[Federal Register Volume 69, Number 66 (Tuesday, April 6, 2004)]
[Notices]
[Pages 18085-18094]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-7260]


-----------------------------------------------------------------------

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Administration for Children and Families


American Indian-Alaska Native Head Start-University Partnerships 
Program

    Federal Agency Contact Name: Administration for Children and 
Families (ACF) & Office of Planning, Research and Evaluation (OPRE).
    Funding Opportunity Title: American Indian-Alaska Native Head 
Start-University Partnerships.
    Announcement Type: Initial.
    Funding Opportunity Number: HHS-2004-ACF-OPRE-YF-0002.
    CFDA Number: 93.600.
    Due Date for Letter of Intent (Encouraged): 3 weeks prior to June 
7, 2004.
    Due Date for Applications (Required): The due date for the receipt 
of applications is June 7, 2004.

I. Funding Opportunity Description

    Funds are provided for American Indian-Alaska Native Head Start-
University Partnerships to build model research partnerships between 
American Indian-Alaska Native program staff, members of tribal 
communities, and researchers.
    This grant program is part of a larger Head Start research effort. 
Three other grant funding mechanisms are being offered concurrently 
with the one described in this announcement. They include: (1) Head 
Start-University Partnerships: Measurement Development for Head Start 
Children and Families, (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: American Indian-Alaska Native Head Start-University 
Partnerships.

A. Purpose

    This new initiative creates an opportunity for building model 
research partnerships between American Indian--Alaska Native program 
staff, members of tribal communities, and

[[Page 18086]]

researchers based in universities and other nonprofit research 
institutions. Research partnerships are intended to expand on the 
strengths of the researchers and grantee partners who constitute the 
partnerships in order to benefit the larger Head Start and early 
childhood community. Grantees are experts on the available strengths 
and needs of their families and communities, as well as the particular 
histories of their programs, and are expected to be valuable partners 
in developing research goals and questions. Grantees can usually 
benefit from technical expertise of researchers in all aspects of the 
initiative, from selection of assessment tools appropriate for their 
curriculum, methods for administering assessments, methods for 
measuring classroom quality, approaches for data entry and management, 
techniques for data analysis, and training of staff who will be 
responsible for each phase. Such partnerships necessitate that 
researchers become familiar with the goals, approaches, and existing 
systems. They also require that the technical experts encourage 
professional development of program personnel to become increasingly 
adept at managing research and evaluation on their own. The successful 
partnership will be able to provide evidence that the research project 
is developing information to improve the early learning environments 
for American Indian--Alaska Native Head Start children.
    The lessons learned from model partnerships can then be 
disseminated through training and technical assistance, both through 
the Head Start network and by other means. Examples of products 
expected from these partnerships include, but are not limited to: 
Methodological approaches for sampling, assessment and analysis at the 
local program level; plans for reporting data to teachers, parents, and 
management staff; data management systems; integrated curricular and 
assessment approaches; professional development approaches including 
coursework and training materials; and plans for disseminating 
information to the broader Head Start and child development 
communities.

