Health and Human Services: HHS-2008-ACF-OPRE-YR-0060

8/14/2019 Health and Human Services: HHS-2008-ACF-OPRE-YR-0060

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Department of Health & Human ServicesAdministration for Children and Families

Program Office: Office of Planning, Research and Evaluation

(OPRE)

FundingOpportunity Title:

Head Start University Partnership ResearchGrants: Strategies for Developing Head StartTeacher Effectiveness

AnnouncementType:

Initial

FundingOpportunity

Number:

HHS-2008-ACF-OPRE-YR-0060

CFDA Number: 93.600

Due Date For Letterof Intent:

November 20, 2007

Due Date forApplications:

December 19, 2007

Executive Summary:

The Administration for Children and Families (ACF) announces thatfunds are available for Head Start University Partnership ResearchGrants: Strategies for Developing Head Start Teacher Effectiveness.These grants fund research activities to identify and assess effectivestrategies/interventions that develop and sustain the Head Startteacher behaviors likely to improve child outcomes.

This grant program is part of a larger Head Start research effort. Formore information, see the Head Start Graduate Student Researchannouncement listed on http://www.Grants.Gov, or onhttp://www.acf.hhs.gov/grants/index.html, or send an email inquiry to

[email protected].

Award amounts for these grants will be up to $150,000 for thefirst budget period, and up to $250,000 for each of twoadditional budget periods, subject to availability. (Total of up to$650,000).

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mailto:[email protected]


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I. FUNDING OPPORTUNITY DESCRIPTION

Legislative Authority

Section 649 of the Head Start Act, as amended by the CommunityOpportunities, 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 fundsto support research grant projects to identify and assessstrategies/interventions that develop and sustain the Head Startteacher behaviors likely to improve outcomes in children three to five

years of age. Grantees will be required to establishresearcher/program partnerships with Head Start programs.

Definitions:

Budget Period--The intervals of time (usually 12 months each) intowhich 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 beenprogrammatically approved. The total project period comprises the

initial competitive segment, any subsequent competitive segmentsresulting from a competing continuation award, and any non-competing extensions.

B. Background

Since 1965, the Head Start program has provided comprehensive earlyeducation and support services to low-income three- and four-year-oldchildren and their families. In 2006, Head Start programs included1,888 preschool programs, 745 Early Head Start programs, and 83Migrant and Seasonal Head Start programs. Head Start programs

encompassed 218,799 staff including 56,938 Head Start/Early HeadStart teachers and 53,462 Assistant Teachers (Head Start ProgramInformation Report (PIR), 2006).

Some studies suggest that teachers with higher levels of education inearly childhood development can improve outcomes for preschoolchildren (e.g., Blau, 2000; Howes, Whitebook & Phillips, 1992;National Institute of Child Health and Human Development, Early Child

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Care Research Network (NICHD ECCRN), 2000) and a number of policydirectives have focused on this finding. A Congressional mandate in1998 directed that half of all center-based Head Start teachersnationwide obtain an Associate of Arts (A.A.) degree or higher bySeptember 2003. Head Start programs readily achieved this goal. PIR

data for 2006 reported that 66.4 percent of Head Start teachers holdan A.A. or higher, 32.5 percent hold a Bachelor of Arts (B.A.s) orhigher, and 5.1 percent hold a graduate degree.

However, there continues to be debate in the early childhood field asto whether increasing teachers' educational credentials will result inimproved 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 andChild Experiences Survey (FACES), a longitudinal study of Head Startprograms, demonstrates inconsistent, limited associations between

teachers' education levels and measures of classroom quality and childoutcomes (ACF, 2003; ACF, in preparation; ACYF, 2001).

A growing number of researchers are concentrating on other factorsthat may impact the effectiveness of teachers' performance andbehavior in the classroom. These factors include the theoreticallearning models and approaches used in teacher education (such asscaffold learning, experiential learning, and socially mediatedlearning), the effectiveness of the teaching and trainingstrategies/interventions employed to change teacher behavior (such asmentoring or distance learning), and assessment of additionalimportant 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 workingto continue to confirm the links between important teacherbehaviors/characteristics and children's educational and developmentaloutcomes.

Head Start Program Performance Measures Conceptual Framework

Head Start emphasizes a process of continuous program improvement.

Teacher training, education, and development should adjust importantteacher behaviors, increasing teacher effectiveness. This, in turn,should influence Head Start child, family and program outcomes. TheHead Start program has been a leader in developing outcome-orientedaccountability 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

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comprised of eight developmental domains that are important to thechild's readiness for school: language development, literacy,mathematics, science, creative arts, social and emotionaldevelopment, approaches to learning, and physical health anddevelopment. 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 StartChild Outcomes Framework is based on the Head Start ProgramPerformance Standards, Head Start Program Performance Measures,provisions of the Head Start Act, as amended in 1998, advice of theOffice of Head Start’s Technical Work Group on Child Outcomes, and areview of documents on the assessment of young children and earlychildhood program accountability from a variety of State agencies andprofessional organizations. It is expected that projects proposed forthis grant program will consider teacher change and child outcomeswithin the Head Start Outcomes Framework, highlighting program andpolicy issues that will directly impact Head Start practices.

For a more detailed description of the Head Start Child OutcomesFramework, seehttp://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 mayplay a significant role in impacting teacher behavior. In accordance

with the Head Start legislation, the Office of Head Start investssignificant resources in professional development activities for HeadStart teachers. In 2006, Head Start launched the Early ChildhoodLearning and Knowledge Center (ECLKC) website to act as a hub forHead Start programmatic activities(http://eclkc.ohs.acf.hhs.gov/hslc). A large portion of the site isdevoted 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 partneringwith local colleges. Beyond the Head Start ECLKC, there are a range of available resources targeted at enhancing teacher behaviors. Thesetools range from the structured (specific teacher training curricula) tothe informal (local "tip sheets" distributed to colleagues).

However, as noted above, teachers' performance in the classroom maybe impacted by a variety of factors beyond teacher education and

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training (Howes, James & Ritchie, 2003). Current research suggeststhat there may be teacher behaviors and characteristics that areindependent of specific curriculum and cut across all pedagogicaldomains in the classroom to influence teacher effectiveness (Early etal., in press; Kontos & Wilcox-Herzog, 2003; Zaslow et al., 2004).

Examples of within-classroom behaviors that might be targeted includeresponsiveness to individual students, ongoing intentionalincorporation of teaching strategies, and organizational skills. Inaddition, teacher characteristics (e.g., attitudes, perception of administrative support, and commitment to community) may interactwith professional development strategies and interventions and shouldbe considered when employing learning models.

To ensure Head Start program improvement and children's educationalgains, teacher education must be considered as one part of a systemof factors that contribute to teacher effectiveness, which in turn relate

to improved child outcomes (Early et al., in press). Research shouldinvestigate the effectiveness of a broad range of teaching and trainingstrategies/interventions. Additionally, further exploration is neededinto the processes and theoretical learning models that are useful indeveloping and sustaining desired teacher behaviors. Teacherimprovement research should incorporate: 1) theoretical learningprocesses and models(http://www.bbk.ac.uk/ccs/elearn/teach_and_learn_models.htm#situated), 2) empirical testing of specific teaching strategies/interventionmethods for training teachers, 3) targeted teacher

behaviors/characteristics beyond credentials, and 4) a clear basis intheory and/or evidence for expected impacts on child outcomes.

