[Federal Register: April 1, 2004 (Volume 69, Number 63)]
[Notices]
[Page 17176-17185]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr01ap04-90]
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Administration for Children and Families
Grants and Cooperative Agreements; Availability, etc.: Head Start
Programs--Measurement Development; University Partnerships
AGENCY: Administration for Children and Families (ACF) & Office of
Planning, Research and Evaluation (OPRE), HHS.
Funding Opportunity Title: Head Start-University Partnerships:
Measurement Development for Head Start Children and Families.
Announcement Type: Initial.
Funding Opportunity Number: HHS-2004-ACF-OPRE-YF-0001.
CFDA Number: 93.600.
Due date for Letter of Intent (Encouraged): 3 weeks prior to June
1, 2004.
Due Date for Applications (Required): The due date for receipt of
applications is: June 1, 2004.
I. Funding Opportunity Description
Funds are provided for Head Start-University Partnerships:
Measurement Development for Head Start Children and Families, for
research activities to develop and test outcome measures to be used
with Head Start children and families.
This grant program is part of a larger Head Start research effort.
Three other grant funding mechanisms are being offered concurrently
with the one described in this announcement. They include: (1) American
Indian-Alaska Native Head Start-University Partnerships, (2) Head Start
Graduate Student Research Grants, and (3) Head Start Graduate Student
Research Partnership Development Grants. For more information, please
see these other Head Start Research announcements listed in the Federal
Register or listed on http://www.Grants.Gov, or send an inquiry to the
email address listed above.
Priority Area: Head Start-University Partnerships: Measurement
Development for Head Start Children and Families.
A. Purpose
The purpose of this announcement is to report the availability of
funds to support grants for development of measures to directly assess
children and parent-child relationships for low-income children from
birth through age five, including culturally and linguistically diverse
children and families. Grants will require program-researcher
partnerships with Head Start, Early Head Start, or related programs.
B. Statutory Authority
Section 649 of the Head Start Act, as amended by the Coates Human
Services Reauthorization Act of 1998 (Pub. L. 105-285) and 42 U.S.C.
9844.
C. Background
The Head Start program has engaged in systematic consideration of
reliable and valid child and family outcome measures through an ongoing
series of recent initiatives, outlined below.
1. Head Start Program Performance Measures Initiative and National
Studies
Starting in 1995, in response to requirements of the 1994 Head
Start Act and the 1993 Government Performance and Results Act, Head
Start launched a comprehensive Program Performance Measurement
initiative. The initiative is based on a pyramid-shaped conceptual
framework that depicts the empirical links between provision of a
comprehensive high-quality child development and family support
program, and the resulting outcomes for program participants. The
initiative's centerpiece is the Head Start Family and Child Experiences
Survey (FACES). FACES is an ongoing, longitudinal study of successive
nationally-representative cohorts of Head Start programs, families, and
children starting in fall 1997, 2000, and 2003. A comprehensive
measurement battery has been developed and refined, encompassing parent
and staff interviews and ratings, observational
[[Page 17177]]
measures of classroom quality, and direct, one-to-one child
assessments. Please see http://www.acf.hhs.gov/programs/core/ongoing_research/faces/faces_intro.html.
The Head Start Quality Research
Center Consortium has contributed and validated additional measures of
children and families, and uses the FACES battery as a cross-site core
of measures. For more information, please see http://www.acf.hhs.gov/programs/core/ongoing_research/qrc/qrc_2001.html
.
The Head Start reauthorization of 1998 (COATES, Pub. L. 105-285)
mandated a study of the national impact of Head Start. The FACES
battery was updated to reflect improvements in measurement for this
nationally-representative, randomized study launched in fall 2002, and
to focus particularly on measures likely to be responsive to
intervention and appropriate for settings other than Head Start. For
more information please see http://www.acf.hhs.gov/programs/core/ongoing_research/hs/impact_intro.html.
Also in 1998, Congress
mandated more specific outcome measures for Head Start, moving beyond
the National Goals Panel system used in FACES to indicate thirteen
specific required outcomes across domains of language, literacy and
numeracy. The Head Start Child Outcomes Framework placed these mandated
outcomes in the context of a comprehensive focus on multiple domains of
development. Programs were required to demonstrate ongoing
developmental assessments across these domains, using measures aligned
with their chosen curricula. Funded in 2002, The Head Start Child
Outcomes Research Support Consortium (CORS) has focused on models of
using observational measures of children's school readiness skills and
abilities to improve program quality, as well as validating
observational measures through administration of direct child
assessments. Please see http://www.acf.hhs.gov/programs/core/ongoing_research/cors/cors_intro.html
.
