[Federal Register Volume 68, Number 133 (Friday, July 11, 2003)]
[Notices]
[Pages 41375-41384]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 03-17605]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Administration for Children and Families

[Program Announcement No. ACF/ACYF/HS-HSGS 2003-04]


Fiscal Year 2003 Discretionary Announcement for Head Start 
Graduate Student Research Grants; Availability of Funds and Request for 
Applications

AGENCY: Administration for Children and Families (ACF) DHHS.

ACTION: Announcement of the availability of funds and request for 
doctoral level graduate student research projects (Priority Area 1.01) 
in partnership with Head Start programs,

[[Page 41376]]

and pre-doctoral level graduate student research partnership 
development projects (Priority Area 1.02) to develop ongoing research 
partnerships with Head Start programs.

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SUMMARY: The Administration for Children and Families (ACF) Office of 
Planning, Research and Evaluation (OPRE) announces the availability of 
funds for Head Start Graduate Student Research Grants to support field-
initiated research activities.
    CFDA #: The Catalog of Federal Domestic Assistance number for all 
priority areas is 93.600

DATES: The closing time and date for receipt of applications is 5 p.m. 
(Eastern Time Zone) August 12, 2003. Regardless of the method by which 
they are delivered, applications must be received on or before the 
deadline date.
    Late Applications. Applications that do not meet the criteria 
stated above, will be 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 that affect the public at large (such as 
prolonged electrical blackout). Authority to waive or extend deadline 
requirements rests with the Chief Grants Management Officer.
    Mailing and Delivery Instructions: Applications may be sent through 
the U.S. Postal Service, delivered by private courier, or hand 
delivered to the ACF Operations Center at the address below. 
Applications delivered by hand must be received by the Operations 
Center during the normal working hours of 8 a.m. to 5 p.m., Monday 
through Friday and no later than 5 p.m. Eastern Time Zone on the 
deadline date. Applicants will receive a confirmation postcard upon 
receipt of applications. Head Start Research Support Team, 1749 Old 
Meadow Road, Suite 600, McLean, VA 22102.
    All packages should be clearly labeled as follows: Application for 
Head Start Graduate Student Research Grants: Priority Area (indicate 
1.01 or 1.02).

FOR FURTHER INFORMATION CONTACT: The Head Start Research Support 
Technical Assistance Team (1-877) 663-0250, is available to answer 
questions regarding application requirements and to refer you to the 
appropriate contact person in ACF for programmatic questions. You may 
e-mail your questions to: [email protected].
    Grants Management Contact: William Wilson, Grants Management 
Officer, Room 2220 Switzer Building, 330 C Street SW., Washington, DC 
20447. Telephone Number (202) 205-8913 or e-mail [email protected].
    In order to determine the number of expert reviewers that will be 
necessary, if you are going to submit an application, you must send a 
post card, call or e-mail at least two weeks prior to the submission 
deadline date with the following information: the name, address, 
telephone and fax number, e-mail address of the principal investigator, 
and the name of the university or non-profit institution to: Head Start 
Research Support Team, 1749 Old Meadow Road, Suite 600, McLean, VA 
22102, (1-877) 663-0250, E-mail [email protected].

SUPPLEMENTARY INFORMATION: The Supplementary Information section 
consists of four parts. Part I provides general information about the 
Head Start research activities, authorities, funding priorities, and 
the application process. Part II describes the Head Start Graduate 
Student Research Grants (Priority Area 1.01). Part III describes the 
Head Start Graduate Student Partnership Development Grants (Priority 
Area 1.02). Part IV includes two appendices that include all 
requirements for applications. Appendix 1 provides detailed 
instructions for preparing and submitting applications. Appendix 2 
contains the OMB-approved Uniform Project Description.

Part I. General Information

A. Purpose of Announcement

    The purpose of this announcement is to announce the availability of 
funds for Head Start Graduate Student Research Grants to support field-
initiated research activities in partnership with Head Start programs 
and to develop ongoing research partnerships with Head Start programs.

