arising during
the review. ACF will consider their comments, along with those of the
panelists, when making funding decisions. ACF will also take into
account the best combination of proposed projects to meet overall
research goals.
6. The Director of the Office of Planning, Research and Evaluation
in the Administration for Children and Families (ACF) will make the
final selection of the applicants to be funded. Applications may be
funded in whole or in part depending on: (1) The rank order of
applicants resulting from the competitive review; (2) staff review and
consultations; (3) the combination of projects which best meets the
Bureau's research objectives; (4) the funds available; and (5) other
relevant considerations.
7. Selected applicants will be notified through the issuance of a
Financial Assistance Award. That document establishes the funding
level, terms and conditions of the award, reporting requirements,
effective date of the award, budget period for which support is given,
and total project period for which support is provided.
8. Grants to successful applications will be awarded by September
30, 2003.
G. Type and Frequency of Post-Award Reporting Requirements
All grantees will be required to submit semi-annual progress and
fiscal reports as well as a final report.
Part II: Priority Area 1.01 Head Start Graduate Student Research Grants
Eligible Applicants: Institutions of higher education on behalf of
doctoral-
[[Page 41378]]
level graduate students. Doctoral students must have completed their
Master's Degree or equivalent in the field of doctoral study and
submitted formal notification to ACF by August 15, 2003.
To be eligible to administer the grant on behalf of the student,
the institution must be fully accredited by one of the regional
accrediting commissions recognized by the Department of Education and
the Council on Post-Secondary Accreditation. Faith-based institutions
are also eligible to apply. Although the faculty mentor is listed as
the Principal Investigator, this grant is intended for dissertation
research for an individual student. Information about both the graduate
student and the student's faculty mentor is required as part of this
application. Any resultant grant award is not transferable to another
student. The award may not be divided between two or more students.
Private, non-profit institutions are encouraged to submit with
their applications the optionally survey located under ``Grant Manuals
& Forms'' at http://www.acf.hhs.gov/programs/ofs/forms.htm.
Additional Requirements:
[sbull] A university faculty member must serve as a mentor to the
graduate student; this faculty member is listed as the ``Principal
Investigator.'' The application must include a letter from this faculty
member stating that s/he has reviewed and approved the application, the
status of the project as dissertation research, the student's status in
the doctoral program, and a description of how the faculty member will
regularly monitor the student's work.
[sbull] The research project must be an independent study conducted
by the individual graduate student or well-defined portion(s) of a
larger study currently being conducted by a faculty member. If the
project is part of a larger research effort, the proposal must clearly
distinguish between the student's portion of the research activities
and those of the larger project. The graduate student must have primary
responsibility for the proposed study described in the application.
[sbull] The graduate student must enter into a partnership with a
Head Start or Early Head Start program for the purposes of conducting
the research.
[sbull] The application must contain (A) a letter from the Head
Start or Early Head Start program certifying that they have entered
into a research partnership with the applicant (graduate student) and
(B) a separate letter certifying that the application has been reviewed
and approved by the Head Start Program Policy Council. Notification of
approval or pending approval by the Policy Council must be received
from the official representative of the Policy Council and not an
individual from the Head Start or Early Head Start program itself.
[sbull] The graduate student applicant must agree to attend two
meetings each year of the grant. The first meeting consists of the
annual meeting for all Head Start Graduate Students. This annual
grantee meeting is typically scheduled during the summer or fall of
each year and is held in Washington, DC. The fall 2003 meeting will be
held on Oct. 20-21, 2003. During this meeting, each student typically
presents a brief overview of his or her study (e.g., the study design,
participants, measures, and/or findings, as they become available). The
intended goal of the meeting is to stimulate potentially useful and
constructive feedback from other students and mentors, as well as to
facilitate collaboration, networking and mentoring activities.
The second meeting each year alternates between the biennial Head
Start National Research Conference in Washington, DC (June 28 to July
1, 2004) and the biennial meeting of the Society for Research in Child
Development-SRCD (April, 2005). At a minimum, students usually are
provided the opportunity to present information on their respective
studies in a poster session format, although both meetings also provide
other networking and mentoring activities. The grant budget should
reflect travel and housing funds for the graduate student for all four
of these meetings (or two if only applying for only one year of
funding).