In April 2002, as part of Good Start, Grow Smart, President Bush
announced a National Reporting System for Head Start, requiring direct
assessment of all Head Start children at the beginning and end of the
year prior to Kindergarten entry. Please see http://www.whitehouse.gov/infocus/earlychildhood/earlychildhood.html.
National experts, including
those at the NICHD/ACF meeting described below, offered recommendations
on design and measures. A brief child assessment battery was developed
and pilot tested, program staff were trained, and the system was
launched in fall, 2003. Please see http://www.acf.hhs.gov/programs/hsb/pdf/NRS.pdf
.
In addition to these developments in the preschool program,
comprehensive measures were developed for the Early Head Start Research
and Evaluation Project (1995-2002), which included an experimental
evaluation of initially-funded Head Start programs in 17 communities
across the country. The Early Head Start Performance Measurement
initiative modified the Head Start pyramid to illustrate the importance
of relationships at the core of the Early Head Start program:
Relationships between parents and children, children and caregivers,
and caregivers and parents. The Early Head Start pyramid also reflects
the four cornerstones of the program: Child, parent, staff and
community. Please see http://www.acf.hhs.gov/programs/core/ongoing_research/ehs/ehs_perf_measures.html
.
Most of these national studies have not included participants in
American Indian/Alaska Native programs or Migrant and Seasonal Head
Start programs, primarily because experts were not satisfied with the
cultural or linguistic appropriateness of available measurement
techniques. Special research initiatives have been undertaken with both
of these Head Start populations. The American Indian/Alaska Native
research and outcomes assessment project has developed an annotated
bibliography of research and a compendium of recommended measures.
Please see http://www.acf.hhs.gov/programs/core/ongoing_research/hs/hs_aian.html
.
The Migrant and Seasonal Head Start research design development
project is currently exploring research design and measurement options
for this population. It will eventually be posted at http://www.acf.hhs.gov/programs/core/ongoing_research/hs
.
2. NICHD/ACF/ASPE Meeting
In June, 2002, a workshop was sponsored by the National Institute
of Child Health and Human Development (NICHD), ACF, and the Assistant
Secretary for Planning and Evaluation (ASPE) in the U.S. Department of
Health and Human Services (HHS) entitled ``Children's Early Learning,
Development, and School Readiness: Conceptual Frameworks, Constructs,
and Measures.'' Convening a broad panel of national experts, the
workshop produced a compendium of measures, as well as offering
principles and recommendations for early childhood assessments.
Measures were organized according to a three-tiered system: (1)
Published and widely-used; sensitive to intervention; reasonable
training requirements; (2) less widely used; training may be labor
intensive; may be most useful for in-depth assessment; (3)
experimental, theory-driven, lacking full psychometric validation.
Among the recommendations that emerged during the workshop were the
following:
Ground instruments in child development theory
and data;
Develop measures with practical relevance;
Use measures appropriate to the population
(language, culture, age span, clinical status);
Include direct child assessment with parent and
teacher report;
Require evidence of sound psychometric
properties;
Develop and maintain guidelines for training and
administration;
Control for Type I and Type II errors and
repeated testing effects; and
Promote integrated systems of assessment across
comprehensive domains.
For more information, please see http://www.nichd.nih.gov/crmc/cdb/Kyle-workshop.pdf
.
3. NIMH Young Child Assessment Program
The National Institute of Mental Health Young Child Assessment
Program convened a panel of multidisciplinary researchers in May, 2003
to examine current assessment approaches for young children's mental
health. The meeting was co-sponsored by ACF. Various perspectives were
presented including dimensional, diagnostic, clinical and
epidemiological approaches of emotional regulation and attention;
externalizing behaviors; and co-occurring language and other related
developmental problems. The goals of the meeting were to present an
overview of the current issues in the field and discuss opportunities
for collaboration and research program development for young children.
For more information, see http://wwwntb.nimh.nih.gov/research/consortyoung.cfm
.
C. Priorities
Based on the extensive work on research design and measurement
issues relevant to studying Head Start children and families described
above, ACF has identified a series of targeted programmatic and
research needs in the measurement domain. Successful applications under
this announcement will focus on one or more of the following domains of
interest. For child measures: Cognitive development, language
development, early literacy, phonemic awareness, mathematics,
[[Page 17178]]
social and emotional development, health, physical development, and
approaches to learning. For parent/caregiver-child measures: Directly
observed measures of the parent-child relationship, as well as measures
of other key caregiver/child relationships.
