Executive Summary: The Administration for Children and Families (ACF) announces that funds are available for Head Start University Partnership Research Grants: Strategies for Developing Head Start Teacher Effectiveness. These grants fund research activities to identify and assess effective strategies/interventions that develop and sustain the Head Start teacher behaviors likely to improve child outcomes. This grant program is part of a larger Head Start research effort. For more information, see the Head Start Graduate Student Research announcement listed on http://www.Grants.Gov, or on http://www.acf.hhs.gov/grants/index.html, or send an email inquiry to opre@xtria.com. Award amounts for these grants will be up to $150,000 for the first budget period, and up to $250,000 for each of two additional budget periods, subject to availability. (Total of up to $650,000). I. FUNDING OPPORTUNITY DESCRIPTION Legislative Authority Section 649 of the Head Start Act, as amended by the Community Opportunities, Accountability, and Training and Educational Services (COATES) Human Services Reauthorization Act of 1998 (Public Law (P.L.) 105-285) and 42 United States Code (U.S.C.) 9844. Funding Opportunity Description A. Purpose The purpose of this announcement is to report the availability of funds to support research grant projects to identify and assess strategies/interventions that develop and sustain the Head Start teacher behaviors likely to improve outcomes in children three to five years of age. Grantees will be required to establish researcher/program partnerships with Head Start programs. Definitions: Budget Period--The intervals of time (usually 12 months each) into which a project period is divided for budgetary and funding purposes. Funding of individual budget periods sometimes is referred to as “incremental funding.” Project Period--The total time for which support of a project has been programmatically approved. The total project period comprises the initial competitive segment, any subsequent competitive segments resulting from a competing continuation award, and any non-competing extensions. B. Background Since 1965, the Head Start program has provided comprehensive early education and support services to low-income three- and four-year-old children and their families. In 2006, Head Start programs included 1,888 preschool programs, 745 Early Head Start programs, and 83 Migrant and Seasonal Head Start programs. Head Start programs encompassed 218,799 staff including 56,938 Head Start/Early Head Start teachers and 53,462 Assistant Teachers (Head Start Program Information Report (PIR), 2006). Some studies suggest that teachers with higher levels of education in early childhood development can improve outcomes for preschool children (e.g., Blau, 2000; Howes, Whitebook & Phillips, 1992; National Institute of Child Health and Human Development, Early Child Care Research Network (NICHD ECCRN), 2000) and a number of policy directives have focused on this finding. A Congressional mandate in 1998 directed that half of all center-based Head Start teachers nationwide obtain an Associate of Arts (A.A.) degree or higher by September 2003. Head Start programs readily achieved this goal. PIR data for 2006 reported that 66.4 percent of Head Start teachers hold an A.A. or higher, 32.5 percent hold a Bachelor of Arts (B.A.s) or higher, and 5.1 percent hold a graduate degree. However, there continues to be debate in the early childhood field as to whether increasing teachers' educational credentials will result in improved service quality and/or child outcomes (Burchinal, Howes & Kontos, 2002; Phillips, Mekos, Scarr, McCartney & Abbott-Shim, 2000). Research conducted by ACF through the Head Start Family and Child Experiences Survey (FACES), a longitudinal study of Head Start programs, demonstrates inconsistent, limited associations between teachers' education levels and measures of classroom quality and child outcomes (ACF, 2003; ACF, in preparation; ACYF, 2001). A growing number of researchers are concentrating on other factors that may impact the effectiveness of teachers' performance and behavior in the classroom. These factors include the theoretical learning models and approaches used in teacher education (such as scaffold learning, experiential learning, and socially mediated learning), the effectiveness of the teaching and training strategies/interventions employed to change teacher behavior (such as mentoring or distance learning), and assessment of additional important teacher behaviors/characteristics beyond educational level (such as teacher intentionality, attitude, or developmental knowledge) (Early et al., in press; Pianta et al., 2005; Saracho, 1998; Zaslow, Tout, Clifford & Maxwell, 2004). In addition, researchers are working to continue to confirm the links between important teacher behaviors/characteristics and children's educational and developmental outcomes. Head Start Program Performance Measures Conceptual Framework Head Start emphasizes a process of continuous program improvement. Teacher training, education, and development should adjust important teacher behaviors, increasing teacher effectiveness. This, in turn, should influence Head Start child, family and program outcomes. The Head Start program has been a leader in developing outcome-oriented accountability measures, considering the links between child, family, program outcomes, and school readiness. The program's "whole child" definition of school readiness represents a multi-faceted phenomenon comprised of eight developmental domains that are important to the child's readiness for school: language development, literacy, mathematics, science, creative arts, social and emotional development, approaches to learning, and physical health and development. Within those eight domains there are 27 individual domain elements, and numerous examples of specific indicators of