B. Background

Priority Area 1.01 and 1.02: Head Start Graduate Student Research 
Grants and Research Partnership Development Grants
    Since 1991, ACF has explicitly supported the relationship between 
established Head Start researchers and their graduate students by 
awarding research grants, on behalf of specific graduate students, to 
conduct research in Head Start communities. As many previously funded 
Head Start graduate students have continued to make significant 
contributions to the early childhood research field as they have 
pursued their careers, this funding mechanism is an important research 
capacity-building effort. To ensure that future research is responsive 
to the changing needs of low-income families, graduate students need 
strong and positive role models. Therefore, Head Start's support of the 
partnership between students and their mentors is essential. The unique 
partnership that is forged between mentor and student, within the Head 
Start research context, serves as a model for the establishment of 
other partnerships within the community (e.g., researcher-Head Start 
staff, researcher-family, etc.). This foundation helps foster the 
skills necessary to build a graduate student's trajectory of successful 
partnership-building and contributions to the scientific community. 
Within this nurturing and supportive relationship, young researchers 
are empowered to become autonomous researchers, learning theory, as 
well as the process of interacting with the various members and 
relevant organizations within their communities.
    ACF further recognizes that effectively developing new research 
partnerships between researchers and Head Start communities requires 
considerable planning, effort, and commitment. In order to encourage 
the development of such new research partnerships, and to facilitate 
the entry of new mentor/student teams to the field of Head Start 
research, it is also essential to support the process of partnership 
development and research conceptualization. Therefore, a new priority 
area has been added this year for that purpose.
    Thus, the goals of the two priority areas within the Head Start 
Graduate Student Research Grant program can be summarized as follows:
    1. Provide direct support for graduate students as a way of 
encouraging the conduct of research with Head Start populations, thus 
contributing to the knowledge base about the best approaches for 
delivering services to diverse, low-income families and their children;
    2. Promote mentor-student relationships which support students' 
graduate training and professional development as young researchers 
engaged in policy-relevant, applied research;
    3. Emphasize the importance of developing true working research 
partnerships with Head Start programs and other relevant entities 
within the community, thereby fostering skills necessary to build a 
student's trajectory of successful partnership-building and

[[Page 41377]]

contributions to the scientific community; and
    4. Support the active communication, networking and collaboration 
among graduate students, their mentors and other prominent researchers 
in the field, both during their graduate training, as well as into the 
early stages of their research careers.
    While the specific topics addressed under these Graduate Student 
Research Grants are intended to be field-initiated, applicants who 
address issues of both local and national significance will be most 
likely to succeed. Some illustrative examples of such topics include, 
but are not limited to the areas of school readiness, children's mental 
health, serving an increasingly culturally and linguistically diverse 
population of children and families and promoting child well-being by 
strengthening responsible fatherhood and healthy marriages in Head 
Start families.

C. Statutory Authority and Other Citations

    Statutory authority: Section 649 of the Head Start Act, as amended 
by the Coats Human Services Reauthorization Act of 1998 (Pub. L. 105-
285) and 42 U.S.C. 9844.
    Paperwork Reduction Act of 1995 (Pub. L. 104-13): Public reporting 
for this collection of information is estimated to average 40 hours per 
response, including 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 valid 
OMB control number.

D. Priority Areas, Number of Awards, Project Duration, and Funding 
Levels

    In Fiscal Year 2003, ACF anticipates funding between 5 and 10 new 
projects in Priority Area 1.01 and between 2 and 8 new projects in 
Priority Area 1.02, pending availability of funds and receipt of 
satisfactory applications. ACF intends to commit up to $200,000 per 
year to fund new grants in response to both priority areas within this 
announcement. It is unlikely that any individual mentor will be funded 
for more than one graduate student research grant if there are at least 
10 applications from different mentors/institutions that qualify for 
support.
    Any application that exceeds the maximum dollar range will be 
considered ``non-responsive'' and subsequently returned to the 
applicant without further review.
    Matching Requirement: There is no matching requirement.
    Priority Area 1.01. Head Start Graduate Student Research Grants: 
The maximum Federal share will range between $10,000-$20,000 for the 
first 12-month budget period or a maximum of $40,000 for a 2-year 
project period.
    For Priority Area 1.01, requests for a second year of funding 
within the project period should be identified in the current 
application (on SF-424A), but such requests will be considered at a 
later date on a noncompetitive basis, subject to the graduate student's 
eligibility status, the availability of funds, satisfactory progress of 
the grantee, and a determination that continued funding would be in the 
best interest of the Government.
    Priority Area 1.02. Head Start Graduate Student Partnership Grants: 
The maximum Federal share will range between $2,500-$5,000 for the 12-
month budget period.

