[Federal Register Volume 68, Number 47 (Tuesday, March 11, 2003)]
[Notices]
[Pages 11562-11566]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 03-5721]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Administration for Children and Families

[Program Announcement No. ACYF/HSB-2003-01]


Notice Inviting Abstracts for Grants To Support the Development 
of Innovation and Improvement Projects That Address the President's 
Initiatives Within Head Start Programs

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

ACTION: Notice.

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SUMMARY: The Administration for Children and Families (ACF), the 
Administration on Children, Youth and Families (ACYF) invites abstracts 
from organizations for Innovation and Improvement Projects that address 
the President's initiatives related to the Head Start (including Early 
Head Start) program and other priorities which meet needs related to 
the comprehensive nature of Head Start, such as, medical and dental 
needs and the needs of special populations served by the program.
    The Catalogue of Federal Domestic Assistance Number is 93.600.

DATES: The closing date for submitting abstracts under this 
announcement is May 12, 2003. An original and two copies are required. 
Mailed applications will be considered as meeting the announced 
deadline if they are postmarked on or before the published deadline 
date. Only abstracts, not full proposals, will be accepted under this 
announcement. Abstracts hand-carried by applicants, applicant couriers, 
other representatives of the applicant, or by overnight/express mail 
couriers or any other method of hand delivery shall be considered as 
meeting an announced deadline date if they are received on or before 
the published deadline date, between the hours of 8 a.m. and 4:30 p.m., 
e.d.t., Monday through Friday, (excluding Federal holidays), at the 
following address:

ACYF Operations Center, Program Announcement No. ACYF/HSB-2003-01, 1150 
Connecticut Avenue, NW., Suite 1100, Washington, DC 20036. Telephone: 
1-800-351-2293. E-mail: [email protected].

    ACYF cannot accommodate the transmission of applications by FAX or 
through other electronic media. Therefore, applications transmitted to 
ACYF electronically will not be accepted regardless of the date or time 
of submission and time of receipt. ACYF

[[Page 11563]]

may extend a deadline for applicants affected by Acts of God such as 
floods and hurricanes, when there is widespread disruptions of mail 
service, or for other disruptions of services, such as a prolonged 
blackout, that affect the public at large. A determination to waive or 
to extend deadline requirements rests with the Chief Grants Management 
Officer. Applicants will receive a confirmation postcard upon receipt 
of an abstract. Copies of the program announcement, necessary 
application forms, and appendices can be obtained by contacting the 
above address. Copies of the program announcement and necessary 
application forms can also be downloaded from the Head Start Web site 
at www.acf.hhs.gov/programs/hsb.

FOR FURTHER INFORMATION CONTACT: When contacting ACYF directly with 
questions send to William Wilson, Grants Officer, 330 C Street, SW., 
Washington, DC 20447, 202-205-8913, [email protected], or Frankie 
Hoover Gibson, Program Specialist, 330 C St, SW., Washington, DC 20447, 
202-205-8399, [email protected].

Statutory Authority

    This announcement is authorized by the Head Start Act (42 U.S.C. 
9801).

Eligible Applicants

    Any public or private non-profit organization, including state and 
local governments, Federally recognized Indian tribes, faith-based 
organizations, and private nonprofit organizations, including 
universities and other institutions of higher education, may apply. 
Applications may also be submitted by private for-profit organizations 
provided no grant funds are to be paid as profit to grantees, i.e., any 
amount in excess of allowable direct and indirect costs of the 
recipient (45 CFR 74.81).

Process for Application Submission

    ACYF and the Head Start Bureau are engaging in a three-part 
process. First, eligible organizations are invited to submit an 
abstract based on the requirements in this announcement. Second, 
organizations submitting successful abstracts will be invited to submit 
applications, addressing the planning phase and the implementation 
phase, for competitive review and possible funding. Third, 
organizations successfully completing the planning phase will be 
eligible for consideration of implementation funding.