B. Statutory Authority

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

C. Background

    The American Indian-Alaska Native Program Branch funds Head Start 
and Early Head Start programs operated by tribes, consortia, and/or 
corporations. The majority of grantees serve and reside on tribal 
reservations. Generally, grants are awarded to tribal governments, with 
tribal presidents, governors, executive directors or administrators as 
authorizing officials.
    American Indian and Alaska Native (AI-AN) Head Start programs 
reflect the diversity of languages and traditions that exist in AI-AN 
cultures. Substantial numbers of children served by the AI-AN Branch 
speak an American Indian language or language other than English or 
Spanish as their dominant language. The programs vary greatly in size, 
with the smallest grantee serving about 15 children and the largest, 
more than 4,000 children and families. The programs also are 
geographically diverse, and are located in isolated rural settings as 
well as in urban areas. AI-AN grantees provide comprehensive services 
to children and families through center and home-based options, as well 
as combinations and locally designed configurations.
    Because legislative mandates have specifically excluded tribal 
programs from national Head Start research and evaluation activities 
(Head Start Authorization Act, October 27, 1998, Section 649(g)(4)), 
current national research and evaluation activities of Head Start, such 
as the Family and Child Experiences Survey (FACES) and the Head Start 
Impact Study, exclude tribal programs from the population eligible for 
inclusion in the samples. The unique values, attitudes, and 
characteristics of the many different tribes create methodological 
challenges for inclusion in nationally representative samples for 
evaluation research.
    At the same time, there are legislative provisions that require the 
study of Head Start programs for American Indian and Alaska Native 
children. Tribal Head Start programs have the same performance 
standards and requirements for assessing program outcomes as other Head 
Start programs. There is little prior research evidence available, 
however, to provide guidance about effective instructional, service 
delivery, or assessment approaches in tribal settings.
    American Indian and Alaska Native Head Start programs need to be 
included in Head Start Bureau efforts to enhance the quality of Head 
Start programming, and to improve accountability by strengthening 
screening and assessment of child outcomes and program monitoring. 
There is a need, however, to increase the evidence base to provide 
direction for program enhancements, and such activities must be 
conducted in a manner that takes into account the unique cultural 
values of tribes implementing Head Start programs.
    For historical and ethical reasons tribal communities must have a 
significant voice in how research is designed and conducted in those 
settings. To support the development and implementation of research 
within and by tribal communities, ACF undertook in FY2002 an effort to 
document the existing knowledge base concerning early childhood 
programming and assessment in tribal settings, and to collect 
information on the research needs and priorities of tribal Head Start 
programs. Little was known about what research was currently being 
conducted by tribal Head Start programs, what the experiences of tribal 
programs in research partnerships with colleges and universities had 
been, and how ACF might support these partnerships. The project 
resulted in a review and synthesis of available research literature, 
both published and unpublished, that pertained to young children and 
families in American Indian and Alaska Native populations. That report 
is available online at: http://www.acf.dhhs.gov/programs/core/ongoing_research/hs/hs_aian_report.html.
    A second part of this effort was to conduct a series of visits to 
tribes to assess their own views about the following questions: (1) 
What kind of research is needed and desired in tribal Head Start 
settings; (2) what outcomes are important for American Indian and 
Alaska Native Head Start; (3) what programmatic and service delivery 
issues need to be studied; and (4) what are the issues in conducting 
research among American Indian and Alaska Native populations? Visits 
were arranged with 19 tribes to conduct ``listening sessions'' with 
tribal leadership, Head Start personnel, Head Start family members, and 
other community stakeholders. Other sessions were held in conjunction 
with national meetings of American Indian--Alaska Native Head Start 
grantees and technical assistance staff.
    These efforts have documented the paucity of existing research that 
directly informs early childhood programming for American Indian and 
Alaska Native children and families. Few studies have taken into 
account the unique cultural and linguistic characteristics of the AI-AN 
population, and existing studies tend to be small, methodologically 
weak, and of limited generalizability to other settings. There is a 
need to develop the capacity for research in

[[Page 18087]]

