[Federal Register Volume 67, Number 84 (Wednesday, May 1, 2002)]
[Notices]
[Pages 21693-21706]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-10781]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Administration for Children and Families

[Program Announcement No. ACYF-PA-CCB-2002-02]


Child Care Policy Research Discretionary Grants

AGENCY: Administration on Children, Youth and Families, ACF, DHHS.

ACTION: Announcement of the availability of funds and request for 
applications for Child Care Research Scholars and State Child Care Data 
and Research Capacity Projects.

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SUMMARY: The purpose of this program announcement is to announce the 
availability of $1.1 million in fiscal year 2002 funds for child care 
research, demonstration, and evaluation activities to be distributed 
through grants to fund projects in the following two priority areas: 
(1) Child Care Research Scholars; and (2) State Child Care Data and 
Research Capacity Projects. Accredited universities and colleges may 
submit a Child Care Research Scholar application on behalf of a 
doctoral student conducting dissertation research on a child care 
policy topic. Child Care and Development Fund Lead Agencies seeking to 
improve their capacity for data analysis and policy-relevant research 
are invited to submit applications for the State Child Care Data and 
Research Capacity Projects.
    Projects funded under each of the priority areas are expected to 
address child care questions with implications for children and 
families, especially low-income working families and families 
transitioning off welfare. Of particular interest are studies that 
address child care subsidy issues such as family eligibility, parent 
co-pays, provider reimbursement, and waiting lists, and broader child 
care issues, such as professional development of providers. Also of 
interest are efforts to understand the relative costs and merits of 
strategies to improve the quality of child care. These issues are of 
particular relevance to State and local policy-makers who must make 
difficult decisions about how best to manage limited subsidy resources 
while responding to the needs of low-income families and children. 
Projects investigating ACF priorities related to child care policy, 
including early literacy, faith-based providers, father involvement, 
strengthening families, rural child care, positive youth development, 
and improved knowledge related to outcome measures will also be given 
priority. Funded projects will be part of a comprehensive research 
agenda intended to increase the capacity for child care research at the 
national, State, and local levels and promote better linkages among 
research, policy, practice, and outcomes for children and families.

DATES: The closing date for submission of applications is June 17, 
2002. Mailed applications postmarked after the closing date will be 
classified as late.

[[Page 21694]]

    Mailing and Delivery Instructions: Mailed applications shall be 
considered as meeting the announcement deadline if they are either 
received on or before the deadline date, or sent on or before the 
deadline date, and received by ACF in time for the independent review 
to: Administration on Children, Youth and Families, Child Care Bureau 
Program Announcement No. ACYF-PA-CCB-2002-02, Child Care Bureau 
Conference Management Center c/o MasiMax Resources, Inc., 1300 Piccard 
Drive, Suite 203, Rockville, MD 20850, Telephone: 1-240-632-5632.
    Applicants must ensure that a legibly dated U.S. Postal Service 
postmark or a legibly dated, machine-produced postmark or a commercial 
mail service is affixed to the envelope/package containing the 
application(s). To be acceptable as proof of timely mailing, a postmark 
from a commercial mail service must include the logo/emblem of the 
commercial mail service company and must reflect the date the package 
was received by the commercial mail service company from the applicant. 
Private metered postmarks shall not be acceptable as proof of timely 
mailing.
    Applications hand carried by applicants, applicant couriers, or by 
other representatives of the applicant shall be considered as meeting 
an announcement deadline if they are received on or before the deadline 
date, between the hours of 8:30 a.m. and 5 p.m., EST, Monday through 
Friday (excluding Federal holidays) at the address above. (Applicants 
are cautioned that express/overnight mail services do not always 
deliver as agreed.)
    ACF cannot accommodate transmission of applications by fax or 
through other electronic media, regardless of date or time of 
submission and receipt. Therefore, applications transmitted to ACF 
electronically will not be accepted.
    Late Applications. Applications that do not meet the criteria 
stated above and are not received by the deadline date and time are 
considered late applications. The Administration for Children and 
Families (ACF) will notify each late applicant that its application 
will not be considered in the current competition.
    Extension of Deadline. ACF may extend an application deadline for 
applicants affected by acts of God such as floods and hurricanes, when 
there is widespread disruption of mail service, or for other disruption 
of services, such as prolonged blackout, that affect the public at 
large. A determination to waive or extend deadline requirements rests 
with the Chief Grants Management Officer.
    Notice of Intent to Submit Application: If you intend to submit an 
application, please notify the Child Care Bureau by fax at 202-690-
5600. This fax should include the following information: the number and 
title of this announcement; your organization's name and address; and 
your contact person's name, phone number, fax number, and e-mail 
address. The information will be used to determine the number of expert 
reviewers needed to evaluate applications and to update the mailing 
list for program announcements.

FOR FURTHER INFORMATION CONTACT: For information about the application 
process and program information, contact Dr. Joanna Grymes, Program 
Specialist, Administration for Children and Families, Child Care 
Bureau, Room 2046, Mary E. Switzer Building, 330 C Street, SW., 
Washington, DC 20447, Phone: 202-205-8214, Fax: 202-690-5600, Email: 
[email protected].

SUPPLEMENTARY INFORMATION: This announcement includes the instructions 
needed to apply for (1) Child Care Research Scholars and (2) State 
Child Care Data and Research Capacity Projects. The Standard Federal 
Forms that must be included in applications can be downloaded from the 
Internet at: http://www.acf.dhhs.gov/programs/ofs/. For each priority 
area, the required Standard Federal Forms are identified under 
``Project Description and Application Requirements.''
    The SUPPLEMENTARY INFORMATION section consists of six parts. Part I 
provides information about the Child Care Bureau, priority areas to be 
funded under this announcement, and instructions for submitting an 
application. Part II provides background information, instructions for 
completing applications, evaluation criteria, and funding procedures 
for Child Care Research Scholars (Priority Area 1). Part Ill provides 
background information, instructions for completing applications, 
evaluation criteria, and funding procedures for State Child Care Data 
and Research Capacity Projects (Priority Area 2). Part VI Appendices 
includes Appendix 1, content and format of application, and Appendix 2, 
the OMB-approved Uniform Project Description. The contents are outlined 
below:

Table of Contents

Part I. General Information

A. Purpose
B. Citations
C. Number of Awards, Duration, and Funding Levels
D. The Child Care Bureau
E. Research Agenda and Goals
F. Priority Areas to be Funded under this Announcement
G. Submission of Applications
H. Selection Process

Part II. Priority Area 1: Child Care Research Scholars

A. Purpose
B. Number of Awards
C. Project Period
D. Funding Levels
E. Matching Requirements and Non-Federal Share
F. Maximum Federal Share
G. Eligible Applicants
H. Additional Requirements
I. Project Description and Application Requirements
    1. Contents and Format of the Application
    2. Project Narrative Statement
J. Evaluation Criteria

Part III. Priority Area 2: State Child Care Data and Research Capacity 
Projects

A. Purpose
B. Background Information
C. Eligible Applicants
D. Number of Awards
E. Project Duration, Funding Levels, and Budget Periods
F. Federal Share
G. Other Financial Requirements
H. Data Ownership
I. Project Description and Application Requirements
    1. Contents and Format of the Application
    2. Project Narrative Statement
J. Evaluation Criteria

Part IV. Appendices

A. Appendix 1--Content and Format of Application
B. Appendix 2--Uniform Project Description

Part I. General Information

A. Purpose

    The purpose of this program announcement is to fund child care 
research grants that will increase the capacity for child care research 
at national, State, and local levels while simultaneously addressing 
child care policy questions with implications for children and 
families, particularly low-income working families and families 
transitioning off welfare. An additional purpose is to further an 
understanding of the interactions among child care policy, and the ACF 
administrative priorities, including early literacy, faith-based 
providers, father involvement, strengthening families, rural child 
care, positive youth development, and improved knowledge related to 
outcome measures.