Available Funds

    Financial awards will be made only in the second and third part of 
the process; no financial awards will be made based on abstracts 
submitted. An invitation to submit an application is not a guarantee of 
funding.
    The number of projects funded as a result of this announcement will 
depend in large part on the quality and usefulness of the innovations 
and improvements responding organizations propose. In addition, we 
expect that the size of awards will vary significantly depending on the 
nature of each project. Generally, planning awards will be up to 
$100,000 and subsequent implementation awards will be up to $1,000,000. 
Smaller awards may be appropriate in many cases and occasionally larger 
awards will be justified. It is anticipated that $3,000,000 is 
available in FY 2003 for 30-40 planning grants. In later phases, we 
expect that total funding for planning and implementation grants will 
be up to $10,000,000 in any fiscal year. Planning awards will be for a 
period of up to nine months. Subsequent implementation awards will be 
for one to three 12-month periods. Continued funding of any project 
selected through the competitive process is contingent upon the 
continued availability of appropriated funds. Further, continued 
funding may be ended on a determination by ACYF that continuation of 
the project is no longer desirable from a policy perspective. In the 
latter event, ACYF will not terminate the funding prior to the end of 
the budget period and will provide the grantee with 45 days notice of 
the end of the project.
    Applicants are encouraged to provide a share of the resources 
needed to support their proposal. However, there is no specific amount 
of non-federal support required of applicants or other third parties. 
If a proposed project activity has approved funding support from other 
funding sources the amount, duration, purpose and source of the funds 
should be indicated in materials submitted under this announcement. If 
completion of the proposed project activity is contingent upon approval 
of funding from other sources, the relationship between the funds being 
sought elsewhere and from ACYF should be discussed in the budget 
information submitted as a part of the abstract. In both cases, the 
contribution that ACYF funds will make to the project should be clearly 
presented.

Part I. Purpose and Background

Purpose

    The Head Start program provides comprehensive child development 
services to more than 900,000 of our nation's neediest young children. 
The President has identified Head Start as an important link in the 
improvement of our country's education system through the Good Start, 
Grow Smart Early Childhood Initiative. ACYF is working to improve the 
effectiveness of Head Start in important areas such as supporting early 
literacy, strengthening parental involvement and assuring that all 
children achieve measurable improvement as a result of participating in 
Head Start.
    There are a number of organizations and institutions with 
innovative concepts, projects and products that could help improve the 
effectiveness and management of local Head Start and Early Head Start 
sites. It is the intent of ACYF to solicit proposals for innovations 
and improvements so these efforts can be identified and considered. If 
they are found to have merit, ACYF plans to provide financial 
assistance so they can be further developed or assessed and made 
available to local Head Start programs. This is the first of what we 
expect will be periodic solicitations of this type.
    Many organizations (at the national, state and local level) seek 
the Head Start Bureau's guidance because they have seen a need for 
activities that will improve the quality of Head Start programming. 
These are organizations that wish to respond and do not have the 
capacity but have valid concepts, products, and projects that address 
the President's priorities for improving the comprehensive services 
provided by the Head Start Bureau. This competition will assess the 
feasibility of funding some of these projects. The focus will be on 
developing new concepts, products, and projects, primarily related to 
the important priorities and special needs listed in part II. However, 
this competition is not limited to these priority areas.
    This solicitation will be carried out in a three-phase process: (1) 
Abstract submittal; (2) planning grant application submission by 
successful abstract applicants; and (3) implementation grant awards to 
a limited number of successful planning grant recipients. Interested 
parties are therefore expected to detail in the abstract the long-term 
goals and strategies to be implemented, if awarded a subsequent 
implementation grant. They should also describe the benefits of the 
planning grant (up to nine months in duration) in terms of how it will 
be used to prepare for the implementation phase.

Background

    Head Start, established in 1965, is a comprehensive child 
development

[[Page 11564]]

program currently serving annually over 900,000 primarily young 
children in low-income families, from three years of age to the age of 
mandatory school attendance. Since the addition of Early Head Start in 
1995, children from birth to three, pregnant women and their families 
are also included. Grants for Head Start and Early Head Start programs 
are awarded to local public and private agencies by the Administration 
for Children and Families (ACF) in the U.S. Department of Health and 
Human Services (HHS). Over 2,100 grantees and delegate agencies provide 
these programs in every state, Puerto Rico, Virgin Islands, Outer 
Pacific, as well as American Indian/Alaska Natives and Migrant/Seasonal 
Farm Worker populations.
    Head Start has a long tradition of delivering comprehensive 
services designed to foster healthy development in the most vulnerable 
young children, including those with disabilities. Head Start and Early 
Head Start grantees and delegate agencies provide a range of 
individualized services in the areas of education and early childhood 
development; medical, dental, mental health and nutrition; and family 
and community partnership development through parent involvement. In 
addition, the entire range of Head Start services is responsive and 
appropriate to each child and family's developmental, ethnic, cultural 
and linguistic heritage and experience.