tribal settings; research projects rarely are initiated by tribal 
members themselves, and the number of qualified individuals who have 
the ability to effectively partner with tribes to implement research is 
thought to be quite limited. At the same time, there is widespread 
recognition of the need for culturally relevant research, as well as 
substantial support among tribal members for research that will advance 
the knowledge base and improve the lives of the children and families 
who are served by Head Start in their communities.
    Tribal communities have affirmed that they must have a significant 
voice in how the research is designed and conducted among their 
members. Cultural issues must be addressed in the development of 
methodologies, study procedures, and data collection instruments for 
use in conducting research among tribal Head Start programs. 
Differences among American Indian/Alaskan Native groups must be 
acknowledged and respected in developing the methodology and conducting 
the research. In addition to Head Start personnel, tribal leaders and 
community elders often must be part of the process in designing and 
conducting research in tribal settings.
    The participants in the listening sessions identified a number of 
topics of interest to tribes, including:
     Identifying and addressing the unique 
characteristics and needs of American Indian and Alaska Native Head 
Start children and families that may affect learning; documenting and 
addressing cultural diversity within tribal Head Start settings;
     The role of Head Start in promoting and 
maintaining native languages and culture;
     Outcomes for bilingual children vs. English-only 
speakers;
     Long-term outcomes for AI-AN Head Start 
children, including studies of factors that promote or inhibit the 
successful transition to school and studies that compare outcomes for 
AI-AN Head Start children with those for other Head Start children;
     Comparisons of tribal Head Start children to 
non-tribal children;
     Effectiveness of instructional practices, 
tailored to the unique characteristics of tribal children, that promote 
school readiness;
     Availability of resources to meet unique tribal 
needs;
     Programs aimed at health and development, 
including health delivery models as well as preventive programs for 
adverse health and mental health outcomes;
     Staff development issues, including wage and 
benefit comparability between AI-AN and non-tribal early childhood 
educators, causes of staff turnover, ways to retain staff, 
identification of staff members' academic and non-academic skills that 
best promote child development within a cultural context, and providing 
staff development opportunities in geographically isolated communities;
     Development and utilization of culturally 
appropriate screening, assessment, and outcome measures;
     Methods for enhancing communication and 
cooperation among Head Start personnel, parents, tribal governments, 
and school district personnel;
     Identification of special needs among AI-AN Head 
Start children, and programs for addressing them;
     Effectiveness of methods for enhancing parent 
involvement, including promotion of knowledge about child development 
among parents, promotion of adult literacy, and promotion of father 
involvement;
     Impact of adverse conditions on child 
development, including geographic isolation and poverty, adverse family 
circumstances such as domestic violence or substance abuse, and 
historical experiences of racism, discrimination, and organized efforts 
aimed at the destruction of AI-AN culture.
    Building on the needs identified both by participants in the 
Listening Sessions and by other consultants, this announcement will 
support research activities that are designed to promote partnerships 
between the research community and tribal communities that will support 
the development of young children and families in American Indian and 
Alaska Native Head Start and Early Head Start programs. Each 
partnership team of one or more AI-AN grantees and a research 
organization will identify or further develop a particular, self-
selected research approach targeted toward better describing the unique 
characteristics and developmental needs of AI-AN children, evaluating 
or enhancing program practices, and/or developing approaches to 
outcomes assessment, based on the needs of the population served. The 
successful partnership will address topics that are decided through 
consultation among the researchers, AI-AN staff, and other tribal 
stakeholders, and that clearly reflect the interests of the AI-AN Head 
Start program.

II. Award Information

    Funding Instrument Type: Grant.
    Anticipated Total Program Funding: $1,000,000.
    Anticipated Number of Awards: ACF anticipates funding 4-6 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 all

[[Page 18088]]

research efforts, including 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 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 Numbering System (DUNS) number when applying 
for Federal grants or cooperative agreements on or after October 1, 
2003. The DUNS number will be required whether an applicant is 
submitting a paper application or using the government-wide electronic 
portal (http://www.Grants.gov). A DUNS number will be required for 
every application for a new award or renewal/continuation of an award, 
including applications or plans under formula, entitlement, and block 
grant programs, submitted on or after October 1, 2003.
    Please ensure that your organization has a DUNS number. You may 
acquire a DUNS number at no cost by calling the dedicated toll-free 
DUNS number request line on 1-866-705-5711 or you may request a number 
on-line at http://www.dnb.com.
    Applications that fail to follow the required format described in 
Section IV.2. Content and Form of Application Submission will be 
considered non-responsive and will not be eligible for funding under 
this announcement.
    Applications that exceed the $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-YF-0002. ACYF Operations Center/OPRE Grant Review Team/Xtria, LLC, 
c/o The Dixon Group, Inc., 118 Q Street, NE., Washington, DC 20002-
2132, Attention: American Indian-Alaska Native Head Start-University 
Partnerships, 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

[[Page 18089]]