C. Priorities

Funds available under this announcement will support research that isdesigned to identify and assess strategies for developing andsustaining Head Start teacher effectiveness through developing andsustaining changes in targeted teacher behaviors linked to childoutcomes.

Applicants must provide detailed descriptions and justification of a

research design and methodology appropriate to the identifiedquestion(s). Researchers must demonstrate a partnership orpartnerships with Head Start programs during all phases of theproject. Competitive proposals will demonstrate the potential tosignificantly improve Head Start policies and services by identifyingand assessing effective strategies/interventions that develop andsustain Head Start teacher behaviors likely to improve child outcomes,

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such as language and academic skills. The proposal must also includea 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 teacherbehaviors that have strong theoretical and/or empirical support for

having effects on child outcomes, and will identify the specific childoutcomes targeted.

Competitive proposals will target teacher behaviors that areindependent of curriculum and cut across all pedagogical domains inthe classroom. In addition, the proposals should provide an in-depthmodel of teacher effectiveness by: 1) identifying the factors thatshould 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 behaviorsthat are likely to affect child outcomes?

• What types of teacher learning models are effective in targetingthe teacher behaviors likely to affect child outcomes?

• How do systemic and contextual factors fit within teacherlearning models?

• How can programs reliably assess teacher development (i.e.,measures of teacher intentionality, classroom behaviorobservation, or teacher pedagogical knowledge)?

2.) What factors mediate the teachers' learning of effective behavior?

• What factors can enhance or undermine the development andsustainability of improved teacher behavior?

• How do relationships with colleagues, administration, parents,and children interact with the teachers' behavior?

3.) What teacher behaviors have an impact on child outcomes?

• Given a range of teacher characteristics/behaviors, which aremost important for child outcomes?

• Are changes in intentional teaching associated with improvedacademic skills in children?

Three evaluation approaches are acceptable:

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• Experimental evaluations to assess impacts on teacher behavioror on teacher behavior and child outcomes through use of random assignment of children, teachers, classrooms, centers,or other units. This approach is most appropriate forinterventions that have already been developed and studied to

some degree.• Quasi-experimental evaluations to assess impacts on teacher

behavior or on teacher behavior and child outcomes through useof carefully matched comparison groups or natural experiments.This approach is also most appropriate for interventions thathave already been developed and studied.

• Implementation evaluations are most appropriate forinterventions in the early stages of development, to studyquestions related to the operation of the intervention such asfidelity of implementation and the validity and reliability of measures.

Competitive proposals will select an approach well matched to theproposed research questions.

In addition, for the Fiscal Year (FY) 2008-FY2011 Head Start UniversityPartnership (HSUP) grantees, a collaborative research effort will beexpected throughout the project period, to increase the capacity of theindividual projects. Minimally, this collaborative effort should producesome 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, aswell as other outcome factors identified by the HSUP research group.

The first year of the grant is expected to be devoted to activitiesrelated to strategy/intervention identification and planning forimplementation, assessment, and/or empirical validation. At thisstage, the project goals could include: a) defining the theory of changethat guides the development of the approach, b) developingassessment procedures and documentation, c) establishing measuresof 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/characteristicsbeing considered, a variety of pilot data could be collected in the firstyear. During years two and three of the grant, more advanced workwould be expected. This should include careful implementation andevaluation of the identified strategy/intervention for changing teacherbehavior and potential improvement in child outcomes. The projectsshould include a rigorous evaluation framework, detailing

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implementation processes for teacher trainings, and plans formaintaining fidelity of training and quality of data collection. Identifiedteacher behaviors should be operationally defined and potentiallylinked to other contextual constructs. The successful applicant shouldalso provide plans for a sound research design that utilizes state-of-

the-art methods to examine the outcomes of interest. The researchdesign should maximize the likelihood of answering proposed researchquestions and contributing to the empirical knowledge in the fieldabout teacher behavior and its impact on child outcomes.

A number of parameters must be considered by the applicants toparticipate in the competition:

1. Eligible applicants include universities, four-year colleges, and non-profit institutions that apply on behalf of researchers who hold adoctorate 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 researcherholding a doctorate degree or equivalent. The Principal Investigatormust conduct research as a primary professional responsibility andhave published or been accepted for publication in the major peer-reviewed research journals in the field, as a first or second author. SeeSection V.1, Evaluation Criteria for more information on howapplications will be scored based on these program requirements.

2. Researchers are required to demonstrate a partnership orpartnerships with Head Start programs as an integral part of the

research plan development and execution. The application mustcontain a Letter of Agreement from the Head Start programs certifyingthat they have entered into a partnership with the applicant and aseparate letter stating that the application has been reviewed andapproved 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 threemeetings each year, including two semiannual HSUP granteemeetings, held in Washington, D.C., scheduled during the fall andspring of each year. The third meeting will coincide with the biennial

Head Start National Research Conference in Washington, D.C. (June2008 and 2010) and in 2009, will be scheduled at a time and placeagreed upon by the grantees and the Federal Project Officer. TheBudget and Budget Justification (Section V) should reflect travel fundsfor such purposes.

See Section V, Evaluation Criteria, for more information on howapplications will be scored based on these program requirements.

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II . AWARD INFORMATION

Funding Instrument Type:Cooperative Agreement

Substantial Involvement w ith Cooperative Agreement:

Roles and Responsibil ities of Grantee

The Grantee will design and implement a research study to identifyand assess effective strategies/interventions that develop and sustainthe Head Start teacher behaviors likely to improve child outcomes.This research should incorporate: 1) theoretical learning processes andmodels(http://www.bbk.ac.uk/ccs/elearn/teach_and_learn_models.htm#situa

ted), 2) empirical testing of specific teaching strategies/interventionmethods for training teachers, 3) targeted teacherbehaviors/characteristics beyond credentials, and 4) a clear basis intheory and/or evidence for expected impacts on child outcomes.

Grantees must demonstrate a partnership or partnerships with HeadStart programs during all phases of the project. In addition, Granteeswill be expected to engage in a collaborative research effortthroughout the project period, to increase the capacity of theindividual projects. Minimally, this collaborative effort will producesome common measures and/or constructs used by all HSUP projects.

This may include information regarding teacher qualifications, teacherbehaviors, classroom qualities, child outcomes, staff trainings,technical assistance, and organizational and administrative support, aswell as other outcome factors identified by the HSUP research group.

Grantees will be expected to participate in a minimum of threemeetings each year: two semiannual HSUP grantee meetings, held inWashington, D.C., scheduled during the fall and spring of each year,and a third research conference coinciding with the biennial Head StartNational Research Conference in Washington, D.C. (June 2008 and2010) and in 2009, occurring at a time and place agreed upon by thegrantees and the Federal Project Officer. In addition, intermittentemail and teleconference communications will take place amonggrantees and with the Federal Project Officer to ensure maximumcollaborative effort among projects. Once data collection and analysesare complete, Grantees will collaborate to produce project materialswith practical application for Head Start programs.

