[Federal Register: April 1, 2004 (Volume 69, Number 63)]
[Notices]
[Page 17185-17193]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr01ap04-91]
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Administration for Children and Families
Head Start Graduate Student Research Grants
Federal Agency Contact Name: Administration for Children and
Families (ACF) & Office of Planning, Research and Evaluation (OPRE).
Funding Opportunity Title: Head Start Graduate Student Research
Grants.
Announcement Type: Initial.
Funding Opportunity Number: HHS-2004-ACF-OPRE-YD-0004.
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 Graduate Student Research Grants to Support
field-initiated research activities.
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 Graduate Student Research Partnership Development Grants, (2)
Head Start-University Partnerships: Measurement Development for Head
Start Children and Families, and (3) American Indian-Alaska Native Head
Start-University Partnerships. 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.
Funding for this grant program is shared with the Head Start
Graduate Student Research Partnership Development Grants. Relative
funding for the two is contingent upon the results of the review
process.
Priority Area: Head Start Graduate Student Research Grants
A. Purpose
The purpose of this announcement is to report the availability of
funds for Head Start Graduate Student Research Grants to support field-
initiated research activities in partnership with Head Start programs.
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
Since 1991, ACF has explicitly supported the relationship between
established Head Start researchers and their graduate students by
awarding research grants, on behalf of specific graduate students, to
conduct research in Head Start communities. As many previously funded
Head Start graduate students have continued to make significant
contributions to the early childhood research field as they have
pursued their careers, this funding mechanism is an important research
capacity-building effort.
To ensure that future research is responsive to the changing needs
of low-income families, graduate students need strong and positive role
models. Therefore, Head Start's support of the partnership between
students and their mentors is essential. The unique partnership that is
forged between mentor and student within the Head Start research
context serves as a model for the establishment of other partnerships
within the community (e.g., researcher-Head Start staff, researcher-
family, etc.). This foundation helps foster the skills necessary to
build a graduate student's trajectory of successful partnership-
building and contributions to the scientific community. Within this
nurturing and supportive relationship, young researchers are empowered
to become autonomous researchers, learning theory, as well as the
process of interacting with the various members and relevant
organizations within their communities.
Thus, the goals of the Head Start Graduate Student Research Grant
program can be summarized as follows:
1. Provide direct support for graduate students as a way of
encouraging the conduct of research with Head Start populations, thus
contributing to the knowledge base about the best approaches for
delivering services to diverse, low-income families and their children;
2. Promote mentor-student relationships that support students'
graduate training and professional development as young researchers
engaged in policy-relevant, applied research;
3. Emphasize the importance of developing true working research
partnerships with Head Start programs and other relevant entities
within the community, thereby fostering skills necessary to build a
student's trajectory of successful partnership-building and
contributions to the scientific community; and
[[Page 17186]]
4. Support the active communication, networking and collaboration
among graduate students, their mentors and other prominent researchers
in the field, both during their graduate training, as well as into the
early stages of their research careers.
While the specific topics addressed under these Graduate Student
Research Grants are intended to be field-initiated, applicants who
address issues of both local and national significance will be most
likely to succeed. Some illustrative examples of such topics include,
but are not limited to, the areas of school readiness, children's
mental health, serving an increasingly culturally and linguistically
diverse population of children and families, and promoting child well-
being by strengthening responsible fatherhood and healthy marriages in
Head Start families.
II. Award Information
Funding Instrument Type: Grant.
Anticipated Total Program Funding: $200,000.
Anticipated Number of Awards: ACF anticipates funding 4-10
projects.
Ceiling on Amount of Individual Awards: $20,000 (per year).
The Federal share of project costs shall not exceed $20,000 for the
first 12-month budget period inclusive of indirect costs, and shall not
exceed $20,000 per year for the second 12-month budget period.
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 two years. Initial awards will be for
the first one-year budget period. Requests for a second year of funding
within the project period should be identified in the current
application (on SF-424A), but such requests will be considered 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 institutions of higher education on
behalf of doctoral-level graduate students. Doctoral students must have
completed their Master's Degree or equivalent in the field of doctoral
study and submitted formal notification to ACF by August 1, 2004.
B. To be eligible to administer the grant on behalf of the student,
the institution must be fully accredited by one of the regional
accrediting commissions recognized by the Department of Education and
the Council on Post-Secondary Accreditation. Faith-based and community
organizations that meet other eligibility requirements are also
eligible to apply.
C. Although the faculty mentor is listed as the Principal
Investigator and must be committed to taking a central role in
maintaining an ongoing research partnership with a Head Start program,
this grant is intended for dissertation research for an individual
student. Information about both the graduate student and the student's
faculty mentor is required as part of this application.