Successful applications under this announcement will provide plans
for the development and dissemination of products that are useful for
research and/or program self-evaluation, in manualized form and
inclusive of training and technical assistance provisions. Measures
developed under this announcement are governed by the terms of 45 CFR
part 74.36 regarding subsequent sale and distribution. An important
element of this announcement is the requirement that researchers
demonstrate a partnership or partnerships with Head Start or Early Head
Start programs as part of the development, piloting, refinement,
training, and use of measures.
Special priorities include the following areas of interest:
Measures designed, adapted, or validated for use
with the general Head Start and Early Head Start populations, or
measures spanning the age range 0-5;
Measures designed, adapted, or validated for use
with under-served Head Start and Early Head Start populations such as
English Language Learners, American Indian/Alaska Natives, and Migrant
and Seasonal children and families;
Abbreviated forms of standardized measures, with
adequately documented psychometric properties and full validation;
Measures designed to be used by Head Start
program staff, with appropriate training;
Measures related to under-developed domains or
areas within the current studies of Head Start or Early Head Start
populations;
Measures related to Early Head Start Performance
Measurement;
Measures aligned with state standards and
benchmarks at the preschool level, and in the early school grades.
II. Award Information
Funding Instrument Type: Grant.
Anticipated Total Program Funding: $2,000,000.
Anticipated Number of Awards: ACF anticipates funding 8-12
projects.
Ceiling on Amount of Individual Awards: The Federal share of
project costs shall not exceed $200,000 for the first 12-month budget
period inclusive of indirect costs and shall not exceed $200,000 per
year for the second through third 12-month budget periods.
An application that exceeds the upper value of the dollar range
specified will be considered ``non-responsive'' and be returned to the
applicant without further review.
Floor of Individual Award Amounts: None specified.
Average Projected Award Amount: None specified.
Project Periods for Awards: Project periods will be up to three
years. Initial awards will be for the first one-year budget period.
Requests for a second and/or third year of funding within the project
period should be identified in the current application (on SF-424A),
but such requests will be considered in subsequent years on a
noncompetitive basis, subject to the applicant'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.
III. Eligibility Information
1. Eligible applicants include the following:
State controlled institutions of higher
education;
Private institutions of higher education;
Nonprofits having a 501(c)(3) status with the
IRS, other than institutions of higher education;
Other: Faith-based and community organizations
that meet all other eligibility requirements;
Additional Information on Eligibility
A. Eligible applicants are universities, four-year colleges, and
not-for-profit institutions on behalf of researchers who hold a
doctorate degree or equivalent in their respective fields. The
Principal Investigator must conduct research as a primary professional
responsibility, and have published or have been accepted for
publication in the major peer-reviewed research journals in the field
as a first author or second author.
B. An important element of this announcement is the requirement
that researchers demonstrate a partnership or partnerships with Head
Start or Early Head Start programs as part of the development,
piloting, refinement, training, and use of measures. The application
must contain a letter from the Head Start or Early Head Start program
certifying that they have entered into a partnership with the applicant
and the application has been reviewed and approved by the Head Start or
Early Head Start Policy Council (see Section IV. Application and
Submission Information for further details about these letters).
C. The Principal Investigator must agree to attend two meetings
each year. The first is an annual grantee meeting which is typically
scheduled during the summer or fall of each year and is held in
Washington, DC. 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). The budget should
reflect travel funds for such purposes.
D. Faith-based and community organizations that meet all other
eligibility criteria are eligible to apply.
E. Any nonprofit organization submitting an application must submit
proof of its nonprofit status at the time of submission. Any of the
following constitutes proof of nonprofit status:
A copy of the applicant organization'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.
A copy of a currently valid IRS tax exemption
certificate.
A written statement from a State taxing body,
State attorney general, or other appropriate State official certifying
that the applicant organization has a nonprofit status and that none of
the net earning accrue to any private shareholders or individuals.
A certified copy of the organization's
certificate of incorporation or similar document that clearly
establishes nonprofit status.
Any of the items above for a State or national
parent organization and a statement signed by the parent organization
that the applicant organization is a local nonprofit affiliate.
F. Private, nonprofit organizations are encouraged to submit with
their applications the survey located under ``Grant Related Documents
and Forms'' titled ``Survey for Private, Nonprofit Grant Applicants''
at http://www.acf.hhs.gov/programs/ofs/forms.htm.