children's skills, abilities, knowledge, and behaviors. The Head Start Child Outcomes Framework is based on the Head Start Program Performance Standards, Head Start Program Performance Measures, provisions of the Head Start Act, as amended in 1998, advice of the Office of Head Start’s Technical Work Group on Child Outcomes, and a review of documents on the assessment of young children and early childhood program accountability from a variety of State agencies and professional organizations. It is expected that projects proposed for this grant program will consider teacher change and child outcomes within the Head Start Outcomes Framework, highlighting program and policy issues that will directly impact Head Start practices. For a more detailed description of the Head Start Child Outcomes Framework, see http://eclkc.ohs.acf.hhs.gov/hslc/ecdh/eecd/Assessment/Child%20Outcomes/edudev_art_00090_080905.html. Head Start Professional Development Activities There are a variety of established teacher training activities that may play a significant role in impacting teacher behavior. In accordance with the Head Start legislation, the Office of Head Start invests significant resources in professional development activities for Head Start teachers. In 2006, Head Start launched the Early Childhood Learning and Knowledge Center (ECLKC) website to act as a hub for Head Start programmatic activities (http://eclkc.ohs.acf.hhs.gov/hslc). A large portion of the site is devoted to professional development resources for Head Start teachers (http://eclkc.ohs.acf.hhs.gov/hslc/Professional%20Development/Professional%20Development%20Resources/prodev_pps_00019_060905.html). Teaching and training strategies represented include: mentoring, on-line lessons, audio conferences, distance learning and partnering with local colleges. Beyond the Head Start ECLKC, there are a range of available resources targeted at enhancing teacher behaviors. These tools range from the structured (specific teacher training curricula) to the informal (local "tip sheets" distributed to colleagues). However, as noted above, teachers' performance in the classroom may be impacted by a variety of factors beyond teacher education and training (Howes, James & Ritchie, 2003). Current research suggests that there may be teacher behaviors and characteristics that are independent of specific curriculum and cut across all pedagogical domains in the classroom to influence teacher effectiveness (Early et al., in press; Kontos & Wilcox-Herzog, 2003; Zaslow et al., 2004). Examples of within-classroom behaviors that might be targeted include responsiveness to individual students, ongoing intentional incorporation of teaching strategies, and organizational skills. In addition, teacher characteristics (e.g., attitudes, perception of administrative support, and commitment to community) may interact with professional development strategies and interventions and should be considered when employing learning models. To ensure Head Start program improvement and children's educational gains, teacher education must be considered as one part of a system of factors that contribute to teacher effectiveness, which in turn relate to improved child outcomes (Early et al., in press). Research should investigate the effectiveness of a broad range of teaching and training strategies/interventions. Additionally, further exploration is needed into the processes and theoretical learning models that are useful in developing and sustaining desired teacher behaviors. Teacher improvement research should incorporate: 1) theoretical learning processes and models (http://www.bbk.ac.uk/ccs/elearn/teach_and_learn_models.htm#situated), 2) empirical testing of specific teaching strategies/intervention methods for training teachers, 3) targeted teacher behaviors/characteristics beyond credentials, and 4) a clear basis in theory and/or evidence for expected impacts on child outcomes. C. Priorities Funds available under this announcement will support research that is designed to identify and assess strategies for developing and sustaining Head Start teacher effectiveness through developing and sustaining changes in targeted teacher behaviors linked to child outcomes. Applicants must provide detailed descriptions and justification of a research design and methodology appropriate to the identified question(s). Researchers must demonstrate a partnership or partnerships with Head Start programs during all phases of the project. Competitive proposals will demonstrate the potential to significantly improve Head Start policies and services by identifying and assessing effective strategies/interventions that develop and sustain Head Start teacher behaviors likely to improve child outcomes, such as language and academic skills. The proposal must also include a logic model incorporating learning models, strategies/interventions, teacher behaviors/characteristics, and links to child outcomes in three- to five-year-olds. A competitive proposal will investigate teacher behaviors that have strong theoretical and/or empirical support for having effects on child outcomes, and will identify the specific child outcomes targeted. Competitive proposals will target teacher behaviors that are independent of curriculum and cut across all pedagogical domains in the classroom. In addition, the proposals should provide an in-depth model of teacher effectiveness by: 1) identifying the factors that should be addressed to achieve the most effective teacher learning, 2) increasing understanding of the resulting changes in teacher behavior, and 3) identifying the child outcomes targeted. Research questions of interest include: 1.) How do Head Start teachers develop/learn pedagogical behaviors that are likely to affect child outcomes?
2.) What factors mediate the teachers' learning of effective behavior?
3.) What teacher behaviors have an impact on child outcomes?