B. Citations

    1. Statutory authority: The Child Care and Development Block Grant 
Act of 1990 as amended (CCDBG Act); section

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418 of the Social Security Act; Consolidated Appropriations Act, 2001 
(Pub. L. 106-554).
    2. Catalog of Federal Domestic Assistance: The Catalog of Federal 
Domestic Assistance number for both priority areas is 93.647.
    3. Paperwork Reduction Act of 1995 (Pub. L. 104-13): Public 
reporting burden for this collection of information is estimated to 
average 15 hours per response for the Child Care Research Scholars and 
20 hours per response for the State Child Care Data and Research 
Capacity Building Projects. These estimates include the time for 
reviewing instructions, gathering and maintaining data needed, and 
reviewing the collection of information. The project description is 
approved under OMB control Number 0970-0139 which expires 12/31/03. An 
agency may not conduct or sponsor, and a person is not required to 
respond to, a collection of information unless it displays a currently 
valid OMB control number.

C. Number of Awards, Duration, and Funding Levels

    Approximately 5-8 grants, including both priority areas, will be 
awarded in Fiscal Year 2002 (ending September 30, 2002), subject to 
results of the competitive review process and availability of funds. 
This announcement is soliciting applications for project periods of up 
to three years. Awards, on a competitive basis, will be for a one-year 
budget period. Applications for continuation grants funded under these 
awards beyond the one-year budget period will be entertained in 
subsequent years on a non-competitive basis, subject to the 
availability of funds, satisfactory progress of the grantee and a 
determination that continued funding would be in the best interest of 
the Government. Child Care Research Scholars may apply, under these 
conditions, for a second year; State Child Care Data and Research 
Capacity Projects may apply for up to two additional years under the 
conditions listed. Should additional funds be available in FY 2003, ACF 
also reserves the right to fund additional projects from among the 
applications received through this announcement. Funding levels for the 
first budget period will be up to $30,000 for the Child Care Research 
Scholar grants and up to $250,000 for the State Child Care Data and 
Research Capacity projects.

D. The Child Care Bureau

    The Child Care Bureau (CCB) was established in 1994 to provide 
leadership in efforts to enhance the quality, affordability, and supply 
of child care available for all families. The Child Care Bureau 
administers the Child Care and Development Fund (CCDF), a $4.8 billion 
child care program that includes funding for child care subsidies and 
activities to improve the quality and availability of child care. CCDF 
was created after amendments to ACF child care programs by Title VI of 
the Personal Responsibility and Work Opportunity Reconciliation Act of 
1996 consolidated four Federal child care funding streams including the 
Child Care and Development Block Grant, AFDC/JOBS Child Care, 
Transitional Child Care, and At-Risk Child Care. With related State and 
Federal funds, CCDF provides close to $11 billion a year to States, 
Territories, and Tribes to help low-income, working families access 
child care services.
    The Bureau works closely with ACF Regions, States, Territories, and 
Tribes to assist with, oversee, and document implementation of new 
policies and programs in support of State, local and private sector 
administration of child care services and systems. In addition, the 
Bureau collaborates extensively with other offices throughout the 
Federal government to promote integrated, family-focused services and 
coordinated child care delivery systems. In all of these activities, 
the Bureau seeks to enhance the quality, availability, and 
affordability of child care services, support children's healthy growth 
and development in safe child care environments, enhance parental 
choice and involvement in their children's care, and facilitate the 
linkage of child care with other community services.

E. Research Agenda and Goals

    The research agenda and goals of ACF and the Child Care Bureau 
target child care questions with implications for children and 
families, especially low-income working families and families 
transitioning off welfare. Of particular interest are child care 
subsidy issues such as family eligibility, parent co-pays, provider 
reimbursement, and waiting lists, and broader child care issues, such 
as professional development of providers. Also of interest are efforts 
to understand the relative costs and merits of strategies to improve 
the quality of child care. These issues are of particular relevance to 
State and local policy-makers who must make difficult decisions about 
how best to manage limited subsidy resources while responding to the 
needs of low-income families and children. The ACF priorities related 
to child care policy, including early literacy, faith-based providers, 
father involvement, strengthening families, rural child care, positive 
youth development, and improved knowledge related to outcome measures 
are also a significant component of the research agenda. Funded 
projects will be part of a comprehensive research agenda intended to 
increase the capacity for child care research at the national, State, 
and local levels and promote better linkages among research, policy, 
practice, and outcomes for children and families.
    The Child Care Bureau's FY 2002 specific child care research agenda 
will extend the previously funded child care research activities and 
launch new evaluation and research capacity-building initiatives. The 
activities supported through this announcement will provide information 
and data to guide child care services, inform policy debates, and 
assist in developing solutions to complex child care issues. We intend 
to improve our capacity to respond to questions of immediate concern to 
policy makers, strengthen the child care research infrastructure, and 
increase knowledge about the efficacy of child care policies and 
programs in providing positive outcomes for children and helping low-
income families obtain and retain work.
    As more knowledge is gained about child development and well-being 
in contemporary environments, there is a need for better understanding 
of how child care affects the growing child. As more is known about the 
growing diversity in family values, child rearing strategies, 
preferences, and needs, questions arise as to how child care policies 
and programs affect the ability of parents to make wise decisions for 
their children. A better understanding of child care is also critical 
to employment goals for adults, particularly in the arena of welfare 
reform and economic self-reliance. In addition, there is a need for 
better information about how child care can help parents manage the 
difficulties of balancing work and family life, especially when 
resources are scarce.
    The research agenda for the Child Care Bureau in FY 2000 and FY 
2001 emerged from five broad research questions. These questions were 
designed to provide descriptive profiles of child care supply and 
demand, examine major variations and their outcomes, explore the 
interrelationships among child care market forces, policies and 
programs, and determine how these factors play out among different 
populations of children and families. These questions were: (a) What 
does child care look like today; (b) How do the variations in child 
care affect children; (c) How do the variations in

[[Page 21696]]

child care affect parents; (d) How do the answers to these broad 
questions translate into specific policy and program choices at the 
state and local levels; and (e) How do the answers to all the questions 
above differ for sub-groups of children and families? As the knowledge 
base grows in these areas, the emerging questions in child care policy 
shift to a broader context. The Child Care Bureau wishes to build upon 
this broad knowledge base and expand the research agenda to include 
questions such as: (a) What are the relative merits and cost-benefits 
of the policies and programs related to child care; (b) How can the 
child, family and community outcomes of policies and programs best be 
measured; and (c) What are the most cost-effective policies and 
programs that facilitate positive outcomes for children, families, and 
communities? Of primary importance are projects that have the 
capability of informing policy makers at the Federal, State and local 
levels on issues related to child care policy.

F. Priority Areas To Be Funded Under This Announcement

    Projects funded under each priority area will contribute to the 
Child Care Bureau's research goals, provide timely answers to critical 
questions, and expand research capacity.
    1. Child Care Research Scholar grants will provide support for 
doctoral candidates in conducting dissertation research on child care. 
Issues of special priority for Child Care Research Scholarships are 
child care policy issues, especially those focusing on outcomes for 
children and families. For a further discussion of the priorities, see 
Section E above. Applicants should expect to complete their 
dissertation research within the two-year scholarship period.
    2. State Child Care Data and Research Capacity Projects are being 
funded to provide support to Child Care and Development Fund State Lead 
Agencies in building internal or contractual research and evaluation 
capacity. A major emphasis of these projects will be to improve the 
timeliness and reliability of the State child care data reported to the 
Child Care Bureau. We expect that projects funded under this priority 
will focus on building a State-level infrastructure to: (a) Improve 
data collection, analysis, interpretation, and reporting of CCDF data; 
(b) develop or improve analytic linkages with other State and local 
data systems; (c) build collaborative efforts among institutions of 
higher education, research organizations, policy makers, practitioners, 
and other stakeholders to promote high quality research; (d) conduct 
child care research that is specifically responsive to the needs of the 
State and local communities within the State; (e) develop leadership 
skills in the management and interpretation of data; and, (f) exercise 
effective dissemination strategies and means of informing policy 
decisions with research results.

G. Submission of Applications

    Applicants should submit an original and two copies of the complete 
application packet. Each copy of the application should be securely 
stapled in the upper left-hand corner, clipped, or enclosed in a quick-
release binder. Because each application will be duplicated for the 
review panel, do not use non-removable binders. Do not include tabs, 
plastic inserts, brochures, videos, or any other item that cannot be 
photocopied.