2. Cost Sharing or Matching
There is no matching requirement.
3. Other
All applicants must have Dun & Bradstreet numbers. On June 27, 2003
the Office of Management and Budget published in the Federal Register a
new Federal policy applicable to all Federal grant applicants. The
policy requires all Federal grant applicants to provide a Dun and
Bradstreet Data Universal
[[Page 17179]]
Numbering System (DUNS) number when applying for Federal grants or
cooperative agreements on or after October 1, 2003. The DUNS number
will be required whether an applicant is submitting a paper application
or using the government-wide electronic portal (http://www.Grants.gov). A DUNS
number will be required for every application for a new award or
renewal/continuation of an award, including applications or plans under
formula, entitlement, and block grant programs, submitted on or after
October 1, 2003.
Please ensure that your organization has a DUNS number. You may
acquire a DUNS number at no cost by calling the dedicated toll-free
DUNS number request line on 1-866-705-5711 or you may request a number
on-line at http://www.dnb.com.
Applications that fail to follow the required format described in
Section IV.2. Content and Form of Application Submission will be
considered non-responsive and will not be eligible for funding under
this announcement.
Applications that exceed the $200,000 ceiling will be considered
non-responsive and will not be eligible for funding under this
announcement.
IV. Application and Submission Information
1. Address to Request Application Package
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 also email your questions to:
opre@xtria.com. Refer to the Funding Opportunity Number: HHS-2004-ACF-
OPRE--[Insert here].
ACYF Operations Center/OPRE Grant Review Team/Xtria, LLC, c/o Dixon
Group, Inc., 118 Q Street, NE., Washington, DC 20002-2132, Attention:
Head Start-University Partnerships Measurement Development, 1 (877)
663-0250, E-mail opre@xtria.com.
URL to Obtain an Application: Copies of this Program Announcement
may be downloaded approximately 5 days after publication in the Federal
Register at http://www.acf.dhhs.gov/programs/core/ongoing_research/funding/funding.html
.
Application materials described in Section IV. can be downloaded
from the following web site: http://www.acf.hhs.gov/programs/ofs/forms.htm#apps
.
2. Content and Form of Application Submission
An original and two copies of the complete application are
required. The original copy must include all required forms,
certifications, assurances, and appendices, be signed by an authorized
representative, have original signatures, and be submitted unbound. The
two additional copies of the complete application must include all
required forms, certifications, assurances, and appendices and must
also be submitted unbound. Applicants have the option of omitting from
the application copies (not the original) specific salary rates or
amounts for individuals specified in the application budget and Social
Security Numbers, if otherwise required for individuals. The copies may
include summary salary information.
Format and Organization. Applicants are strongly encouraged to
limit their application to 100 pages, double-spaced, with standard one-
inch margins and 12 point fonts. This page limit applies to both
narrative text and supporting materials but not the Standard Federal
Forms (see list below). Applicants must number the pages of their
application beginning with the Table of Contents.
Applicants are advised to include all required forms and materials
and to organize these materials according to the format, and in the
order, presented below:
a. Cover Letter
b. Contact information sheet (see details below)
c. Standard Federal Forms
Standard Application for Federal Assistance (form 424)
Budget Information--Non-construction Programs (424A)
Certifications Regarding Lobbying
Disclosures of Lobbying Activities (if necessary)
Certification Regarding Environmental Tobacco Smoke
Assurance Regarding Non-construction Programs (form 424B)
Assurance Regarding Protection of Human Subjects
d. Table of Contents
e. Project Narrative Statement (see details below)
f. Appendices
Proof of Nonprofit Status (see Section V.1.F)
Letter(s) of agreement with Head Start program(s) (see details
below)
Letter(s) of agreement with Head Start Policy Council(s) (see
details below)
Curriculum Vitae for Principal Investigators
You may submit your application to us in either electronic or paper
format.
To submit an application electronically, please use the
http://www.Grants.gov apply site. If you use Grants.gov, you will be able to
download a copy of the application package, complete it off-line, and
then upload and submit the application via the Grants.gov site. You may
not e-mail an electronic copy of a grant application to us.
Please note the following if you plan to submit your application
electronically via Grants.gov:
Electronic submission is voluntary.
When you enter the Grants.gov site, you will
find information about submitting an application electronically through
the site, as well as the hours of operation. We strongly recommend that
you do not wait until the application deadline date to begin the
application process through Grants.gov.
To use Grants.gov, you, as the applicant, must
have a DUNS Number and register in the Central Contractor Registry
(CCR). You should allow a minimum of five days to complete the CCR
registration.