Principal Investigators

    You may submit your application to us in either electronic or paper 
format.
    To submit an application electronically, please use the http://
www.Grants.gov apply site. If you use Grants.gov, you will be able to 
download a copy of the application package, complete it off-line, and 
then upload and submit the application via the Grants.gov site. You may 
not e-mail an electronic copy of a grant application to us.
    Please note the following if you plan to submit your application 
electronically via Grants.gov:
     Electronic submission is voluntary.
     When you enter the Grants.gov site, you will 
find information about submitting an application electronically through 
the site, as well as the hours of operation. We strongly recommend that 
you do not wait until the application deadline date to begin the 
application process through Grants.gov.
     To use Grants.gov, you, as the applicant, must 
have a DUNS Number and register in the Central Contractor Registry 
(CCR). You should allow a minimum of five days to complete the CCR 
registration.
     You will not receive additional point value 
because you submit a grant application in electronic format, nor will 
we penalize you if you submit an application in paper format.
     You may submit all documents electronically, 
including all information typically included on the SF 424 and all 
necessary assurances and certifications.
     Your application must comply with any page 
limitation requirements described in this program announcement.
     After you electronically submit your 
application, you will receive an automatic acknowledgement from 
Grants.gov that contains a Grants.gov tracking number. ACF will 
retrieve your application from Grants.gov.
     We may request that you provide original 
signatures on forms at a later date.
     You may access the electronic application for 
this program on http://www.Grants.gov.
     You must search for the downloadable application 
package by the CFDA number.
    Private non-profit organizations may voluntarily submit with their 
applications the survey located under ``Grant Related Documents and 
Forms'' titled ``Survey for Private, Nonprofit Grant Applicants'' at 
http://www.acf.hhs.gov/programs/ofs/forms.htm.
    Content of Contact Information Sheet: The contact information sheet 
should include complete contact information, including addresses, phone 
and fax numbers, and e-mail addresses, for the Principal 
Investigator(s) and the institution's grants/financial officer (person 
who signs the SF-424).
    Content of Project Narrative Statement: The project narrative 
should be carefully developed in accordance with ACF's research goals 
and agenda as described in the Purpose, Background, and Priorities 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 7, 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: American 
Indian-Alaska Native Head Start-University Partnerships, 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 
7, 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].
    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 for 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.

[[Page 18090]]

 
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.
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'' 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, 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: http://www.Grants.Gov
    Electronic Submission: Please see Section IV.2. Content and Form of 
Application Submission for guidelines and requirements when submitting 
applications electronically.
    Submission by Mail: Mailed applications shall be considered as 
meeting an announced deadline if they are received on or before the 
deadline time and date at the following address: ACYF Operations 
Center/OPRE Grant Review Team/Xtria, LLC, c/o Dixon Group, Inc., 
Attention: American Indian-Alaska Native Head Start-University 
Partnerships, 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.

[[Page 18091]]

    Due Date for Letters of Intent (Encouraged): 3 weeks prior to June 
7, 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 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:

[[Page 18092]]