D. The graduate student applicant must agree to attend two meetings
each year of the grant. The budget should reflect travel funds for such
purposes. The first meeting consists of the annual meeting for all Head
Start Graduate Student grantees. This annual grantee meeting is
typically scheduled during the summer or fall of each year and is held
in Washington, DC. It is anticipated that the fall 2004 meeting will be
held in late October. During this meeting, each student typically
presents a brief overview of his or her study (e.g., the study design,
participants, measures, challenges and successes during implementation,
and/or findings, as they become available). The intended goal of the
meeting is to stimulate potentially useful and constructive feedback
from other students and mentors, as well as to facilitate
collaboration, networking and mentoring activities.
The second meeting each year alternates between the biennial Head
Start National Research Conference in Washington, DC (June 28 to July
1, 2004) and the biennial meeting of the Society for Research in Child
Development-SRCD (April, 2005). At a minimum, students usually are
provided the opportunity to present information on their respective
studies in a poster session format, although both meetings also provide
other networking and mentoring activities. The grant budget should
reflect travel and housing funds for the graduate student for all four
of these meetings (or two if only applying for one year of funding).
E. Given the strong emphasis that is placed on supporting the
mentor-student relationship, it is crucial that the faculty mentors
attend and actively participate in the activities of the annual grantee
meeting for all Head Start Graduate Students. The budget should reflect
travel funds for such purposes, as appropriate. However, if the faculty
mentor does plan to attend the annual Graduate Student grantee meeting,
but will utilize another source of travel funds, such arrangements are
encouraged and should be clearly noted in the application.
F. A university faculty member must serve as a mentor to the
graduate student; this faculty member is listed as the ``Principal
Investigator.'' The application must include a letter from this faculty
member stating that s/he has reviewed and approved the application,
affirming the status of the project as dissertation research and the
student's status in the doctoral program, and describing how the
faculty member will regularly monitor the student's work.
G. The Principal Investigator must have a doctorate or equivalent
degree in the respective field, 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.
H. 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).
I. The research project must be an independent study conducted by
the individual graduate student or well-defined portion(s) of a larger
study currently being conducted by a faculty member. If the project is
part of a larger
[[Page 17187]]
research effort, the proposal must clearly distinguish between the
student's portion of the research activities and those of the larger
project. The graduate student must have primary responsibility for the
proposed study described in the application.
J. If the graduate student, on whose behalf the university is
applying, expects to receive his/her degree by the end of the first
one-year budget period, the applicant should request a one-year project
period only. A second year budget-period will not be granted if the
student has graduated by the end of the first year.
K. The graduate student must write the application in its entirety,
consistent with the format and style guidelines of the Publication
Manual of the American Psychological Association, 5th ed. (APA 2001)
and the general principles and guidelines of the Ethical Principles of
Psychologists and Code of Conduct 2002 (APA, 2002).
L. 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 earnings 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.
M. 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 $20,000 ceiling will be considered
non-responsive and will not be eligible for funding under this
announcement.
It is unlikely that any individual mentor will be funded for more
than one graduate student research grant if there are at least 10
applications from different mentors/institutions that qualify for
support.
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 e-mail 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 The Dixon Group, Inc., 118 Q Street, NE.,
Washington, DC 20002-2132, Attention: Head Start Graduate Student
Research Grants, 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. Appendix
Proof of Nonprofit Status (see Section
[[Page 17188]]
V.1.F)
Curriculum Vitae for Student and Faculty Advisor
Letter of Support from Advisor
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)
Official Transcript of Student Reflecting Graduate Courses
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 graduate student
applicant, 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
sections 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 (graduate
student) and (B) a separate letter certifying that the application has
been reviewed and approved by the local Head Start Program Policy
Council. This 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 The Dixon Group, Inc., 118 Q Street, NE.,
Washington, DC 20002-2132, Attention: Head Start Graduate Student
Research Grants, 1 (877) 663-0250, E-mail opre@xtria.com.
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. (e.s.t.), 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 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.
[[Page 17189]]
----------------------------------------------------------------------------------------------------------------
Required form or
What to submit Required content format When to submit
----------------------------------------------------------------------------------------------------------------
Standard Application for Must be filled out May be found at http:// By application due date.
Federal Assistance (form SF completely, signed, acf.hhs.gov/programs/
424). and enclosed with ofs/forms.htm.
application.
Budget Information-- Must be filled out May be found at http:// By application due date.
Nonconstruction Programs completely and acf.hhs.gov/programs/
(form SF 424A). enclosed with ofs/forms.htm.
application.
Certification Regarding Most be signed and May be found at http:// By application due date.
Lobbying. enclosed with acf.hhs.gov/programs/
application. ofs/forms.htm.
Disclosure of Lobbying If necessary (see May be found at http:// By application due date.
Activities (SF LLL). Certification acf.hhs.gov/programs/
Regarding Lobbying), ofs/forms.htm.
must be filled out
completely, signed,
and enclosed with
application.
