[Federal Register Volume 69, Number 63 (Thursday, April 1, 2004)]
[Notices]
[Pages 17176-17185]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-7259]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Administration for Children and Families


Grants and Cooperative Agreements; Availability, etc.: Head Start 
Programs--Measurement Development; University Partnerships

AGENCY: Administration for Children and Families (ACF) & Office of 
Planning, Research and Evaluation (OPRE), HHS.
    Funding Opportunity Title: Head Start-University Partnerships: 
Measurement Development for Head Start Children and Families.
    Announcement Type: Initial.
    Funding Opportunity Number: HHS-2004-ACF-OPRE-YF-0001.
    CFDA Number: 93.600.
    Due date for Letter of Intent (Encouraged): 3 weeks prior to June 
1, 2004.
    Due Date for Applications (Required): The due date for receipt of 
applications is: June 1, 2004.

I. Funding Opportunity Description

    Funds are provided for Head Start-University Partnerships: 
Measurement Development for Head Start Children and Families, for 
research activities to develop and test outcome measures to be used 
with Head Start children and families.
    This grant program is part of a larger Head Start research effort. 
Three other grant funding mechanisms are being offered concurrently 
with the one described in this announcement. They include: (1) American 
Indian-Alaska Native Head Start-University Partnerships, (2) Head Start 
Graduate Student Research Grants, and (3) Head Start Graduate Student 
Research Partnership Development Grants. For more information, please 
see these other Head Start Research announcements listed in the Federal 
Register or listed on http://www.Grants.Gov, or send an inquiry to the 
email address listed above.
    Priority Area: Head Start-University Partnerships: Measurement 
Development for Head Start Children and Families.

A. Purpose

    The purpose of this announcement is to report the availability of 
funds to support grants for development of measures to directly assess 
children and parent-child relationships for low-income children from 
birth through age five, including culturally and linguistically diverse 
children and families. Grants will require program-researcher 
partnerships with Head Start, Early Head Start, or related programs.

B. Statutory Authority

    Section 649 of the Head Start Act, as amended by the Coates Human 
Services Reauthorization Act of 1998 (Pub. L. 105-285) and 42 U.S.C. 
9844.

C. Background

    The Head Start program has engaged in systematic consideration of 
reliable and valid child and family outcome measures through an ongoing 
series of recent initiatives, outlined below.
1. Head Start Program Performance Measures Initiative and National 
Studies
    Starting in 1995, in response to requirements of the 1994 Head 
Start Act and the 1993 Government Performance and Results Act, Head 
Start launched a comprehensive Program Performance Measurement 
initiative. The initiative is based on a pyramid-shaped conceptual 
framework that depicts the empirical links between provision of a 
comprehensive high-quality child development and family support 
program, and the resulting outcomes for program participants. The 
initiative's centerpiece is the Head Start Family and Child Experiences 
Survey (FACES). FACES is an ongoing, longitudinal study of successive 
nationally-representative cohorts of Head Start programs, families, and 
children starting in fall 1997, 2000, and 2003. A comprehensive 
measurement battery has been developed and refined, encompassing parent 
and staff interviews and ratings, observational

[[Page 17177]]

measures of classroom quality, and direct, one-to-one child 
assessments. Please see http://www.acf.hhs.gov/programs/core/ongoing_research/faces/faces_intro.html. The Head Start Quality Research 
Center Consortium has contributed and validated additional measures of 
children and families, and uses the FACES battery as a cross-site core 
of measures. For more information, please see http://www.acf.hhs.gov/programs/core/ongoing_research/qrc/qrc_2001.html.
    The Head Start reauthorization of 1998 (COATES, Pub. L. 105-285) 
mandated a study of the national impact of Head Start. The FACES 
battery was updated to reflect improvements in measurement for this 
nationally-representative, randomized study launched in fall 2002, and 
to focus particularly on measures likely to be responsive to 
intervention and appropriate for settings other than Head Start. For 
more information please see http://www.acf.hhs.gov/programs/core/ongoing_research/hs/impact_intro.html. Also in 1998, Congress 
mandated more specific outcome measures for Head Start, moving beyond 
the National Goals Panel system used in FACES to indicate thirteen 
specific required outcomes across domains of language, literacy and 
numeracy. The Head Start Child Outcomes Framework placed these mandated 
outcomes in the context of a comprehensive focus on multiple domains of 
development. Programs were required to demonstrate ongoing 
developmental assessments across these domains, using measures aligned 
with their chosen curricula. Funded in 2002, The Head Start Child 
Outcomes Research Support Consortium (CORS) has focused on models of 
using observational measures of children's school readiness skills and 
abilities to improve program quality, as well as validating 
observational measures through administration of direct child 
assessments. Please see http://www.acf.hhs.gov/programs/core/ongoing_research/cors/cors_intro.html.
    In April 2002, as part of Good Start, Grow Smart, President Bush 
announced a National Reporting System for Head Start, requiring direct 
assessment of all Head Start children at the beginning and end of the 
year prior to Kindergarten entry. Please see http://www.whitehouse.gov/infocus/earlychildhood/earlychildhood.html. National experts, including 
those at the NICHD/ACF meeting described below, offered recommendations 
on design and measures. A brief child assessment battery was developed 
and pilot tested, program staff were trained, and the system was 
launched in fall, 2003. Please see http://www.acf.hhs.gov/programs/hsb/pdf/NRS.pdf.
    In addition to these developments in the preschool program, 
comprehensive measures were developed for the Early Head Start Research 
and Evaluation Project (1995-2002), which included an experimental 
evaluation of initially-funded Head Start programs in 17 communities 
across the country. The Early Head Start Performance Measurement 
initiative modified the Head Start pyramid to illustrate the importance 
of relationships at the core of the Early Head Start program: 
Relationships between parents and children, children and caregivers, 
and caregivers and parents. The Early Head Start pyramid also reflects 
the four cornerstones of the program: Child, parent, staff and 
community. Please see http://www.acf.hhs.gov/programs/core/ongoing_research/ehs/ehs_perf_measures.html.
    Most of these national studies have not included participants in 
American Indian/Alaska Native programs or Migrant and Seasonal Head 
Start programs, primarily because experts were not satisfied with the 
cultural or linguistic appropriateness of available measurement 
techniques. Special research initiatives have been undertaken with both 
of these Head Start populations. The American Indian/Alaska Native 
research and outcomes assessment project has developed an annotated 
bibliography of research and a compendium of recommended measures. 
Please see http://www.acf.hhs.gov/programs/core/ongoing_research/hs/hs_aian.html.
    The Migrant and Seasonal Head Start research design development 
project is currently exploring research design and measurement options 
for this population. It will eventually be posted at http://www.acf.hhs.gov/programs/core/ongoing_research/hs.
2. NICHD/ACF/ASPE Meeting
    In June, 2002, a workshop was sponsored by the National Institute 
of Child Health and Human Development (NICHD), ACF, and the Assistant 
Secretary for Planning and Evaluation (ASPE) in the U.S. Department of 
Health and Human Services (HHS) entitled ``Children's Early Learning, 
Development, and School Readiness: Conceptual Frameworks, Constructs, 
and Measures.'' Convening a broad panel of national experts, the 
workshop produced a compendium of measures, as well as offering 
principles and recommendations for early childhood assessments. 
Measures were organized according to a three-tiered system: (1) 
Published and widely-used; sensitive to intervention; reasonable 
training requirements; (2) less widely used; training may be labor 
intensive; may be most useful for in-depth assessment; (3) 
experimental, theory-driven, lacking full psychometric validation.
    Among the recommendations that emerged during the workshop were the 
following:
     Ground instruments in child development theory 
and data;
     Develop measures with practical relevance;
     Use measures appropriate to the population 
(language, culture, age span, clinical status);
     Include direct child assessment with parent and 
teacher report;
     Require evidence of sound psychometric 
properties;
     Develop and maintain guidelines for training and 
administration;
     Control for Type I and Type II errors and 
repeated testing effects; and
     Promote integrated systems of assessment across 
comprehensive domains.
    For more information, please see http://www.nichd.nih.gov/crmc/cdb/Kyle-workshop.pdf.
3. NIMH Young Child Assessment Program
    The National Institute of Mental Health Young Child Assessment 
Program convened a panel of multidisciplinary researchers in May, 2003 
to examine current assessment approaches for young children's mental 
health. The meeting was co-sponsored by ACF. Various perspectives were 
presented including dimensional, diagnostic, clinical and 
epidemiological approaches of emotional regulation and attention; 
externalizing behaviors; and co-occurring language and other related 
developmental problems. The goals of the meeting were to present an 
overview of the current issues in the field and discuss opportunities 
for collaboration and research program development for young children. 
For more information, see http://wwwntb.nimh.nih.gov/research/consortyoung.cfm.