Three evaluation approaches are acceptable:
Competitive proposals will select an approach well matched to the proposed research questions. In addition, for the Fiscal Year (FY) 2008-FY2011 Head Start University Partnership (HSUP) grantees, a collaborative research effort will be expected throughout the project period, to increase the capacity of the individual projects. Minimally, this collaborative effort should produce some common measures and/or constructs used by all HSUP projects. This may include information regarding teacher qualifications, teacher behaviors, classroom qualities, child outcomes, staff trainings, technical assistance, and organizational and administrative support, as well as other outcome factors identified by the HSUP research group. The first year of the grant is expected to be devoted to activities related to strategy/intervention identification and planning for implementation, assessment, and/or empirical validation. At this stage, the project goals could include: a) defining the theory of change that guides the development of the approach, b) developing assessment procedures and documentation, c) establishing measures of fidelity and process, and d) refinement of the methods and measures proposed. Depending on the previously established nature of the strategies/interventions and teacher behaviors/characteristics being considered, a variety of pilot data could be collected in the first year. During years two and three of the grant, more advanced work would be expected. This should include careful implementation and evaluation of the identified strategy/intervention for changing teacher behavior and potential improvement in child outcomes. The projects should include a rigorous evaluation framework, detailing implementation processes for teacher trainings, and plans for maintaining fidelity of training and quality of data collection. Identified teacher behaviors should be operationally defined and potentially linked to other contextual constructs. The successful applicant should also provide plans for a sound research design that utilizes state-of-the-art methods to examine the outcomes of interest. The research design should maximize the likelihood of answering proposed research questions and contributing to the empirical knowledge in the field about teacher behavior and its impact on child outcomes. A number of parameters must be considered by the applicants to participate in the competition: 1. Eligible applicants include universities, four-year colleges, and non-profit institutions that apply on behalf of researchers who hold a doctorate degree or equivalent in their respective fields. Private institutions of higher education, including faith-based institutions, would also be eligible, if applying on behalf of a qualified researcher holding a doctorate degree or equivalent. The Principal Investigator must conduct research as a primary professional responsibility and have published or been accepted for publication in the major peer-reviewed research journals in the field, as a first or second author. See Section V.1, Evaluation Criteria for more information on how applications will be scored based on these program requirements. 2. Researchers are required to demonstrate a partnership or partnerships with Head Start programs as an integral part of the research plan development and execution. The application must contain a Letter of Agreement from the Head Start programs certifying that they have entered into a partnership with the applicant and a separate letter stating that 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). 3. The Principal Investigator must agree to attend a minimum of three meetings each year, including two semiannual HSUP grantee meetings, held in Washington, D.C., scheduled during the fall and spring of each year. The third meeting will coincide with the biennial Head Start National Research Conference in Washington, D.C. (June 2008 and 2010) and in 2009, will be scheduled at a time and place agreed upon by the grantees and the Federal Project Officer. The Budget and Budget Justification (Section V) should reflect travel funds for such purposes. See Section V, Evaluation Criteria, for more information on how applications will be scored based on these program requirements. II. AWARD INFORMATION Funding Instrument Type: Cooperative Agreement Substantial Involvement with Cooperative Agreement: Roles and Responsibilities of Grantee The Grantee will design and implement a research study to identify and assess effective strategies/interventions that develop and sustain the Head Start teacher behaviors likely to improve child outcomes. This research should incorporate: 1) theoretical learning processes and models (http://www.bbk.ac.uk/ccs/elearn/teach_and_learn_models.htm#situated), 2) empirical testing of specific teaching strategies/intervention methods for training teachers, 3) targeted teacher behaviors/characteristics beyond credentials, and 4) a clear basis in theory and/or evidence for expected impacts on child outcomes. Grantees must demonstrate a partnership or partnerships with Head Start programs during all phases of the project. In addition, Grantees will be expected to engage in a collaborative research effort throughout the project period, to increase the capacity of the individual projects. Minimally, this collaborative effort will produce some common measures and/or constructs used by all HSUP projects. This may include information regarding teacher qualifications, teacher behaviors, classroom qualities, child outcomes, staff trainings, technical assistance, and organizational and administrative support, as well as other outcome factors identified by the HSUP research group. Grantees will be expected to participate in a minimum of three meetings each year: two semiannual HSUP grantee meetings, held in Washington, D.C., scheduled during the fall and spring of each year, and a third research conference coinciding with the biennial Head Start National Research Conference in Washington, D.C. (June 2008 and 2010) and in 2009, occurring at a time and place agreed upon by the grantees and the Federal Project Officer. In addition, intermittent email and teleconference communications will take place among grantees and with the Federal Project Officer to ensure maximum collaborative effort among projects. Once data collection and analyses are complete, Grantees will collaborate to produce project materials with practical application for Head Start programs. The Grantee will submit to the Office of Planning, Research and Evaluation (OPRE) regular semi-annual Financial Status and Program Progress reports that describe activities including, at a minimum: a) information about the actions taken to implement the proposed research project, b) outcomes of the proposed project, and c) issues and obstacles identified through implementation of the project. Roles and Responsibilities of OPRE OPRE will monitor the project and provide technical assistance and feedback when necessary. OPRE will organize periodic consultations and teleconferences to review research activities, to share information, and to promote coordination of the project. OPRE will schedule and host three annual HSUP grantee meetings, set the agenda and coordinate activities. OPRE will collaborate in activities specified in the award and will approve specific project milestones including the development of common measures and the production of project materials. OPRE will act as a liaison between the Grantee and the Office of Head Start to ensure that the research products developed are translatable to a practice community.