You will not receive additional point value
because you submit a grant application in electronic format, nor will
we penalize you if you submit an application in paper format.
You may submit all documents electronically,
including all information typically included on the SF 424 and all
necessary assurances and certifications.
Your application must comply with any page
limitation requirements described in this program announcement.
After you electronically submit your
application, you will receive an automatic acknowledgement from
Grants.gov that contains a Grants.gov tracking number. ACF will
retrieve your application from Grants.gov.
We may request that you provide original
signatures on forms at a later date.
You may access the electronic application for
this program on http://www.Grants.gov.
You must search for the downloadable application
package by the CFDA number.
Private non-profit organizations may voluntarily submit with their
applications the survey located under ``Grant Related Documents and
Forms'' titled ``Survey for Private, Nonprofit Grant Applicants'' at
http://www.acf.hhs.gov/programs/ofs/forms.htm.
Content of Contact Information Sheet: The contact information sheet
should include complete contact information, including addresses, phone
and fax numbers, and e-mail addresses, for the Principal
Investigator(s) and the institution's grants/financial officer (person
who signs the SF-424).
[[Page 17180]]
Content of Project Narrative Statement: The project narrative
should be carefully developed in accordance with ACF's research goals
and agenda as described in the Purpose, Background, and Priorities of
this funding opportunity, and the structure requirements listed in
Section V. Application Review Information. Please see Section V.1.
Criteria for instructions on preparing the project summary/abstract and
the full project description.
Content of Letters of Agreement: For research conducted with Head
Start, the application must contain (A) an original copy of a letter
from the Head Start or Early Head Start program certifying that they
have entered into a research partnership with the applicant and (B) a
separate letter certifying that the application has been reviewed and
approved by the local Head Start Program Policy Council. Certification
of approval or pending approval by the Policy Council must be an
original letter from the official representative of the Policy Council
itself.
3. Submission Dates and Times
The closing time and date for receipt of applications is 4:30 p.m.
(Eastern Time Zone) on June 1, 2004. Mailed or handcarried applications
received after 4:30 p.m. on the closing date will be classified as
late.
Deadline: Mailed applications shall be considered as meeting an
announced deadline if they are received on or before the deadline time
and date at the following address: ACYF Operations Center/OPRE Grant
Review Team/Xtria, LLC, c/o Dixon Group, Inc., Attention: Head Start
University Partnerships Measurement Development, 118 Q Street NE.,
Washington, DC 20002-2132.
Applicants are responsible for mailing applications well in
advance, when using all mail services, to ensure that the applications
are received on or before the deadline time and date.
Applications hand-carried by applicants, applicant couriers, other
representatives of the applicant, or by overnight/express mail couriers
shall be considered as meeting an announced deadline if they are
received on or before the deadline date, between the hours of 9 a.m.
and 4:30 p.m. (EST), Monday through Friday (excluding Federal holidays)
at the above address. Applicants are cautioned that express/overnight
mail services do not always deliver as agreed. ACF cannot accommodate
transmission of applications by fax.
Late applications: Applications which do not meet the criteria
above are considered late applications. ACF shall notify each late
applicant that its application will not be considered in the current
competition.
Extension of deadlines: ACF may extend application deadlines when
circumstances such as acts of God (floods, hurricanes, etc.) occur,
when there are widespread disruptions of mails service, or in other
rare cases. Determinations to extend or waive deadline requirements
rest with the ACF Chief Grants Management Officer.
Due date for Letters of Intent (Encouraged): 3 weeks prior to June
1, 2004. If you plan to submit an application, ACF requests you notify
us by fax or e-mail at least three weeks prior to the submission
deadline date. This information will be used only to determine the
number of expert reviewers needed to review the applications. Include
only the following information in this fax or e-mail: the number and
title of this announcement; the name, address, telephone and fax
number, e-mail address of the Principal Investigator(s), the fiscal
agent (if known); and the name of the university or nonprofit
institution. Do not include a description of your proposed project.
Send this information to ``The Head Start Research Support Team'' at--
Fax: 1 (703) 821-3989 or e-mail: opre@xtria.com.
The table below provides additional detail about the standard
Federal forms that need to be submitted, including what information is
required on them, where these forms can be found, and when they must be
submitted.
----------------------------------------------------------------------------------------------------------------
What to submit Required content Required form or format When to submit
----------------------------------------------------------------------------------------------------------------
Standard Application form Federal Must be filled out May be found at http:// By application due
Assistance (form SF 424). completely, signed, acf.hhs.gov/programs/ date.
and enclosed with ofs/forms.htm.
application.