C. Priorities

    Based on the extensive work on research design and measurement 
issues relevant to studying Head Start children and families described 
above, ACF has identified a series of targeted programmatic and 
research needs in the measurement domain. Successful applications under 
this announcement will focus on one or more of the following domains of 
interest. For child measures: Cognitive development, language 
development, early literacy, phonemic awareness, mathematics,

[[Page 17178]]

social and emotional development, health, physical development, and 
approaches to learning. For parent/caregiver-child measures: Directly 
observed measures of the parent-child relationship, as well as measures 
of other key caregiver/child relationships.
    Successful applications under this announcement will provide plans 
for the development and dissemination of products that are useful for 
research and/or program self-evaluation, in manualized form and 
inclusive of training and technical assistance provisions. Measures 
developed under this announcement are governed by the terms of 45 CFR 
part 74.36 regarding subsequent sale and distribution. An important 
element of this announcement is the requirement that researchers 
demonstrate a partnership or partnerships with Head Start or Early Head 
Start programs as part of the development, piloting, refinement, 
training, and use of measures.
    Special priorities include the following areas of interest:
     Measures designed, adapted, or validated for use 
with the general Head Start and Early Head Start populations, or 
measures spanning the age range 0-5;
     Measures designed, adapted, or validated for use 
with under-served Head Start and Early Head Start populations such as 
English Language Learners, American Indian/Alaska Natives, and Migrant 
and Seasonal children and families;
     Abbreviated forms of standardized measures, with 
adequately documented psychometric properties and full validation;
     Measures designed to be used by Head Start 
program staff, with appropriate training;
     Measures related to under-developed domains or 
areas within the current studies of Head Start or Early Head Start 
populations;
     Measures related to Early Head Start Performance 
Measurement;
     Measures aligned with state standards and 
benchmarks at the preschool level, and in the early school grades.

II. Award Information

    Funding Instrument Type: Grant.
    Anticipated Total Program Funding: $2,000,000.
    Anticipated Number of Awards: ACF anticipates funding 8-12 
projects.
    Ceiling on Amount of Individual Awards: The Federal share of 
project costs shall not exceed $200,000 for the first 12-month budget 
period inclusive of indirect costs and shall not exceed $200,000 per 
year for the second through third 12-month budget periods.
    An application that exceeds the upper value of the dollar range 
specified will be considered ``non-responsive'' and be returned to the 
applicant without further review.
    Floor of Individual Award Amounts: None specified.
    Average Projected Award Amount: None specified.
    Project Periods for Awards: Project periods will be up to three 
years. Initial awards will be for the first one-year budget period. 
Requests for a second and/or third year of funding within the project 
period should be identified in the current application (on SF-424A), 
but such requests will be considered in subsequent years on a 
noncompetitive basis, subject to the applicant's eligibility status, 
the availability of funds, satisfactory progress of the grantee, and a 
determination that continued funding would be in the best interest of 
the Government.