[sbull] Given the strong emphasis that is placed on supporting the
mentor-student relationship, the faculty mentors are strongly
encouraged to attend and participate in the activities of the annual
grantee meeting for all Head Start Graduate Students. The budget should
reflect travel funds for such purposes, as appropriate. However, if the
faculty mentor does plan to attend the annual Graduate Student grantee
meeting, but will utilize another source of travel funds, such
arrangements are encouraged and should be noted in the application.
[sbull] Due to the small amount of the grant, the applicant's
institution is strongly encouraged to waive indirect costs.
[sbull] Contact information, including phone numbers, addresses and
e-mail addresses, for both the graduate student applicant and faculty
mentor must be included in the application.
[sbull] The graduate student must write the application in its
entirety, consistent with the format and style guidelines of the
Publication Manual of the American Psychological Association, 5th ed.
(APA 2001) and the general principles and guidelines of the Ethical
Principles of Psychologists and Code of Conduct 2002 (APA, 2002).
Project Duration: The announcement for priority area 1.01 is
soliciting applications for project periods up to two years. Grant
awards, on a competitive basis, will be for a one- to two-year project
period, the budget will be funded in one-year increments. It should be
noted, that if the graduate student, on whose behalf the University is
applying, expects to receive his/her degree by the end of the first
one-year budget period, the applicant should request a one-year project
period only. A second year budget-period will not be granted if the
student has graduated by the end of the first year. Applications for
continuation grants funded under these awards beyond the initial one-
year budget period, but within the two-year project period, will be
entertained in the subsequent year on a non-competitive basis, subject
to availability of funds, satisfactory progress of the grantee and a
determination that continued funding would be in the best interest of
the Government.
Criteria for Priority Area 1.01--Head Start Graduate Student
Research Grants--The three criteria that follow will be used to review
and evaluate each application under this priority area (presented here
in descending order of numerical weighting--see instructions in
Appendix 2). Address each in the Project Narrative Section of the
application. The point values indicate the maximum numerical weight
each criterion will be accorded in the review process. (100 points
total).
1. Approach 40 points
[sbull] The extent to which there is a discrete project designed by
the graduate student. If the proposed project is part of a larger study
designed by others, the approach section should clearly delineate the
research component to be carried out by the student and how it is
distinguished from the larger research project.
[sbull] The extent to which the research design is appropriate and
sufficient for addressing the questions of the study.
[sbull] The extent to which the planned research specifies the
measures to be used, their psychometric properties, and contains an
adequately detailed description of the proposed analyses to be
conducted.
[sbull] The extent to which the planned measures have been shown to
be appropriate and sufficient for the
[[Page 41379]]
questions of the study, and the population to be studied.
[sbull] The extent to which the planned measures and analyses are
consistent with one another, and reflect knowledge and use of state-of-
the-art measures and analytic techniques, or advance the state-of-the-
art, as appropriate.
[sbull] The extent to which the analytic techniques are appropriate
for the specific research question(s) under consideration.
[sbull] The extent to which the proposed sample size is sufficient
to answer the range of proposed research questions for the study.
[sbull] The extent to which the scope of the project is reasonable
for the funds available and feasible for the time frame specified.
[sbull] The extent to which the planned approach reflects
sufficient written input from and partnership with the Head Start
program (including the separate required review and written approval
from the Head Start program and the Head Start Program Policy Council).
[sbull] The extent to which the budget and budget justification are
appropriate for carrying out the proposed project.
2. Staff and Position Data 35 points
[sbull] The extent to which the faculty mentor and graduate student
possess the research expertise necessary to conduct the study as
demonstrated in the application and information contained in their
vitae.
[sbull] The principal investigator/faculty mentor has earned a
doctorate or equivalent in the relevant field and has first or second
author publications in major research journals.
[sbull] The extent to which the faculty mentor and graduate student
reflect an understanding of and sensitivity to the issues of working in
a community setting and in partnership with Head Start program staff
and parents.
[sbull] The adequacy of the time devoted to this project by the
faculty mentor for mentoring the graduate student. The proposal should
include evidence of the faculty mentor's commitment to mentoring the
individual graduate student, and as appropriate, willingness to serve
as a resource to the broader group of Head Start Graduate Students
funded under this award.
3. Results or Benefits Expected 25 points
[sbull] The research questions are clearly stated.