Budget Information--Nonconstruction Must be filled out May be found at http:// By application due
Programs (form SF 424A). completely and acf.hhs.gov/programs/ date.
enclosed with ofs/forms.htm.
application.
Certification Regarding Lobbying..... Must be signed and May be found at http:// By application due
enclosed with acf.hhs.gov/programs/ date.
application. ofs/forms.htm.
Disclosure of Lobbying Activities (SF If necessary (see May be found at http:// By application due
LLL). Certification acf.hhs.gov/programs/ date.
Regarding Lobbying) ofs/forms.htm.
must be filled out
completely, signed,
and enclosed with
application.
Disclosure of Lobbying Activities (SF If necessary (see May be found at http:// By application due
LLL). Certification acf.hhs.gov/programs/ date.
Regarding Lobbying), ofs/forms.htm.
must be filled out
completely, signed,
and enclosed with
application.
Certification Regarding Environmental Copy must be enclosed May be found at http:// By application due
Tobacco Smoke. with application acf.hhs.gov/programs/ date.
(signing and ofs/forms.htm.
submitting the
proposal certifies its
content).
Assurance Regarding Non-construction Must be signed and May be found at http:// By application due
Programs (form SF 424B). enclosed with acf.hhs.gov/programs/ date.
application. ofs/forms.htm.
Assurance Regarding Protection of Must be filled out May be found at http:// By application due
Human Subjects. completely, signed, acf.hhs.gov/programs/ date.
and enclosed with ofs/forms.htm.
application.
----------------------------------------------------------------------------------------------------------------
Additional Forms:
Private non-profit organizations may voluntarily submit with their
applications the survey located under ``Grant Related Documents and
Forms''
[[Page 17181]]
titled ``Survey for Private, Nonprofit Grant Applicants'' at http://www.acf.hhs.gov/programs/ofs/forms.htm
.
----------------------------------------------------------------------------------------------------------------
What to submit Required content Required form or format When to submit
----------------------------------------------------------------------------------------------------------------
Survey for Private, Non-Profit Grant Per required form...... May be found at http:// By application due
Applicants. acf.hhs.gov/programs/ date.
ofs/forms.htm.
----------------------------------------------------------------------------------------------------------------
4. Intergovernmental Review
State Single Point of Contact (SPOC)
This program is covered under Executive Order 12372,
``Intergovernmental Review of Federal Programs,'' and 45 CFR part 100,
``Intergovernmental Review of Department of Health and Human Services
Programs and Activities.'' Under the Order, States may design their own
processes for reviewing and commenting on proposed Federal assistance
under covered programs.
All States and Territories except Alabama, Alaska, Arizona,
Colorado, Connecticut, Hawaii, Idaho, Indiana, Kansas, Louisiana,
Massachusetts, Minnesota, Montana, Nebraska, New Jersey, Ohio,
Oklahoma, Oregon, Pennsylvania, South Dakota, Tennessee, Vermont,
Virginia, Washington, Wyoming, and Palau 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: Department of Health and Human Services, Administration
for Children and Families, Division of Discretionary Grants, 370
L'Enfant Promenade, SW., Washington, DC 20447. A current list of the
Single Points of Contact (SPOCs) for each State and Territory is posted
at the following Web site: http://www.whitehouse.gov/omb/grants/spoc.
html.
5. Funding Restrictions
A. Pre-award costs are not allowable.
B. The applicant is strongly encouraged to apply the University's
or nonprofit institution's off campus research rates for indirect
costs.
6. Other Submission Requirements
Electronic Address to Submit Applications: http://www.Grants.Gov.
Electronic Submission: Please see Section IV.2. Content and Form of
Application Submission for guidelines and requirements when submitting
applications electronically.
Submission by Mail: Mailed applications shall be considered as
meeting an announced deadline if they are received on or before the
deadline time and date at the following address: ACYF Operations
Center/OPRE Grant Review Team/Xtria, LLC, c/o Dixon Group, Inc.,
Attention: Head Start-University Partnerships Measurement Development,
118 Q Street NE., Washington, DC 20002-2132.
Applicants are responsible for mailing applications well in
advance, when using all mail services, to ensure that the applications
are received on or before the deadline time and date.