E. Application Process

    This announcement includes all of the information needed to apply 
for funding in each of the priority areas. Detailed instructions for 
preparing and submitting applications are contained in the appendices. 
Applicants are cautioned to follow the prescribed content and format in 
preparing their application packages. Each priority area describes the 
purpose, goals, technical requirements and evaluation criteria against 
which proposals will be reviewed. The Standard Federal Forms that must 
be included in applications can be downloaded from the Internet at 
http://www.acf.hhs.gov/programs/ofs/.

F. Proposal Review, Selection and Award

    1. 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.
    1.The review will be conducted in Washington, DC. Expert reviewers 
will include researchers, Federal or State staff, and other individuals 
experienced in Head Start or related research and evaluation. A panel 
of at least three reviewers will evaluate each application to determine 
the strengths and weaknesses of the proposal in terms of the Head 
Start's research goals and expectations, requirements for the Project 
Narrative Statement, and evaluation criteria for the priority area 
under consideration.
    3. Given the involvement of non-Federal reviewers, applicants have 
the option of omitting from the application copies (but not the 
original), specific salary rates or amounts for individuals specified 
in the application budget and Social Security Numbers, if otherwise 
required for individuals. If the applicant omits individual salary 
information on application copies, the copies must include summary 
salary information.
    4. 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.
    5. In addition to the panel review, ACF may solicit comments from 
other Federal offices and agencies, States, non-governmental 
organizations, and individuals whose particular expertise is identified 
as necessary for the consideration of technical issues arising during 
the review. ACF will consider their comments, along with those of the 
panelists, when making funding decisions. ACF will also take into 
account the best combination of proposed projects to meet overall 
research goals.
    6. The Director of the Office of Planning, Research and Evaluation 
in the Administration for Children and Families (ACF) will make the 
final selection of the applicants to be funded. 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.
    7. Selected applicants will be notified through the issuance of a 
Financial Assistance Award. That document establishes the funding 
level, terms and conditions of the award, reporting requirements, 
effective date of the award, budget period for which support is given, 
and total project period for which support is provided.
    8. Grants to successful applications will be awarded by September 
30, 2003.

G. Type and Frequency of Post-Award Reporting Requirements

    All grantees will be required to submit semi-annual progress and 
fiscal reports as well as a final report.