Part II: Priority Areas

    This request for abstracts, and subsequent planning grant 
applications from a successful sub-set of those abstracts submitted, is 
an effort to meet program needs and enhance and support current 
Presidential and Departmental Initiatives related to the mission of the 
Head Start Bureau. The priority areas to be addressed in this 
announcement include, but are not limited to, Early Literacy 
Development; Improving Services to Rural Areas; Positive Youth 
Development; and Strengthening Families/Fatherhood. Eligible applicants 
are invited to submit applications for innovation and improvement in 
any aspect of Head Start services. Conceivably proposals could address 
improvements in transportation services, nutrition services, services 
to special populations, program management and a number of other areas.
    Early Literacy Development: Research shows that early literacy 
development is a strong predictor of later success in school and work. 
With well-developed language and early literacy skills, all children 
can enter school ready to learn. Many risk factors that affect academic 
progress may be ameliorated by the efforts of early care providers 
armed with solid information and skills about how to best 
systematically engage children and their families in the use of 
language and the joy of reading.
    Improving Services to Rural Areas: Ensuring the health and welfare 
of the 65 million rural residents is an essential part of a national 
policy that promotes the self-sufficiency of all Americans. These rural 
areas frequently experience difficulties related to inadequate funds, 
personnel and support networks that hinder services. The intent of the 
Rural Initiative, as it relates to Head Start, is to examine ways to 
improve and enhance the provision of health care and human services to 
rural communities serving Head Start children and families.
    Positive Youth Development: This initiative includes providing 
technical assistance and support to after-school and summer programs; 
exploring the impact on adolescents of intensive parental employment 
under welfare reform; and partnering with other federal agencies, 
states, communities and private organizations in support of youth 
development services. In the context of Head Start, projects could 
include ways to involve older youth and siblings in the family 
partnership process and supporting services as well as learning and 
community building opportunities for youth. Strengthening Families/
Fatherhood: Nearly 25 million children in the United States are growing 
up in homes without fathers and the potential impact is troubling. 
These children are more likely to live in poverty, perform poorly in 
school, engage in criminal activity, and abuse drugs and alcohol. The 
President has made promoting responsible fatherhood a national 
priority. The following principles guide this initiative in support of 
improving the stability and healthy development of our nation's 
children and youth: (1) All fathers can be important contributors to 
the well-being of their children; (2) parents are partners in raising 
their children, even when they do not live in the same household; (3) 
the roles fathers play in families are diverse and related to cultural 
and community norms; (4) men should receive the education and support 
necessary to prepare them for the responsibility of parenthood; and (5) 
government can encourage and promote father involvement through its 
programs and through its own workforce policies. Projects under this 
priority could include efforts to help Head Start fathers establish 
positive relationships with their children, provide financial and 
emotional support, and develop responsible parenting skills.

Part III. Competitive Criteria and General Instructions

    Applicants must first submit an abstract as described in the 
application section below. Please read this section carefully. 
Abstracts must comply with the application guidelines. Abstracts that 
do not comply with the application guidelines will not be considered. 
Abstracts must be received in the following format: 12 point font size;
    Single spaced text with double spaces between paragraphs; maximum 
ten pages; 1-inch top and bottom, left and right, margins.

Title Page

    This page should include a reference to the program announcement: 
Head Start Innovation and Improvement Projects--Abstract; title of 
proposed project; name of applicant; mailing address, telephone number, 
fax number, and e-mail address of the lead contact. (This will be the 
information used by ACYF to request full proposals from selected 
applicants.) The title page must include the total number of months 
needed for completion of the planning phase, the total federal budget 
requested and the project's proposed start and end date. This should be 
the only information on the title page.
    Abstracts must include the material indicated below. The 
information provided in items 1 through 5 is not to exceed ten pages. 
Abstracts will be scored using criteria 1 through 5, maximum points 
100.

1. 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.