[sbull] The presentation reflects original work done by the student
(consistent with the general principles and guidelines of the Ethical
Principles of Psychologists and Code of Conduct 2002 (APA 2002).
[sbull] The extent to which the questions are of importance and
relevance for low-income children's development and welfare.
[sbull] The extent to which the research study makes a significant
contribution to the knowledge base.
[sbull] The extent to which the literature review is current and
comprehensive and supports the need for the study.
[sbull] The extent to which the literature review has a complete
set of reference citations and is written consistent with the
guidelines of the Publication Manual of the American Psychological
Association, 5th ed. (APA 2001).
[sbull] The extent to which the questions that will be addressed or
the hypotheses that will be tested are sufficient for meeting the
stated objectives.
[sbull] The extent to which the proposed project is appropriate to
the student's level of ability and the stated time frame for completing
the project.
Part III: Priority Area 1.02 Head Start Graduate Student Research
Partnership Development Grants
Eligible Applicants: Institutions of higher education on behalf of
graduate students enrolled in a doctoral program.
To be eligible to administer the grant on behalf of the student,
the institution must be fully accredited by one of the regional
accrediting commissions recognized by the Department of Education and
the Council on Post-Secondary Accreditation. Faith-based institutions
are also eligible to apply. Although the faculty mentor is listed as
the Principal Investigator and must be committed to taking a central
role in maintaining an ongoing research partnership with a Head Start
program, this grant is intended for an individual student to be the
primary conduit through which the research-related relationship is
forged. Information about both the graduate student and the student's
faculty mentor is required as part of this application. Any resultant
grant award is not transferable to another student. The award may not
be divided between two or more students.
Additional Requirements
[sbull] A university faculty member must serve as a mentor to the
graduate student; this faculty member is listed as the ``Principal
Investigator.'' The application must include a letter from this faculty
member stating that s/he has reviewed and approved the application and
describing, in as much detail as is possible, the potential for the
research partnership development project to lead to a research effort
that would include the student's dissertation study. It should also
include a statement of the student's status in the graduate program and
a description of how the faculty member will regularly monitor the
student's work.
[sbull] The research partnership development project must be
conducted by the individual graduate student or be a well-defined
portion(s) of a larger research effort currently being conducted by a
faculty member. If the project is part of a larger research
partnership-building effort, the proposal must clearly distinguish
between the student's portion and the activities of the larger research
project. The graduate student must have primary responsibility for the
proposed research efforts described in the application.
[sbull] The graduate student must begin to forge a research
partnership with a Head Start or Early Head Start program. While one of
the long-term purposes of the relationship should be to generate a
doctoral dissertation research opportunity in the Head Start setting,
the student should take an approach that is based in community/
ecological/empowerment models, in which research needs are considered
in the larger context of program needs, as well as mutually beneficial
and empowering relationships. Appropriate activities during the grant
period may include, but are not limited to, providing direct services
and assistance to Head Start or Early Head Start programs with program
activities, conducting assets/needs assessments, conducting focus
groups, jointly identifying or defining problems with Head Start
partners, training staff and other activities that foster
collaborative, reciprocal relationships with Head Start partners.
[sbull] Graduate students will be expected to identify (a) a set of
goals and objectives for the year, as well as a set of benchmarks for
guiding and assessing incremental progress toward attaining these goals
and objectives, and (b) specific products they expect to generate
during the grant period such as community assets/needs assessments,
problem descriptions, summaries of focus group findings or training
efforts, and/or drafts of dissertation proposals.
[sbull] Grant recipients are encouraged to build upon their work by
subsequently applying for the Head Start Graduate Student Research
Grants (Priority 1.01) to support doctoral dissertation research.
[sbull] The application must contain (A) a letter from at least one
Head Start or Early Head Start program certifying that they are
receptive to exploring a potential research partnership with the
applicant and (B) a separate letter
[[Page 41380]]
certifying that the proposed partnership project has been reviewed and
approved by the Head Start Program Policy Council. Notification of
approval or pending approval by the Policy Council must be received
from the official representative of the Policy Council and not an
individual from the Head Start or Early Head Start program itself.
[sbull] The graduate student applicant must agree to attend the
annual meeting for all Head Start Graduate Student Research grantees.