III. Eligibility Information

    1. Eligible applicants include the following:
     State controlled institutions of higher 
education;
     Private institutions of higher education;
     Nonprofits having a 501(c)(3) status with the 
IRS, other than institutions of higher education;
     Other: Faith-based and community organizations 
that meet all other eligibility requirements;
Additional Information on Eligibility
    A. Eligible applicants are universities, four-year colleges, and 
not-for-profit institutions on behalf of researchers who hold a 
doctorate degree or equivalent in their respective fields. The 
Principal Investigator must conduct research as a primary professional 
responsibility, and have published or have been accepted for 
publication in the major peer-reviewed research journals in the field 
as a first author or second author.
    B. An important element of this announcement is the requirement 
that researchers demonstrate a partnership or partnerships with Head 
Start or Early Head Start programs as part of the development, 
piloting, refinement, training, and use of measures. The application 
must contain a letter from the Head Start or Early Head Start program 
certifying that they have entered into a partnership with the applicant 
and the application has been reviewed and approved by the Head Start or 
Early Head Start Policy Council (see Section IV. Application and 
Submission Information for further details about these letters).
    C. The Principal Investigator must agree to attend two meetings 
each year. The first is an annual grantee meeting which is typically 
scheduled during the summer or fall of each year and is held in 
Washington, DC. The second meeting each year alternates between the 
biennial Head Start National Research Conference in Washington, DC 
(June 28 to July 1, 2004) and the biennial meeting of the Society for 
Research in Child Development--SRCD (April, 2005). The budget should 
reflect travel funds for such purposes.
    D. Faith-based and community organizations that meet all other 
eligibility criteria are eligible to apply.
    E. Any nonprofit organization submitting an application must submit 
proof of its nonprofit status at the time of submission. Any of the 
following constitutes proof of nonprofit status:
     A copy of the applicant organization's listing 
in the Internal Revenue Service's (IRS) most recent list of tax-exempt 
organizations described in Section 501(c)(3) of the IRS Code.
     A copy of a currently valid IRS tax exemption 
certificate.
     A written statement from a State taxing body, 
State attorney general, or other appropriate State official certifying 
that the applicant organization has a nonprofit status and that none of 
the net earning accrue to any private shareholders or individuals.
     A certified copy of the organization's 
certificate of incorporation or similar document that clearly 
establishes nonprofit status.
     Any of the items above for a State or national 
parent organization and a statement signed by the parent organization 
that the applicant organization is a local nonprofit affiliate.
    F. Private, nonprofit organizations are encouraged to submit with 
their applications the survey located under ``Grant Related Documents 
and Forms'' titled ``Survey for Private, Nonprofit Grant Applicants'' 
at http://www.acf.hhs.gov/programs/ofs/forms.htm.

2. Cost Sharing or Matching

    There is no matching requirement.

3. Other

    All applicants must have Dun & Bradstreet numbers. On June 27, 2003 
the Office of Management and Budget published in the Federal Register a 
new Federal policy applicable to all Federal grant applicants. The 
policy requires all Federal grant applicants to provide a Dun and 
Bradstreet Data Universal

[[Page 17179]]

Numbering System (DUNS) number when applying for Federal grants or 
cooperative agreements on or after October 1, 2003. The DUNS number 
will be required whether an applicant is submitting a paper application 
or using the government-wide electronic portal (www.Grants.gov). A DUNS 
number will be required for every application for a new award or 
renewal/continuation of an award, including applications or plans under 
formula, entitlement, and block grant programs, submitted on or after 
October 1, 2003.
    Please ensure that your organization has a DUNS number. You may 
acquire a DUNS number at no cost by calling the dedicated toll-free 
DUNS number request line on 1-866-705-5711 or you may request a number 
on-line at http://www.dnb.com.
    Applications that fail to follow the required format described in 
Section IV.2. Content and Form of Application Submission will be 
considered non-responsive and will not be eligible for funding under 
this announcement.
    Applications that exceed the $200,000 ceiling will be considered 
non-responsive and will not be eligible for funding under this 
announcement.

IV. Application and Submission Information

1. Address to Request Application Package

    The Head Start Research Support Technical Assistance Team, 1 (877) 
663-0250, is available to answer questions regarding application 
requirements and to refer you to the appropriate contact person in ACF 
for programmatic questions. You may also email your questions to: 
[email protected]. Refer to the Funding Opportunity Number: HHS-2004-ACF-
OPRE--[Insert  here].
    ACYF Operations Center/OPRE Grant Review Team/Xtria, LLC, c/o Dixon 
Group, Inc., 118 Q Street, NE., Washington, DC 20002-2132, Attention: 
Head Start-University Partnerships Measurement Development, 1 (877) 
663-0250, E-mail [email protected].
    URL to Obtain an Application: Copies of this Program Announcement 
may be downloaded approximately 5 days after publication in the Federal 
Register at http://www.acf.dhhs.gov/programs/core/ongoing_research/funding/funding.html.
    Application materials described in Section IV. can be downloaded 
from the following web site: http://www.acf.hhs.gov/programs/ofs/forms.htm#apps.

2. Content and Form of Application Submission

    An original and two copies of the complete application are 
required. The original copy must include all required forms, 
certifications, assurances, and appendices, be signed by an authorized 
representative, have original signatures, and be submitted unbound. The 
two additional copies of the complete application must include all 
required forms, certifications, assurances, and appendices and must 
also be submitted unbound. Applicants have the option of omitting from 
the application copies (not the original) specific salary rates or 
amounts for individuals specified in the application budget and Social 
Security Numbers, if otherwise required for individuals. The copies may 
include summary salary information.
    Format and Organization. Applicants are strongly encouraged to 
limit their application to 100 pages, double-spaced, with standard one-
inch margins and 12 point fonts. This page limit applies to both 
narrative text and supporting materials but not the Standard Federal 
Forms (see list below). Applicants must number the pages of their 
application beginning with the Table of Contents.
    Applicants are advised to include all required forms and materials 
and to organize these materials according to the format, and in the 
order, presented below:

a. Cover Letter
b. Contact information sheet (see details below)
c. Standard Federal Forms
    Standard Application for Federal Assistance (form 424)
    Budget Information--Non-construction Programs (424A)
    Certifications Regarding Lobbying
    Disclosures of Lobbying Activities (if necessary)
    Certification Regarding Environmental Tobacco Smoke
    Assurance Regarding Non-construction Programs (form 424B)
    Assurance Regarding Protection of Human Subjects
d. Table of Contents
e. Project Narrative Statement (see details below)
f. Appendices
    Proof of Nonprofit Status (see Section V.1.F)
    Letter(s) of agreement with Head Start program(s) (see details 
below)
    Letter(s) of agreement with Head Start Policy Council(s) (see 
details below)
    Curriculum Vitae for Principal Investigators
    You may submit your application to us in either electronic or paper 
format.
    To submit an application electronically, please use the 
www.Grants.gov apply site. If you use Grants.gov, you will be able to 
download a copy of the application package, complete it off-line, and 
then upload and submit the application via the Grants.gov site. You may 
not e-mail an electronic copy of a grant application to us.
    Please note the following if you plan to submit your application 
electronically via Grants.gov:
     Electronic submission is voluntary.
     When you enter the Grants.gov site, you will 
find information about submitting an application electronically through 
the site, as well as the hours of operation. We strongly recommend that 
you do not wait until the application deadline date to begin the 
application process through Grants.gov.
     To use Grants.gov, you, as the applicant, must 
have a DUNS Number and register in the Central Contractor Registry 
(CCR). You should allow a minimum of five days to complete the CCR 
registration.
     You will not receive additional point value 
because you submit a grant application in electronic format, nor will 
we penalize you if you submit an application in paper format.
     You may submit all documents electronically, 
including all information typically included on the SF 424 and all 
necessary assurances and certifications.
     Your application must comply with any page 
limitation requirements described in this program announcement.
     After you electronically submit your 
application, you will receive an automatic acknowledgement from 
Grants.gov that contains a Grants.gov tracking number. ACF will 
retrieve your application from Grants.gov.
     We may request that you provide original 
signatures on forms at a later date.
     You may access the electronic application for 
this program on www.Grants.gov.
     You must search for the downloadable application 
package by the CFDA number.
    Private non-profit organizations may voluntarily submit with their 
applications the survey located under ``Grant Related Documents and 
Forms'' titled ``Survey for Private, Nonprofit Grant Applicants'' at 
www.acf.hhs.gov/programs/ofs/forms.htm.
    Content of Contact Information Sheet: The contact information sheet 
should include complete contact information, including addresses, phone 
and fax numbers, and e-mail addresses, for the Principal 
Investigator(s) and the institution's grants/financial officer (person 
who signs the SF-424).

[[Page 17180]]

    Content of Project Narrative Statement: The project narrative 
should be carefully developed in accordance with ACF's research goals 
and agenda as described in the Purpose, Background, and Priorities of 
this funding opportunity, and the structure requirements listed in 
Section V. Application Review Information. Please see Section V.1. 
Criteria for instructions on preparing the project summary/abstract and 
the full project description.
    Content of Letters of Agreement: For research conducted with Head 
Start, the application must contain (A) an original copy of a letter 
from the Head Start or Early Head Start program certifying that they 
have entered into a research partnership with the applicant and (B) a 
separate letter certifying that the application has been reviewed and 
approved by the local Head Start Program Policy Council. Certification 
of approval or pending approval by the Policy Council must be an 
original letter from the official representative of the Policy Council 
itself.

3. Submission Dates and Times

    The closing time and date for receipt of applications is 4:30 p.m. 
(Eastern Time Zone) on June 1, 2004. Mailed or handcarried applications 
received after 4:30 p.m. on the closing date will be classified as 
late.
    Deadline: Mailed applications shall be considered as meeting an 
announced deadline if they are received on or before the deadline time 
and date at the following address: ACYF Operations Center/OPRE Grant 
Review Team/Xtria, LLC, c/o Dixon Group, Inc., Attention: Head Start 
University Partnerships Measurement Development, 118 Q Street NE., 
Washington, DC 20002-2132.
    Applicants are responsible for mailing applications well in 
advance, when using all mail services, to ensure that the applications 
are received on or before the deadline time and date.
    Applications hand-carried by applicants, applicant couriers, other 
representatives of the applicant, or by overnight/express mail couriers 
shall be considered as meeting an announced deadline if they are 
received on or before the deadline date, between the hours of 9 a.m. 
and 4:30 p.m. (EST), Monday through Friday (excluding Federal holidays) 
at the above address. Applicants are cautioned that express/overnight 
mail services do not always deliver as agreed. ACF cannot accommodate 
transmission of applications by fax.
    Late applications: Applications which do not meet the criteria 
above are considered late applications. ACF shall notify each late 
applicant that its application will not be considered in the current 
competition.
    Extension of deadlines: ACF may extend application deadlines when 
circumstances such as acts of God (floods, hurricanes, etc.) occur, 
when there are widespread disruptions of mails service, or in other 
rare cases. Determinations to extend or waive deadline requirements 
rest with the ACF Chief Grants Management Officer.
    Due date for Letters of Intent (Encouraged): 3 weeks prior to June 
1, 2004. If you plan to submit an application, ACF requests you notify 
us by fax or e-mail at least three weeks prior to the submission 
deadline date. This information will be used only to determine the 
number of expert reviewers needed to review the applications. Include 
only the following information in this fax or e-mail: the number and 
title of this announcement; the name, address, telephone and fax 
number, e-mail address of the Principal Investigator(s), the fiscal 
agent (if known); and the name of the university or nonprofit 
institution. Do not include a description of your proposed project. 
Send this information to ``The Head Start Research Support Team'' at--
Fax: 1 (703) 821-3989 or e-mail: [email protected].
    The table below provides additional detail about the standard 
Federal forms that need to be submitted, including what information is 
required on them, where these forms can be found, and when they must be 
submitted.