H. Selection Process

    The Commissioner, Administration on Children, Youth and Families, 
will make the final selection of the applicants to be funded, upon 
receipt of the recommendation of the Associate Commissioner for the 
Child Care Bureau. Applications may be funded in whole or in part 
depending on: (1) The rank order of applicants resulting from the 
competitive review; (2) staff review and consultations; (3) the 
combination of projects which best meets the Bureau's research 
objectives; (4) the funds available; and (5) other relevant 
considerations.
    Selected applicants will be notified through the issuance of a 
Financial Assistance Award which sets forth the amount of funds 
granted, the terms and conditions, reporting requirements, the 
effective date of the award, the budget period for which support is 
given, and the total project period for which support is provided.
1. Screening and Panel Review
    Each application will be screened to determine whether the 
applicant organization is eligible as specified in each of the priority 
areas. Applications from ineligible organizations will be excluded from 
the review.
    a. The review will be conducted in Washington, D.C. Expert 
reviewers will include researchers, Federal or State staff, child care 
administrators and other individuals experienced in the study of child 
care demand and supply, child care delivery systems, welfare and 
supportive services, early child development and education, parental 
choice and involvement, and other relevant areas.
    b. A panel of at least three reviewers will evaluate each 
application to determine the strengths and weaknesses of the proposal 
in terms of the Bureau's research goals and expectations for the 
priority area under consideration, requirements for the Project 
Narrative Statement, and the evaluation criteria listed below.
    c. Panelists will provide written comments and assign numerical 
scores for each application. The indicated point value for each 
criterion is the maximum numerical score for that criterion. The 
assigned scores for each criterion will be summed to yield a total 
evaluation score for the proposal.
    d. In addition to the panel review, the Bureau may solicit comments 
from other Federal offices and agencies, from the states, from relevant 
non-governmental organizations, and from individuals whose particular 
expertise is identified as necessary for the consideration of technical 
issues arising during the review. Their comments, along with those of 
the panelists, will be considered by the Bureau in making funding 
decisions. The Bureau will also take into account the best combination 
of proposed projects to meet overall research goals.
2. Funding Date
    Grants to successful applicants will be awarded by September 29, 
2002.

Part II. Priority Area 1: Child Care Research Scholars

A. Purpose

    This priority is intended to strengthen the child care research 
infrastructure by supporting the development of researchers with a 
grasp of child care research and its implications for policies and 
programs. Under this priority area, support will be provided to 
doctoral candidates in conducting dissertation research on child care 
issues under the auspices of the Child Care Bureau and the educational 
institution in which the student is enrolled. Dissertation research 
under this priority must support the Bureau's research agenda including 
addressing important questions about child care that have implications 
to families and children. The student is expected to gain experience 
and expertise in theories and methods related to child care, child 
development, early childhood education, child care program 
administration, or child care policy.

B. Number of Awards

    Up to 5 scholarships will be awarded. No individual educational 
institution

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will be funded for more than one candidate unless applications from 
other universities are scored as non-competitive by the expert review 
panel.

C. Project Period

    The project period will be for a period of up to 24 months (9/30/
02-9/29/04). For 24 month projects, the first 12 months will be funded 
through this competition. The subsequent year awards (12 months) will 
be considered on a non-competitive basis subject to the availability of 
funds from future appropriations, satisfactory progress of the grantee, 
and a determination that continued funding is in the best interest of 
the government. A subsequent year award will not be approved if the 
student has graduated by the end of the first year.

D. Funding Levels

    Up to $30,000 will be awarded to each successful applicant for a 
12-month budget period. If the applicant expects to receive a doctorate 
by the end of the first one-year budget period, the application should 
request funding for a single grant period.

E. Matching Requirements and Non-Federal Share

    There are no matching requirements.

F. Maximum Federal Share

    The maximum federal share is $30,000 for the first 12-month budget 
period and $20,000 for one subsequent 12-month period.
    All monies must be used for the dissertation research including 
required personnel costs, travel, and other expenses directly related 
to the research.

G. Eligible Applicants

    Eligible applicants include universities or colleges on behalf of 
doctoral candidates conducting dissertation research on a child care 
topic consistent with the research goals and priorities appropriate to 
child care policy described in Part I of this announcement, and who 
anticipate completing the child care-related dissertation within the 
two-year scholarship period.
    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. 
Although the faculty advisor will be listed as the Principal 
Investigator, this grant is intended for dissertation work being 
conducted by a doctoral candidate. Information about both the graduate 
student and the student's faculty advisor is required as part of this 
application. Any resultant grant award is not transferable to another 
student.

H. Additional Requirements

    1. Research projects may include independent studies conducted by 
the doctoral candidate or well-defined portions of a larger study being 
conducted by a principal investigator holding a faculty position or 
senior research position and for which the graduate student will have 
primary responsibility.
    2. The student must be the author of the proposal.
    3. The student must have progressed at least to the point of having 
identified a dissertation committee.
    4. Research projects must use sound quantitative or qualitative 
research methodologies or some combination of the two.
    5. Given the size of these grants, sponsoring universities and 
colleges are encouraged to waive their customary indirect charges.
    6. Each grant award is intended to support the dissertation work of 
a specific student (the applicant) and is not transferable to another 
student.

I. Project Description and Application Requirements

1. Content and Format of Application

    Clarity and conciseness are of utmost importance. ACYF strongly 
encourages applicants to limit their applications to 100 pages, double-
spaced, with standard one-inch margins and 12 point fonts. The total 
page limitation applies to both narrative text and supporting 
materials.
    Applicants are cautioned to include all required forms and 
materials, organized according to the required format. (The description 
of the contents of the application materials listed below is included 
in Appendix 1 of this announcement.) The application packet must 
include the following items in order:

a. Cover Letter
b. Standard Federal Forms
     Standard Application for Federal Assistance (forms 424 and 
424A)
     Assurances: Non-construction Programs (form 424B)
     Certifications regarding Lobbying
     Disclosures of Lobbying Activities
     Certification regarding Drug-free Workplace Requirements
     Certification regarding Debarment, Suspension, and other 
Responsibility Matters
     Protection of Human Subjects
     Certification regarding Environmental Tobacco Smoke
c. Table of Contents
d. Project Abstract
e. Project Narrative Statement
f. Appendices
     Contact Information for Student and Faculty Advisor
     Curriculum Vitae for Student and Faculty Advisor
     Letters of Support from Advisor
     Official Transcript of Student Reflecting Courses 
Completed at the Masters and Ph.D. Levels
2. Project Narrative Statement
    The project narrative statement contains most of the information on 
which applications will be competitively reviewed. The Project 
Narrative should be carefully developed in accordance with the research 
goals and expectations described for the priority area in which the 
applicant is submitting a proposal, the requirements listed below and 
described in the Uniform Project Description (Appendix 2 in this 
announcement), and the evaluation criteria described in section ``J'' 
below.
    The following sections from the Uniform Project Description 
(Appendix 2) should be included in the Project Narrative Statement of 
applications for Child Care Research Scholars:

a. Objectives and Need for Assistance
b. Approach
     Research Design and Methodology
     Management Plan
c. Additional Information Organizational Profile
d. Budget and Budget Justification

J. Evaluation Criteria

    Eligible applications will be scored competitively against the 
published evaluation criteria described below. These criteria will be 
used in conjunction with the other expectations, priorities and 
requirements set forth in this announcement to evaluate how well each 
proposal addresses the Bureau's research agenda and goals.
    Criterion 1: Objectives and Need for Assistance (maximum of 20 
points).
     The extent to which the application reflects a solid 
understanding of critical issues, information needs, and research 
goals.
     The extent to which the conceptual model, research issues, 
objectives and hypotheses are significant, well formulated and 
appropriately linked, reflect the Administration for Children and 
Families and the Child Care Bureau's research agenda and priorities, 
and will contribute new knowledge and understanding.
     The extent to which the proposed project framework is 
appropriate, feasible, and would significantly