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The Grantee will submit to the Office of Planning, Research andEvaluation (OPRE) regular semi-annual Financial Status and ProgramProgress reports that describe activities including, at a minimum: a)information about the actions taken to implement the proposedresearch 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 andfeedback when necessary. OPRE will organize periodic consultationsand teleconferences to review research activities, to share information,and to promote coordination of the project. OPRE will schedule andhost three annual HSUP grantee meetings, set the agenda andcoordinate activities. OPRE will collaborate in activities specified in theaward and will approve specific project milestones including the

development of common measures and the production of projectmaterials. OPRE will act as a liaison between the Grantee and theOffice of Head Start to ensure that the research products developedare translatable to a practice community.

Anticipated Total PriorityArea Funding:

$1,500,000

Anticipated Number of Awards:

1 to 10

Ceiling on Amount of

Individual Awards:

$150,000 per budget period

Floor on Amount of Individual Awards:

None

Average P rojected AwardAmount:

$150,000 per budget period

Length of Project Periods: 36-month project with three 12-month budget periods

ACF grant awards shall not exceed $150,000 for the first 12-

month budget period, inclusive of indirect costs, and shall notexceed $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. Secondand/or third year funding within the project period should be identifiedin the current application on Standard Form 424A. However, continuedfunding beyond the initial 12-month budget period will be considered

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in subsequent years on a non-competitive basis, subject to theapplicant's eligibility status, the availability of funds, satisfactoryprogress of the grantee, and a determination that continued fundingwould be in the best interest of the Federal Government.

Successful projects may be considered on a non-competitive basis, foran additional two years of funding after the completion of the three-year award funded under this announcement. Follow-up projects mayinclude an experimental evaluation designed to rigorously assess theimpact of selected strategies/interventions on identified childoutcomes. These follow-up awards would be subject to the availabilityof funds, satisfactory progress of the grantee, and a determinationthat continued funding would be in the best interest of the FederalGovernment.

Awards under this announcement are subject to the availability

of funds.

II I. ELIGIBILITY INFORMATION

1. Eligible Applicants:

• Public and State-controlled institutions of higher education

• Non-profits with 501(c)(3) IRS status (other than institutions of higher education)

• Non-profits without 501(c)(3) IRS status (other than institutions

of higher education)• Private institutions of higher education

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 thisannouncement.

(b) Faith-based institutions of higher education shall be eligible to

apply under this announcement.

(c) Tribally Controlled Land Grant Colleges and Universities (TCUs) ascited in Section 532 of the Equity in Educational Land Grant Status Actof 1994 (7 U.S.C. -- 301 note), any other institutions that qualify forfunding under the Tribally Controlled Community College AssistanceAct of 1978, (25 U.S.C. -- 1801 et seq.), and Navajo CommunityCollege, authorized in the Navajo Community College Assistance Act of

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1978, P.L. 95-471, Title II (25 U.S.C. -- 640a note) shall be eligible toapply under this announcement.

(d) Historically Black Colleges and Universities (HBCUs) as defined inthe amended version of the Higher Education Act of 1965, codified at

20 U.S.C. -- 1061(2), and that are institutions established prior to1964 whose principal mission was, and is, the education of BlackAmericans, and must satisfy Section 322 of the Higher Education Actof 1965, as amended. Institutions that meet the definition of "Part Binstitution" in Section 322 of the Higher Education Act of 1965, asamended, 20 U.S.C. -- 1061(2), shall be eligible for assistance underthis announcement.

(e) Hispanic Serving Institutions (HSIs) as defined in the amendedversion 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 thedefinition of "Hispanic Serving Institution" in Section 502(5) of theHigher Education Act of 1965, as amended, 20 U.S.C. --1101, shall beeligible 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 howapplications 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 doctoratedegree or equivalent in their respective fields. The PrincipalInvestigator must conduct research as a primary professionalresponsibility and have published or been accepted for publication inthe major peer-reviewed research journals in the field, as a first or

second author.

Applicant organizations may submit more than one application, onbehalf of more than one researcher, subject to the qualifications listedin this section.

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Though a researcher can serve as a Principal Investigator on morethan one application, only one of these applications may receivefunding.

The application must contain a) the original copy of a letter from the

Head Start programs certifying that they have entered into a researchpartnership with the applicant and b) a separate letter certifying thatthe application has been reviewed and approved by the local HeadStart Program Policy Council. This certification of approval or pendingapproval by the Policy Council must also be the original letter from theofficial representative of the Policy Council itself. See Section IV.2 forfurther information.

Disqualification Factors

Applications with requests that exceed the ceiling amount (for researchprojects) or the upper range value (for all other projects) will bedeemed non-responsive and will not be considered for funding underthis announcement. See Section II., Award Information.

Any application that fails to satisfy the deadline requirementsreferenced in Section IV.3., Submission Dates and Times, will bedeemed non-responsive and will not be considered for funding underthis announcement.

IV. APPLICATION AND SUBMISSION INFORMATION

1. Address to Request Application Package:

Head Start Research Support Technical Assistance TeamOPRE Grant Review TeamXtria, LLC8045 Leesburg Pike, Suite 400Vienna, VA 22182Phone: 877-663-0250Fax: 703-356-0472Email: [email protected]

2. Content and Form of Application Submission:

Letter of Intent to Submit an Application: Applicants are stronglyencouraged to notify OPRE by fax or email by the letter of intent duedate found at the beginning of this announcement and in Section IV.3.This information will be used only to determine the number of expertreviewers needed to review the applications. Include only the followinginformation in this fax or email: the Funding Opportunity Number and

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title of this announcement; the names, addresses, telephone and faxnumbers, and email addresses of the Principal Investigator and thefiscal agent (if known); and the name of the university, non-profitinstitution of higher education or other eligible organization. Do notinclude a description of the proposed project. Failure to submit a letter

of intent will not impact eligibility to submit an application and will notdisqualify an application from competitive review. Send thisinformation to:

"Head Start Research Support Technical Assistance Team"Fax: 703-356-0472Email: [email protected] and Organization: Applicants are strongly encouraged tolimit their application to 100 pages, double-spaced, with standard one-inch margins and 12-point fonts. This page limit applies to bothnarrative 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 andto organize these materials according to the format, and in the order,presented below:

a. Cover Letter, on formal letterhead from the institution, including theFunding 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.

• Standard Application for Federal Assistance (SF-424)• Budget Information-Non-Construction Programs (SF-424A)

• Certification Regarding Lobbying• Disclosure of Lobbying Activities (SF-LLL), if necessary

• Certification Regarding Environmental Tobacco Smoke• Assurance Regarding Non-Construction Programs (SF-424B)

• Assurance Regarding Protection of Human Subjects

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

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• Proof of Non-Profit Status (see Section III.3)

• Letter(s) of Agreement with Head Start program(s) (see detailsbelow)

• Letter(s) of Agreement with Head Start Policy Council(s) (seedetails below)

• Biographical Sketch for Principal Investigators (see detailsbelow)

Content of Pro ject Narrative Statement: The project narrativeshould be carefully developed in accordance with ACF's research goalsand agenda, as described in the Purpose, Background, and Prioritiessections of this funding opportunity, and the structure requirementslisted in Section V, Application Review Information.

Content of the Letters of Agreement: For research conducted withHead Start, the application must contain a) the original copy of a letter

from the Head Start program certifying that they have entered into aresearch partnership with the applicant and b) a separate lettercertifying that the application has been reviewed and approved by thelocal Head Start Program Policy Council. This certification of approvalor pending approval by the Policy Council must also be the originalletter from the official representative of the Policy Council itself.

