[Federal Register: April 6, 2004 (Volume 69, Number 66)]
[Notices]
[Page 18085-18094]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr06ap04-114]
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Administration for Children and Families
American Indian-Alaska Native Head Start-University Partnerships
Program
Federal Agency Contact Name: Administration for Children and
Families (ACF) & Office of Planning, Research and Evaluation (OPRE).
Funding Opportunity Title: American Indian-Alaska Native Head
Start-University Partnerships.
Announcement Type: Initial.
Funding Opportunity Number: HHS-2004-ACF-OPRE-YF-0002.
CFDA Number: 93.600.
Due Date for Letter of Intent (Encouraged): 3 weeks prior to June
7, 2004.
Due Date for Applications (Required): The due date for the receipt
of applications is June 7, 2004.
I. Funding Opportunity Description
Funds are provided for American Indian-Alaska Native Head Start-
University Partnerships to build model research partnerships between
American Indian-Alaska Native program staff, members of tribal
communities, and researchers.
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) Head
Start-University Partnerships: Measurement Development for Head Start
Children and Families, (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: American Indian-Alaska Native Head Start-University
Partnerships.
A. Purpose
This new initiative creates an opportunity for building model
research partnerships between American Indian--Alaska Native program
staff, members of tribal communities, and
[[Page 18086]]
researchers based in universities and other nonprofit research
institutions. Research partnerships are intended to expand on the
strengths of the researchers and grantee partners who constitute the
partnerships in order to benefit the larger Head Start and early
childhood community. Grantees are experts on the available strengths
and needs of their families and communities, as well as the particular
histories of their programs, and are expected to be valuable partners
in developing research goals and questions. Grantees can usually
benefit from technical expertise of researchers in all aspects of the
initiative, from selection of assessment tools appropriate for their
curriculum, methods for administering assessments, methods for
measuring classroom quality, approaches for data entry and management,
techniques for data analysis, and training of staff who will be
responsible for each phase. Such partnerships necessitate that
researchers become familiar with the goals, approaches, and existing
systems. They also require that the technical experts encourage
professional development of program personnel to become increasingly
adept at managing research and evaluation on their own. The successful
partnership will be able to provide evidence that the research project
is developing information to improve the early learning environments
for American Indian--Alaska Native Head Start children.
The lessons learned from model partnerships can then be
disseminated through training and technical assistance, both through
the Head Start network and by other means. Examples of products
expected from these partnerships include, but are not limited to:
Methodological approaches for sampling, assessment and analysis at the
local program level; plans for reporting data to teachers, parents, and
management staff; data management systems; integrated curricular and
assessment approaches; professional development approaches including
coursework and training materials; and plans for disseminating
information to the broader Head Start and child development
communities.
B. 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.
C. Background
The American Indian-Alaska Native Program Branch funds Head Start
and Early Head Start programs operated by tribes, consortia, and/or
corporations. The majority of grantees serve and reside on tribal
reservations. Generally, grants are awarded to tribal governments, with
tribal presidents, governors, executive directors or administrators as
authorizing officials.
American Indian and Alaska Native (AI-AN) Head Start programs
reflect the diversity of languages and traditions that exist in AI-AN
cultures. Substantial numbers of children served by the AI-AN Branch
speak an American Indian language or language other than English or
Spanish as their dominant language. The programs vary greatly in size,
with the smallest grantee serving about 15 children and the largest,
more than 4,000 children and families. The programs also are
geographically diverse, and are located in isolated rural settings as
well as in urban areas. AI-AN grantees provide comprehensive services
to children and families through center and home-based options, as well
as combinations and locally designed configurations.
Because legislative mandates have specifically excluded tribal
programs from national Head Start research and evaluation activities
(Head Start Authorization Act, October 27, 1998, Section 649(g)(4)),
current national research and evaluation activities of Head Start, such
as the Family and Child Experiences Survey (FACES) and the Head Start
Impact Study, exclude tribal programs from the population eligible for
inclusion in the samples. The unique values, attitudes, and
characteristics of the many different tribes create methodological
challenges for inclusion in nationally representative samples for
evaluation research.
At the same time, there are legislative provisions that require the
study of Head Start programs for American Indian and Alaska Native
children. Tribal Head Start programs have the same performance
standards and requirements for assessing program outcomes as other Head
Start programs. There is little prior research evidence available,
however, to provide guidance about effective instructional, service
delivery, or assessment approaches in tribal settings.