[[Page 21698]]

contribute to the importance, comprehensiveness, and quality of the 
proposed research.
     The effectiveness with which the proposal articulates the 
current state of knowledge relative to issues being addressed, 
including: Critical 
child care issues and the complex interrelationships among major 
variables; the significance of these issues and variables for child 
care policies and programs; how current knowledge would be brought to 
bear on the proposed research; and how the research would benefit 
various audiences.
    Criterion 2: Approach (Research Design and Methodology) (maximum of 
40 points).
    The extent to which the applicant's proposed research design:
     Appropriately links critical research issues, questions, 
variables, data sources, samples, and analyses;
     Employs technically sound and appropriate approaches, 
design elements and procedures;
     Reflects sensitivity to technical, logistical, cultural 
and ethical issues that may arise;
     Includes realistic strategies for the resolution of 
difficulties;
     Adequately protects human subjects, confidentiality of 
data, and consent procedures, as appropriate;
     Includes an effective plan for the dissemination and 
utilization of information by researchers, policy-makers, and 
practitioners in the field; and,
     Effectively utilizes collaborative strategies, as 
appropriate to the project goals and design.
    Criterion 3: Approach (Management Plan) (maximum of 20 points).
    The extent to which the project summary provides a management plan 
that:
     Presents a sound, workable and cohesive plan of action 
demonstrating how the work would be carried out on time, within budget 
and with a high degree of quality;
     Includes a reasonable schedule of target dates and 
accomplishments;
     Presents a sound administrative framework for maintaining 
quality control over the implementation and ongoing operations of the 
study; and,
     Demonstrates the ability to gain access to necessary 
organizations, subjects, and data.
    Criterion 4: Applicant Profiles (Applicant Qualifications and 
Commitment) (maximum of 10 points).
    The extent to which the scholar and advisor:
     Demonstrate competence in areas addressed by the proposed 
research, including relevant background, experience, training and work 
on related research or similar projects; and
     Demonstrate necessary expertise in research design, 
sampling, field work, data processing, statistical analysis, reporting, 
and information dissemination.
    Criterion 5: Budget and Budget Justification (maximum of 10 
points).
    The extent to which proposed project costs are reasonable, the 
funds are appropriately allocated across component areas, and the 
budget is sufficient to accomplish the objectives. The budget should 
include funds to allow the research scholar to participate in the 2.5 
day Child Care Bureau Annual Policy Research Meeting in Washington, 
D.C.

Part III: Priority Area 2: State Child Care Data and Research 
Capacity Projects

A. Purpose

    The purpose of this priority area is to assist State CCDF Lead 
Agencies in improving their capacity to report reliable required child 
care data to the Child Care Bureau and to improve their capacity to 
conduct policy-relevant research and analysis in order to design and 
implement child care policies and programs that promote positive 
outcomes for children, families and communities.
    The primary goal is to create a statewide research infrastructure 
to better understand child care needs, services, and outcomes for 
families in the context of social, economic and cultural change. 
Specific objectives include to: (1) Improve the collection, analysis, 
interpretation, and reporting of CCDF data; (2) develop or improve 
analytic linkages with other State and local data systems such as those 
maintained by child care licensing offices, TANF agencies, and resource 
and referral networks; (3) encourage collaborative efforts among 
institutions of higher education, research organizations, policy 
makers, practitioners, and other stakeholders to promote high quality 
research; (4) expand the availability of child care research that is 
specifically responsive to the needs of States and local communities; 
(5) develop leadership skills in management and interpretation of data; 
and (6) demonstrate effective dissemination strategies and means for 
informing policy decisions with research results.
    Beginning with an assessment of its current CCDF administrative 
data systems and research needs, each State funded under this priority 
area will develop and implement a plan for improving its capacity for 
data collection and analysis and conducting policy relevant research. 
We anticipate that during the first budget period, some States may need 
to focus primarily on enhancements to CCDF reporting systems to ensure 
that their administrative data are valid, reliable and useful for 
policy analysis. Other States, with more refined child care data 
systems, will concentrate on developing improved capacity to analyze 
and interpret administrative data, conduct research, and use data to 
inform policy and program decisions. Ultimately, it is hoped that these 
efforts will evolve into a comprehensive strategy for ongoing 
development of a statewide research infrastructure. States are 
encouraged to create partnerships with relevant stakeholders and other 
appropriate collaborators to achieve these outcomes.
    Applicants must demonstrate the need for assistance, commitment to 
improving the State's capacity for child care research and analysis, 
and the potential for these grant funds to make a difference. 
Successful grantees are expected to establish or expand a child care 
research, analysis and coordinating function, either as a unit within 
State government or through a contractual relationship with an outside 
research organization or university. The proposed staff of analysts 
must have extensive expertise in strategic planning, developing cross-
disciplinary and cross-agency partnerships, implementing systems 
improvements, using large administrative data sets for research and 
analysis, and evaluating the implications of research findings for 
policy and program decisions. The grant awards will fund salaries and 
other expenses, including travel, for at least two full-time 
professional positions within an analysis unit.

B. Background Information

    The Personal Responsibility and Work Opportunity Act of 1996 made 
substantial changes in the structure of Federal child care assistance 
by combining four major Federal child care programs into the Child Care 
and Development Fund (CCDF). While States have significant flexibility 
in designing and implementing child care programs under CCDF, they are 
required to meet certain statutory and regulatory requirements. Among 
other requirements, this includes the designation of a State Lead 
Agency, biennial State CCDF Plans that describe how CCDF services will 
be implemented, and the submission of aggregate and case-level data 
about the services provided through CCDF.

[[Page 21699]]

    States must spend at least 70 percent of their CCDF dollars to 
provide child care services for families who are on or transitioning 
off TANF or who are at-risk of welfare dependency. Through the use of 
certificates (vouchers), eligible families must be given access to 
child care services comparable to those available to families who are 
not eligible for CCDF assistance. States may also provide child care 
services through contracts/grants with providers. In their biennial 
plans to ACF, States provide information about their policies on issues 
such as family eligibility limits, co-payments, provider reimbursement 
rates, and provider health and safety requirements.
    States must submit aggregate reports to ACF annually. These reports 
include information on the number of child care providers (by type) 
that received funding under CCDF, the number of children served by type 
of payment and child care services, consumer education, and the total 
unduplicated number of children and families served. Monthly case-level 
reports (sample or full-population at State option) may be submitted by 
States on a monthly or quarterly basis. These reports are submitted 
electronically to ACF via CONNECT:DIRECT, a secure line administered 
through the Social Security Administration. The case-level reports 
include total monthly family income for determining eligibility, county 
of residence, child gender and month and year of birth, ethnicity and 
race of children, whether the head of the family is a single parent, 
sources of family income, month/year when child care assistance 
started, type of child care used and whether the provider was a 
relative, monthly family co-payment, monthly amount to be paid to the 
provider, total hours of care in the month, Social Security Number of 
the head of household (if voluntarily provided), and reasons for care.
    These aggregate and case-level CCDF reports are an important source 
of information about national, State, and local child care services and 
systems including child care supply and demand. As the Child Care 
Policy Research Consortium and Research Partnerships have demonstrated, 
when analyzed and readily-accessible, administrative data can be a 
valuable tool in helping policy makers make child care policy and 
program decisions. Through their analysis of CCDF administrative data 
at the cross-State, State, and local levels, the Partnerships are 
advancing our knowledge about the child care choices parents make, the 
supply of care in low-income neighborhoods, practices believed to 
improve care (e.g., provider accreditation, teacher training and 
education, reimbursement rates), the types of arrangements used by low-
income parents, and their utilization of child care subsidies. By 
linking CCDF data with employment, resource and referral, and licensing 
data sources, the Partnerships have been able to study such topics as 
the relationship between availability of subsidized care and entry into 
the job market, the industries/employers likely to have employees who 
receive child care assistance, and the interrelationships between 
regulations and supply of care.
    However, administrators indicate that they face many barriers to 
using child care research and data to inform their decisions. In an 
exploration of the research needs of State child care administrators, 
the Oregon Child Care Research Partnership conducted a national 
research roundtable that involved a number of State child care 
administrators. That study, reported in an issue brief, Research and 
Child Care Policy: A View from the States, found that administrators 
were much more likely to be influenced by research conducted by their 
own agency as opposed to an outside organization. When asked about 
barriers to using research, administrators most frequently indicated 
that their agency was not able to conduct the kinds of research that 
would be useful in making policy and program decisions. The issue brief 
strongly recommends that research capacity be developed at national, 
State, and local levels and that funds be directed to States to help 
States develop the infrastructure to conduct child care policy-relevant 
research starting with the data required under Federal CCDF reporting 
requirements.
    Therefore, in this priority area, the Child Care Bureau seeks to 
work with States to improve the reliability of administrative data 
collected in the course of providing CCDF services, to assist States in 
improving their ability to analyze and interpret the data they collect, 
and to encourage State-level policy-relevant research. As a result, 
States will have improved information on which to make policy and 
program decisions and, nationally, the Child Care Bureau will be better 
able to meet its obligation to report to Congress regarding the 
services provided under CCDF.