[[Page 11565]]

2. Approach

    Outline a plan of action that 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 that 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. For example, describe the tasks needed to accomplish the 
proposed project planning in Phase 2 and implementation in Phase 3 and 
any relevant data source to support the work. When activities and 
functions cannot be quantified, 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.

3. Results or Benefits Expected

    Identify the results and benefits to be derived.

4. 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.

5. 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.

Part IV. The Review Process

    An independent review panel will review and score all abstracts 
that are submitted by the deadline date and which meet the screening 
criteria (all information and in formats required by this 
Announcement). The panel will review the abstracts using the evaluation 
criteria listed below to score each abstract. The review results will 
be the primary elements used by the Commissioner, ACYF, in making 
decisions regarding request for a full application submission. In 
addition, ACYF may also obtain comments on abstracts from other Federal 
or State staff, specialists, and experts.
    Subsequently, when applications for planning grants are solicited 
from successful applicants in the abstract phase, an independent review 
panel will again review and score all planning grant applications 
submitted utilizing criteria 1 through 5, listed below, maximum 100 
points.

1. Objectives and Need for Assistance (30 points)

    The goals and objectives must address one of the stated priorities 
or another relevant area and clearly state the expected outcomes. The 
proposed project must substantiate its capacity to improve the quality 
and effectiveness of local Head Start program services.

2. Approach (25 points)

    The design of the approach must identify the tasks necessary to 
carry out the project in ways that will accomplish quantifiable high 
quality results in Phase 2, planning, and Phase 3, implementation.

3. Results or Benefits Expected (20 points)

    Conceptualize the proposed work and discuss the relevance of the 
proposed work to the purposes of this announcement and the priority or 
other areas selected. Clearly articulate the anticipated benefits to 
the Head Start community.

4. Organizational Profiles (15 points)

    Information must be provided on the capacity of the offeror to 
implement the proposed plan. The relevant experience and proposed roles 
of key staff and other individuals proposed must be included. In 
addition, a reflection of community commitment is required. 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.
    Other individuals must be identified with a brief description of 
their relevancy and an indication of the tasks or activities for which 
they will be primarily responsible. Corporate capacity and community 
commitment are also to be addressed.

5. Budget and Budget Justification (10 points)

    Applicants must provide an estimate of the total proposed budget 
(planning and implementation), including information about other 
funding sources. The budget must be reasonable for the proposed scope 
of work. Budget narrative is not required with the abstract. Only those 
invited to submit a complete Phase 2 planning proposal will need to 
prepare a detailed budget narrative for the proposed Phase 2 and 3 
work.

Applicable Administrative Regulations

    Applicable administrative regulations include 45 CFR part 74, 
Administration of Grants, for non-profit agencies; and 45 CFR part 92, 
Uniform Administrative Requirements for Grants and Cooperative 
Agreements to State and Local Governments.

Post-Award Reporting Requirements

    Post award reporting requirements include submission of quarterly 
programmatic and budget reports.

Estimate of Schedule

    ACYF anticipates that abstracts will be reviewed and selected 
applicants notified to submit full planning proposals approximately 60 
days

[[Page 11566]]

following the deadline for submission of abstracts. We expect that full 
planning proposals will be required to be submitted within 45 days of 
the date of the notification letter informing the applicant that their 
abstract has been accepted.

Paperwork Reduction Act of 1995 (Pub. L. 104-13)

    Public reporting burden for this collection of information is 
estimated to average 10 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 12/31/2003. 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.

Required Notification of the State 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, New York, Ohio, Oklahoma, 
Oregon, Palau, Pennsylvania, South Dakota, Tennessee, Vermont, 
Virginia, and Washington have elected to participate in the Executive 
Order process and have established Single Points of Contact (SPOCs). 
Applicants from these 24 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 accommodate or explain'' rule. When SPOC 
comments are submitted directly to ACYF, they should be addressed to: 
William Wilson, ACYF's Office of Grants Management, Room 2220, Switzer 
Building, 330 C Street, SW., Washington, DC 20447. A list of the Single 
Points of Contact for each State and Territory can be found on the Web 
site http://www.whitehouse.gov/omb/grants/spoc.html.

    Dated: March 5, 2003.
Joan E. Ohl,
Commissioner, Administration on Children, Youth and Families.
[FR Doc. 03-5721 Filed 3-10-03; 8:45 am]
BILLING CODE 4184-01-P