ACF grant awards shall not exceed $150,000 for the first 12-month budget period, inclusive of indirect costs, and shall not exceed $250,000 per year for the second through third 12-month budget periods. The project period will be up to three years. The initial award will be for the first one-year budget period. Second and/or third year funding within the project period should be identified in the current application on Standard Form 424A. However, continued funding beyond the initial 12-month budget period will be considered in subsequent years on a non-competitive 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 Federal Government. Successful projects may be considered on a non-competitive basis, for an additional two years of funding after the completion of the three-year award funded under this announcement. Follow-up projects may include an experimental evaluation designed to rigorously assess the impact of selected strategies/interventions on identified child outcomes. These follow-up awards would be subject to the availability of funds, satisfactory progress of the grantee, and a determination that continued funding would be in the best interest of the Federal Government. Awards under this announcement are subject to the availability of funds. III. ELIGIBILITY INFORMATION 1. Eligible Applicants:
Foreign entities are not eligible under this announcement. Eligible applicants include: (a) Public, State-controlled and private universities, four-year colleges, and non-profit institutions shall be eligible to apply under this announcement. (b) Faith-based institutions of higher education shall be eligible to apply under this announcement. (c) Tribally Controlled Land Grant Colleges and Universities (TCUs) as cited in Section 532 of the Equity in Educational Land Grant Status Act of 1994 (7 U.S.C. -- 301 note), any other institutions that qualify for funding under the Tribally Controlled Community College Assistance Act of 1978, (25 U.S.C. -- 1801 et seq.), and Navajo Community College, authorized in the Navajo Community College Assistance Act of 1978, P.L. 95-471, Title II (25 U.S.C. -- 640a note) shall be eligible to apply under this announcement. (d) Historically Black Colleges and Universities (HBCUs) as defined in the amended version of the Higher Education Act of 1965, codified at 20 U.S.C. -- 1061(2), and that are institutions established prior to 1964 whose principal mission was, and is, the education of Black Americans, and must satisfy Section 322 of the Higher Education Act of 1965, as amended. Institutions that meet the definition of "Part B institution" in Section 322 of the Higher Education Act of 1965, as amended, 20 U.S.C. -- 1061(2), shall be eligible for assistance under this announcement. (e) Hispanic Serving Institutions (HSIs) as defined in the amended version of the Higher Education Act of 1965, codified at 20 U.S.C. -- 1101(a), and that are institutions that satisfy Section 502(5) of the Higher Education Act of 1965, as amended. Institutions that meet the definition of "Hispanic Serving Institution" in Section 502(5) of the Higher Education Act of 1965, as amended, 20 U.S.C. --1101, shall be eligible for assistance under this announcement. See http://thomas.loc.gov/ for more information about the citations of U.S. Code and Legislation that appear in paragraphs (c) through (e). See Section V.1, Evaluation Criteria for more information on how applications will be scored. Please see Section IV for required documentation supporting eligibility or funding restrictions if any are applicable. 2. Cost Sharing or Matching: None 3. Other: Institutions must apply 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 been accepted for publication in the major peer-reviewed research journals in the field, as a first or second author. Applicant organizations may submit more than one application, on behalf of more than one researcher, subject to the qualifications listed in this section. Though a researcher can serve as a Principal Investigator on more than one application, only one of these applications may receive funding. The application must contain a) the original copy of a letter from the Head Start programs 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. This certification of approval or pending approval by the Policy Council must also be the original letter from the official representative of the Policy Council itself. See Section IV.2 for further information. Disqualification Factors
IV. APPLICATION AND SUBMISSION INFORMATION 1. Address to Request Application Package: Head Start Research Support Technical Assistance Team 2. Content and Form of Application Submission: Letter of Intent to Submit an Application: Applicants are strongly encouraged to notify OPRE by fax or email by the letter of intent due date found at the beginning of this announcement and in Section IV.3. 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 Funding Opportunity Number and title of this announcement; the names, addresses, telephone and fax numbers, and email addresses of the Principal Investigator and the fiscal agent (if known); and the name of the university, non-profit institution of higher education or other eligible organization. Do not include a description of the proposed project. Failure to submit a letter of intent will not impact eligibility to submit an application and will not disqualify an application from competitive review. Send this information to: "Head Start Research Support Technical Assistance Team" 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 to the Standard Forms (SFs) listed later in this section. 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, on formal letterhead from the institution, including the Funding Opportunity Number and the title of the proposed project. b. Forms and Certifications may be found at http://www.acf.hhs.gov/programs/ofs/forms.htm.
c. Table of Contents d. Project Abstract (not to exceed one page) e. Project Narrative Statement (see details below) f. Budget Narrative (see Section V, Application Review Information) g. Appendices
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 sections of this funding opportunity, and the structure requirements listed in Section V, Application Review Information. Content of the Letters of Agreement: For research conducted with Head Start, the application must contain a) the original copy of a letter from the 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. This certification of approval or pending approval by the Policy Council must also be the original letter from the official representative of the Policy Council itself. Biographical Sketch: These are used to partially evaluate Staff and Position Data (see Section V.1). Inclusion of information regarding the Principal Investigator's work and publication history that will address the evaluation criteria is encouraged. Curriculum Vitae would appropriately address this need. D-U-N-S Requirement All applicants must have a D&B Data Universal Numbering System (D-U-N-S) number. On June 27, 2003, the Office of Management and Budget (OMB) published in the Federal Register a new Federal policy applicable to all Federal grant applicants. The policy requires Federal grant applicants to provide a D-U-N-S number when applying for Federal grants or cooperative agreements on or after October 1, 2003. The D-U-N-S number will be required whether an applicant is submitting a paper application or using the government-wide electronic portal, Grants.gov. A D-U-N-S 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 D-U-N-S number. You may acquire a D-U-N-S number at no cost by calling the dedicated toll-free D-U-N-S number request line at 1-866-705-5711 or you may request a number on-line at http://www.dnb.com. Proof of Non-Profit Status Non-profit organizations applying for funding are required to submit proof of their non-profit status. Proof of non-profit status is any one of the following:
When applying electronically, we strongly suggest that you attach your proof of non-profit status with your electronic application. Private, non-profit organizations are encouraged to submit with their applications the survey located under Grant Related Documents and Forms: Survey for Private, Non-Profit Grant Applicants, titled, Survey on Ensuring Equal Opportunity for Applicants, at: http://www.acf.hhs.gov/grants/grants_resources.html. Forms, Assurances, and Certifications The project description should include all the information requirements described in the specific evaluation criteria outlined in this program announcement under Section V. Application Review Information. In addition to the project description, the applicant needs to complete all of the Standard Forms required as part of the application process for awards under this announcement. Applicants seeking financial assistance under this announcement must file the appropriate Standard Forms (SFs) as described in this section. All applicants must submit an SF-424, Application for Federal Assistance. For non-construction programs, applicants must also submit an SF-424A, Budget Information and an SF-424B, Assurances. For construction programs, applicants must also submit SF-424C, Budget Information and SF-424D, Assurances. For research programs that involve human subjects, the Protection of Human Subjects Assurance Identification/IRB Certification/Declaration of Exemption form must be submitted. All forms may be reproduced for use in submitting applications. Applicants must sign and return the standard forms with their application. Applicants must furnish, prior to award, an executed copy of the Certification Regarding Lobbying. Applicants must sign and return the certification with their application. The Certification Regarding Lobbying may be found at: http://www.acf.hhs.gov/grants/grants_resources.html. (If any funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this commitment providing for the United States to insure or guarantee a loan, the applicant shall complete and submit Standard Form (SF)-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions.) Applicants must also understand that they will be held accountable for the smoking prohibition included within Public Law (P.L.) 103-227, Title XII Environmental Tobacco Smoke (also known as the PRO-KIDS Act of 1994). A copy of the Federal Register notice that implements the smoking prohibition is included with this form. By signing and submitting the application, applicants are providing the necessary certification and are not required to return it. Applicants must make the appropriate certification of their compliance with all Federal statutes relating to nondiscrimination. By signing and submitting the application, applicants are providing the necessary certification and are not required to return it. Complete the standard forms and the associated certifications and assurances based on the instructions on the forms. The forms and certifications may be found at: http://www.acf.hhs.gov/grants/grants_resources.html. Grants awarded under the HSUP Grants: Strategies for Developing Head Start Teacher Effectiveness will support research that includes human subjects (potentially including women and minorities). As such, applicants must submit a completed Assurance Regarding Protection of Human Subjects form by the date of award. This Assurance may be found at http://www.acf.hhs.gov/programs/ofs/forms.htm. Private, non-profit organizations are encouraged to submit with their applications the survey located under Grant Related Documents and Forms: Survey for Private, Non-Profit Grant Applicants, titled, Survey on Ensuring Equal Opportunity for Applicants, at: http://www.acf.hhs.gov/grants/grants_resources.html. Please see Section V.1 for instructions on preparing the full project description. Please reference Section IV.3 for details about acknowledgement of received applications. Electronic Submission Applicants to ACF may submit their applications in either electronic or paper format. To submit an application electronically, please use the http://www.Grants.gov site. When using www.Grants.gov, applicants will be able to download a copy of the application package, complete it off-line, and then upload and submit the application via the www.Grants.gov site. ACF will not accept grant applications via facsimile or email. Acceptable electronic formats for the application attachments (narratives, charts, etc.) must use the following standard technologies, i.e., Microsoft (Word and Excel), Word Perfect, Adobe PDF, Jpeg, and Gif. IMPORTANT NOTE: Before submitting an electronic application, applicants must complete the organization registration process as well as obtain and register "electronic signature credentials" for the Authorized Organization Representative (AOR). Since this process may take more than five business days, it is important to start this process early, well in advance of the application deadline. Be sure to complete all www.Grants.gov registration processes listed on the Organization Registration Checklist, which can be found at http://www.acf.hhs.gov/grants/registration_checklist.html. Please note the following if planning to submit an application electronically via www.Grants.gov:
Hard Copy Submission Applicants that are submitting their application in paper format should submit one original and two copies of the complete application. The original and each of the two copies must include all required forms, certifications, assurances, and appendices, be signed by an authorized representative, and be unbound. The original copy of the application must have original signature(s). Non-Federal Reviewers Since ACF will be using non-Federal reviewers in the review process, 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 as well as Social Security Numbers, if otherwise required for individuals. The copies may include summary salary information. If applicants are submitting their application electronically, ACF will omit the same specific salary rate information from copies made for use during the review and selection process. 3. Submission Dates and Times: Due Date For Letter of Intent: November 20, 2007 Due Date for Applications: December 19, 2007 Explanation of Due Dates The due date for receipt of applications is referenced above. Applications received after 4:30 p.m., eastern time, on the due date will be classified as late and will not be considered in the current competition. Applicants are responsible for ensuring that applications are mailed or hand-delivered or submitted electronically well in advance of the application due date and time. Applications that are submitted by mail must be received no later than 4:30 p.m., eastern time, on the due date referenced above at the address listed in Section IV.6. Hand Delivery Applications hand carried by applicants, applicant couriers, other representatives of the applicant, or by overnight/express mail couriers must be received on or before the due date referenced above, between the hours of 8:00 a.m. and 4:30 p.m., eastern time, at the address referenced in Section IV.6., between Monday and Friday (excluding Federal holidays). Electronic Submission Applications submitted electronically via Grants.gov must be submitted no later than 4:30 p.m., eastern time, on the due date referenced above. ACF cannot accommodate transmission of applications by facsimile or email. Late Applications Applications that do not meet the requirements above are considered late applications. ACF shall notify each late applicant that its application will not be considered in the current competition. ANY APPLICATION RECEIVED AFTER 4:30 P.M., EASTERN TIME, ON THE DUE DATE WILL NOT BE CONSIDERED FOR 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 mail service; or in other rare cases. A determination to extend or waive deadline requirements rests with the Chief Grants Management Officer. Receipt acknowledgement for application packages will not be provided to applicants who submit their package via mail, courier services, or by hand delivery. Applicants will receive an electronic acknowledgement for applications that are submitted via http://www.Grants.gov. Checklist You may use the checklist below as a guide when preparing your application package.
Private, non-profit organizations are encouraged to submit with their applications the survey located under Grant Related Documents and Forms: Survey for Private, Non-Profit Grant Applicants, titled, Survey on Ensuring Equal Opportunity for Applicants, at: http://www.acf.hhs.gov/grants/grants_resources.html.