C. Eligible Applicants

    State and Territorial Lead Agencies administering child care 
programs under the Child Care and Development Block Grant (CCDBG) of 
1990 as amended by the Personal Responsibility and Work Opportunity 
Reconciliation Act of 1996 and the Balanced Budget Act of 1997.

D. Number of Awards

    Up to three State Child Care Data and Research Capacity Grants will 
be funded in Fiscal Year 2002, subject to the availability of funds and 
results of the evaluation process.

E. Project Duration, Funding Levels, and Budget Periods

    State Child Care Data and Research Capacity Grants will be awarded 
for project periods of up to three years. The Child Care Bureau expects 
to invest up to $250,000 during the initial 12-month funding period for 
each project. Non-competitive applications for continuation of State 
Child Care Data and Research Capacity Projects will be considered in 
fiscal years 2003 and 2004 with up to $250,000 per project being 
available for a 12-month period. Applications for continuation grants 
funded beyond the 12-month budget period, but within the 36-month 
project period, will be entertained in the subsequent year on a 
noncompetitive basis, subject to the availability of funds from future 
appropriations, satisfactory progress of the grantee, and a 
determination that continued funding is in the best interest of the 
government. The project period for three-year grants is from September 
30, 2002-September 29, 2005.

F. Federal Share

    To maximize the Federal investment in the State Child Care Data and 
Research Capacity Projects and in the interest of project 
sustainability, a financial commitment by the applicant organization 
(or other participating entity) is required. The grantee must provide 
at least 20 percent of the total approved cost of the project. The 
total approved cost is the sum of the Federal share and the non-Federal 
share. Therefore, a project requesting $250,000 per budget period must 
include a match of at least $62,500. (To calculate the 20 percent non-
Federal share, divide the Federal Share by 4.) A project receiving the 
maximum $750,000 during the three-year project period must include a 
match of at least $187,500 for the three-year project period. The total 
requested budget equals the Federal plus non-Federal share. Applicants 
are encouraged to meet their match requirements through cash 
contributions. However, the non-Federal share may be in-kind 
contributions. Grantees will be held accountable for the commitment of 
non-Federal resources and failure to provide the

[[Page 21700]]

required amount will result in a disallowance of unmatched Federal 
funds.

G. Other Financial Requirements

    Funds available under this priority area may not be used to pay for 
existing positions currently funded using Federal, State, or local 
money. In addition, applicants are advised that funds under this 
priority are not intended to support the purchase of computer hardware 
or software.

H. Data Ownership

    Raw data are the property of the agency or organization where the 
data reside. Working data files constructed for research belong to the 
grantee that is carrying-out the research, but analyses of those data 
may not be released without the approval of the agency that owns the 
original data. Once a study has been completed and released, clean, 
documented public use files must be prepared and archived according to 
specifications supplied by the Child Care Bureau. These public use data 
files will be the property of the Federal government and will remain in 
the public domain for secondary analysis by other researchers.

I. Project Description and Application Requirements

1. Contents and Format of Application
    Clarity and conciseness are of utmost importance. ACYF strongly 
encourages applicants to limit their application to 100 pages, double-
spaced, with standard one-inch margins and 12 point fonts. The total 
page limitation applies to both the narrative text and supporting 
materials.
    Applicants are cautioned to include all required forms and 
materials, organized according to the required format. (The description 
of the contents of the application materials listed below is included 
in Appendix 1 of this announcement.) The application packet must 
include the following items in order:

a. Cover Letter
b. Standard Federal Forms
     Standard Application for Federal Assistance (forms 424 and 
424A)
     Assurances: Non-construction Programs (form 424B)
     Certifications regarding Lobbying
     Disclosures of Lobbying Activities
     Certification regarding Drug-free Workplace Requirements
     Certification regarding Debarment, Suspension, and other 
Responsibility Matters
     Protection of Human Subjects
     Certification regarding Environmental Tobacco Smoke
c. Table of Contents
d. Project Abstract
e. Project Narrative Statement
f. Appendices
     Contact Information for all Key Staff
     Resumes
     Letters of Support, if appropriate
     Other
2. Project Narrative Statement
    The project narrative statement contains most of the information on 
which applications will be competitively reviewed. The Project 
Narrative should be carefully developed in accordance with the research 
goals and expectations described for the priority area in which the 
applicant is submitting a proposal, the requirements listed below and 
described in the Uniform Project Description (Appendix 2 in this 
announcement), and the evaluation criteria and selection factors 
described in section ``J'' below.
    The following sections from the Uniform Project Description 
(Appendix 2) should be included in the Project Narrative Statement of 
the application for State Child Care Data and Research Capacity 
projects:

a. Objectives and Need for Assistance
b. Approach
c. Organizational Profiles
     Management Plan
     Staff Qualification and Commitment
     Organizational Capacity and Resources
d. Budget and Budget Justification

J. Evaluation Criteria

    The following criteria will be used to review and evaluate each 
application under this priority area. Each of the criteria should be 
addressed in the project description section of the application. The 
point values indicate the maximum numerical weight each criterion will 
be accorded in the review process. Note that the highest possible score 
an application can receive is 100 points.
    Criterion 1: Objectives and Need for Assistance (35 Points).
    In this section, applicants are expected to provide a clear and 
comprehensive description of their agency's current capacity to 
collect, analyze and report child care administrative data. This 
description should include data collection, analysis and reporting 
required by the State and Federal governments, as well as reports 
designed for the legislature and other constituencies. Applicants are 
encouraged to provide a description of the internal and external 
information needs of the agency, constituencies for information, and 
the types of data required or requested by these agencies, 
organizations or groups.
    Applicants are expected to describe the current structure, 
management, and process for collecting, analyzing and reporting data. 
This description should include a consideration of the strengths and 
weaknesses of the current operating system and analytic components. The 
need for assistance should be clearly stated.
    In addition, applicants should describe the research and evaluation 
that would be conducted by the proposed analysis unit. Applicants are 
encouraged to identify specific research questions to be addressed by 
the unit and explain how the agency's data systems would be used to 
answer these questions.

Specific Review Criteria

     Extent to which the applicant describes current methods 
and systems used by the agency to collect and compile the child care 
data required by the State and Federal government (including data 
sources, inputs, and reports) and describes the strengths and 
weaknesses of these systems. Linkages to TANF, licensing, and resource 
and referral systems should be described.
     Extent to which the applicant proposes activities which 
reflect the Administration for Children and Families and the Child Care 
Bureau's research agenda and priorities.
     Extent to which the applicant proposes a coherent approach 
to assessing the current quality of CCDF data, including the validity 
and reliability of the data as well as the procedures and policies in 
place for collection, analyses and interpretation of the data.
     Extent to which the applicant describes the internal and 
external information needs of the agency, constituencies for 
information, and the types of data required or requested by these 
agencies, organizations or groups.
     Extent to which the goals and objectives of the proposed 
analysis unit are explained clearly and are appropriate to this 
priority area, i.e., how the proposed unit would assist the agency in 
improving the State's capacity to meet internal and external 
information needs and its capacity for data collection, analysis, 
interpretation, and reporting.
     Extent to which the applicant presents a clear vision of 
the data analysis systems to be developed, including a discussion of 
the contextual factors that would facilitate or hinder the formation of 
the analysis unit.