Biographical Sketch: These are used to partially evaluate Staff andPosition Data (see Section V.1). Inclusion of information regarding thePrincipal Investigator's work and publication history that will addressthe 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 andBudget (OMB) published in the Federal Register a new Federal policyapplicable to all Federal grant applicants. The policy requires Federalgrant applicants to provide a D-U-N-S number when applying forFederal 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-wideelectronic portal, Grants.gov. A D-U-N-S number will be required forevery application for a new award or renewal/continuation of anaward, including applications or plans under formula, entitlement, andblock grant programs, submitted on or after October 1, 2003.

Please ensure that your organization has a D-U-N-S number. You mayacquire a D-U-N-S number at no cost by calling the dedicated toll-free

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D-U-N-S number request line at 1-866-705-5711 or you may requesta 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:

• A reference to the applicant organization's listing in the IRS'smost recent list of tax-exempt organizations described in the IRSCode.

• A copy of a currently valid IRS tax-exemption certificate.

• A statement from a State taxing body, State attorney general, orother appropriate State official certifying that the applicantorganization has non-profit status and that none of the netearnings accrue to any private shareholders or individuals.

• A certified copy of the organization's certificate of incorporationor similar document that clearly establishes non-profit status.

• Any of the items in the subparagraphs immediately above for aState or national parent organization and a statement signed bythe parent organization that the applicant organization is a localnon-profit affiliate.

When applying electronically, we strongly suggest that you attach yourproof of non-profit status with your electronic application.

Private, non-profit organizations are encouraged to submit with theirapplications the survey located under Grant Related Documents andForms: 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 requirementsdescribed in the specific evaluation criteria outlined in this programannouncement under Section V. Application Review Information. Inaddition to the project description, the applicant needs to complete allof the Standard Forms required as part of the application process forawards under this announcement.

Applicants seeking financial assistance under this announcement mustfile the appropriate Standard Forms (SFs) as described in thissection. All applicants must submit an SF-424, Application for Federal

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Assistance. For non-construction programs, applicants must alsosubmit an SF-424A, Budget Information and an SF-424B,Assurances. For construction programs, applicants must also submitSF-424C, Budget Information and SF-424D, Assurances. For researchprograms 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 foruse in submitting applications. Applicants must sign and return thestandard forms with their application.

Applicants must furnish, prior to award, an executed copy of theCertification Regarding Lobbying. Applicants must sign and return thecertification with their application. The Certification RegardingLobbying may be found at:http://www.acf.hhs.gov/grants/grants_resources.html. (If any fundshave been paid or will be paid to any person for influencing or

attempting to influence an officer or employee of any agency, aMember of Congress, an officer or employee of Congress, or anemployee of a Member of Congress in connection with thiscommitment providing for the United States to insure or guarantee aloan, the applicant shall complete and submit Standard Form (SF)-LLL,"Disclosure Form to Report Lobbying," in accordance with itsinstructions.)

Applicants must also understand that they will be held accountable forthe smoking prohibition included within Public Law (P.L.) 103-227,Title XII Environmental Tobacco Smoke (also known as the PRO-KIDSAct of 1994). A copy of the Federal Register notice that implementsthe smoking prohibition is included with this form. By signing andsubmitting the application, applicants are providing the necessarycertification and are not required to return it.

Applicants must make the appropriate certification of their compliancewith all Federal statutes relating to nondiscrimination. By signing andsubmitting the application, applicants are providing the necessarycertification and are not required to return it. Complete the standardforms and the associated certifications and assurances based on the

instructions on the forms. The forms and certifications may be foundat: http://www.acf.hhs.gov/grants/grants_resources.html.

Grants awarded under the HSUP Grants: Strategies for DevelopingHead Start Teacher Effectiveness will support research that includeshuman subjects (potentially including women and minorities). As such,applicants must submit a completed Assurance Regarding Protection of

17







Human Subjects form by the date of award. This Assurance may befound at http://www.acf.hhs.gov/programs/ofs/forms.htm.

Private, non-profit organizations are encouraged to submit with theirapplications the survey located under Grant Related Documents and

Forms: Survey for Private, Non-Profit Grant Applicants, titled, Surveyon 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 projectdescription.

Please reference Section IV.3 for details about acknowledgement of received applications.

Electronic Submission

Applicants to ACF may submit their applications in either electronic orpaper format. To submit an application electronically, please use thehttp://www.Grants.gov site.

When using www.Grants.gov, applicants will be able to download acopy of the application package, complete it off-line, and then uploadand submit the application via the www.Grants.gov site. ACF will notaccept 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, andGif.

IMPORTANT NOTE: Before submitting an electronic application,applicants must complete the organization registration process as wellas obtain and register "electronic signature credentials" for theAuthorized Organization Representative (AOR). Since this process maytake more than five business days, it is important to start this processearly, well in advance of the application deadline. Be sure tocomplete all ww w.Grants.gov registration processes listed onthe 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 applicationelectronically via www.Grants.gov:

• Electronic submission is voluntary, but strongly encouraged.

• Applicants may access the electronic application for this programat http://www.Grants.gov. There applicants can search for the

18




http://www.acf.hhs.gov/grants/registration_checklist.html



http://www.acf.hhs.gov/grants/registration_checklist.html






downloadable application package by utilizing thewww.Grants.gov FIND function.

• It is strongly recommended that applicants do not w aituntil the application deadline date to begin the applicationprocess through www.Grants.gov. Applicants are

encouraged to submit their applications well before the closingdate and time so that if difficulties are encountered there will stillbe sufficient time to submit a hard copy via express mail. It isto an applicant's advantage to submit 24 hours ahead of the closing date and time in order to address anydifficulties that may be encountered.

• To use www.Grants.gov, you, the applicant must have a D-U-N-S number and register in the Central Contractor Registry(CCR). Applicants should allow a minimum of five days tocomplete the CCR registration. REMINDER: CCR registrationexpires each year and thus must be updated annually.Applicants cannot upload an application towww.Grants.gov without having a current CCRregistration AND electronic signature credentials for theAOR.

• The electronic application is submitted by the AOR. To submitelectronically, the AOR must obtain and register electronicsignature credentials approved by the organization's E-BusinessPoint of Contact who maintains the organization's CCRregistration.

• Applicants may submit all documents electronically, including all

information typically included on the SF-424 and all necessaryassurances and certifications.

• Though applying electronically, the application must still complywith any page limitation requirements described in this programannouncement.

• After the application is submitted electronically submit yourapplication, the applicant will receive an automaticacknowledgement from www.Grants.gov that contains awww.Grants.gov tracking number. ACF will retrieve theelectronically submitted application from www.Grants.gov.

• ACF may request that the applicant provide original signatureson forms at a later date.

• Applicants will not receive additional point value for submitting agrant application in electronic format, nor will ACF penalize anapplicant if they submit an application in hard copy.

• If any difficulties are encountered in using www.Grants.gov,please contact the Grants.gov Contact Center at: 1-800-518-

19



4726, or by email at [email protected] to report the problemand obtain assistance.

• Checklists and registration brochures are maintained to assistapplicants in the registration process and may be found at:http://www.grants.gov/applicants/get_registered.jsp.