This annual grantee meeting is typically scheduled during the summer or
fall of each year and is held in Washington, DC. The fall 2003 meeting
will be held Oct. 20-21, 2003. During this meeting, each student
typically presents a brief overview of his or her study or proposed
project. The intended goal of the meeting is to stimulate potentially
useful and constructive feedback from other students and mentors, as
well as to facilitate collaboration, networking and mentoring
activities. The grant budget should reflect travel and housing funds
for the graduate student for this meeting.
[sbull] Due to the small amount of the grant, the applicant's
institution is strongly encouraged to waive indirect costs.
[sbull] Contact information, including phone numbers, addresses and
e-mail addresses, for both the graduate student applicant and faculty
mentor must be included in the application.
[sbull] The graduate student must write the application, consistent
with the format and style guidelines of the Publication Manual of the
American Psychological Association, 5th ed. (APA 2001) and the
principles and guidelines from the Ethical Principles of Psychologists
and Code of Conduct (APA 2002).
Project Duration: The announcement for priority area 1.02 is
soliciting applications for project periods up to one year.
CRITERIA for Priority Area 1.02--Head Start Graduate Student
Research Partnership Development Grants--The three criteria that follow
will be used to review and evaluate each application under this
priority area. Address each in the Project Narrative Section of the
application (presented here in descending order of numerical
weighting--see instructions in Appendix 2). The point values indicate
the maximum numerical weight each criterion will be accorded in the
review process. (100 points total).
1. Approach 40 points
[sbull] The extent to which there is a discrete project designed by
the graduate student. If the proposed project is part of a larger
project designed by others, the approach section should clearly
delineate the research partnership development component to be carried
out by the student and how it is distinguished from the larger project.
[sbull] The extent to which the goals and objectives of the
proposed activities, as well as the set of benchmarks for guiding and
assessing progress, are clearly articulated and reflect an appropriate
understanding of how these activities will fit within the context and
complexities of the Head Start program's operations.
[sbull] The scope of the project is reasonable for the funds
available and feasible for the time frame specified.
[sbull] The extent to which the planned approach or proposed
research partnership activities reflect sufficient opportunities for
written input from and an active partnership with the Head Start
program (including the separate required review and written approval of
the proposed partnership activities from the Head Start program and the
Head Start Program Policy Council).
[sbull] The extent to which the budget and budget justification are
appropriate for carrying out the proposed research project development
activities.
[sbull] The extent to which proposed products reflect concrete and
measurable steps toward design of a future dissertation project.
2. Staff and Position Data 35 points
[sbull] The extent to which the faculty mentor and graduate student
possess the expertise necessary to successfully form a research
partnership with a Head Start program as demonstrated in the
application and information contained in their vitae.
[sbull] The principal investigator/faculty mentor has earned a
doctorate or equivalent in the relevant field and has first or second
author publications in major research journals.
[sbull] The extent to which the faculty mentor and graduate student
reflect an understanding of and sensitivity to the issues of working in
a community setting and in a reciprocal partnership with Head Start
program staff and parents.
[sbull] The adequacy of the time devoted to this project by the
faculty mentor for mentoring the graduate student. The proposal should
include evidence of the faculty mentor's commitment to mentoring the
individual graduate student, and as appropriate, willingness to serve
as a resource to the broader group of Head Start Graduate Students
funded under this award.
[sbull] The extent to which the mentor-mentee relationship is
clearly described and has the potential to continue throughout the
student's dissertation process.
3. Results or Benefits Expected 25 points
[sbull] The presentation reflects original work done by the student
(consistent with the general principles and guidelines of the Ethical
Principles of Psychologists and Code of Conduct 2002 (APA 2002).
[sbull] The extent to which the literature review, as well as a
description of the needs of the local community if appropriate, is
current and comprehensive and supports the need for developing this or
similar research partnerships.
[sbull] The extent to which proposed goals and objectives for the
year address the needs identified.
[sbull] The extent to which the specific products to be generated
through the grant, as well as the benchmarks for assessing progress
toward these goals and objectives, are clearly described and will
potentially benefit the Head Start and/or research communities.
[sbull] The extent to which the literature review has a complete
set of reference citations and is written consistent with the
guidelines of the Publication Manual of the American Psychological
Association, 5th ed. (APA 2001).
[sbull] The extent to which the proposed project is appropriate to
the student's level of ability and the stated time frame for completing
the project.
[sbull] The extent to which potential research questions are
clearly stated and are of importance and relevance for low-income
children's development and welfare.