[[Page 21701]]

     Extent to which the applicant's vision for a Statewide 
infrastructure for child care research and analysis is well 
conceptualized, feasible, and could continue evolving after the project 
period ends.
     Extent to which the applicant presents realistic examples 
of the research questions to be addressed, the types of studies to be 
conducted by the proposed analysis unit, and explains how these 
research questions and studies relate to State child care research 
priorities as well as the priorities and questions outlined in this 
announcement.
     Extent to which the applicant explains how the proposed 
research, evaluations and studies would contribute to the development 
of knowledge about the relationship between child care policies and 
programs and outcomes for children and families.
     Extent to which the applicant describes how the findings 
from the proposed studies would be used to inform policy and improve 
the quality of services.
     Extent to which the applicant clearly describes the types 
of products that would be produced by the analysis unit and the 
benefits that the State and other constituencies would derive from 
these reports and products.
    Criterion 2: Approach (30 Points).
    In this section, applicants are expected to describe in detail how 
they will implement the proposed analysis unit, improve the State's 
capacity for collection, analysis, interpretation, and reporting of 
data, and conduct child care policy-relevant research. Applicants are 
advised to present their assessment of the advantages and disadvantages 
of an in-house analysis unit versus a contractual partner. Applicants 
should describe why they have selected one approach over the other. The 
justification should include a description of how the chosen approach 
will integrate current information demands, operations and procedures, 
management structure, staffing and other resources.
    Regardless of the approach selected (in-house or contractual), the 
applicant is expected to present an implementation plan and describe in 
detail how the unit will be established, managed, operated and 
evaluated. This section should also include a plan for sustaining the 
unit after Federal funding has ceased.
    This section of the Project Narrative Statement also requires that 
the applicant describe the technical approach for addressing issues and 
achieving the objectives described in Criterion 1 above. This should 
include a detailed plan that identifies goals and objectives, relates 
those goals and objectives to the strengths and weakness identified 
regarding the State's current methods and systems used to collect and 
compile administrative data, and provides a work plan identifying 
specific activities necessary to accomplish the stated goals and 
objectives. The plan must demonstrate that each of the project 
objectives and activities support the needs identified and can be 
accomplished with the available or expected resources during the 
proposed project period.
    For any research that is proposed within the project period, a 
methodological discussion must be provided that includes technical 
details of the proposed research design, including: (1) Conceptual 
framework for the research; (2) research questions, hypotheses and 
variables; (3) data sources; (4) linkages with other research; (5) data 
processing and statistical analysis; and (6) product development and 
information dissemination. (For more details, see below.)
    When specific studies are proposed, applicants are asked to provide 
a flow chart or table showing the interrelationships among the proposed 
research issues, questions, variables, and data elements.

Specific Review Criteria

     Extent to which the applicant presents an informed 
assessment of the advantages and disadvantages of an in-house analysis 
unit versus a contractual partner.
     Extent to which the justification for selecting the 
proposed approach is explained in detail, including a description of 
how the chosen approach will mesh with current information demands, 
operations and procedures, management structure, staffing and other 
resources.
     Extent to which a coherent approach to improving the 
quality of CCDF data is embedded within the scope of the overall 
capacity-building.
     Extent to which the proposed implementation plan describes 
the function and scope of activities and indicates when the objectives 
and major activities under each objective will be accomplished.
     Extent to which the selected approach and implementation 
plan are appropriate and feasible and will build an analytic capacity 
for the agency; the description should present a feasible method for 
identifying research priorities, and determining research studies to be 
conducted.
     Extent to which the design for any proposed studies 
appropriately link critical research issues, questions, variables, data 
sources, samples, and analyses; employ technically sound and 
appropriate approaches; reflect sensitivity to technical, logistical, 
cultural and ethical issues that may arise; include realistic 
strategies for the resolution of difficulties; adequately protect human 
subjects, confidentiality of data, and consent procedures, as 
appropriate; include an effective plan for dissemination and 
utilization of the data; and effectively utilize collaborative 
strategies, as appropriate to the project goals and design.
     Extent to which the implementation plan provides an 
appropriate and feasible method for institutionalizing and sustaining 
the analytic unit after Federal funding has ceased.

Additional Information

1. Conceptual Framework for the Research
    Based on the issues and objectives described in Criterion 1, 
present the conceptual framework for the proposed research, including 
the approach to be taken and why this approach was chosen.
2. Research Questions, Hypotheses and Variables
    Based on the conceptual framework for the research, present: (1) 
Areas of inquiry to be explored; (2) specific research questions and 
hypotheses; and (3) research variables and constructs. This discussion 
should relate back to the earlier discussion of Objectives and Need (I, 
2, a) and lead into the design elements that follow.
3. Data Sources and Sampling Plan
    This section should include a detailed plan for identifying data 
sources and obtaining an appropriate sample to achieve objectives of 
the proposed research.
4. Linkages With Other Research
    If the proposed project would involve linkage with ongoing 
research, describe the ongoing research design and status, how the 
proposed study would benefit from and contribute to it, how the 
technical aspects of the linkage would be structured and carried out, 
and how the linked studies would address the goals of this 
announcement. Describe how the proposed research will make a distinct 
contribution while building on ongoing research. Include a letter of 
cooperation from the individual/organization conducting the research 
which details the status of the data collection, procedures to ensure 
data

[[Page 21702]]

quality, timeliness of data availability and applicant access.
5. Data Processing and Statistical Analysis
    Include a detailed plan for processing and analyzing data from all 
sources which illustrates how the analyses will meet the goals of this 
research. Discuss the procedures which would be used to clean data, 
ensure data quality, and prepare data tapes. Discuss plans for the 
analysis of data, including units of analysis, analytic techniques to 
be used with various types of data, statistical considerations 
including, but not limited to power analysis, attrition, response 
rates, etc., and the linkage of data sets, where appropriate. Describe 
documentation of the final data set and preparation of data for 
archiving by the Child Care Bureau.
6. Product Development and Information Dissemination
    Include a product development schedule and information 
dissemination plan which describes the products to be generated during 
the course of this research (such as technical papers or reports, 
summaries, briefings, conference presentations, doctoral dissertations, 
journal articles, internet applications, software and public use data 
tapes, and the final report). Describe the audiences for various 
products and the dissemination strategies that will be employed. 
Discuss which products might be collaboratively developed or 
disseminated to intended audiences.
    Criterion 3: Organization Profiles (25 Points).
    Applicants need to demonstrate that they have the capacity to 
implement the proposed project. This criterion consists of three broad 
topics: (1) management plan, (2) staff qualifications and commitment, 
and (3) organizational capacity and resources.
    Management Plan (10 Points).

Overview

    Applicants are expected to present a sound and feasible management 
plan for implementing the analysis unit. This section should detail how 
the unit will be structured and managed, how the timeliness of 
activities will be ensured, how quality control will be maintained, and 
how costs will be controlled. The role and responsibilities of the lead 
agency should be clearly defined and, if appropriate, applicants should 
discuss the management and coordination of activities carried out by 
any partners, subcontractors and consultants.
    Applicants are required to provide a plan that describes the role, 
responsibilities and time commitments of each proposed staff position, 
including consultants, subcontractors and/or partners. The plan should 
include a list of organizations and consultants who will work with the 
program along with a short description of the nature of their effort or 
contribution.
    Applicants are expected to have the project fully staffed and ready 
for implementation as quickly as possible after notification of the 
grant award. Therefore, strategies for ensuring timely staffing and 
implementation should be clearly and succinctly presented in the 
management plan. The narrative should include a description of the 
timeline for hiring and procurement in the State, and methods that the 
applicant will use to expedite the process.
    Applicants are also expected to produce a timeline that presents a 
reasonable schedule of target dates, accomplishments and deliverables 
by quarter. The timeline should include the sequence and timing of the 
major tasks and subtasks, important milestones, reports, and completion 
dates. The proposal should also discuss factors that may affect project 
implementation or the outcomes and present realistic strategies for the 
resolution of these difficulties. For instance, downtime due to staff 
vacancies at start should be reflected. Additionally, if appropriate, 
applicants should present a plan for training project staff, as well as 
staff of cooperating organizations.