----------------------------------------------------------------------------------------------------------------
            What to submit                 Required content     Required form or format       When to submit
----------------------------------------------------------------------------------------------------------------
Standard Application form Federal      Must be filled out       May be found at http://  By application due
 Assistance (form SF 424).              completely, signed,      acf.hhs.gov/programs/    date.
                                        and enclosed with        ofs/forms.htm.
                                        application.
Budget Information--Nonconstruction    Must be filled out       May be found at http://  By application due
 Programs (form SF 424A).               completely and           acf.hhs.gov/programs/    date.
                                        enclosed with            ofs/forms.htm.
                                        application.
Certification Regarding Lobbying.....  Must be signed and       May be found at http://  By application due
                                        enclosed with            acf.hhs.gov/programs/    date.
                                        application.             ofs/forms.htm.
Disclosure of Lobbying Activities (SF  If necessary (see        May be found at http://  By application due
 LLL).                                  Certification            acf.hhs.gov/programs/    date.
                                        Regarding Lobbying)      ofs/forms.htm.
                                        must be filled out
                                        completely, signed,
                                        and enclosed with
                                        application.
Disclosure of Lobbying Activities (SF  If necessary (see        May be found at http://  By application due
 LLL).                                  Certification            acf.hhs.gov/programs/    date.
                                        Regarding Lobbying),     ofs/forms.htm.
                                        must be filled out
                                        completely, signed,
                                        and enclosed with
                                        application.
Certification Regarding Environmental  Copy must be enclosed    May be found at http://  By application due
 Tobacco Smoke.                         with application         acf.hhs.gov/programs/    date.
                                        (signing and             ofs/forms.htm.
                                        submitting the
                                        proposal certifies its
                                        content).
Assurance Regarding Non-construction   Must be signed and       May be found at http://  By application due
 Programs (form SF 424B).               enclosed with            acf.hhs.gov/programs/    date.
                                        application.             ofs/forms.htm.
Assurance Regarding Protection of      Must be filled out       May be found at http://  By application due
 Human Subjects.                        completely, signed,      acf.hhs.gov/programs/    date.
                                        and enclosed with        ofs/forms.htm.
                                        application.
----------------------------------------------------------------------------------------------------------------


Additional Forms:

    Private non-profit organizations may voluntarily submit with their 
applications the survey located under ``Grant Related Documents and 
Forms''

[[Page 17181]]

titled ``Survey for Private, Nonprofit Grant Applicants'' at http://www.acf.hhs.gov/programs/ofs/forms.htm.

----------------------------------------------------------------------------------------------------------------
            What to submit                 Required content     Required form or format       When to submit
----------------------------------------------------------------------------------------------------------------
Survey for Private, Non-Profit Grant   Per required form......  May be found at http://  By application due
 Applicants.                                                     acf.hhs.gov/programs/    date.
                                                                 ofs/forms.htm.
----------------------------------------------------------------------------------------------------------------

4. Intergovernmental Review

State Single Point of Contact (SPOC)
    This program is covered under Executive Order 12372, 
``Intergovernmental Review of Federal Programs,'' and 45 CFR part 100, 
``Intergovernmental Review of Department of Health and Human Services 
Programs and Activities.'' Under the Order, States may design their own 
processes for reviewing and commenting on proposed Federal assistance 
under covered programs.
    All States and Territories except Alabama, Alaska, Arizona, 
Colorado, Connecticut, Hawaii, Idaho, Indiana, Kansas, Louisiana, 
Massachusetts, Minnesota, Montana, Nebraska, New Jersey, Ohio, 
Oklahoma, Oregon, Pennsylvania, South Dakota, Tennessee, Vermont, 
Virginia, Washington, Wyoming, and Palau have elected to participate in 
the Executive Order process and have established Single Points of 
Contact (SPOCs). Applicants from these twenty-six jurisdictions need 
take no action regarding E.O. 12372. Applicants for projects to be 
administered by Federally-recognized Indian Tribes are also exempt from 
the requirements of E.O. 12372. Otherwise, applicants should contact 
their SPOCs as soon as possible to alert them of the prospective 
applications and receive any necessary instructions. Applicants must 
submit any required material to the SPOCs as soon as possible so that 
the program office can obtain and review SPOC comments as part of the 
award process. It is imperative that the applicant submit all required 
materials, if any, to the SPOC and indicate the date of this submittal 
(or the date of contact if no submittal is required) on the Standard 
Form 424, item 16a. Under 45 CFR 100.8(a)(2), a SPOC has 60 days from 
the application deadline to comment on proposed new or competing 
continuation awards.
    SPOCs are encouraged to eliminate the submission of routine 
endorsements as official recommendations. Additionally, SPOCs are 
requested to clearly differentiate between mere advisory comments and 
those official State process recommendations which may trigger the 
``accommodation or explain'' rule.
    When comments are submitted directly to ACF, they should be 
addressed to: Department of Health and Human Services, Administration 
for Children and Families, Division of Discretionary Grants, 370 
L'Enfant Promenade, SW., Washington, DC 20447. A current list of the 
Single Points of Contact (SPOCs) for each State and Territory is posted 
at the following Web site: http://www.whitehouse.gov/omb/grants/spoc. 
html.

5. Funding Restrictions

    A. Pre-award costs are not allowable.
    B. The applicant is strongly encouraged to apply the University's 
or nonprofit institution's off campus research rates for indirect 
costs.