• When submitting electronically via www.Grants.gov, applicantsmust comply with all due dates AND times referenced in Section

IV.3. Submission Dates and Times.

• For applicants that must demonstrate proof of non-profit statusbefore the award date, ACF strongly suggests that proof of non-profit status be attached to the electronic application. Proof of non-profit status and any other required documentation may bescanned and attached as an "Other Attachment." Acceptabletypes of proof of non-profit status are stated earlier in thissection.

• The Grants.gov website complies with Section 508 of theRehabilitation Act of 1973. Grants.gov webpages are designed towork with assistive technologies such as screen readers. If anapplicant uses assistive technology and is unable to access anymaterial on the site, email the www.Grants.gov contact center [email protected] for assistance.

Hard Copy Submission

Applicants that are submitting their application in paper format shouldsubmit 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 authorizedrepresentative, and be unbound. The original copy of the applicationmust 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 (notthe original) specific salary rates or amounts for individuals specified inthe application budget as well as Social Security Numbers, if otherwiserequired for individuals. The copies may include summary salaryinformation.

If applicants are submitting their application electronically, ACF willomit the same specific salary rate information from copies made foruse during the review and selection process.

3. Submission Dates and Times:

20


http://www.grants.gov/applicants/get_registered.jsp



http://www.grants.gov/applicants/get_registered.jsp




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 referencedabove. Applications received after 4:30 p.m., eastern time, on thedue date will be classified as late and will not be considered in thecurrent competition.

Applicants are responsible for ensuring that applications are mailed orhand-delivered or submitted electronically well in advance of theapplication due date and time.

Mail

Applications that are submitted by mail must be received no later than4:30 p.m., eastern time, on the due date referenced above at theaddress listed in Section IV.6.

Hand Delivery

Applications hand carried by applicants, applicant couriers, otherrepresentatives of the applicant, or by overnight/express mail couriersmust be received on or before the due date referenced above, betweenthe hours of 8:00 a.m. and 4:30 p.m., eastern time, at the addressreferenced in Section IV.6., between Monday and Friday (excludingFederal holidays).


Applications submitted electronically via Grants.gov must be submittedno later than 4:30 p.m., eastern time, on the due date referencedabove.

ACF cannot accommodate transmission of applications by facsimile oremail.

Late Applications

Applications that do not meet the requirements above are consideredlate applications. ACF shall notify each late applicant that itsapplication will not be considered in the current competition.

ANY APPLICATION RECEIVED AFTER 4:30 P.M., EASTERN TIME,ON THE DUE DATE WI LL NOT BE CONSIDERED FORCOMPETITION.

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Extension of Deadlines

ACF may extend application deadlines when circumstances such asacts of God (floods, hurricanes, etc.) occur; when there arewidespread disruptions of mail service; or in other rare cases. A

determination to extend or waive deadline requirements rests with theChief Grants Management Officer.

Receipt acknowledgement for application packages will not be providedto applicants who submit their package via mail, courier services, or byhand delivery. Applicants will receive an electronic acknowledgementfor applications that are submitted via http://www.Grants.gov.

Checklist

You may use the checklist below as a guide when preparing yourapplication package.

What to SubmitRequiredContent Required Form or Format

When toSubmit

Letter of Intent SeeSectionIV.2

Found in Section IV.2 November20, 2007

Cover Letter SeeSectionIV.2

Found in Section IV.2 Byapplicationdue date.

SF-424 SeeSectionIV.2

Seehttp://www.acf.hhs.gov/programs/ofs/forms.htm

Byapplicationdue date.

SF-424A SeeSectionIV.2



SF-424B SeeSectionIV.2



Assurances SeeSectionIV.2


By date of award.

CertificationRegardingEnvironmentalTobacco Smoke

SeeSectionIV.2


By date of award.

22















CertificationRegardingLobbying

SeeSectionIV.2


By date of award.

SF-LLL Disclosureof Lobbying

Activities

SeeSection

IV.2


By date of award.

AssuranceRegardingProtection of Human Subjects

SeeSectionIV.2


By date of award.

Table of Contents SeeSectionIV.2

Found in Section IV.2 Byapplicationdue date.

Project

Summary/Abstract

See

SectionsIV.2 andV

Found in Sections IV.2 and V By

applicationdue date.

Project Description SeeSectionsIV.2 andV

Found in Sections IV.2 and V Byapplicationdue date.

Budget andBudgetJustification

SeeSectionsIV.2 andV

Found in Sections IV.2 and V Byapplicationdue date.

Proof of Non-ProfitStatus

SeeSectionV.1

Found in Section V.1 By date of award.

Letters of Agreement withHead StartProgram(s)

SeeSectionsIII.3,IV.2, andV

Found in Sections III.3, IV.2, and V Byapplicationdue date.

Letters of

Agreement withHead StartProgram(s) PolicyCouncil

See

SectionsIII.3,IV.2 andV

Found in Sections III.3 and IV.2 By

applicationdue date.

Additional Forms

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Private, non-profit organizations are encouraged to submit with theirapplications the survey located under Grant Related Documents and

Forms: Survey for Private, Non-Profit Grant Applicants, titled, Surveyon Ensuring Equal Opportunity for Applicants, at:http://www.acf.hhs.gov/grants/grants_resources.html.

What toSubmit

RequiredContent Required Form or Format

When toSubmit

SurveyforPrivate,Non-ProfitGrantApplicants

See form. Seehttp://www.acf.hhs.gov/grants/grants_resources.html


4. Intergovernmental Review of Federal Programs:

State Single Point of Contact (SPOC)

This program is covered under Executive Order (Exec. Order) 12372,"Intergovernmental Review of Federal Programs," and 45 CFR Part100, "Intergovernmental Review of Department of Health and HumanServices Programs and Activities." Under the Exec. Order, States maydesign their own processes for reviewing and commenting on proposedFederal 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 MarianaIslands, Puerto Rico, and U.S. Virgin Islands. As these jurisdictionshave elected to participate in the Executive Order process, they haveestablished SPOCs. Applicants from participating jurisdictions shouldcontact their SPOC, as soon as possible, to alert them of prospectiveapplications and receive instructions. Applicants must submit all

required materials, if any, to the SPOC and indicate the date of thissubmittal (or the date of contact if no submittal is required) on theStandard Form 424, item 16a.

Under 45 CFR 100.8(a)(2), a SPOC has 60 days from the applicationdeadline to comment on proposed new or competing continuationawards. SPOCs are encouraged to eliminate the submission of routineendorsements as official recommendations. Additionally, SPOCs are

24







requested to clearly differentiate between mere advisory commentsand those official State process recommendations, which may triggerthe "accommodate or explain" rule.

Comments submitted directly to ACF should be addressed to the U.S.

Department of Health and Human Services, Administration for Childrenand Families, Office of Grants Management, Division of DiscretionaryGrants, 370 L'Enfant Promenade SW., 6th Floor, Washington, DC20447.

Although the remaining jurisdictions have chosen not to participate inthis process, entities that meet the eligibility requirements of theProgram Announcement are still eligible to apply for a grant even if aState, Territory, or Commonwealth, etc., does not have aSPOC. Therefore, applicants from these jurisdictions, or for projectsadministered by Federally-recognized Indian Tribes, need take no

action in regard to Exec. Order 12372.