Part II: Priority Area 1.01 Head Start Graduate Student Research Grants

    Eligible Applicants: Institutions of higher education on behalf of 
doctoral-

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level graduate students. Doctoral students must have completed their 
Master's Degree or equivalent in the field of doctoral study and 
submitted formal notification to ACF by August 15, 2003.
    To be eligible to administer the grant on behalf of the student, 
the institution must be fully accredited by one of the regional 
accrediting commissions recognized by the Department of Education and 
the Council on Post-Secondary Accreditation. Faith-based institutions 
are also eligible to apply. Although the faculty mentor is listed as 
the Principal Investigator, this grant is intended for dissertation 
research for an individual student. Information about both the graduate 
student and the student's faculty mentor is required as part of this 
application. Any resultant grant award is not transferable to another 
student. The award may not be divided between two or more students.
    Private, non-profit institutions are encouraged to submit with 
their applications the optionally survey located under ``Grant Manuals 
& Forms'' at http://www.acf.hhs.gov/programs/ofs/forms.htm.
    Additional Requirements:
    [sbull] A university faculty member must serve as a mentor to the 
graduate student; this faculty member is listed as the ``Principal 
Investigator.'' The application must include a letter from this faculty 
member stating that s/he has reviewed and approved the application, the 
status of the project as dissertation research, the student's status in 
the doctoral program, and a description of how the faculty member will 
regularly monitor the student's work.
    [sbull] The research project must be an independent study conducted 
by the individual graduate student or well-defined portion(s) of a 
larger study currently being conducted by a faculty member. If the 
project is part of a larger research effort, the proposal must clearly 
distinguish between the student's portion of the research activities 
and those of the larger project. The graduate student must have primary 
responsibility for the proposed study described in the application.
    [sbull] The graduate student must enter into a partnership with a 
Head Start or Early Head Start program for the purposes of conducting 
the research.
    [sbull] The application must contain (A) a letter from the Head 
Start or Early Head Start program certifying that they have entered 
into a research partnership with the applicant (graduate student) and 
(B) a separate letter certifying that the application has been reviewed 
and approved by the Head Start Program Policy Council. Notification of 
approval or pending approval by the Policy Council must be received 
from the official representative of the Policy Council and not an 
individual from the Head Start or Early Head Start program itself.
    [sbull] The graduate student applicant must agree to attend two 
meetings each year of the grant. The first meeting consists of the 
annual meeting for all Head Start Graduate Students. This annual 
grantee meeting is typically scheduled during the summer or fall of 
each year and is held in Washington, DC. The fall 2003 meeting will be 
held on Oct. 20-21, 2003. During this meeting, each student typically 
presents a brief overview of his or her study (e.g., the study design, 
participants, measures, and/or findings, as they become available). The 
intended goal of the meeting is to stimulate potentially useful and 
constructive feedback from other students and mentors, as well as to 
facilitate collaboration, networking and mentoring activities.
    The second meeting each year alternates between the biennial Head 
Start National Research Conference in Washington, DC (June 28 to July 
1, 2004) and the biennial meeting of the Society for Research in Child 
Development-SRCD (April, 2005). At a minimum, students usually are 
provided the opportunity to present information on their respective 
studies in a poster session format, although both meetings also provide 
other networking and mentoring activities. The grant budget should 
reflect travel and housing funds for the graduate student for all four 
of these meetings (or two if only applying for only one year of 
funding).
    [sbull] Given the strong emphasis that is placed on supporting the 
mentor-student relationship, the faculty mentors are strongly 
encouraged to attend and participate in the activities of the annual 
grantee meeting for all Head Start Graduate Students. The budget should 
reflect travel funds for such purposes, as appropriate. However, if the 
faculty mentor does plan to attend the annual Graduate Student grantee 
meeting, but will utilize another source of travel funds, such 
arrangements are encouraged and should be noted in the application.
    [sbull] Due to the small amount of the grant, the applicant's 
institution is strongly encouraged to waive indirect costs.
    [sbull] Contact information, including phone numbers, addresses and 
e-mail addresses, for both the graduate student applicant and faculty 
mentor must be included in the application.
    [sbull] The graduate student must write the application in its 
entirety, consistent with the format and style guidelines of the 
Publication Manual of the American Psychological Association, 5th ed. 
(APA 2001) and the general principles and guidelines of the Ethical 
Principles of Psychologists and Code of Conduct 2002 (APA, 2002).
    Project Duration: The announcement for priority area 1.01 is 
soliciting applications for project periods up to two years. Grant 
awards, on a competitive basis, will be for a one- to two-year project 
period, the budget will be funded in one-year increments. It should be 
noted, that if the graduate student, on whose behalf the University is 
applying, expects to receive his/her degree by the end of the first 
one-year budget period, the applicant should request a one-year project 
period only. A second year budget-period will not be granted if the 
student has graduated by the end of the first year. Applications for 
continuation grants funded under these awards beyond the initial one-
year budget period, but within the two-year project period, will be 
entertained in the subsequent year on a non-competitive basis, subject 
to availability of funds, satisfactory progress of the grantee and a 
determination that continued funding would be in the best interest of 
the Government.
    Criteria for Priority Area 1.01--Head Start Graduate Student 
Research Grants--The three criteria that follow will be used to review 
and evaluate each application under this priority area (presented here 
in descending order of numerical weighting--see instructions in 
Appendix 2). Address each in the Project Narrative Section of the 
application. The point values indicate the maximum numerical weight 
each criterion will be accorded in the review process. (100 points 
total).
1. Approach 40 points
    [sbull] The extent to which there is a discrete project designed by 
the graduate student. If the proposed project is part of a larger study 
designed by others, the approach section should clearly delineate the 
research component to be carried out by the student and how it is 
distinguished from the larger research project.
    [sbull] The extent to which the research design is appropriate and 
sufficient for addressing the questions of the study.
    [sbull] The extent to which the planned research specifies the 
measures to be used, their psychometric properties, and contains an 
adequately detailed description of the proposed analyses to be 
conducted.
    [sbull] The extent to which the planned measures have been shown to 
be appropriate and sufficient for the