Specific Review Criteria

     Extent to which the management plan provides a diagram 
showing the organizational structure of the project and the functional 
relationships among components.
     Extent to which the management plan presents a realistic 
approach to achieving the objectives of the proposed project on time 
and within budget, including clearly-defined responsibilities, 
timelines and milestones for accomplishing project tasks.
     Extent to which the roles and responsibilities of the lead 
agency are clearly defined and the time commitments of the project 
director and other key project personnel are appropriate and adequate 
to meet the objectives of the proposed project.
    Staff Qualifications and Commitment (10 Points).

Overview

    In this section, applicants should describe the qualifications of 
the project manager and key staff, including analysts who will staff 
the analysis unit and the positions they will fill. Applicants are also 
expected to describe the educational background and professional 
experience of other professionals who will form the interdisciplinary 
analysis unit or organization. (Brief resumes should be provided.) The 
proposed staff should include persons with educational backgrounds and 
professional experiences in early childhood services, child 
development, social work, public policy, economics and other social 
science disciplines such that the analysis unit or organization will be 
able to conduct research on a broad range of child care issues and 
approaches.

Specific Review Criteria

     Extent to which the proposed project director, key project 
staff (including analysts to be hired) and consultants have the 
necessary technical skill, knowledge and experience to successfully 
carry out their responsibilities.
     Extent to which staffing is adequate for the proposed 
project, including administration, program operations, data collection 
and analysis, reporting and dissemination of findings.
     Extent to which the applicant demonstrates executive level 
support and commitment from within the CCDF Lead Agency.
    Organizational Capacity and Resources (5 Points).

Overview

    Applicants must show that they have the organizational capacity and 
resources to form, manage, operate, evaluate and sustain an analysis 
unit, including the capacity to resolve a wide variety of technical and 
management problems that may occur. If the proposal involves partnering 
and/or subcontracting with other agencies/organizations, then the 
proposal should include an organizational capability statement for each 
participating organization documenting the ability of the partners and/
or subcontractors to carry out their assigned roles and functions.

Specific Review Criteria

     Extent to which the applicant organization and partnering 
organizations collectively have experience and resources required to 
form, manage, operate and sustain an analysis unit.
     Extent to which the applicant has adequate organizational 
resources for the proposed project, including administration, program 
operations,

[[Page 21703]]

data processing and analysis, reporting and dissemination of findings.
    Criterion 4: Budget and Budget Justification (10 Points).
    Describe the nature and extent of financial participation from all 
sources during the proposed project period. Present a detailed budget 
for each 12-month interval of the proposed project period, i.e., the 12 
month budget period to be funded under this announcement and subsequent 
budget periods that may be funded under a non-competing continuation 
process. Include a detailed budget narrative that describes and 
justifies line item expenses within the object class categories listed 
on the Standard Form 424A. (Line item allocations and justification are 
required for both Federal and non-Federal funds.) If project funds will 
be subcontracted, a detailed budget for the use of those funds must be 
also included. In estimating costs, applicant should consider down time 
due to staff vacancies, administrative processes, etc.
    The proposed budget should include sufficient funding to cover 
travel expenses for a key person from the project and the evaluator to 
attend two two-and-a-half day meetings of grantees in the Washington DC 
area hosted by the Child Care Bureau. Attendance at these meetings is a 
grant requirement.

Specific Review Criteria

     Extent to which the costs of the proposed program are 
reasonable in view of the activities to be carried out, that funds are 
appropriately allocated across component areas, and that the budget is 
sufficient to accomplish the objectives.
     Extent to which the applicant demonstrates that it has 
sufficient fiscal and accounting capacity to ensure prudent use, proper 
disbursement, and accurate accounting of funds.
     Extent to which applicant's budget is sufficient to endure 
that unanticipated problems can be resolved and that the project will 
be completed on time and with a high degree of quality.

Part IV. Appendices

A. Appendix 1: Contents and Format of the Application

    Clarity and conciseness are of utmost importance. ACYF strongly 
encourages applicants to limit their applications to 100 pages, double-
spaced, with standard one-inch margins and 12 point fonts. This 
includes the entire Project Narrative Statement including text, tables, 
charts, graphs, resumes, corporate statements and appendices.
    Applicants are encouraged to include all required forms and 
materials, organized according to the required format. The application 
packet must include the following items in order:
    1. A cover letter that includes the announcement number, priority 
area and contact information.
    2. Standard Federal Forms.
    a. Standard Application for Federal Assistance (SF 424 fact sheet 
and SF 424A) must be included with the application.
    b. Standard Form 424B, ``Assurances: Non-Construction Programs.'' 
Applicants must sign and return the Standard Form 424B with their 
applications.
    c. Certifications Regarding Lobbying. Applicants must provide a 
certification regarding lobbying when applying for an award in excess 
of $100,000. Applicants must sign and return the certification with 
their applications.
    d. Disclosure of Lobbying Activities. Applicants must disclose 
lobbying activities on the Standard Form LLL when applying for an award 
in excess of $100,000. Applicants who have used non-Federal funds for 
lobbying activities in connection with receiving assistance under this 
announcement shall complete a disclosure form to report lobbying. 
Applicants must sign and return the disclosure form, if applicable, 
with their applications.
    e. Certification Regarding Drug-Free Workplace Requirements. 
Applicants must make the appropriate certification of their compliance 
with the Drug-Free Workplace Act of 1988. By signing and submitting the 
application, the applicant is providing the certification and need not 
mail back the certification with the application.
    f. Certification Regarding Debarment, Suspension, and Other 
Responsibility Matters. Applicants must make the appropriate 
certification that they are not presently debarred, suspended, or 
otherwise ineligible for an award. By signing and submitting the 
application, the applicant is providing the certification and need not 
mail back the certification with the application.
    g. Protection of Human Subjects: Assurance, Identification, 
Certification, and Declaration.
    h. Certification Regarding Environmental Tobacco Smoke. Applicants 
must make the appropriate certification of their compliance. By signing 
and submitting the application, the applicant is providing the 
certification and need not mail back the certification with the 
application.
    3. For-profit entities wishing to receive a grant directly must 
provide a letter indicating their willingness to waive their fees. Non-
profit organizations must submit proof of non-profit status in the 
application at the time of submission. The applicant can demonstrate 
proof of non-profit status in any one of three ways:
    a. By providing a copy of the organization's listing in the 
Internal Revenue Service's (IRS) most recent list of tax-exempt 
organizations described in Section 501(c3) of the IRS code;
    b. By providing a copy of the currently valid IRS tax exemption 
certificate; or
    c. By providing a copy of the articles of incorporation bearing the 
seal of the State in which the corporation or association is domiciled.
    4. Executive Order 12372--Single Point of Contact.
    This program is covered under Executive Order 12372, 
``Intergovernmental Review of Federal Programs'', and 45 CFR part 100, 
``Intergovernmental Review of Department of Health and Human Services 
Program and Activities''. Under the Order, States may design their own 
processes for reviewing and commenting on proposed Federal assistance 
under covered programs.
    All States and Territories except Alabama, Alaska, Colorado, 
Connecticut, Hawaii, Idaho, Kansas, Louisiana, Massachusetts, 
Minnesota, Montana, Nebraska, New Jersey, Ohio, Oklahoma, Oregon, 
Pennsylvania, South Dakota, Tennessee, Vermont, Virginia, Washington, 
American Samoa and Palau have elected to participate in the Executive 
Order process and have established Single Points of Contact (SPOCs). 
Applicants from these twenty-four 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.