Part IV. Appendices
Appendix 1: Contents and Format of the Application
Clarity and conciseness are of utmost importance. ACF strongly
encourages applicants to limit their applications to 100 pages, double-
spaced and single-sided, with standard one-inch margins and 12 point
fonts. This includes the entire Project Narrative Statement including
text, tables, charts, graphs, resumes, corporate statements and
appendices.
Applicants are cautioned to include all required forms and
materials, organized according to the required format. The application
packet must include the following items in order:
1. A cover letter that includes the announcement number, priority
area and contact information.
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2. Standard Federal Forms
a. Standard Form 424, ``Application for Federal Assistance.'' This
form must be completed, signed, and included with the application.
b. Standard Form 424A, ``Budget Information--Non-Construction
Programs.'' This form must be completed and included with the
application.
c. Standard Form 424B, ``Assurances: Non-Construction Programs.''
This form must be completed, signed, and included with the application.
d. Assurance/Identification/Certification/Declaration Regarding
Protection of Human Subjects. This form must be completed, signed, and
included with the application.
e. Certifications Regarding Lobbying. Applicants must provide a
certification regarding lobbying when applying for an award in excess
of $100,000. Applicants must sign and return the certification with
their applications.
f. Standard Form LLL, ``Disclosure of Lobbying Activities.''
Applicants must disclose lobbying activities when applying for an award
in excess of $100,000. Applicants who have used non-Federal funds for
lobbying activities in connection with receiving assistance under this
announcement shall complete a disclosure form to report lobbying.
Applicants must sign and return the disclosure form, if applicable,
with their applications.
g. Certification Regarding Drug-Free Workplace Requirements.
Applicants must make the appropriate certification of their compliance
with the Drug-Free Workplace Act of 1988. By signing and submitting the
application, the applicant is providing the certification and need not
mail back the certification with the application.
h. Certification Regarding Debarment, Suspension, and Other
Responsibility Matters. Applicants must make the appropriate
certification that they are not presently debarred, suspended, or
otherwise ineligible for an award. By signing and submitting the
application, the applicant is providing the certification and need not
mail back the certification with the application.
i. Certification Regarding Environmental Tobacco Smoke. Applicants
must make the appropriate certification of their compliance. By signing
and submitting the application, the applicant is providing the
certification and need not mail back the certification with the
application.
3. For-profit entities wishing to receive a grant directly must
provide a letter indicating their willingness to waive their profit.
Non-profit organizations must submit proof of non-profit status in the
application at the time of submission. The applicant can demonstrate
proof of non-profit status in any one of five ways, by providing:
a. A copy of the organization's listing in the Internal Revenue
Service's (IRS) most recent list of tax-exempt organizations described
in Section 501(c3) of the IRS code;
b. A copy of the currently valid IRS tax exemption certificate;
c. A statement from a State taxing body, State attorney general, or
other appropriate State official certifying that the applicant
organization has a non-profit status and that none of the net earnings
accrue to any private shareholders or individuals;
d. A certified copy of the organization's certificate of
incorporation or similar document that clearly establishes non-profit
status.
e. Any of the items in the subparagraphs immediately above for a
State or national parent organization and a statement signed by the
parent organization that the applicant organization is a local non-
profit affiliate.
Private, non-profit institutions are encouraged to submit with
their applications the optional survey located under ``Grant Manuals &
Forms'' at http://www.acf.hhs.gov/programs/ofs/forms.htm.
4. Administrative requirements: 45 CFR Parts 74 and 92.
5. Executive Order 12372--Single Point of Contact
This program is covered under Executive Order 12372,
``Intergovernmental Review of Federal Programs'', and 45 CFR part 100,
``Intergovernmental Review of Department of Health and Human Services
Program and Activities''. Under the Order, States may design their own
processes for reviewing and commenting on proposed Federal assistance
under covered programs.