The official list, including addresses, of the jurisdictions that haveelected to participate in Exec. Order 12372 can be found on thefollowing 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 activitiesor expenditures under this grant award.

The Principal Investigator must agree to attend three meetings eachyear: two semiannual HSUP grantee meetings, held in Washington,D.C., scheduled during the fall and spring of each year, and a thirdresearch conference coinciding with the biennial Head Start NationalResearch Conference in Washington, D.C. (June 2008 and 2010) andin 2009, occurring at a time and place agreed upon by the granteesand 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 otherapplication requirements.

Submit applications to one of the following addresses:

Submission by Mail

25

http://www.whitehouse.gov/omb/grants/spoc.html

http://www.whitehouse.gov/omb/grants/spoc.html



Head Start Research Support Technical Assistance TeamOPRE Grant Review TeamXtria, LLC8045 Leesburg Pike, Suite 400Vienna, VA 22182

Hand Delivery

Head Start Research Support Technical Assistance TeamOPRE Grant Review TeamXtria, LLC8045 Leesburg Pike, Suite 400Vienna, VA 22182


Please see Section IV.2 for guidelines and requirements when

submitting applications electronically via http://www.Grants.gov.

V. APPLICATION REVIEW INFORMATION

The Paperw ork Reduction Act of 1995 (P .L. 104-13)

Public reporting burden for this collection of information is estimated toaverage 40 hours per response, including the time for reviewinginstructions, gathering and maintaining the data needed and reviewingthe 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 requiredto respond to, a collection of information unless it displays a currentlyvalid OMB control number.

1. Criteria:

Part I THE PROJECT DESCRIPTION OVERVIEW

PURPOSE

The project description provides the majority of information by whichan application is evaluated and ranked in competition with otherapplications for available assistance. The project description should beconcise and complete. It should address the activity for which Federalfunds are being requested. Supporting documents should be includedwhere they can present information clearly and succinctly. In

26





preparing the project description, information that is responsive toeach of the requested evaluation criteria must be provided. Awardingoffices use this and other information in making their fundingrecommendations. It is important, therefore, that this information beincluded in the application in a manner that is clear and complete.

GENERAL EXPECTATIONS AND INSTRUCTIONS

ACF is particularly interested in specific project descriptions that focuson outcomes and convey strategies for achieving intendedperformance. Project descriptions are evaluated on the basis of substance and measurable outcomes, not length. Extensive exhibitsare not required. Cross-referencing should be used rather thanrepetition. Supporting information concerning activities that will not bedirectly funded by the grant or information that does not directlypertain 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 includedfor easy reference.

Part II GENERAL INSTRUCTIONS FOR PREPARING A FULL PROJECTDESCRIPTION

INTRODUCTION

Applicants that are required to submit a full project description shallprepare the project description statement in accordance with the

following instructions while being aware of the specified evaluationcriteria. The text options give a broad overview of what the projectdescription should include while the evaluation criteria identify themeasures that will be used to evaluate applications.

PROJECT SUMMARY/ABSTRACT

Provide a summary of the project description (one page or less) withreference 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 assistancemust be demonstrated and the principal and subordinate objectives of the project must be clearly stated; supporting documentation, such asletters of support and testimonials from concerned interests other thanthe applicant, may be included. Any relevant data based on planningstudies should be included or referred to in the endnotes/footnotes.

27



Incorporate demographic data and participant/beneficiary information,as needed. In developing the project description, the applicant mayvolunteer 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 willachieve the specific goals and objectives described in the proposal. Anapplicant should explain how the expected results will maximize theeffectiveness of strategies/interventions that develop and sustain theHead 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 theoreticaland, to the extent possible, empirical links to child outcomes. Projectsshould include identification and assessment of teacherbehaviors/characteristics, beyond educational credentials, that mayimprove Head Start child outcomes. An applicant should identify whatlessons will be learned that might help the national program and otheragencies and organizations that offer similar services provided by earlychildhood teachers.

APPROACH

Outline a plan of action that describes the scope and detail of how theproposed work will be accomplished. Account for all functions oractivities identified in the application. Cite factors that might accelerateor decelerate the work and state your reason for taking the proposedapproach rather than others. Describe any unusual features of theproject such as design or technological innovations, reductions in costor time, or extraordinary social and community involvement.

Provide quantitative monthly or quarterly projections of theaccomplishments to be achieved for each function or activity in suchterms 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.

28



If any data is to be collected, maintained, and/or disseminated,clearance may be required from the OMB. This clearance pertains toany "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 shortdescription of the nature of their effort or contribution.

EVALUATION

Provide a narrative addressing how the conduct of the project and theresults of the project will be evaluated. In addressing the evaluationof results, state how you will determine the extent to which the projecthas achieved its stated objectives and the extent to which theaccomplishment of objectives can be attributed to the project. Discussthe criteria to be used to evaluate results, and explain themethodology that will be used to determine if the needs identified anddiscussed are being met and if the project results and benefits arebeing achieved. With respect to the conduct of the project, define theprocedures to be employed to determine whether the project is beingconducted in a manner consistent with the work plan presented anddiscuss the impact of the project's various activities that address theproject's effectiveness.

ADDITIONAL INFORMATION

The following are requests for additional information that must beincluded in the application:

STAFF AND POSITION DATA

Provide a biographical sketch and job description for each keyperson appointed. Job descriptions for each vacant key positionshould 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) andcooperating partners, such as: organizational charts; financialstatements; audit reports or statements from Certified PublicAccountants/Licensed Public Accountants; EmployerIdentification Number(s); contact persons and telephonenumbers; names of bond carriers; child care licenses and otherdocumentation of professional accreditation; information oncompliance with Federal/State/local government standards;

29



documentation of experience in the program area; and, otherpertinent information.

If the applicant is a non-profit organization, it should submitproof of its non-profit status in its application. The non-profit

agency can accomplish this by providing any one of thefollowing: a) a reference to the applicant organization's listing inthe IRS's most recent list of tax-exempt organizations describedin the IRS Code; b) a copy of a currently valid IRS tax exemptioncertificate; c) a statement from a State taxing body, Stateattorney general, or other appropriate State official certifyingthat the applicant organization has a non-profit status and thatnone of the net earnings accrues to any private shareholders orindividuals; 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 bythe parent organization that the applicant organization is a localnon-profit affiliate.

DISSEMINATION PLAN

Provide a plan for distributing reports and other project outputsto colleagues and to the public. Applicants must provide adescription of the method, volume, and timing of distribution.

BUDGET AND BUDGET JUSTIFICATION

Provide a budget with line-item detail and detailed calculations foreach budget object class identified on the Budget Information Form(SF-424A or SF-424C). Detailed calculations must include estimationmethods, quantities, unit costs, and other similar quantitative detailsufficient for the calculation to be duplicated. If matching is arequirement, include a breakout by the funding sources identified inBlock 15 of the SF-424.

Provide a narrative budget justification that describes how thecategorical 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 (whenrequired) shall be detailed and justified in the budget and budgetnarrative justification. "Federal resources" refers only to theACF grant funds for which you are applying. "Non-Federal

30



resources" are all other non-ACF Federal and non-Federalresources. It is suggested that budget amounts andcomputations be presented in a columnar format: first column,object class categories; second column, Federal budget; nextcolumn(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 principalinvestigator, if known at the time of application. For each staff person, provide: the title; time commitment to the project inmonths; 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 tobe financed by the applicant.