[[Page 41379]]

questions of the study, and the population to be studied.
    [sbull] The extent to which the planned measures and analyses are 
consistent with one another, and reflect knowledge and use of state-of-
the-art measures and analytic techniques, or advance the state-of-the-
art, as appropriate.
    [sbull] The extent to which the analytic techniques are appropriate 
for the specific research question(s) under consideration.
    [sbull] The extent to which the proposed sample size is sufficient 
to answer the range of proposed research questions for the study.
    [sbull] The extent to which the scope of the project is reasonable 
for the funds available and feasible for the time frame specified.
    [sbull] The extent to which the planned approach reflects 
sufficient written input from and partnership with the Head Start 
program (including the separate required review and written approval 
from the Head Start program and the Head Start Program Policy Council).
    [sbull] The extent to which the budget and budget justification are 
appropriate for carrying out the proposed project.
2. Staff and Position Data 35 points
    [sbull] The extent to which the faculty mentor and graduate student 
possess the research expertise necessary to conduct the study as 
demonstrated in the application and information contained in their 
vitae.
    [sbull] The principal investigator/faculty mentor has earned a 
doctorate or equivalent in the relevant field and has first or second 
author publications in major research journals.
    [sbull] The extent to which the faculty mentor and graduate student 
reflect an understanding of and sensitivity to the issues of working in 
a community setting and in partnership with Head Start program staff 
and parents.
    [sbull] The adequacy of the time devoted to this project by the 
faculty mentor for mentoring the graduate student. The proposal should 
include evidence of the faculty mentor's commitment to mentoring the 
individual graduate student, and as appropriate, willingness to serve 
as a resource to the broader group of Head Start Graduate Students 
funded under this award.
3. Results or Benefits Expected 25 points
    [sbull] The research questions are clearly stated.
    [sbull] The presentation reflects original work done by the student 
(consistent with the general principles and guidelines of the Ethical 
Principles of Psychologists and Code of Conduct 2002 (APA 2002).
    [sbull] The extent to which the questions are of importance and 
relevance for low-income children's development and welfare.
    [sbull] The extent to which the research study makes a significant 
contribution to the knowledge base.
    [sbull] The extent to which the literature review is current and 
comprehensive and supports the need for the study.
    [sbull] The extent to which the literature review has a complete 
set of reference citations and is written consistent with the 
guidelines of the Publication Manual of the American Psychological 
Association, 5th ed. (APA 2001).
    [sbull] The extent to which the questions that will be addressed or 
the hypotheses that will be tested are sufficient for meeting the 
stated objectives.
    [sbull] The extent to which the proposed project is appropriate to 
the student's level of ability and the stated time frame for completing 
the project.

Part III: Priority Area 1.02 Head Start Graduate Student Research 
Partnership Development Grants