State Single Point of Contact (SPOC) This program is covered under Executive Order (Exec. 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 Exec. Order, States may design their own processes for reviewing and commenting on proposed Federal assistance under covered programs. As of August 1, 2006, the following jurisdictions have elected to participate in the Exec. Order process: Arkansas, California, Delaware, District of Columbia, Florida, Georgia, Illinois, Iowa, Kentucky, Maine, Maryland, Michigan, Mississippi, Missouri, Nevada, New Hampshire, New York, North Dakota, Rhode Island, South Carolina, Texas, Utah, West Virginia, Wisconsin, American Samoa, Guam, Northern Mariana Islands, Puerto Rico, and U.S. Virgin Islands. As these jurisdictions have elected to participate in the Executive Order process, they have established SPOCs. Applicants from participating jurisdictions should contact their SPOC, as soon as possible, to alert them of prospective applications and receive instructions. Applicants must submit all required materials, if any, to the SPOC and indicate the date of this submittal (or the date of contact if no submittal is required) on the Standard Form 424, item 16a. Under 45 CFR 100.8(a)(2), a SPOC has 60 days from the application deadline to comment on proposed new or competing continuation awards. SPOCs are encouraged to eliminate the submission of routine endorsements as official recommendations. Additionally, SPOCs are requested to clearly differentiate between mere advisory comments and those official State process recommendations, which may trigger the "accommodate or explain" rule. Comments submitted directly to ACF should be addressed to the U.S. Department of Health and Human Services, Administration for Children and Families, Office of Grants Management, Division of Discretionary Grants, 370 L'Enfant Promenade SW., 6th Floor, Washington, DC 20447. Although the remaining jurisdictions have chosen not to participate in this process, entities that meet the eligibility requirements of the Program Announcement are still eligible to apply for a grant even if a State, Territory, or Commonwealth, etc., does not have a SPOC. Therefore, applicants from these jurisdictions, or for projects administered by Federally-recognized Indian Tribes, need take no action in regard to Exec. Order 12372. The official list, including addresses, of the jurisdictions that have elected to participate in Exec. Order 12372 can be found on the following URL: http://www.whitehouse.gov/omb/grants/spoc.html. 5. Funding Restrictions: Fundraising is not an allowable cost under this program. Grant awards will not allow reimbursement of pre-award costs. Construction and purchase of real property are not allowable activities or expenditures under this grant award. The Principal Investigator must agree to attend three meetings each year: two semiannual HSUP grantee meetings, held in Washington, D.C., scheduled during the fall and spring of each year, and a third research conference coinciding with the biennial Head Start National Research Conference in Washington, D.C. (June 2008 and 2010) and in 2009, occurring at a time and place agreed upon by the grantees and the Federal Project Officer. The Budget and Budget Justification (Section V) should reflect travel funds for such purposes. 6. Other Submission Requirements: Please see Sections IV.2 and IV.3 for deadline information and other application requirements. Submit applications to one of the following addresses: Submission by Mail Head Start Research Support Technical Assistance Team Hand Delivery Head Start Research Support Technical Assistance Team Electronic Submission Please see Section IV.2 for guidelines and requirements when submitting applications electronically via http://www.Grants.gov. V. APPLICATION REVIEW INFORMATION The Paperwork Reduction Act of 1995 (P.L. 104-13) Public reporting burden for this collection of information is estimated to average 40 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 4/30/2010. 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. 1. Criteria: Part I THE PROJECT DESCRIPTION OVERVIEW PURPOSE The project description provides the majority of information by which an application is evaluated and ranked in competition with other applications for available assistance. The project description should be concise and complete. It 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 the project description, information that is responsive to each of the requested evaluation criteria must 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 in a manner that is clear and complete. GENERAL EXPECTATIONS AND INSTRUCTIONS ACF is particularly interested in specific project descriptions that focus on outcomes and convey strategies for achieving intended performance. Project descriptions are evaluated on the basis of substance and measurable outcomes, not length. Extensive exhibits are not required. Cross-referencing should be used rather than repetition. Supporting information concerning activities that will not be directly funded by the grant or information that does not directly pertain to an integral part of the grant-funded activity should be placed in an appendix. Pages should be numbered and a table of contents should be included for easy reference. Part II GENERAL INSTRUCTIONS FOR PREPARING A FULL PROJECT DESCRIPTION INTRODUCTION Applicants that are required to submit a full project description shall prepare the project description statement in accordance with the following instructions while being aware of the specified evaluation criteria. The text options give a broad overview of what the project description should include while the evaluation criteria identify the measures that will be used to evaluate applications. PROJECT SUMMARY/ABSTRACT Provide a summary of the project description (one page or less) with reference to the funding request. OBJECTIVES AND NEED FOR ASSISTANCE Clearly identify the physical, economic, social, financial, institutional, and/or other problem(s) requiring a solution. The need for assistance must be demonstrated and the principal and subordinate objectives of the project must be clearly stated; supporting documentation, such as letters of support and testimonials from concerned interests other than the applicant, may be included. Any relevant data based on planning studies should be included or referred to in the endnotes/footnotes. Incorporate demographic data and participant/beneficiary information, as needed. In developing the project description, the applicant may volunteer or be requested to provide information on the total range of projects currently being conducted and supported (or to be initiated), some of which may be outside the scope of the program announcement. RESULTS OR BENEFITS EXPECTED Identify the results and benefits to be derived. For example, an applicant should explain how the proposed project will achieve the specific goals and objectives described in the proposal. An applicant should explain how the expected results will maximize the effectiveness of strategies/interventions that develop and sustain the Head Start teacher behaviors likely to improve child outcomes, particularly language and academic skills. An applicant should provide justification for the proposed research design and assess