All States and Territories except Alabama, Alaska, Arizona,
Colorado, Connecticut, Hawaii, Idaho, Indiana, Kansas, Louisiana,
Massachusetts, Minnesota, Montana, Nebraska, New Jersey, Ohio,
Oklahoma, Oregon, Pennsylvania, South Dakota, Tennessee, Vermont,
Virginia, Washington, and Wyoming have elected to participate in the
Executive Order process and have established Single Points of Contact
(SPOCs). Applicants from these twenty-six jurisdictions need take no
action regarding E.O. 12372. Applicants for projects to be administered
by Federally-recognized Indian Tribes are also exempt from the
requirements of E.O. 12372. Otherwise, applicants should contact their
SPOCs as soon as possible to alert them of the prospective applications
and receive any necessary instructions. Applicants must submit any
required material to the SPOCs as soon as possible so that the program
office can obtain and review SPOC comments as part of the award
process. It is imperative that the applicant submit all required
materials, if any, to the SPOC and indicate the date of this submittal
(or 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 or competing continuation awards.
SPOCs are encouraged to eliminate the submission of routine
endorsements as official recommendations.
Additionally, SPOCs are requested to clearly differentiate between
mere advisory comments and those official State process recommendations
which may trigger the accommodation or explain rule.
When comments are submitted directly to ACF, they should be
addressed to: William Wilson, ACYF's Office of Grants Management, Room
2220 Switzer Building, 330 C Street SW., Washington, DC 20447, Attn:
Head Start Discretionary Research Grants Announcement. A list of the
Single Points of Contact (SPOCs) for each State and Territory can be
found on the following web site: http://www.whitehouse.gov/omb/grants/spoc.html
.
5. Table of Contents
6. Project Abstract (not to exceed one page) for use in official
briefings, decision packages, and public announcement of awards.
7. Project Narrative Statement (See instructions in Appendix 2 and
Evaluation Criteria for each Priority described in this announcement.)
8. Appendices: All supporting materials and documents should be
organized into appropriate appendices and securely bound to the
application package. Applicants are reminded that the total page
limitation applies to both narrative text and supporting materials.
a. Contact Information for all Key Staff
b. Resumes
c. Letters of Support, if appropriate
d. Other
9. Number of Copies and Binding: An original and two copies of the
complete application packet must be submitted. Each copy of the
application should be securely stapled in the upper left-hand corner,
clipped, or secured at the top with a two-hole punch fastener. Because
each application will be duplicated for the review panel, do not use
non-
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removable binders. Do not include tabs, plastic inserts, brochures,
videos, or any other items that cannot be photocopied.
Appendix 2: Uniform Project Description
Part 1 The Project Description Overview
Purpose
The project description provides a major means by which an
application is evaluated and ranked to compete with other applications
for available assistance. The project description should be concise and
complete and should address the activity for which Federal funds are
being requested. Supporting documents should be included where they can
present information clearly and succinctly. In preparing your project
description, all information requested through each specific evaluation
criteria should be provided. Awarding offices use this and other
information in making their funding recommendations. It is important,
therefore, that this information be included in the application.
General Instructions
ACF is particularly interested in specific factual information and
statements of measurable goals in quantitative terms. Project
descriptions are evaluated on the basis of substance, not length.
Extensive exhibits are not required. Cross-referencing should be used
rather than repetition. Supporting information concerning activities
that will not be directly funded by the grant or information that does
not directly pertain to an integral part of the grant-funded activity
should be placed in an appendix.
Pages should be numbered and a table of contents should be included
for easy reference.
Part 2 General Instructions for Preparing a Full Project Description
Introduction
Applicants required to submit a full project description shall
prepare the project description statement in accordance with the
following instructions and the specified evaluation criteria. The
instructions give a broad overview of what your project description
should include while the evaluation criteria expands and clarifies more
program-specific information that is needed.
Project Summary/Abstract
Provide a summary of the project description (a page or less) with
reference to the funding request.
Objectives and Need for Assistance
Clearly identify the physical, economic, social, financial,
institutional, and/or other problem(s) requiring a solution. The need
for assistance must be demonstrated and the principal and subordinate
objectives of the project must be clearly stated; supporting
documentation, such as letters of support and testimonials from
concerned interests other than the applicant, may be included. Any
relevant data based on planning studies should be included or referred
to in the endnotes/footnotes. Incorporate demographic data and
participant/beneficiary information, as needed. In developing the
project description, the applicant may volunteer or be requested to
provide information on the total range of projects currently being
conducted and supported (or to be initiated), some of which may be
outside the scope of the program announcement.
Approach
Outline a plan of action which describes the scope and detail of
how the proposed work will be accomplished. Account for all functions
or activities identified in the application. Cite factors which might
accelerate or decelerate the work and state your reason for taking the
proposed approach rather than others. Describe any unusual features of
the project such as design or technological innovations, reductions in
cost or time, or extraordinary social and community involvement.