    Eligible Applicants: Institutions of higher education on behalf of 
graduate students enrolled in a doctoral program.
    To be eligible to administer the grant on behalf of the student, 
the institution must be fully accredited by one of the regional 
accrediting commissions recognized by the Department of Education and 
the Council on Post-Secondary Accreditation. Faith-based institutions 
are also eligible to apply. Although the faculty mentor is listed as 
the Principal Investigator and must be committed to taking a central 
role in maintaining an ongoing research partnership with a Head Start 
program, this grant is intended for an individual student to be the 
primary conduit through which the research-related relationship is 
forged. Information about both the graduate student and the student's 
faculty mentor is required as part of this application. Any resultant 
grant award is not transferable to another student. The award may not 
be divided between two or more students.
Additional Requirements
    [sbull] A university faculty member must serve as a mentor to the 
graduate student; this faculty member is listed as the ``Principal 
Investigator.'' The application must include a letter from this faculty 
member stating that s/he has reviewed and approved the application and 
describing, in as much detail as is possible, the potential for the 
research partnership development project to lead to a research effort 
that would include the student's dissertation study. It should also 
include a statement of the student's status in the graduate program and 
a description of how the faculty member will regularly monitor the 
student's work.
    [sbull] The research partnership development project must be 
conducted by the individual graduate student or be a well-defined 
portion(s) of a larger research effort currently being conducted by a 
faculty member. If the project is part of a larger research 
partnership-building effort, the proposal must clearly distinguish 
between the student's portion and the activities of the larger research 
project. The graduate student must have primary responsibility for the 
proposed research efforts described in the application.
    [sbull] The graduate student must begin to forge a research 
partnership with a Head Start or Early Head Start program. While one of 
the long-term purposes of the relationship should be to generate a 
doctoral dissertation research opportunity in the Head Start setting, 
the student should take an approach that is based in community/
ecological/empowerment models, in which research needs are considered 
in the larger context of program needs, as well as mutually beneficial 
and empowering relationships. Appropriate activities during the grant 
period may include, but are not limited to, providing direct services 
and assistance to Head Start or Early Head Start programs with program 
activities, conducting assets/needs assessments, conducting focus 
groups, jointly identifying or defining problems with Head Start 
partners, training staff and other activities that foster 
collaborative, reciprocal relationships with Head Start partners.
    [sbull] Graduate students will be expected to identify (a) a set of 
goals and objectives for the year, as well as a set of benchmarks for 
guiding and assessing incremental progress toward attaining these goals 
and objectives, and (b) specific products they expect to generate 
during the grant period such as community assets/needs assessments, 
problem descriptions, summaries of focus group findings or training 
efforts, and/or drafts of dissertation proposals.
    [sbull] Grant recipients are encouraged to build upon their work by 
subsequently applying for the Head Start Graduate Student Research 
Grants (Priority 1.01) to support doctoral dissertation research.
    [sbull] The application must contain (A) a letter from at least one 
Head Start or Early Head Start program certifying that they are 
receptive to exploring a potential research partnership with the 
applicant and (B) a separate letter

[[Page 41380]]