American Indian and Alaska Native Head Start programs need to be
included in Head Start Bureau efforts to enhance the quality of Head
Start programming, and to improve accountability by strengthening
screening and assessment of child outcomes and program monitoring.
There is a need, however, to increase the evidence base to provide
direction for program enhancements, and such activities must be
conducted in a manner that takes into account the unique cultural
values of tribes implementing Head Start programs.
For historical and ethical reasons tribal communities must have a
significant voice in how research is designed and conducted in those
settings. To support the development and implementation of research
within and by tribal communities, ACF undertook in FY2002 an effort to
document the existing knowledge base concerning early childhood
programming and assessment in tribal settings, and to collect
information on the research needs and priorities of tribal Head Start
programs. Little was known about what research was currently being
conducted by tribal Head Start programs, what the experiences of tribal
programs in research partnerships with colleges and universities had
been, and how ACF might support these partnerships. The project
resulted in a review and synthesis of available research literature,
both published and unpublished, that pertained to young children and
families in American Indian and Alaska Native populations. That report
is available online at: http://www.acf.dhhs.gov/programs/core/ongoing_research/hs/hs_aian_report.html
.
A second part of this effort was to conduct a series of visits to
tribes to assess their own views about the following questions: (1)
What kind of research is needed and desired in tribal Head Start
settings; (2) what outcomes are important for American Indian and
Alaska Native Head Start; (3) what programmatic and service delivery
issues need to be studied; and (4) what are the issues in conducting
research among American Indian and Alaska Native populations? Visits
were arranged with 19 tribes to conduct ``listening sessions'' with
tribal leadership, Head Start personnel, Head Start family members, and
other community stakeholders. Other sessions were held in conjunction
with national meetings of American Indian--Alaska Native Head Start
grantees and technical assistance staff.
These efforts have documented the paucity of existing research that
directly informs early childhood programming for American Indian and
Alaska Native children and families. Few studies have taken into
account the unique cultural and linguistic characteristics of the AI-AN
population, and existing studies tend to be small, methodologically
weak, and of limited generalizability to other settings. There is a
need to develop the capacity for research in
[[Page 18087]]
tribal settings; research projects rarely are initiated by tribal
members themselves, and the number of qualified individuals who have
the ability to effectively partner with tribes to implement research is
thought to be quite limited. At the same time, there is widespread
recognition of the need for culturally relevant research, as well as
substantial support among tribal members for research that will advance
the knowledge base and improve the lives of the children and families
who are served by Head Start in their communities.
Tribal communities have affirmed that they must have a significant
voice in how the research is designed and conducted among their
members. Cultural issues must be addressed in the development of
methodologies, study procedures, and data collection instruments for
use in conducting research among tribal Head Start programs.
Differences among American Indian/Alaskan Native groups must be
acknowledged and respected in developing the methodology and conducting
the research. In addition to Head Start personnel, tribal leaders and
community elders often must be part of the process in designing and
conducting research in tribal settings.
The participants in the listening sessions identified a number of
topics of interest to tribes, including:
Identifying and addressing the unique
characteristics and needs of American Indian and Alaska Native Head
Start children and families that may affect learning; documenting and
addressing cultural diversity within tribal Head Start settings;
The role of Head Start in promoting and
maintaining native languages and culture;
Outcomes for bilingual children vs. English-only
speakers;
Long-term outcomes for AI-AN Head Start
children, including studies of factors that promote or inhibit the
successful transition to school and studies that compare outcomes for
AI-AN Head Start children with those for other Head Start children;
Comparisons of tribal Head Start children to
non-tribal children;
Effectiveness of instructional practices,
tailored to the unique characteristics of tribal children, that promote
school readiness;
Availability of resources to meet unique tribal
needs;
Programs aimed at health and development,
including health delivery models as well as preventive programs for
adverse health and mental health outcomes;
Staff development issues, including wage and
benefit comparability between AI-AN and non-tribal early childhood
educators, causes of staff turnover, ways to retain staff,
identification of staff members' academic and non-academic skills that
best promote child development within a cultural context, and providing
staff development opportunities in geographically isolated communities;
Development and utilization of culturally
appropriate screening, assessment, and outcome measures;
Methods for enhancing communication and
cooperation among Head Start personnel, parents, tribal governments,
and school district personnel;
Identification of special needs among AI-AN Head
Start children, and programs for addressing them;
Effectiveness of methods for enhancing parent
involvement, including promotion of knowledge about child development
among parents, promotion of adult literacy, and promotion of father
involvement;
Impact of adverse conditions on child
development, including geographic isolation and poverty, adverse family
circumstances such as domestic violence or substance abuse, and
historical experiences of racism, discrimination, and organized efforts
aimed at the destruction of AI-AN culture.