    1. Staff and Position Data: Provide a biographical sketch for each 
key person appointed and a job description for each vacant key 
position. A biographical sketch will also be required for new key staff 
as appointed.
    2. Organizational Profiles: Provide information on the applicant 
organizations(s) and cooperating partners such as organizational 
charts, financial statements, audit reports or statements from CPAs/
Licensed Public Accountants, Employer Identification Numbers, names of 
bond carriers, contact persons and telephone numbers, child care 
licenses and other documentation of professional accreditation, 
information on compliance with Federal/State/local government 
standards, documentation of experience in the program area, and other 
pertinent information. Any nonprofit organization submitting an 
application must submit proof of its nonprofit status in its 
application at the time of submission.
    The nonprofit agency can accomplish this by providing a copy of the 
applicant's listing in the Internal Revenue Service's (IRS) most recent 
list of tax-exempt organizations described in section 501(c)(3) of the 
IRS code, or by providing a copy of the currently valid IRS tax 
exemption certificate; or by providing a copy of the articles of 
incorporation bearing the seal of the State in which the corporation or 
association is domiciled.
    3. Letters of Support: Provide statements from the community, 
public and commercial leaders that support the project proposed for 
funding. All documents must be included in the application at the time 
of submission.
    G. Budget and Budget Justification: Provide line item detail and 
detailed calculations for each budget object class identified in the 
Budget Information form. Detailed calculations must include estimation 
methods, quantities, unit costs, and other similar quantitative detail 
sufficient for the calculation to be duplicated. The detailed budget 
must also include a breakout by the funding sources identified in Block 
15 of the SF-424.
    Provide a narrative budget justification that describes how the 
categorical costs are derived. Discuss the necessity, reasonableness, 
and allocability of the proposed costs.
    General: The following are guidelines for preparing the budget and 
budget justification. Both Federal and non-Federal resources shall be 
detailed and justified in the budget and narrative justification. For 
purposes of preparing the budget and budget justification, ``Federal 
resources'' refers only to the ACF grant for which you are applying. 
Non-Federal resources are all other Federal and non-Federal resources. 
It is suggested that budget amounts and computations be presented in a 
columnar format: first column, object class categories; second column, 
Federal budget; next column(s), non-Federal budget(s), and last column, 
total budget. The budget justification should be a narrative.
Personnel
    Description: Costs of employee salaries and wages.
    Justification: Identify the project director or Principal 
Investigator, if known. For each staff person, provide the title, time 
commitment to the project (in months), time commitment to the project 
(as a percentage or full-time equivalent), annual salary, grant salary, 
wage rates, etc. Do not include the costs of consultants or personnel 
costs of delegate agencies or of specific project(s) or businesses to 
be financed by the applicant.
Fringe Benefits
    Description: Costs of employee fringe benefits unless treated as 
part of an approved indirect cost rate.
    Justification: Provide a breakdown of the amounts and percentages 
that comprise fringe benefit costs such as health insurance, FICA, 
retirement insurance, taxes, etc.
Travel
    Description: Costs of project-related travel by employees of the 
applicant organization (does not include costs of consultant travel).
    Justification: For each trip, show the total number of traveler(s), 
travel destination, duration of trip, per diem, mileage allowances, if 
privately owned vehicles will be used, and other transportation costs 
and subsistence allowances. Travel costs for key staff to attend ACF-
sponsored workshops must be detailed in the budget.
Equipment
    Description: ``Equipment'' means an article of nonexpendable, 
tangible personal property having a useful life of more than one year 
and an acquisition cost which equals or exceeds the lesser of (a) the 
capitalization level established by the organization for the financial 
statement purposes, or (b) $5,000. (Note: Acquisition cost means the 
net invoice unit price of an item of equipment, including the cost of 
any modifications, attachments, accessories, or auxiliary apparatus 
necessary to make it usable for the purpose for which it is acquired. 
Ancillary charges, such as taxes, duty, protective in-transit 
insurance, freight, and installation shall be included in or excluded 
from acquisition cost in accordance with the organization's regular 
written accounting practices.)
    Justification: For each type of equipment requested, provide a 
description of the equipment, the cost per unit, the number of units, 
the total cost, and a plan for use on the project, as well as use or 
disposal of the equipment after the project ends. An applicant 
organization that uses its own definition for equipment should provide 
a copy of its policy or section of its policy which includes the 
equipment definition.
Supplies
    Description: Costs of all tangible personal property other than 
that included under the Equipment category.
    Justification: Specify general categories of supplies and their 
costs. Show computations and provide other information, which supports 
the amount requested.
Contractual
    Description: Costs of all contracts for services and goods except 
for those that belong under other categories such as equipment, 
supplies, construction, etc. Third party evaluation contracts (if 
applicable) and contracts with secondary recipient organizations, 
including delegate agencies and specific project(s) or businesses to be 
financed by the applicant, should be included under this category.
    Justification: All procurement transactions shall be conducted in a 
manner to provide, to the maximum extent practical, open and free 
competition. Recipients and subrecipients, other than States that are 
required to use Part 92 procedures, must justify any anticipated 
procurement action that is expected to be awarded without competition 
and exceed the 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

[[Page 18093]]