certifying that the proposed partnership project has been reviewed and 
approved by the Head Start Program Policy Council. Notification of 
approval or pending approval by the Policy Council must be received 
from the official representative of the Policy Council and not an 
individual from the Head Start or Early Head Start program itself.
    [sbull] The graduate student applicant must agree to attend the 
annual meeting for all Head Start Graduate Student Research grantees. 
This annual grantee meeting is typically scheduled during the summer or 
fall of each year and is held in Washington, DC. The fall 2003 meeting 
will be held Oct. 20-21, 2003. During this meeting, each student 
typically presents a brief overview of his or her study or proposed 
project. The intended goal of the meeting is to stimulate potentially 
useful and constructive feedback from other students and mentors, as 
well as to facilitate collaboration, networking and mentoring 
activities. The grant budget should reflect travel and housing funds 
for the graduate student for this meeting.
    [sbull] Due to the small amount of the grant, the applicant's 
institution is strongly encouraged to waive indirect costs.
    [sbull] Contact information, including phone numbers, addresses and 
e-mail addresses, for both the graduate student applicant and faculty 
mentor must be included in the application.
    [sbull] The graduate student must write the application, consistent 
with the format and style guidelines of the Publication Manual of the 
American Psychological Association, 5th ed. (APA 2001) and the 
principles and guidelines from the Ethical Principles of Psychologists 
and Code of Conduct (APA 2002).
    Project Duration: The announcement for priority area 1.02 is 
soliciting applications for project periods up to one year.
    CRITERIA for Priority Area 1.02--Head Start Graduate Student 
Research Partnership Development Grants--The three criteria that follow 
will be used to review and evaluate each application under this 
priority area. Address each in the Project Narrative Section of the 
application (presented here in descending order of numerical 
weighting--see instructions in Appendix 2). The point values indicate 
the maximum numerical weight each criterion will be accorded in the 
review process. (100 points total).
1. Approach 40 points
    [sbull] The extent to which there is a discrete project designed by 
the graduate student. If the proposed project is part of a larger 
project designed by others, the approach section should clearly 
delineate the research partnership development component to be carried 
out by the student and how it is distinguished from the larger project.
    [sbull] The extent to which the goals and objectives of the 
proposed activities, as well as the set of benchmarks for guiding and 
assessing progress, are clearly articulated and reflect an appropriate 
understanding of how these activities will fit within the context and 
complexities of the Head Start program's operations.
    [sbull] The scope of the project is reasonable for the funds 
available and feasible for the time frame specified.
    [sbull] The extent to which the planned approach or proposed 
research partnership activities reflect sufficient opportunities for 
written input from and an active partnership with the Head Start 
program (including the separate required review and written approval of 
the proposed partnership activities from the Head Start program and the 
Head Start Program Policy Council).
    [sbull] The extent to which the budget and budget justification are 
appropriate for carrying out the proposed research project development 
activities.
    [sbull] The extent to which proposed products reflect concrete and 
measurable steps toward design of a future dissertation project.
2. Staff and Position Data 35 points
    [sbull] The extent to which the faculty mentor and graduate student 
possess the expertise necessary to successfully form a research 
partnership with a Head Start program as demonstrated in the 
application and information contained in their vitae.
    [sbull] The principal investigator/faculty mentor has earned a 
doctorate or equivalent in the relevant field and has first or second 
author publications in major research journals.
    [sbull] The extent to which the faculty mentor and graduate student 
reflect an understanding of and sensitivity to the issues of working in 
a community setting and in a reciprocal partnership with Head Start 
program staff and parents.
    [sbull] The adequacy of the time devoted to this project by the 
faculty mentor for mentoring the graduate student. The proposal should 
include evidence of the faculty mentor's commitment to mentoring the 
individual graduate student, and as appropriate, willingness to serve 
as a resource to the broader group of Head Start Graduate Students 
funded under this award.
    [sbull] The extent to which the mentor-mentee relationship is 
clearly described and has the potential to continue throughout the 
student's dissertation process.
3. Results or Benefits Expected 25 points
    [sbull] The presentation reflects original work done by the student 
(consistent with the general principles and guidelines of the Ethical 
Principles of Psychologists and Code of Conduct 2002 (APA 2002).
    [sbull] The extent to which the literature review, as well as a 
description of the needs of the local community if appropriate, is 
current and comprehensive and supports the need for developing this or 
similar research partnerships.
    [sbull] The extent to which proposed goals and objectives for the 
year address the needs identified.
    [sbull] The extent to which the specific products to be generated 
through the grant, as well as the benchmarks for assessing progress 
toward these goals and objectives, are clearly described and will 
potentially benefit the Head Start and/or research communities.
    [sbull] The extent to which the literature review has a complete 
set of reference citations and is written consistent with the 
guidelines of the Publication Manual of the American Psychological 
Association, 5th ed. (APA 2001).
    [sbull] The extent to which the proposed project is appropriate to 
the student's level of ability and the stated time frame for completing 
the project.
    [sbull] The extent to which potential research questions are 
clearly stated and are of importance and relevance for low-income 
children's development and welfare.

Part IV. Appendices

Appendix 1: Contents and Format of the Application

    Clarity and conciseness are of utmost importance. ACF strongly 
encourages applicants to limit their applications to 100 pages, double-
spaced and single-sided, 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 cautioned 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.