6. Other Submission Requirements

    Electronic Address to Submit Applications: www.Grants.Gov.
    Electronic Submission: Please see Section IV.2. Content and Form of 
Application Submission for guidelines and requirements when submitting 
applications electronically.
    Submission by Mail: Mailed applications shall be considered as 
meeting an announced deadline if they are received on or before the 
deadline time and date at the following address: ACYF Operations 
Center/OPRE Grant Review Team/Xtria, LLC, c/o Dixon Group, Inc., 
Attention: Head Start-University Partnerships Measurement Development, 
118 Q Street NE., Washington, DC 20002-2132.
    Applicants are responsible for mailing applications well in 
advance, when using all mail services, to ensure that the applications 
are received on or before the deadline time and date.
    Hand Delivery: Applications hand-carried by applicants, applicant 
couriers, other representatives of the applicant, or by overnight/
express mail couriers shall be considered as meeting an announced 
deadline if they are received on or before the deadline date, between 
the hours of 9 a.m. and 4:30 p.m. (EST), Monday through Friday 
(excluding Federal holidays) at the above address. Applicants are 
cautioned that express/overnight mail services do not always deliver as 
agreed. ACF cannot accommodate transmission of applications by fax.
    Due Date for Letters of Intent (Encouraged): 3 weeks prior to June 
1, 2004. If you plan to submit an application, ACF requests you notify 
us by fax or e-mail at least three weeks prior to the submission 
deadline date. This information will be used only to determine the 
number of expert reviewers needed to review the applications. Include 
only the following information in this fax or email: the number and 
title of this announcement; the name, address, telephone and fax 
number, e-mail address of the Principal Investigator(s), the fiscal 
agent (if known); and the name of the university or nonprofit 
institution. Do not include a description of your proposed project. 
Send this information to ``The Head Start Research Support Team'' at--
Fax: 1 (703) 821-3989 or E-mail: [email protected].

V. Application Review Information

1. Criteria

    The Paperwork Reduction Act of 1995 (Pub. L. 104-13): Public 
reporting burden for this collection of information is estimated to 
average 25 hours per response, including the time for reviewing 
instructions, gathering and maintaining the data needed and reviewing 
the collection information. The project description is approved under 
OMB Control Number 0970-0139 which expires 3/31/2004. An agency may not 
conduct or sponsor, and a person is not required to respond to, a 
collection of information unless it displays a currently valid OMB 
control number.
Purpose
    The project description provides a major means by which an 
application is evaluated and ranked to compete with other applications 
for available assistance. The project description should be concise and 
complete and should address the activity for which Federal funds are 
being requested. Supporting documents should be included where they can 
present information clearly and succinctly. In preparing your project 
description, all information requested through each specific evaluation 
criteria should be provided. Awarding offices use this and

[[Page 17182]]

other information in making their funding recommendations. It is 
important, therefore, that this information be included in the 
application.
General Instructions
    ACF is particularly interested in specific factual information and 
statements of measurable goals in quantitative terms. Project 
descriptions are evaluated on the basis of substance, not length. 
Extensive exhibits are not required. Cross-referencing should be used 
rather than repetition. Supporting information concerning activities 
that will not be directly funded by the grant or information that does 
not directly pertain to an integral part of the grant-funded activity 
should be placed in an appendix.
    Pages should be numbered and a table of contents should be included 
for easy reference.
    Applicants required to submit a full project description shall 
prepare the project description statement in accordance with the 
following instructions and the specified evaluation criteria. The 
instructions give a broad overview of what your project description 
should include while the evaluation criteria expands and clarifies more 
program-specific information that is needed.

A. Project Summary/Abstract

    Provide a summary of the project description (one page or less) 
with reference to the funding request.

B. Objectives and Need for Assistance

    Clearly identify the physical, economic, social, financial, 
institutional, and/or other problem(s) requiring a solution. The need 
for assistance must be demonstrated and the principal and subordinate 
objectives of the project must be clearly stated; supporting 
documentation, such as letters of support from concerned parties other 
than the applicant, may be included. Any relevant data based on 
planning studies should be included or referred to in the endnotes/
footnotes. Incorporate demographic data and participant/beneficiary 
information, as needed. In developing the project description, the 
applicant may volunteer or be requested to provide information on the 
total range of projects currently being conducted and supported (or to 
be initiated), some of which may be outside the scope of the program 
announcement.

C. Results and Benefits Expected

    Identify the results and benefits to be derived. For example, 
explain how your proposed project will achieve the specific goals and 
objectives you have set; specify the number of children and families to 
be served, and how the services to be provided will be funded 
consistent with the local needs assessment. Or, explain how the 
expected results will benefit the population to be served in meeting 
its needs for early learning services and activities. What benefits 
will families derive from these services? How will the services help 
them? What lessons will be learned which might help other agencies and 
organizations that are addressing the needs of a similar client 
population?

D. Approach

    Outline a plan of action, which describes the scope and detail of 
how the proposed work will be accomplished. Account for all functions 
or activities identified in the application. Cite factors, which might 
accelerate or decelerate the work and state your reason for taking the 
proposed approach rather than others. Describe any unusual features of 
the project such as design or technological innovations, reductions in 
cost or time, or extraordinary social and community involvement.
    Provide quantitative monthly or quarterly projections of the 
accomplishments to be achieved for each function or activity in such 
terms as the number of people to be served and the number of activities 
accomplished. When accomplishments cannot be quantified by activity or 
function, list them in chronological order to show the schedule of 
accomplishments and their target dates.
    If any data is to be collected, maintained, and/or disseminated, 
clearances may be required from the U.S. Office of Management and 
Budget (OMB). This clearance pertains to any ``collection of 
information that is conducted or sponsored by ACF.''
    List organizations, cooperating entities, consultants, or other key 
individuals who will work on the project, along with a short 
description of the nature of their effort or contribution.

E. Evaluation

    Provide a narrative addressing how the results of the project and 
the conduct of the project will be evaluated. In addressing the 
evaluation of results, state how you will determine the extent to which 
the project has achieved its stated objectives, and the extent to which 
the accomplishment of objectives can be attributed to the project. 
Discuss the criteria to be used to evaluate results, and explain the 
methodology that will be used to determine if the needs identified and 
discussed are being met, and if the project results and benefits are 
being achieved. With respect to the conduct of the project, define the 
procedures to be employed to determine whether the project is being 
conducted in a manner consistent with the work plan presented and 
discuss the impact of the project's various activities on the project's 
effectiveness.