appropriate, may include but are not limited to insurance, food, 
medical and dental costs (noncontractual), professional services costs, 
space and equipment rentals, printing and publication, computer use, 
training costs, such as tuition and stipends, staff development costs, 
and administrative costs.
    Justification: Provide computations, a narrative description, and a 
justification for each cost under this category.
Indirect Charges
    Description: Total amount of indirect costs. This category should 
be used only when the applicant currently has an indirect cost rate 
approved by the Department of Health and Human Services (HHS) or 
another cognizant Federal agency.
    Justification: An applicant that will charge indirect costs to the 
grant must enclose a copy of the current rate agreement. If the 
applicant organization is in the process of initially developing or 
renegotiating a rate, it should immediately upon notification that an 
award will be made, develop a tentative indirect cost rate proposal 
based on its most recently completed fiscal year in accordance with the 
principles set forth in the cognizant agency's guidelines for 
establishing indirect cost rates, and submit it to the cognizant 
agency. Applicants awaiting approval of their indirect cost proposals 
may also request indirect costs. It should be noted that when an 
indirect cost rate is requested, those costs included in the indirect 
cost pool should not also be charged as direct costs to the grant. 
Also, if the applicant is requesting a rate which is less than what is 
allowed under the program, the authorized representative of the 
applicant organization must submit a signed acknowledgement that the 
applicant is accepting a lower rate than allowed.
Non-Federal Resources
    Description: Amounts of non-Federal resources that will be used to 
support the project as identified in Block 15 of the SF-424.
    Justification: The firm commitment of these resources must be 
documented and submitted with the application in order to be given 
credit in the review process. A detailed budget must be prepared for 
each funding source.
Evaluation Criteria
    Competitive Criteria for Reviewers: American Indian-Alaska Native 
Head Start-University Partnerships--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 proposal provides 
evidence that the research plan has been jointly developed by the 
research institution and the Head Start program, as well as other 
relevant tribal stakeholders;
     The extent to which the research plan is 
adequately described and meets the goal of supporting the development 
of children in American Indian and Alaska Native Head Start.
     The extent to which the proposal is responsive 
to the questions outlined in the ``additional requirements'' section
     The extent to which the research design is 
appropriate and sufficient for addressing the questions of the study
     The extent to which the planned research 
specifies the measures to be used, their psychometric properties, and 
the analyses to be conducted.
     The extent to which the planned procedures and 
measures are appropriate and sufficient for the questions of the study 
and the cultural contexts of the population to be studied.
     The extent to which the planned measures and 
analyses both reflect knowledge and use of state-of-the-art measures 
and analytic techniques and/or advance the state of the art.
     The extent to which the analytic techniques are 
appropriate for the question under consideration.
     The extent to which the proposed sample size is 
sufficient for the study.
     The extent to which the planned approach 
includes techniques for successful documentation and dissemination.
     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 implement the intervention and conduct the evaluation as 
demonstrated in the application and information contained in their 
vitae. It is expected that 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 
tribal community setting and in partnership with American Indian--
Alaska Native 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.
     The extent to which the research plan offers 
opportunities for American Indian and Alaska Native personnel to be 
engaged or employed in the research activities, as appropriate.
    Results or Benefits Expected: 20 points.
     The extent to which research questions are 
clearly stated.
     The extent to which the proposed research 
project is justified as meeting the needs of American Indian and Alaska 
Native children and families.
     The extent to which the research study makes a 
significant contribution to the knowledge base about supporting the 
early development of American Indian and Alaska Native children and 
their families.
     The extent to which the literature review is 
current and comprehensive and justifies the research to be conducted.
     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, and meets the needs of the Head Start and/or 
community partner.
     The extent to which the questions are of 
importance and relevance for AI-AN children's development and welfare.

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

[[Page 18094]]

Families (ACYF), will make the final selection of the applications to 
be funded. Applications may be funded in whole or in part depending on: 
(1) The ranked order of applicants resulting from the competitive 
review; (2) staff review and consultations; (3) the combination of 
projects that best meets the Bureau's objectives; (4) the funds 
available; and (5) other relevant considerations. The Director may also 
elect not to fund any applicants with known management, fiscal, 
reporting, program, or other problems, which make it unlikely that they 
would be able to provide effective services.

VI. Award Administration Information

1. Award Notices

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

2. Administrative and National Policy Requirements

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

3. Reporting Requirements

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

VII. Agency Contacts

    1. Program Office Contact ACYF Operations Center/OPRE Grant Review 
Team/Xtria, LLC, c/o The Dixon Group, Inc., 118 Q Street, NE., 
Washington, DC 20002-2132, Attention: American Indian-Alaska Native 
Head Start-University Partnerships, 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. 04-7260 Filed 4-5-04; 8:45 am]
BILLING CODE 4184-01-P