Provide quantitative monthly or quarterly projections of the
accomplishments to be achieved for each function or activity in such
terms as the number of people to be served and the number of activities
accomplished. When accomplishments cannot be quantified by activity or
function, list them in chronological order to show the schedule of
accomplishments and their target dates.
If any data is to be collected, maintained, and/or disseminated,
clearance may be required from the U.S. Office of Management and Budget
(OMB). This clearance pertains to any ``collection of information that
is conducted or sponsored by ACF.''
List organizations, cooperating entities, consultants, or other key
individuals who will work on the project along with a short description
of the nature of their effort or contribution.
Evaluation
Provide a narrative addressing how the results of the project and
the conduct of the project will be evaluated. In addressing the
evaluation of results, state how you will determine the extent to which
the project has achieved its stated objectives and the extent to which
the accomplishment of objectives can be attributed to the project.
Discuss the criteria to be used to evaluate results, and explain the
methodology that will be used to determine if the needs identified and
discussed are being met and if the project results and benefits are
being achieved. With respect to the conduct of the project, define the
procedures to be employed to determine whether the project is being
conducted in a manner consistent with the work plan presented and
discuss the impact of the project's various activities on the project's
effectiveness.
Additional Information
Following are requests for additional information that need to be
included in the application:
Staff and Position Data
Provide a biographical sketch for each key person appointed and a
job description for each vacant key position. A biographical sketch
will also be required for new key staff as appointed.
Organizational Profiles
Provide information on the applicant organization(s) and
cooperating partners such as organizational charts, financial
statements, audit reports or statements from CPAs/Licensed Public
Accountants, Employer Identification Numbers, names of bond carriers,
contact persons and telephone numbers, child care licenses and other
documentation of professional accreditation, information on compliance
with Federal/State/local government standards, documentation of
experience in the program area, and other pertinent information. Any
non-profit organization submitting an application must submit proof of
its non-profit status in its application at the time of submission.
The non-profit agency can accomplish this by providing a copy of
the applicant's listing in the Internal Revenue Service's (IRS) most
recent list of tax-exempt organizations described in Section 501(c)(3)
of the IRS code, or by providing a copy of the currently valid IRS tax
exemption certificate, or by providing a copy of the articles of
incorporation bearing the seal of the State in which the corporation or
association is domiciled.
Letters of Support
Provide statements from community, public and commercial leaders
that
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support the project proposed for funding. All submissions should be
included in the application OR by application deadline.
Budget and Budget Justification
Provide line item detail and detailed calculations for each budget
object class identified on the Budget Information form. Detailed
calculations must include estimation methods, quantities, unit costs,
and other similar quantitative detail sufficient for the calculation to
be duplicated. The detailed budget must also include a breakout by the
funding sources identified in Block 15 of the SF-424.
Provide a narrative budget justification that describes how the
categorical costs are derived. Discuss the necessity, reasonableness,
and allocability of the proposed costs.
General
The following guidelines are for preparing the budget and budget
justification. Both Federal and non-Federal resources shall be detailed
and justified in the budget and narrative justification. For purposes
of preparing the budget and budget justification, ``Federal resources''
refers only to the ACF grant for which you are applying. Non-Federal
resources are all other resources. It is suggested that budget amounts
and computations be presented in a columnar format: first column,
object class categories; second column, Federal budget; next column(s),
non-Federal budget(s), and last column, total budget. The budget
justification should be a narrative.
Personnel
Description: Costs of employee salaries and wages.
Justification: Identify the project director or principal
investigator, if known. For each staff person, provide the title, time
commitment to the project (in months), time commitment to the project
(as a percentage or full-time equivalent), annual salary, grant salary,
wage rates, etc. Do not include the costs of consultants or personnel
costs of delegate agencies or of specific project(s) or businesses to
be financed by the applicant.
Fringe Benefits
Description: Costs of employee fringe benefits unless treated as
part of an approved indirect cost rate.
Justification: Provide a breakdown of the amounts and percentages
that comprise fringe benefit costs such as health insurance, FICA,
retirement insurance, taxes, etc.
Travel
Description: Costs of project-related travel by employees of the
applicant organization (does not include costs of consultant travel).