Building on the needs identified both by participants in the
Listening Sessions and by other consultants, this announcement will
support research activities that are designed to promote partnerships
between the research community and tribal communities that will support
the development of young children and families in American Indian and
Alaska Native Head Start and Early Head Start programs. Each
partnership team of one or more AI-AN grantees and a research
organization will identify or further develop a particular, self-
selected research approach targeted toward better describing the unique
characteristics and developmental needs of AI-AN children, evaluating
or enhancing program practices, and/or developing approaches to
outcomes assessment, based on the needs of the population served. The
successful partnership will address topics that are decided through
consultation among the researchers, AI-AN staff, and other tribal
stakeholders, and that clearly reflect the interests of the AI-AN Head
Start program.
II. Award Information
Funding Instrument Type: Grant.
Anticipated Total Program Funding: $1,000,000.
Anticipated Number of Awards: ACF anticipates funding 4-6 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 all
[[Page 18088]]
research efforts, including 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 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 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-YF-0002. ACYF Operations Center/OPRE Grant Review Team/Xtria, LLC,
c/o The Dixon Group, Inc., 118 Q Street, NE., Washington, DC 20002-
2132, Attention: American Indian-Alaska Native Head Start-University
Partnerships, 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
[[Page 18089]]
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).
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 7, 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: American
Indian-Alaska Native Head Start-University Partnerships, 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
7, 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.
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 for 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.
[[Page 18090]]
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.
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'' 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, 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: American Indian-Alaska Native Head Start-University
Partnerships, 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.
[[Page 18091]]
Due Date for Letters of Intent (Encouraged): 3 weeks prior to June
7, 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 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:
[[Page 18092]]
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
organizations(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 in the 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 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, 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 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
[[Page 18093]]
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 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: American Indian-Alaska Native
Head Start-University Partnerships--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 proposal provides
evidence that the research plan has been jointly developed by the
research institution and the Head Start program, as well as other
relevant tribal stakeholders;
The extent to which the research plan is
adequately described and meets the goal of supporting the development
of children in American Indian and Alaska Native Head Start.
The extent to which the proposal is responsive
to the questions outlined in the ``additional requirements'' section
The extent to which the research design is
appropriate and sufficient for addressing the questions of the study
The extent to which the planned research
specifies the measures to be used, their psychometric properties, and
the analyses to be conducted.
The extent to which the planned procedures and
measures are appropriate and sufficient for the questions of the study
and the cultural contexts of the population to be studied.
The extent to which the planned measures and
analyses both reflect knowledge and use of state-of-the-art measures
and analytic techniques and/or advance the state of the art.
The extent to which the analytic techniques are
appropriate for the question under consideration.
The extent to which the proposed sample size is
sufficient for the study.
The extent to which the planned approach
includes techniques for successful documentation and dissemination.
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 implement the intervention and conduct the evaluation as
demonstrated in the application and information contained in their
vitae. It is expected that 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
tribal community setting and in partnership with American Indian--
Alaska Native 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.
The extent to which the research plan offers
opportunities for American Indian and Alaska Native personnel to be
engaged or employed in the research activities, as appropriate.
Results or Benefits Expected: 20 points.
The extent to which research questions are
clearly stated.
The extent to which the proposed research
project is justified as meeting the needs of American Indian and Alaska
Native children and families.
The extent to which the research study makes a
significant contribution to the knowledge base about supporting the
early development of American Indian and Alaska Native children and
their families.
The extent to which the literature review is
current and comprehensive and justifies the research to be conducted.
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, and meets the needs of the Head Start and/or
community partner.
The extent to which the questions are of
importance and relevance for AI-AN children's development and welfare.
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
[[Page 18094]]
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.
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 The Dixon Group, Inc., 118 Q Street, NE.,
Washington, DC 20002-2132, Attention: American Indian-Alaska Native
Head Start-University Partnerships, 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. 04-7260 Filed 4-5-04; 8:45 am]
BILLING CODE 4184-01-P