[[Page 41381]]

    2. Standard Federal Forms
    a. Standard Form 424, ``Application for Federal Assistance.'' This 
form must be completed, signed, and included with the application.
    b. Standard Form 424A, ``Budget Information--Non-Construction 
Programs.'' This form must be completed and included with the 
application.
    c. Standard Form 424B, ``Assurances: Non-Construction Programs.'' 
This form must be completed, signed, and included with the application.
    d. Assurance/Identification/Certification/Declaration Regarding 
Protection of Human Subjects. This form must be completed, signed, and 
included with the application.
    e. 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.
    f. Standard Form LLL, ``Disclosure of Lobbying Activities.'' 
Applicants must disclose lobbying activities 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.
    g. 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.
    h. 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.
    i. 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 profit. 
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 five ways, by providing:
    a. 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. A copy of the currently valid IRS tax exemption certificate;
    c. A statement from a State taxing body, State attorney general, or 
other appropriate State official certifying that the applicant 
organization has a non-profit status and that none of the net earnings 
accrue to any private shareholders or individuals;
    d. A certified copy of the organization's certificate of 
incorporation or similar document that clearly establishes non-profit 
status.
    e. Any of the items in the subparagraphs immediately above for a 
State or national parent organization and a statement signed by the 
parent organization that the applicant organization is a local non-
profit affiliate.
    Private, non-profit institutions are encouraged to submit with 
their applications the optional survey located under ``Grant Manuals & 
Forms'' at http://www.acf.hhs.gov/programs/ofs/forms.htm.
    4. Administrative requirements: 45 CFR Parts 74 and 92.
    5. 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, Arizona, 
Colorado, Connecticut, Hawaii, Idaho, Indiana, Kansas, Louisiana, 
Massachusetts, Minnesota, Montana, Nebraska, New Jersey, Ohio, 
Oklahoma, Oregon, Pennsylvania, South Dakota, Tennessee, Vermont, 
Virginia, Washington, and Wyoming have elected to participate in the 
Executive Order process and have established Single Points of Contact 
(SPOCs). Applicants from these twenty-six jurisdictions need take no 
action regarding E.O. 12372. Applicants for projects to be administered 
by Federally-recognized Indian Tribes are also exempt from the 
requirements of E.O. 12372. Otherwise, applicants should contact their 
SPOCs as soon as possible to alert them of the prospective applications 
and receive any necessary instructions. Applicants must submit any 
required material to the SPOCs as soon as possible so that the program 
office can obtain and review SPOC comments as part of the award 
process. It is imperative that the applicant submit all required 
materials, if any, to the SPOC and indicate the date of this submittal 
(or the date of contact if no submittal is required) on the Standard 
Form 424, item 16a.
    Under 45 CFR 100.8(a)(2), a SPOC has 60 days from the application 
deadline to comment on proposed new or competing continuation awards.
    SPOCs are encouraged to eliminate the submission of routine 
endorsements as official recommendations.
    Additionally, SPOCs are requested to clearly differentiate between 
mere advisory comments and those official State process recommendations 
which may trigger the accommodation or explain rule.
    When comments are submitted directly to ACF, they should be 
addressed to: William Wilson, ACYF's Office of Grants Management, Room 
2220 Switzer Building, 330 C Street SW., Washington, DC 20447, Attn: 
Head Start Discretionary Research Grants Announcement. 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 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-

[[Page 41382]]

removable binders. Do not include tabs, plastic inserts, brochures, 
videos, or any other items that cannot be photocopied.

Appendix 2: Uniform Project Description

Part 1 The Project Description Overview

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.
Part 2 General Instructions for Preparing a Full Project Description

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:

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

[[Page 41383]]

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 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 non-expendable, 
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 45 CFR Parts 92 procedures, must justify any 
anticipated procurement action that is expected to be awarded without 
competition and exceed the simplified acquisition threshold fixed at 41 
U.S.C. 403(11) (currently set at 100,000). Recipients might be required 
to make available to ACF pre-award review and procurement documents, 
such as request for proposals or invitations for bids, independent cost 
estimates, etc.

    Note: Whenever the applicant intends to delegate part of the 
project to another agency, the applicant must provide a detailed 
budget and budget narrative for each delegate agency, by agency 
title, along with the required supporting information referred to in 
these instructions.

Other

    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,

[[Page 41384]]

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: July 8, 2003.
Howard Rolston,
Director, Office of Planning, Research, and Evaluation, Administration 
for Children and Families.
[FR Doc. 03-17605 Filed 7-10-03; 8:45 am]
BILLING CODE 4184-01-P