Justification: For each trip, show the total number of traveler(s),
travel destination, duration of trip, per diem, mileage allowances, if
privately owned vehicles will be used, and other transportation costs
and subsistence allowances. Travel costs for key staff to attend ACF-
sponsored workshops should be detailed in the budget.
Equipment
Description: ``Equipment'' means an article of non-expendable,
tangible personal property having a useful life of more than one year
and an acquisition cost which equals or exceeds the lesser of (a) the
capitalization level established by the organization for the financial
statement purposes, or (b) $5,000. (Note: Acquisition cost means the
net invoice unit price of an item of equipment, including the cost of
any modifications, attachments, accessories, or auxiliary apparatus
necessary to make it usable for the purpose for which it is acquired.
Ancillary charges, such as taxes, duty, protective in-transit
insurance, freight, and installation shall be included in or excluded
from acquisition cost in accordance with the organization's regular
written accounting practices.)
Justification: For each type of equipment requested, provide a
description of the equipment, the cost per unit, the number of units,
the total cost, and a plan for use on the project, as well as use or
disposal of the equipment after the project ends. An applicant
organization that uses its own definition for equipment should provide
a copy of its policy or section of its policy which includes the
equipment definition.
Supplies
Description: Costs of all tangible personal property other than
that included under the Equipment category.
Justification: Specify general categories of supplies and their
costs. Show computations and provide other information which supports
the amount requested.
Contractual
Description: Costs of all contracts for services and goods except
for those which belong under other categories such as equipment,
supplies, construction, etc. Third-party evaluation contracts (if
applicable) and contracts with secondary recipient organizations,
including delegate agencies and specific project(s) or businesses to be
financed by the applicant, should be included under this category.
Justification: All procurement transactions shall be conducted in a
manner to provide, to the maximum extent practical, open and free
competition. Recipients and subrecipients, other than States that are
required to use 45 CFR Parts 92 procedures, must justify any
anticipated procurement action that is expected to be awarded without
competition and exceed the simplified acquisition threshold fixed at 41
U.S.C. 403(11) (currently set at 100,000). Recipients might be required
to make available to ACF pre-award review and procurement documents,
such as request for proposals or invitations for bids, independent cost
estimates, etc.
Note: Whenever the applicant intends to delegate part of the
project to another agency, the applicant must provide a detailed
budget and budget narrative for each delegate agency, by agency
title, along with the required supporting information referred to in
these instructions.
Other
Enter the total of all other costs. Such costs, where applicable
and appropriate, may include but are not limited to insurance, food,
medical and dental costs (noncontractual), professional services costs,
space and equipment rentals, printing and publication, computer use,
training costs, such as tuition and stipends, staff development costs,
and administrative costs.
Justification: Provide computations, a narrative description and a
justification for each cost under this category.
Indirect Charges
Description: Total amount of indirect costs. This category should
be used only when the applicant currently has an indirect cost rate
approved by the Department of Health and Human Services (HHS) or
another cognizant Federal agency.
Justification: An applicant that will charge indirect costs to the
grant must enclose a copy of the current rate agreement. If the
applicant organization is in the process of initially developing or
renegotiating a rate, it should immediately upon notification that an
award will be made, develop a tentative indirect cost rate proposal
based on its most recently completed fiscal year in accordance with the
principles set forth in the cognizant agency's guidelines for
establishing indirect cost rates, and submit it to the cognizant
agency. Applicants awaiting approval of their indirect cost proposals
may also request indirect costs. It should be noted that when an
indirect cost rate is requested,
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those costs included in the indirect cost pool should not also be
charged as direct costs to the grant. Also, if the applicant is
requesting a rate which is less than what is allowed under the program,
the authorized representative of the applicant organization must submit
a signed acknowledgement that the applicant is accepting a lower rate
than allowed.
Nonfederal Resources
Description: Amounts of non-Federal resources that will be used to
support the project as identified in Block 15 of the SF-424.
Justification: The firm commitment of these resources must be
documented and submitted with the application in order to be given
credit in the review process. A detailed budget must be prepared for
each funding source.
Dated: July 8, 2003.
Howard Rolston,
Director, Office of Planning, Research, and Evaluation, Administration
for Children and Families.
[FR Doc. 03-17605 Filed 7-10-03; 8:45 am]
BILLING CODE 4184-01-P