FRINGE BENEFITS

Description: Costs of employee fringe benefits unless treated aspart of an approved indirect cost rate.

Justification: Provide a breakdown of the amounts andpercentages that comprise fringe benefit costs such as healthinsurance, FICA, retirement insurance, taxes, etc.

TRAVEL

Description: Costs of project-related travel by employees of theapplicant 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; andother transportation costs and subsistence allowances. Travelcosts for key staff to attend ACF-sponsored workshops should bedetailed in the budget.

SUPPLIES

Description: Costs of all tangible personal property other thanthat included under the Equipment category.

31



Justification: Specify general categories of supplies and theircosts. Show computations and provide other information thatsupports the amount requested.

OTHER

Enter the total of all other costs. Such costs, where applicableand appropriate, may include but are not limited to: insurance;food; medical and dental costs (noncontractual); professionalservices costs; space and equipment rentals; printing andpublication; computer use; training costs, such as tuition andstipends; staff development costs; and administrative costs.

Justification: Provide computations, a narrative description anda justification for each cost under this category.

INDIRECT CHARGES

Description: Total amount of indirect costs. This categoryshould be used only when the applicant currently has an indirectcost rate approved by the Department of Health and HumanServices (HHS) or another cognizant Federal agency.

Justification: An applicant that will charge indirect costs to thegrant must enclose a copy of the current rate agreement. If theapplicant organization is in the process of initially developing orrenegotiating a rate, upon notification that an award will bemade, it should immediately develop a tentative indirect cost

rate proposal based on its most recently completed fiscal year, inaccordance with the cognizant agency's guidelines forestablishing indirect cost rates, and submit it to the cognizantagency. Applicants awaiting approval of their indirect costproposals may also request indirect costs. When an indirect costrate is requested, those costs included in the indirect cost poolshould not be charged as direct costs to the grant. Also, if theapplicant is requesting a rate that is less than what is allowedunder the program, the authorized representative of theapplicant organization must submit a signed acknowledgementthat the applicant is accepting a lower rate than allowed.

TOTAL DIRECT CHARGES, TOTAL INDIRECT CHARGES, TOTALPROJECT COSTS

EVALUATION CRITERIA:

The corresponding score values indicate the relative importance thatACF places on each evaluation criterion; however, applicants need not

32



develop their applications precisely according to the order presented.Application components may be organized such that a reviewer will beable to follow a seamless and logical flow of information (i.e., from abroad overview of the project to more detailed information about howit will be conducted).

In considering how applicants will carry out the responsibilitiesaddressed under this announcement, competing applications forfinancial assistance will be reviewed and evaluated against thefollowing criteria:

APPROACH - 30 points

In reviewing the project approach, the following factors will beconsidered:

• The extent to which the planned project investigatesstrategies/interventions that may develop and sustain HeadStart teacher behaviors across pedagogical domains that, inturn, may improve child outcomes.

• The extent to which the applicant adequately describes theproject constructs and research questions and provides clearlyarticulated and well-founded goals.

• The extent to which the proposal includes a logic model thatincorporates learning models, strategies/interventions, teacherbehaviors/characteristics, and links to child outcomes in three-to five-year-olds, and that is supported by a comprehensive

theoretical and empirical literature review.• The extent to which the planned approach reflects sufficient

input from and partnership with Head Start program(s) during allphases of the project, including project development,implementation, interpretation of results and dissemination, andthe extent to which the planned approach will produce productsthat have an immediate, practical application for the Head Startprogram. (The application must contain a Letter of Agreementfrom the Head Start program(s) certifying that they haveentered into a partnership with the applicant and a separateletter stating that the application has been reviewed andapproved by the Head Start Policy Council, as required inSections I., III.3, and IV.2)

• The extent to which the applicant includes evidence of theteachers' demographics within the designated Head Start partnerprogram(s) with sufficient numbers for an appropriate samplesize for the proposed project; or, if necessary, delineates a

33



specific plan for expanding the sample size beyond the initialpartner programs.

• The extent to which the applicant articulates a clearunderstanding of the expected collaboration among grantees,including three grantee meetings each year and cooperation

selecting common measures/constructs.• The extent to which the applicant provides a convincing plan for

ensuring that the fidelity of the intervention(s) will bemaintained and that relevant training, materials and support willbe provided.

• The extent to which the project will contribute to increasedknowledge and understanding of the issues involved; effectivestrategies used; and outcomes achieved that would supportimprovements of practice or research in the field.

• The extent to which the applicant provides reasonabletimeframes for completion of various phases of the project andthe scope of the project is reasonable for the funds available forthese grants.

STAFF AND POSITION DATA - 15 points

In reviewing the staff and position data, the following factors will beconsidered:

• The extent to which the Principal Investigator and other key staff possess the professional expertise necessary to work with early

childhood programs and/or Head Start administrative staff,teachers, and families as demonstrated in the application andinformation contained in their biographical sketches.

• The extent to which the Principal Investigator and other key staff possess the programmatic and research expertise necessary toconduct the study, as demonstrated in the application andinformation contained in their biographical sketches.

• Whether the applicant is a university, four-year college, or non-profit institution applying on behalf of a Principal Investigator.

• Whether the Principal Investigator(s) has earned a doctorate orequivalent in the relevant field, conducts research as a primary

professional responsibility, and has first or second authorpublications in peer-reviewed research journals.

• The extent to which the Principal Investigator and staff offerenough time commitment to the project to ensure professionalinput and implementation.

EVALUATION - 30 points

34



In reviewing the project evaluation plan, the following factors will beconsidered:

• The extent to which the evaluation plan uses one of the followingapproaches and the approach is sound and appropriate to the

research questions proposed: 1) experimental design to assessimpacts on teacher behavior or on teacher behavior and childoutcomes through using random assignment of children,teachers, classrooms, centers, or other units, 2) quasi-experimental evaluations to assess impacts on teacher behavioror on teacher behavior and child outcomes through usingcarefully constructed comparison groups, or 3) implementationevaluations to study questions related to the operation of theintervention such as fidelity of implementation and the validityand reliability of measures.

• The methodology and measures are described to a sufficientextent, with psychometrics included when possible. Theevaluation measures are clearly related to intended outcomes asidentified in the project's logic model and are objective and havestrong reliability, validity and internal consistency, or theproposal includes plans to test these qualities.

• There is a sound plan for securing informed consent andimplementing an Institutional Review Board (IRB) review.

• The extent to which the research design, methods, and analysesreflect knowledge and use of state-of-the-art techniques.

• The extent to which an adequately detailed proposal for the

analyses is included and is appropriate for the questions underconsideration.

RESULTS OR BENEFITS EXPECTED - 15 points

In reviewing the results or benefits expected, the following factors willbe considered:

• The extent to which the applicant demonstrates a theoretical andempirical basis for the targeted teacher behavior/characteristicsand strategies/interventions under consideration, either through

review of supporting theoretical work or research, oridentification of gaps in the Head Start research that will beaddressed by the proposed project.