[[Page 21704]]

    Additionally, SPOCs are requested to clearly differentiate between 
mere advisory comments and those official State process recommendations 
that may trigger the accommodation or explain rule.
    When comments are submitted directly to ACF, they should be 
addressed to: Alece Morgan, Office of Grants Management, 370 L'Enfant 
Promenade, SW., DC 20447, Attn: Child Care Policy Research 
Discretionary Grants. A list of the Single Points of Contact (SPOCs) 
for each State and Territory can be found on the following web site: 
http://www.whitehouse.gov/omb/grants/spoc.html.
    5. Table of Contents
    6. Project Abstract (not to exceed one page) for use in official 
briefings, decision packages, and public announcement of awards.
    7. Project Narrative Statement (See instructions in Appendix 2 and 
Evaluation Criteria for each Priority described in this announcement.)
    8. Appendices: All supporting materials and documents should be 
organized into appropriate appendices and securely bound in to the 
application package. Applicants are reminded that the total page 
limitation applies to both narrative text and supporting materials.
    a. Contact Information for all Key Staff
    b. Resumes
    c. Letters of Support, if appropriate
    d. Other
    9. Number of Copies and Binding: An original and two copies of the 
complete application packet must be submitted. Each copy of the 
application should be securely stapled in the upper left-hand corner, 
clipped, or secured at the top with a two-hole punch fastener. Because 
each application will be duplicated for the review panel, do not use 
non-removable binders. Do not include tabs, plastic inserts, brochures, 
videos, or any other items that cannot be photocopied.

B. Appendix 2: Uniform Project Description

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.
Introduction
    Applicants required to submit a full project description shall 
prepare the project description statement in accordance with the 
following instructions and the specified evaluation criteria. The 
instructions give a broad overview of what your project description 
should include while the evaluation criteria expands and clarifies more 
program-specific information that is needed.
Project Summary/Abstract
    Provide a summary of the project description (a page or less) with 
reference to the funding request.
Objectives And Need For Assistance
    Clearly identify the physical, economic, social, financial, 
institutional, and/or other problem(s) requiring a solution. The need 
for assistance must be demonstrated and the principal and subordinate 
objectives of the project must be clearly stated; supporting 
documentation, such as letters of support and testimonials from 
concerned interests other than the applicant, may be included. Any 
relevant data based on planning studies should be included or referred 
to in the endnotes/footnotes. Incorporate demographic data and 
participant/beneficiary information, as needed. In developing the 
project description, the applicant may volunteer or be requested to 
provide information on the total range of projects currently being 
conducted and supported (or to be initiated), some of which may be 
outside the scope of the program announcement.
Approach
    Outline a plan of action which describes the scope and detail of 
how the proposed work will be accomplished. Account for all functions 
or activities identified in the application. Cite factors which might 
accelerate or decelerate the work and state your reason for taking the 
proposed approach rather than others. Describe any unusual features of 
the project such as design or technological innovations, reductions in 
cost or time, or extraordinary social and community involvement.
    Provide quantitative monthly or quarterly projections of the 
accomplishments to be achieved for each function or activity in such 
terms as the number of people to be served and the number of activities 
accomplished. When accomplishments cannot be quantified by activity or 
function, list them in chronological order to show the schedule of 
accomplishments and their target dates.
    If any data is to be collected, maintained, and/or disseminated, 
clearance may be required from the U.S. Office of Management and Budget 
(OMB). This clearance pertains to any ``collection of information that 
is conducted or sponsored by ACF.''
    List organizations, cooperating entities, consultants, or other key 
individuals who will work on the project along with a short description 
of the nature of their effort or contribution.
Evaluation
    Provide a narrative addressing how the results of the project and 
the conduct of the project will be evaluated. In addressing the 
evaluation of results, state how you will determine the extent to which 
the project has achieved its stated objectives and the extent to which 
the accomplishment of objectives can be attributed to the project. 
Discuss the criteria to be used to evaluate results, and explain the 
methodology that will be used to determine if the needs identified and 
discussed are being met and if the project results and benefits are 
being achieved. With respect to the conduct of the project, define the 
procedures to be employed to determine whether the project is being 
conducted in a manner consistent with the work plan presented and 
discuss the impact of the project's various activities on the project's 
effectiveness.
Additional Information
    Following are requests for additional information that need to be 
included in the application:

[[Page 21705]]

Staff And Position Data
    Provide a biographical sketch for each key person appointed and a 
job description for each vacant key position. A biographical sketch 
will also be required for new key staff as appointed.
Organizational Profiles
    Provide information on the applicant organization(s) and 
cooperating partners such as organizational charts, financial 
statements, audit reports or statements from CPAs/Licensed Public 
Accountants, Employer Identification Numbers, names of bond carriers, 
contact persons and telephone numbers, child care licenses and other 
documentation of professional accreditation, information on compliance 
with Federal/State/local government standards, documentation of 
experience in the program area, and other pertinent information. Any 
non-profit organization submitting an application must submit proof of 
its non-profit status in its application at the time of submission.
    The non-profit agency can accomplish this by providing a copy of 
the applicant's listing in the Internal Revenue Service's (IRS) most 
recent list of tax-exempt organizations described in Section 501(c)(3) 
of the IRS code, or by providing a copy of the currently valid IRS tax 
exemption certificate, or by providing a copy of the articles of 
incorporation bearing the seal of the State in which the corporation or 
association is domiciled.
Letters of Support
    Provide statements from community, public and commercial leaders 
that support the project proposed for funding. All submissions should 
be included in the application OR by application deadline.
Budget and Budget Justification
    Provide line item detail and detailed calculations for each budget 
object class identified on the Budget Information form. Detailed 
calculations must include estimation methods, quantities, unit costs, 
and other similar quantitative detail sufficient for the calculation to 
be duplicated. The detailed budget must also include a breakout by the 
funding sources identified in Block 15 of the SF-424.
    Provide a narrative budget justification that describes how the 
categorical costs are derived. Discuss the necessity, reasonableness, 
and allocability of the proposed costs.
General
    The following guidelines are for preparing the budget and budget 
justification. Both Federal and non-Federal resources shall be detailed 
and justified in the budget and narrative justification. For purposes 
of preparing the budget and budget justification, ``Federal resources'' 
refers only to the ACF grant for which you are applying. Non-Federal 
resources are all other 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 should 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 which belong under other categories such as equipment, 
supplies, construction, etc. Third-party evaluation contracts (if 
applicable) and contracts with secondary recipient organizations, 
including delegate agencies and specific project(s) or businesses to be 
financed by the applicant, should be included under this category.
    Justification: All procurement transactions shall be conducted in a 
manner to provide, to the maximum extent practical, open and free 
competition. Recipients and subrecipients, other than States that are 
required to use 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

[[Page 21706]]

required supporting information referred to in these instructions.

Other
    Enter the total of all other costs. Such costs, where applicable 
and appropriate, may include but are not limited to insurance, food, 
medical and dental costs (noncontractual), professional services costs, 
space and equipment rentals, printing and publication, computer use, 
training costs, such as tuition and stipends, staff development costs, 
and administrative costs.
    Justification: Provide computations, a narrative description and a 
justification for each cost under this category.
Indirect Charges
    Description: Total amount of indirect costs. This category should 
be used only when the applicant currently has an indirect cost rate 
approved by the Department of Health and Human Services (HHS) or 
another cognizant Federal agency.
    Justification: An applicant that will charge indirect costs to the 
grant must enclose a copy of the current rate agreement. If the 
applicant organization is in the process of initially developing or 
renegotiating a rate, it should immediately upon notification that an 
award will be made, develop a tentative indirect cost rate proposal 
based on its most recently completed fiscal year in accordance with the 
principles set forth in the cognizant agency's guidelines for 
establishing indirect cost rates, and submit it to the cognizant 
agency. Applicants awaiting approval of their indirect cost proposals 
may also request indirect costs. It should be noted that when an 
indirect cost rate is requested, those costs included in the indirect 
cost pool should not also be charged as direct costs to the grant. 
Also, if the applicant is requesting a rate which is less than what is 
allowed under the program, the authorized representative of the 
applicant organization must submit a signed acknowledgement that the 
applicant is accepting a lower rate than allowed.
Nonfederal Resources
    Description: Amounts of non-Federal resources that will be used to 
support the project as identified in Block 15 of the SF-424.
    Justification: The firm commitment of these resources must be 
documented and submitted with the application in order to be given 
credit in the review process. A detailed budget must be prepared for 
each funding source.

    Dated: April 25, 2002.
James A. Harrell,
Deputy Commissioner, Administration on Children, Youth and Families.
[FR Doc. 02-10781 Filed 4-30-02; 8:45 am]
BILLING CODE 4184-01-U