theoretical and, to the extent possible, empirical links to child outcomes. Projects should include identification and assessment of teacher behaviors/characteristics, beyond educational credentials, that may improve Head Start child outcomes. An applicant should identify what lessons will be learned that might help the national program and other agencies and organizations that offer similar services provided by early childhood teachers. APPROACH Outline a plan of action that describes the scope and detail of how the proposed work will be accomplished. Account for all functions or activities identified in the application. Cite factors that might accelerate or decelerate the work and state your reason for taking the proposed approach rather than others. Describe any unusual features of the project such as design or technological innovations, reductions in cost or time, or extraordinary social and community involvement. Provide quantitative monthly or quarterly projections of the accomplishments to be achieved for each function or activity in such terms as the number of people to be served and the number of activities accomplished. When accomplishments cannot be quantified by activity or function, list them in chronological order to show the schedule of accomplishments and their target dates. If any data is to be collected, maintained, and/or disseminated, clearance may be required from the OMB. This clearance pertains to any "collection of information that is conducted or sponsored by ACF." Provide a list of organizations, cooperating entities, consultants, or other key individuals who will work on the project along with a short description of the nature of their effort or contribution. EVALUATION Provide a narrative addressing how the conduct of the project and the results 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 that address the project's effectiveness. ADDITIONAL INFORMATION The following are requests for additional information that must be included in the application: STAFF AND POSITION DATA Provide a biographical sketch and job description for each key person appointed. Job descriptions for each vacant key position should be included as well. As new key staff is appointed, biographical sketches will also be required. ORGANIZATIONAL PROFILES Provide information on the applicant organization(s) and cooperating partners, such as: organizational charts; financial statements; audit reports or statements from Certified Public Accountants/Licensed Public Accountants; Employer Identification Number(s); contact persons and telephone numbers; names of bond carriers; 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. If the applicant is a non-profit organization, it should submit proof of its non-profit status in its application. The non-profit agency can accomplish this by providing any one of the following: a) a reference to the applicant organization's listing in the IRS's most recent list of tax-exempt organizations described in the IRS Code; b) a copy of a currently valid IRS tax exemption certificate; c) a statement from a State taxing body, State attorney general, or other appropriate State official certifying that the applicant organization has a non-profit status and that none of the net earnings accrues to any private shareholders or individuals; d) a certified copy of the organization's certificate of incorporation or similar document that clearly establishes non-profit status; or e) any of the items immediately above for a State or national parent organization and a statement signed by the parent organization that the applicant organization is a local non-profit affiliate. DISSEMINATION PLAN Provide a plan for distributing reports and other project outputs to colleagues and to the public. Applicants must provide a description of the method, volume, and timing of distribution. BUDGET AND BUDGET JUSTIFICATION Provide a budget with line-item detail and detailed calculations for each budget object class identified on the Budget Information Form (SF-424A or SF-424C). Detailed calculations must include estimation methods, quantities, unit costs, and other similar quantitative detail sufficient for the calculation to be duplicated. If matching is a requirement, 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 allocation of the proposed costs. GENERAL Use the following guidelines for preparing the budget and budget justification. Both Federal and non-Federal resources (when required) shall be detailed and justified in the budget and budget narrative justification. "Federal resources" refers only to the ACF grant funds for which you are applying. "Non-Federal resources" are all other non-ACF 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 in a narrative form. PERSONNEL Description: Costs of employee salaries and wages. Justification: Identify the project director or principal investigator, if known at the time of application. 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, personnel costs of delegate agencies, or of specific project(s) and/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. (This item does not include costs of consultant travel). Justification: For each trip show: the total number of traveler(s); travel destination; duration of trip; per diem; mileage allowances, if privately owned vehicles will be used; and other transportation costs and subsistence allowances. Travel costs for key staff to attend ACF-sponsored workshops should be detailed in the budget. 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 that supports the amount requested. OTHER Enter the total of all other costs. Such costs, where applicable and appropriate, may include but are not limited to: insurance; food; medical and dental costs (noncontractual); professional services costs; space and equipment rentals; printing and publication; computer use; training costs, such as tuition and stipends; staff development costs; and administrative costs. Justification: Provide computations, a narrative description and a justification for each cost under this category. INDIRECT CHARGES Description: Total amount of indirect costs. This category should be used only when the applicant currently has an indirect cost rate approved by the Department of Health and Human Services (HHS) or another cognizant Federal agency. Justification: An applicant that will charge indirect costs to the grant must enclose a copy of the current rate agreement. If the applicant organization is in the process of initially developing or renegotiating a rate, upon notification that an award will be made, it should immediately develop a tentative indirect cost rate proposal based on its most recently completed fiscal year, in accordance with 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. When an indirect cost rate is requested, those costs included in the indirect cost pool should not be charged as direct costs to the grant. Also, if the applicant is requesting a rate that 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. TOTAL DIRECT CHARGES, TOTAL INDIRECT CHARGES, TOTAL PROJECT COSTS EVALUATION CRITERIA: The corresponding score values indicate the relative importance that ACF places on each evaluation criterion; however, applicants need not develop their applications precisely according to the order presented. Application components may be organized such that a reviewer will be able to follow a seamless and logical flow of information (i.e., from a broad overview of the project to more detailed information about how it will be conducted). In considering how applicants will carry out the responsibilities addressed under this announcement, competing applications for financial assistance will be reviewed and evaluated against the following criteria: APPROACH - 30 points In reviewing the project approach, the following factors will be considered:
STAFF AND POSITION DATA - 15 points In reviewing the staff and position data, the following factors will be considered:
EVALUATION - 30 points In reviewing the project evaluation plan, the following factors will be considered:
RESULTS OR BENEFITS EXPECTED - 15 points In reviewing the results or benefits expected, the following factors will be considered:
BUDGET AND BUDGET JUSTIFICATION - 10 points In reviewing the budget and budget justification, the following criteria will be considered:
2. Review and Selection Process: No grant award will be made under this announcement on the basis of an incomplete application. Each application will be screened to determine whether it was received by the closing date and time (Section IV.3.) and whether the requested amount exceeds the ceiling or upper range value, whichever is appropriate (Section II.) 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 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 OPRE and the Office of Head Start'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. Refer to Section IV.2 for information on non-Federal reviewers in the review process. Approved but Unfunded Applications Applications that are approved but unfunded may be held over for funding in the next funding cycle, pending the availability of funds, for a period not to exceed one year. 3. Anticipated Announcement and Award Dates: 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 that are not selected for funding will be notified in writing by ACF. ACF anticipates awarding funds before the end of the 2008 Fiscal Year, subject to the availability of funds and a determination that funding is in the best interest of the Federal Government. VI. AWARD ADMINISTRATION INFORMATION 1. Award Notices: The successful applicants will be notified through the issuance of a Financial Assistance Award document, which sets forth the amount of funds granted, the terms and conditions of the grant, the effective date of the grant, the budget period for which initial support will be given, the non-Federal share to be provided (if applicable), and the total project period for which support is contemplated. The Financial Assistance Award will be signed by the Grants Officer and transmitted via postal mail. Following the finalization of funding decisions, organizations whose applications will not be funded will be notified by letter, signed by the Program Office head. 2. Administrative and National Policy Requirements: Grantees are subject to the requirements in 45 CFR Part 74 (non-governmental) or 45 CFR Part 92 (governmental). Direct Federal grants, sub-award funds, or contracts under this ACF program shall not be used to support inherently religious activities such as religious instruction, worship, or proselytization. Therefore, organizations must take steps to separate, in time or location, their inherently religious activities from the services funded under this program. Regulations pertaining to the Equal Treatment for Faith-Based Organizations, which includes the prohibition against Federal funding of inherently religious activities, can be found at the HHS web site at: http://www.hhs.gov/fbci/waisgate21.pdf. A faith-based organization receiving HHS funds retains its independence from Federal, State, and local governments, and may continue to carry out its mission, including the definition, practice, and expression of its religious beliefs. For example, a faith-based organization may use space in its facilities to provide secular programs or services funded with Federal funds without removing religious art, icons, scriptures, or other religious symbols. In addition, a faith-based organization that receives Federal funds retains its authority over its internal governance, and it may retain religious terms in its organization's name, select its board members on a religious basis, and include religious references in its organization's mission statements and other governing documents in accordance with all program requirements, statutes, and other applicable requirements governing the conduct of HHS funded activities. Faith-based and community organizations may reference the "Guidance to Faith-Based and Community Organizations on Partnering with the Federal Government" at: http://www.whitehouse.gov/government/fbci/guidance/index.html. HHS Grants Policy Statement The HHS Grants Policy Statement (GPS) is the Department of Health and Human Services new single policy guide for discretionary grants and cooperative agreements. Unlike previous HHS policy documents, the GPS is intended to be shared with and used by grantees. It became effective October 1, 2006 and is applicable to all Operating Divisions (OPDIVS), such as the Administration for Children and Families (ACF), except the National Institutes of Health (NIH). The GPS covers basic grants processes, standard terms and conditions and points of contact as well as important OPDIV-specific requirements. Appendices include a glossary of terms and a list of standard abbreviations for ease of reference. The GPS may be accessed at http://www.acf.hhs.gov/grants/grants_resources.html. The Head Start Act requires the Department to take steps to establish the ownership of the Federal Government of “all studies, reports, proposals, and data” produced as part of the implementation of grants, see Section 649(f) of the Head Start Act, 42 U.S.C. 9844(f). OPRE plans to incorporate terms in the awards under this announcement that are necessary for the implementation of Section 649(f). 3. Reporting Requirements: Grantees will be required to submit program progress and financial reports (SF-269 found at: http://www.acf.hhs.gov/grants/grants_resources.html) throughout the project period. Program progress and financial reports are due 30 days after the reporting period. Final programmatic and financial reports are due 90 days after the close of the project period. Final reports may be submitted in hard copy to the Grants Management Office Contact listed in Section VII of this announcement. Program Progress Reports: Semi-Annually Reporting periods are six months in length (starting with the award date). Semi-annual reports are due within 30 days after the end of each reporting 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 S.W., Washington, DC 20447. VII. AGENCY CONTACTS Program Office Contact: Head Start Research Support Technical Assistance Team Grants Management Office Contact: Head Start Research Support Technical Assistance TeamOPRE Grant Review Team Office of Grants Management Xtria, LLC 8045 Leesburg Pike, Suite 400 Vienna, VA 22182 Phone: 877-663-0250 Email: opre@xtria.com VIII. OTHER INFORMATION Grantees must provide copies of all materials produced with Head Start grant funds to ACF as soon as they become available.
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