• The extent to which the applicant presents a detailed logic modelthat represents the researcher's theory of teacher changes fromthe strategies/interventions. The model should incorporate

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aspects of learning theory, important teacher and contextualfactors, and the potential links to program and child outcomes.

• The extent to which the proposal clearly identifies potentialbenefits to Head Start programs and the services provided toHead Start programs and Head Start teachers and staff, beyond

the immediate program(s) studied for this project. The extent towhich the links between the project constructs and Head Startpractices and policies are clearly described, and any productsproduced have practical application to the Head Start programs.

• The extent to which care is taken to maximize development of information resources that will inform Head Start policies andpractices (e.g., detailed dissemination plans; development of detailed technical assistance training; development of manualsand training materials).

BUDGET AND BUDGET JUSTIFICATION - 10 points

In reviewing the budget and budget justification, the following criteriawill be considered:

• The extent to which the costs of the proposed project are clearlyidentified, justified, and reasonable, in view of the activities tobe conducted and expected results and benefits.

• The extent to which the applicant's fiscal controls and accountingprocedures would ensure prudent use, proper and timelydisbursement, and accurate accounting of funds received under

this program.• Whether the budget reserves travel funds for the Principal

Investigator to attend three meetings each year: two semiannualHSUP grantee meetings, held in Washington, D.C., scheduledduring the fall and spring of each year, and a third researchconference coinciding with the biennial Head Start NationalResearch Conference in Washington, D.C. (June 2008 and 2010)and in 2009, occurring at a time and place agreed upon by thegrantees and the Federal Project Officer.

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 receivedby the closing date and time (Section IV.3.) and whether therequested amount exceeds the ceiling or upper range value, whicheveris appropriate (Section II.)

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The competitive review will be conducted in the Washington, DCmetropolitan area by panels of Federal and non-Federal expertsknowledgeable in the areas of early childhood education andintervention research, early learning, child care, and other relevantprogram areas.

Application review panels will assign a score to each application andidentify its strengths and weaknesses.

OPRE will conduct an administrative review of the applications andresults of the competitive review panels and make recommendationsfor funding to the Director of OPRE.

The Director of OPRE will make the final selection of the applications tobe funded. Applications may be funded in whole or in part dependingon: (1) the ranked order of applicants resulting from the competitivereview; (2) staff review and consultations; (3) the combination of projects that best meets OPRE and the Office of Head Start'sobjectives; (4) the funds available; and (5) other relevantconsiderations. The Director may also elect not to fund any applicantswith known management, fiscal, reporting, program, or otherproblems, which make it unlikely that they would be able to provideeffective services.

Refer to Section IV.2 for information on non-Federal reviewers in thereview process.

Approved but Unfunded Applications

Applications that are approved but unfunded may be held over forfunding in the next funding cycle, pending the availability of funds, fora period not to exceed one year.

3. Anticipated Announcement and Award Dates:

Successful applicants will be notified through the issuance of aFinancial Assistance Award notice that sets forth the amount of fundsgranted, the terms and conditions of the grant award, the effectivedate of the award, the budget period for which initial support is given,

and the total project period for which support is provided. TheFinancial Assistance Award will be signed by the Grants Officer andtransmitted via postal mail. Organizations that are not selected forfunding 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 isin the best interest of the Federal Government.

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VI. AWARD ADMINI STRATION 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 effectivedate of the grant, the budget period for which initial support will begiven, the non-Federal share to be provided (if applicable), and thetotal project period for which support is contemplated. The FinancialAssistance Award will be signed by the Grants Officer and transmittedvia postal mail.

Following the finalization of funding decisions, organizations whoseapplications will not be funded will be notified by letter, signed by theProgram 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 ACFprogram shall not be used to support inherently religious activitiessuch as religious instruction, worship, or proselytization. Therefore,organizations must take steps to separate, in time or location, theirinherently religious activities from the services funded under this

program. Regulations pertaining to the Equal Treatment for Faith-Based Organizations, which includes the prohibition against Federalfunding of inherently religious activities, can be found at the HHS website at: http://www.hhs.gov/fbci/waisgate21.pdf .

A faith-based organization receiving HHS funds retains itsindependence from Federal, State, and local governments, and maycontinue to carry out its mission, including the definition, practice, andexpression of its religious beliefs. For example, a faith-basedorganization may use space in its facilities to provide secular programsor services funded with Federal funds without removing religious art,

icons, scriptures, or other religious symbols. In addition, a faith-basedorganization that receives Federal funds retains its authority over itsinternal governance, and it may retain religious terms in itsorganization's name, select its board members on a religious basis,and include religious references in its organization's missionstatements and other governing documents in accordance with all

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http://www.hhs.gov/fbci/waisgate21.pdf

http://www.hhs.gov/fbci/waisgate21.pdf



program requirements, statutes, and other applicable requirementsgoverning 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 Healthand Human Services new single policy guide for discretionary grantsand cooperative agreements. Unlike previous HHS policy documents,the GPS is intended to be shared with and used by grantees. Itbecame effective October 1, 2006 and is applicable to all OperatingDivisions (OPDIVS), such as the Administration for Children andFamilies (ACF), except the National Institutes of Health (NIH). The GPScovers basic grants processes, standard terms and conditions andpoints of contact as well as important OPDIV-specific requirements.Appendices include a glossary of terms and a list of standardabbreviations for ease of reference. The GPS may be accessed athttp://www.acf.hhs.gov/grants/grants_resources.html.

The Head Start Act requires the Department to take steps to establishthe 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 announcementthat are necessary for the implementation of Section 649(f).

3. Reporting Requirements:

Grantees will be required to submit program progress and financialreports (SF-269 found at:http://www.acf.hhs.gov/grants/grants_resources.html) throughout theproject period. Program progress and financial reports are due 30 daysafter the reporting period. Final programmatic and financial reports aredue 90 days after the close of the project period.

Final reports may be submitted in hard copy to the GrantsManagement Office Contact listed in Section VII of this announcement.

Program Progress Reports: Semi-AnnuallyFinancial Reports: Semi-Annually

Reporting periods are six months in length (starting with the awarddate). Semi-annual reports are due within 30 days after the end of

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http://www.whitehouse.gov/government/fbci/guidance/index.html





http://www.whitehouse.gov/government/fbci/guidance/index.html



each reporting period. Original reports and one copy should be mailedto: Administration for Children and Families, Office of GrantsManagement, Division of Discretionary Grants, 370 L'EnfantPromenade S.W., Washington, DC 20447.

VII . AGENCY CONTACTS

Program Office Contact:

Head Start Research Support Technical Assistance TeamOPRE Grant Review TeamXtria, LLC8045 Leesburg Pike, Suite 400Vienna, VA 22182Phone: 877-663-0250Email: [email protected]

Grants Management Office Contact:

Head Start Research Support Technical Assistance TeamOPRE Grant Review TeamOffice of Grants ManagementXtria, LLC8045 Leesburg Pike, Suite 400Vienna, VA 22182Phone: 877-663-0250Email: [email protected]

VII I. OTHER INFORMATION

Grantees must provide copies of all materials produced with HeadStart grant funds to ACF as soon as they become available.

Date: 08/15/2007 Naomi GoldsteinDirector

Office of Planning, Research and Evaluation





Health and Human Services: HHS-2008-ACF-OPRE-YR-0060

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