F. Additional Information

    Following are requests for additional information that need to be 
included in the application:
1. Staff and Position Data
    Provide a biographical sketch for each key person appointed and a 
job description for each vacant key position. A biographical sketch 
will also be required for new key staff as appointed.
2. Organizational Profiles
    Provide information on the applicant 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 
nonprofit organization submitting an application must submit proof of 
its nonprofit status in its application at the time of submission.
    The nonprofit agency can accomplish this by providing a copy of the 
applicant's listing in the Internal Revenue Service's (IRS) most recent 
list of tax-exempt organizations described in section 501(c)(3) of the 
IRS code, or by providing a copy of the currently valid IRS tax 
exemption certificate; or by providing a copy of the articles of 
incorporation bearing the seal of the State in which the corporation or 
association is domiciled.
3. Letters of Support
    Provide statements from the community, public and commercial 
leaders that support the project proposed for funding. All documents 
must be included inthe application at the time of submission.

G. Budget and Budget Justification

    Provide line item detail and detailed calculations for each budget 
object class identified in the Budget Information

[[Page 17183]]

form. Detailed calculations must include estimation methods, 
quantities, unit costs, and other similar quantitative detail 
sufficient for the calculation to be duplicated. The detailed budget 
must also include a breakout by the funding sources identified in Block 
15 of the SF-424.
    Provide a narrative budget justification that describes how the 
categorical costs are derived. Discuss the necessity, reasonableness, 
and allocability of the proposed costs.
General
    The following are guidelines for preparing the budget and budget 
justification. Both Federal and non-Federal resources shall be detailed 
and justified in the budget and narrative justification. For purposes 
of preparing the budget and budget justification, ``Federal resources'' 
refers only to the ACF grant for which you are applying. Non-Federal 
resources are all other Federal and non-Federal resources. It is 
suggested that budget amounts and computations be presented in a 
columnar format: first column, object class categories; second column, 
Federal budget; next column(s), non-Federal budget(s), and last column, 
total budget. The budget justification should be a narrative.
Personnel
    Description: Costs of employee salaries and wages.
    Justification: Identify the project director or Principal 
Investigator. For each staff person, provide the title, time commitment 
to the project (in months), time commitment to the project (as a 
percentage or full-time equivalent), annual salary, grant salary, wage 
rates, etc. Do not include the costs of consultants or personnel costs 
of delegate agencies or of specific project(s) or businesses to be 
financed by the applicant.
Fringe Benefits
    Description: Costs of employee fringe benefits unless treated as 
part of an approved indirect cost rate.
    Justification: Provide a breakdown of the amounts and percentages 
that comprise fringe benefit costs such as health insurance, FICA, 
retirement insurance, taxes, etc.
Travel
    Description: Costs of project-related travel by employees of the 
applicant organization (does not include costs of consultant travel).
    Justification: For each trip, show the total number of traveler(s), 
travel destination, duration of trip, per diem, mileage allowances, if 
privately owned vehicles will be used, and other transportation costs 
and subsistence allowances. Travel costs for key staff to attend ACF-
sponsored workshops must be detailed in the budget.
Equipment
    Description: ``Equipment'' means an article of nonexpendable, 
tangible personal property having a useful life of more than one year 
and an acquisition cost which equals or exceeds the lesser of (a) the 
capitalization level established by the organization for the financial 
statement purposes, or (b) $5,000.


    Note: Acquisition cost means the net invoice unit price of an 
item of equipment, including the cost of any modifications, 
attachments, accessories, or auxiliary apparatus necessary to make 
it usable for the purpose for which it is acquired. Ancillary 
charges, such as taxes, duty, protective in-transit insurance, 
freight, and installation shall be included in or excluded from 
acquisition cost in accordance with the organization's regular 
written accounting practices.


    Justification: For each type of equipment requested, provide a 
description of the equipment, the cost per unit, the number of units, 
the total cost, and a plan for use on the project, as well as use or 
disposal of the equipment after the project ends. An applicant 
organization that uses its own definition for equipment should provide 
a copy of its policy or section of its policy which includes the 
equipment definition.
Supplies
    Description: Costs of all tangible personal property other than 
that included under the Equipment category.
    Justification: Specify general categories of supplies and their 
costs. Show computations and provide other information, which supports 
the amount requested.
Contractual
    Description: Costs of all contracts for services and goods except 
for those that belong under other categories such as equipment, 
supplies, construction, etc. Third party evaluation contracts (if 
applicable) and contracts with secondary recipient organizations, 
including delegate agencies and specific project(s) or businesses to be 
financed by the applicant, should be included under this category.
    Justification: All procurement transactions shall be conducted in a 
manner to provide, to the maximum extent practical, open and free 
competition. Recipients and subrecipients, other than States that are 
required to use Part 92 procedures, must justify any anticipated 
procurement action that is expected to be awarded without competition 
and exceed the simplified acquisition threshold fixed at 41 U.S.C. 
403(11) (currently set at $100,000). Recipients might be required to 
make available to ACF pre-award review and procurement documents, such 
as request for proposals or invitations for bids, independent cost 
estimates, etc.


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


Other
    Description: Enter the total of all other costs. Such costs, where 
applicable and 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

[[Page 17184]]