Hand Delivery: Applications hand-carried by applicants, applicant
couriers, other representatives of the applicant, or by overnight/
express mail couriers shall be considered as meeting an announced
deadline if they are received on or before the deadline date, between
the hours of 9 a.m. and 4:30 p.m. (EST), Monday through Friday
(excluding Federal holidays) at the above address. Applicants are
cautioned that express/overnight mail services do not always deliver as
agreed. ACF cannot accommodate transmission of applications by fax.
Due Date for Letters of Intent (Encouraged): 3 weeks prior to June
1, 2004. If you plan to submit an application, ACF requests you notify
us by fax or e-mail at least three weeks prior to the submission
deadline date. This information will be used only to determine the
number of expert reviewers needed to review the applications. Include
only the following information in this fax or email: the number and
title of this announcement; the name, address, telephone and fax
number, e-mail address of the Principal Investigator(s), the fiscal
agent (if known); and the name of the university or nonprofit
institution. Do not include a description of your proposed project.
Send this information to ``The Head Start Research Support Team'' at--
Fax: 1 (703) 821-3989 or E-mail: opre@xtria.com.
V. Application Review Information
1. Criteria
The Paperwork Reduction Act of 1995 (Pub. L. 104-13): Public
reporting burden for this collection of information is estimated to
average 25 hours per response, including the time for reviewing
instructions, gathering and maintaining the data needed and reviewing
the collection information. The project description is approved under
OMB Control Number 0970-0139 which expires 3/31/2004. 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.
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
[[Page 17182]]
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.
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.
A. Project Summary/Abstract
Provide a summary of the project description (one page or less)
with reference to the funding request.
B. 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 from concerned parties 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.
C. Results and Benefits Expected
Identify the results and benefits to be derived. For example,
explain how your proposed project will achieve the specific goals and
objectives you have set; specify the number of children and families to
be served, and how the services to be provided will be funded
consistent with the local needs assessment. Or, explain how the
expected results will benefit the population to be served in meeting
its needs for early learning services and activities. What benefits
will families derive from these services? How will the services help
them? What lessons will be learned which might help other agencies and
organizations that are addressing the needs of a similar client
population?
D. 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,
clearances 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.
E. 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.
F. Additional Information
Following are requests for additional information that need to be
included in the application:
1. 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.
2. 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
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.
3. Letters of Support
Provide statements from the community, public and commercial
leaders that support the project proposed for funding. All documents
must be included inthe application at the time of submission.
G. Budget and Budget Justification
Provide line item detail and detailed calculations for each budget
object class identified in the Budget Information
[[Page 17183]]
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 are guidelines 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 Federal and non-Federal 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. 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 must be detailed in the budget.
Equipment
Description: ``Equipment'' means an article of nonexpendable,
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 that 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 Part 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
Description: 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, 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
[[Page 17184]]
of the applicant organization must submit a signed acknowledgement that
the applicant is accepting a lower rate than allowed.
Non-Federal 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.
Evaluation Criteria
Competitive Criteria for Reviewers: Measurement Development for
Head Start Children and Families--The three criteria areas that follow
will be used to review and evaluate each application. 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).
Approach: 45 points
The extent to which the research design is
appropriate and sufficient for addressing the questions of the study.
The extent to which the development of direct
measures of child outcomes in the comprehensive domains of school
readiness or direct measures of parent/caregiver-child interaction are
the major focus of the study.
The extent to which the planned research
specifies the measures to be used, their psychometric properties, and
an adequately detailed proposed set of analyses to be conducted.
The extent to which the planned measures are
appropriate and sufficient for the questions of the study and the
population to be studied, including their appropriateness for low-
income and culturally and linguistically diverse children and families
served by Head Start.
The extent to which the planned measures and
analyses both reflect knowledge and use of state-of-the-art measures
and analytic techniques and advance the state-of-the art.
The extent to which the analytic techniques are
appropriate for the questions under consideration.
The extent to which the proposed sample size is
sufficient for the study, including the size of particular subgroups of
interest and taking into consideration mobility and attrition, over
time.
The scope of the project is reasonable for the
funds available for these grants.
The extent to which the planned approach
reflects sufficient input from and partnership with the Head Start
program.
The extent to which the planned approach
includes techniques for successful transfer of the measures to an
additional site or sites.
The extent to which the budget and budget
justification are appropriate for carrying out the proposed project.
Staff and Position Data: 35 Points
The extent to which the Principal Investigator
and other key research staff possess the research expertise necessary
to conduct the study as demonstrated in the application and information
contained in their vitae.
The Principal Investigator(s) has earned a
doctorate or equivalent in the relevant field and has first or second
author publications in major research journals.