Certification Regarding Copy must be enclosed May be found at http:// By application due date.
Environmental Tobacco Smoke. with application acf.hhs.gov/programs/
(signing and ofs/forms.htm.
submitting the
proposal certifies
its content).
Assurance Regarding Non- Must be signed and May be found at http:// By application due date.
construction Programs (form enclosed with acf.hhs.gov/programs/
SF 424B). application. ofs/forms.htm.
Assurance Regarding Protection Must be filled out May be found at http:// By application due date.
of Human Subjects. completely, signed, acf.hhs.gov/programs/
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.
----------------------------------------------------------------------------------------------------------------
Required form or
What to submit Required content format When to submit
----------------------------------------------------------------------------------------------------------------
Survey for Private, Non-Profit Per required form..... May be found at http:// By application due date.
Grant Applicants. acf.hhs.gov/programs/
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. Due to the small amount of the grant, the applicant and the
applicant's institution are strongly encouraged to waive indirect
costs. An authorized representative of the applicant's institution must
submit a written acknowledgement that the indirect costs are being
waived. In the event that waiving the indirect costs is not possible,
the applicant is strongly encouraged to apply the University's or
nonprofit institution's off-campus research rates for indirect costs.
C. Transferability. Grants awarded as a result of this competition
are not transferable to another student or to another institution.
D. Sharing of Awards. Awards cannot be divided among two or more
students.
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 The Dixon Group, Inc.,
118 Q Street, NE., Washington, DC 20002-2132, Attention: Head Start
Graduate Student Research Grants, 1 (877) 663-0250, E-mail
opre@xtria.com.
Applicants are responsible for mailing applications well in
advance, when
[[Page 17190]]
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. (e.s.t.), 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 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
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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
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
[[Page 17192]]
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 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: Head Start Graduate Student
Research Grants--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: 40 points
The extent to which there is a discrete project
designed by the graduate student. If the proposed project is part of a
larger study designed by others, the approach section should clearly
delineate the research component to be carried out by the student and
how it is distinguished from the larger research project.
The extent to which the research design is
clearly described, as well as 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
contains an adequately detailed description of the proposed analyses to
be conducted.
The extent to which the planned measures have
been shown to be appropriate and sufficient for the questions of the
study, and the population to be studied.
The extent to which the planned measures and
analyses are consistent with one another, and reflect knowledge and use
of state-of-the-art measures and analytic techniques, or advance the
state-of-the art, as appropriate.
The extent to which the data analytic plan is
adequately described and that the proposed data analytic techniques are
appropriate for the specific research question(s) under consideration.
The extent to which the proposed sample size is
sufficient to answer the range of proposed research questions for the
study, especially for longitudinal studies and studies involving a
priori subgroups of interest.
The extent to which the scope of the project is
reasonable for the funds available and feasible for the time frame
specified.
The extent to which the planned approach
reflects sufficient written input from, and partnership with, the Head
Start program (including the separate required review and written
approval from the Head Start program and the Head Start Program Policy
Council).
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 faculty mentor and
graduate student possess the research expertise necessary to conduct
the study as demonstrated in the application and information contained
in their vitae.
The Principal Investigator/faculty mentor has
earned a doctorate or equivalent in the relevant field and has first or
second author publications in major research journals.
The extent to which the faculty mentor and
graduate student reflect an understanding of and sensitivity to the
issues of working in a community setting and in partnership with Head
Start program staff and parents.
The adequacy of the time devoted to this project
by the faculty mentor for mentoring the graduate student. The proposal
should include evidence of the faculty mentor's commitment to mentoring
the individual graduate student, and as appropriate, willingness to
serve as a resource to the broader group of Head Start Graduate
Students funded under this award.
Results or Benefits Expected: 25 Points
The research questions are clearly stated.
The presentation reflects original work done by
the student (consistent with the general principles and guidelines of
the Ethical Principles of Psychologists and Code of Conduct 2002 (APA
2002).
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, comprehensive, and supports the need for the study.
The extent to which the literature review has a
complete set of reference citations and is written consistent with the
guidelines of the Publication Manual of the American Psychological
Association, 5th ed. (APA 2001).
The extent to which the questions that will be
addressed or the hypotheses
[[Page 17193]]
that will be tested are adequately described and sufficient for meeting
the stated objectives.
The extent to which the proposed project is
appropriate to the student's level of ability and the stated time frame
for completing the project.
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.
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: Head Start Graduate Student Research Grants, 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.
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 24-month period starting by September 2004, and ending
by September, 2006.
Dated: March 26, 2004.
Naomi Goldstein,
Acting Director, Office of Planning, Research, and Evaluation.
[FR Doc. 04-7261 Filed 3-31-04; 8:45 am]
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