of the applicant organization must submit a signed acknowledgement that 
the applicant is accepting a lower rate than allowed.
Non-Federal Resources
    Description: Amounts of non-Federal resources that will be used to 
support the project as identified in Block 15 of the SF-424.
    Justification: The firm commitment of these resources must be 
documented and submitted with the application in order to be given 
credit in the review process. A detailed budget must be prepared for 
each funding source.
Evaluation Criteria
    Competitive Criteria for Reviewers: Measurement Development for 
Head Start Children and Families--The three criteria areas that follow 
will be used to review and evaluate each application. Address each in 
the Project Narrative Section of the application. The point values 
indicate the maximum numerical weight each criterion will be accorded 
in the review process. (100 points total).
Approach: 45 points
     The extent to which the research design is 
appropriate and sufficient for addressing the questions of the study.
     The extent to which the development of direct 
measures of child outcomes in the comprehensive domains of school 
readiness or direct measures of parent/caregiver-child interaction are 
the major focus of the study.
     The extent to which the planned research 
specifies the measures to be used, their psychometric properties, and 
an adequately detailed proposed set of analyses to be conducted.
     The extent to which the planned measures are 
appropriate and sufficient for the questions of the study and the 
population to be studied, including their appropriateness for low-
income and culturally and linguistically diverse children and families 
served by Head Start.
     The extent to which the planned measures and 
analyses both reflect knowledge and use of state-of-the-art measures 
and analytic techniques and advance the state-of-the art.
     The extent to which the analytic techniques are 
appropriate for the questions under consideration.
     The extent to which the proposed sample size is 
sufficient for the study, including the size of particular subgroups of 
interest and taking into consideration mobility and attrition, over 
time.
     The scope of the project is reasonable for the 
funds available for these grants.
     The extent to which the planned approach 
reflects sufficient input from and partnership with the Head Start 
program.
     The extent to which the planned approach 
includes techniques for successful transfer of the measures to an 
additional site or sites.
     The extent to which the budget and budget 
justification are appropriate for carrying out the proposed project.
Staff and Position Data: 35 Points
     The extent to which the Principal Investigator 
and other key research staff possess the research expertise necessary 
to conduct the study as demonstrated in the application and information 
contained in their vitae.
     The Principal Investigator(s) has earned a 
doctorate or equivalent in the relevant field and has first or second 
author publications in major research journals.
     The extent to which the proposed staff reflect 
an understanding of and sensitivity to the issues of working in a 
community setting and in partnership with Head Start program staff and 
parents.
     The adequacy of the time devoted to this project 
by the Principal Investigator and other key staff in order to ensure a 
high level of professional input and attention.
Results or Benefits Expected: 20 Points
     The research questions are clearly stated.
     The extent to which the questions are of 
importance and relevance for low-income children's development and 
welfare.
     The extent to which the research study makes a 
significant contribution to the knowledge base.
     The extent to which the literature review is 
current and comprehensive and supports the need for the intervention 
and for its evaluation, the questions to be addressed or the hypotheses 
to be tested.
     The extent to which the questions that will be 
addressed or the hypotheses that will be tested are sufficient for 
meeting the stated objectives.
     The extent to which the proposal contains a 
dissemination plan that encompasses both professional and practitioner-
oriented products in manualized form and inclusive of training and 
technical assistance provisions.

2. Review and Selection Process

    Each application will undergo an eligibility and conformance review 
by Federal staff. Applications that pass the eligibility and 
conformance review will be evaluated on a competitive basis according 
to the specified evaluation criteria.
    The competitive review will be conducted in the Washington, DC 
metropolitan area by panels of Federal and non-Federal experts 
knowledgeable in the areas of early childhood education and 
intervention research, early learning, child care, and other relevant 
program areas.
    Application review panels will assign a score to each application 
and identify its strengths and weaknesses.
    OPRE will conduct an administrative review of the applications and 
results of the competitive review panels and make recommendations for 
funding to the Director of OPRE.
    The Director of OPRE, in consultation with the Commissioner of the 
Administration on Children, Youth, and Families (ACYF), will make the 
final selection of the applications to be funded. Applications may be 
funded in whole or in part depending on: (1) The ranked order of 
applicants resulting from the competitive review; (2) staff review and 
consultations; (3) the combination of projects that best meets the 
Bureau's objectives; (4) the funds available; and (5) other relevant 
considerations. The Director may also elect not to fund any applicants 
with known management, fiscal, reporting, program, or other problems, 
which make it unlikely that they would be able to provide effective 
services.

VI. Award Administration Information

1. Award Notices

    Successful applicants will be notified through the issuance of a 
Financial Assistance Award notice that sets forth the amount of funds 
granted, the terms and conditions of the grant award, the effective 
date of the award, the budget period for which initial support is 
given, and the total project period for which support is provided. The 
Financial Assistance Award will be signed by the Grants Officer and 
transmitted via postal mail. Organizations whose applications will not 
be funded will be notified in writing by ACF.

2. Administrative and National Policy Requirements

    All applicants are responsible for conforming to the United States 
Executive Branch Code of Federal Regulations (http://www.gpoaccess.gov/cfr/index.html). The following regulations have been identified as 
having particular relevance for ACF grants: 45 CFR Parts 74 and 92.

[[Page 17185]]

3. Reporting Requirements

    Programmatic Reports: Semi-annually and a final report is due 90 
days after the end of the grant period.
    Financial Reports: (SF-269 long form) Semi-annually and a final 
report is due 90 days after the end of the grant period. Original 
reports and one copy should be mailed to: Administration for Children 
and Families, Office of Grants Management, Division of Discretionary 
Grants, 370 L'Enfant Promenade SW., Washington, DC 20447.

VII. Agency Contacts

    1. Program Office Contact: ACYF Operations Center/OPRE Grant Review 
Team/ Xtria, LLC, c/o Dixon Group, Inc., 118 Q Street NE., Washington, 
DC 20002-2132, Attention: Head Start University Partnerships 
Measurement Development, 1 (877) 663-0250, e-mail [email protected].
    2. Grants Management Office Contact: Sylvia Johnson, ACF Division 
of Discretionary Grants, 370 L'Enfant Promenade, Washington, DC 20447, 
1 (202) 260-7622, e-mail: [email protected].

VIII. Other Information

    Applicants under this announcement are advised that subsequent sale 
and distribution of products developed under this grant will be subject 
to the Code of Federal Regulations, title 45, part 74 or part 92.
    The use of secondary data analysis in order to refine and validate 
newly-developed measures in relation to already standardized measures 
is strongly advised.

Definitions:

    Budget Period--for the purposes of this announcement, budget period 
means the 12-month period of time for which ACF funds are made 
available to a particular grantee (e.g., beginning on September 16, 
2004, and ending on September 15, 2005).
    Project Period--for the purposes of this announcement, project 
period means the 36-month period starting by September 2004, and ending 
by September, 2007.

    Dated: March 26, 2004.
Naomi Goldstein,
Acting Director, Office of Planning, Research and Evaluation
[FR Doc. 04-7259 Filed 3-31-04; 8:45 am]
BILLING CODE 4184-01-P