The extent to which the proposed staff 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.
The adequacy of the time devoted to this project
by the Principal Investigator and other key staff in order to ensure a
high level of professional input and attention.
Results or Benefits Expected: 20 Points
The research questions are clearly stated.
The extent to which the questions are of
importance and relevance for low-income children's development and
welfare.
The extent to which the research study makes a
significant contribution to the knowledge base.
The extent to which the literature review is
current and comprehensive and supports the need for the intervention
and for its evaluation, the questions to be addressed or the hypotheses
to be tested.
The extent to which the questions that will be
addressed or the hypotheses that will be tested are sufficient for
meeting the stated objectives.
The extent to which the proposal contains a
dissemination plan that encompasses both professional and practitioner-
oriented products in manualized form and inclusive of training and
technical assistance provisions.
2. Review and Selection Process
Each application will undergo an eligibility and conformance review
by Federal staff. Applications that pass the eligibility and
conformance review will be evaluated on a competitive basis according
to the specified evaluation criteria.
The competitive review will be conducted in the Washington, DC
metropolitan area by panels of Federal and non-Federal experts
knowledgeable in the areas of early childhood education and
intervention research, early learning, child care, and other relevant
program areas.
Application review panels will assign a score to each application
and identify its strengths and weaknesses.
OPRE will conduct an administrative review of the applications and
results of the competitive review panels and make recommendations for
funding to the Director of OPRE.
The Director of OPRE, in consultation with the Commissioner of the
Administration on Children, Youth, and Families (ACYF), will make the
final selection of the applications to be funded. Applications may be
funded in whole or in part depending on: (1) The ranked order of
applicants resulting from the competitive review; (2) staff review and
consultations; (3) the combination of projects that best meets the
Bureau's objectives; (4) the funds available; and (5) other relevant
considerations. The Director may also elect not to fund any applicants
with known management, fiscal, reporting, program, or other problems,
which make it unlikely that they would be able to provide effective
services.
VI. Award Administration Information
1. Award Notices
Successful applicants will be notified through the issuance of a
Financial Assistance Award notice that sets forth the amount of funds
granted, the terms and conditions of the grant award, the effective
date of the award, the budget period for which initial support is
given, and the total project period for which support is provided. The
Financial Assistance Award will be signed by the Grants Officer and
transmitted via postal mail. Organizations whose applications will not
be funded will be notified in writing by ACF.
2. Administrative and National Policy Requirements
All applicants are responsible for conforming to the United States
Executive Branch Code of Federal Regulations (http://www.gpoaccess.gov/cfr/index.html
). The following regulations have been identified as
having particular relevance for ACF grants: 45 CFR Parts 74 and 92.
[[Page 17185]]
3. Reporting Requirements
Programmatic Reports: Semi-annually and a final report is due 90
days after the end of the grant period.
Financial Reports: (SF-269 long form) Semi-annually and a final
report is due 90 days after the end of the grant period. Original
reports and one copy should be mailed to: Administration for Children
and Families, Office of Grants Management, Division of Discretionary
Grants, 370 L'Enfant Promenade SW., Washington, DC 20447.
VII. Agency Contacts
1. Program Office Contact: ACYF Operations Center/OPRE Grant Review
Team/ Xtria, LLC, c/o Dixon Group, Inc., 118 Q Street NE., Washington,
DC 20002-2132, Attention: Head Start University Partnerships
Measurement Development, 1 (877) 663-0250, e-mail opre@xtria.com.
2. Grants Management Office Contact: Sylvia Johnson, ACF Division
of Discretionary Grants, 370 L'Enfant Promenade, Washington, DC 20447,
1 (202) 260-7622, e-mail: sjohnson@acf.hhs.gov.
VIII. Other Information
Applicants under this announcement are advised that subsequent sale
and distribution of products developed under this grant will be subject
to the Code of Federal Regulations, title 45, part 74 or part 92.
The use of secondary data analysis in order to refine and validate
newly-developed measures in relation to already standardized measures
is strongly advised.
Definitions:
Budget Period--for the purposes of this announcement, budget period
means the 12-month period of time for which ACF funds are made
available to a particular grantee (e.g., beginning on September 16,
2004, and ending on September 15, 2005).
Project Period--for the purposes of this announcement, project
period means the 36-month period starting by September 2004, and ending
by September, 2007.
Dated: March 26, 2004.
Naomi Goldstein,
Acting Director, Office of Planning, Research and Evaluation
[FR Doc. 04-7259 Filed 3-31-04; 8:45 am]
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