U.S. Department of Education

Office of Educational Research and Improvement

Washington, DC 20208

**Application for the**

**American Indian & Alaska Native Education**

**Research Grant Program**

### Managed by the National Institute on the Education of At-Risk Students

#### CFDA Number 84.306N

**Deadline for [Transmittal]{.underline} of Applications: July 30,
2001**

##### Approved OMB Number 1850-0601

**Expiration Date: 5/31/2003**

**Paperwork Burden Statement**

According to the Paperwork Reduction Act of 1995, no persons are
required to respond to a collection of information unless such
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time estimate(s) or suggestions for improving this form, please write
to:** U.S. Department of Education, Washington, DC 20202-4651. **If you
have comments or concerns regarding the status of your individual
submission of this form, write directly to:** U.S. Department of
Education, Office of Educational Research and Improvement, 555 New
Jersey Avenue NW, Washington, DC 20208-5530.

######### Table of Contents

The American Indian and Alaska Native Education Research Grant
Program\.........1

Federal Register
Notices......................................................................3

Notice Inviting Applications

Notice of Final Priority

Selection
Criteria...........................................................................\.....15

How to
Apply...\..............................................................................\...17

Instructions for Completing the Title Page
Form.......................................\....21

Protection of Human Subjects in
Research..................................................23

Instructions for Completing the Budget Summary
Form.................................26

Title Page
Form.............................................................................\...\...27

Budget
Summary..............................................................................
28

Government Performance and Results Act
(GPRA).......................................29

Assurances and
Certifications.........\........................................................
30

Instructions for Transmitting
Applications...............................................\.....31

Contacts for the AIAN Education Research Grant
Program.........................\......32

Things to Check Before You Mail Your
Application..................................\.....33

Important Notice to Prospective Participants in the U.S. Department of
Education

Grant and Contract
Programs.........................................................34

Grant Application Receipt
Acknowledgement..............................................35

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**The American Indian and Alaska Native**

**Education Research Grant Program**

####### 

####### 

####### 

####### What is the purpose of the program?

#######  

The American Indian and Alaska Native (AIAN) Education Research Grant
Program funds research, evaluation, and data collection to provide
information on the status of education for the Indian population and on
the effectiveness of educational programs serving either American Indian
or Alaska Native students.

####### 

####### What is the program priority? What research projects will be funded?

During Fiscal Year 2001, the Secretary of Education proposes to fund
only applicants that propose to expand the current research base for
pre-kindergarten through secondary level education of American Indian
and Alaska Native students, in rural or urban settings (or both).

Applicants must address the following research question: To what extent
and in what ways does incorporating Native language or culture (or both)
in educational strategies affect either academic achievement or social
development of American Indian and Alaska Native students (or both)? In
addressing this question, applicants must take into account other
factors that may affect these outcomes, such as curriculum and
instruction, standards and assessment, school and classroom settings,
educational leadership, teacher professional development, and family and
community collaboration with schools.

The Secretary takes this action pursuant to public rulemaking and in
response to Executive Order 13096, which requires the development of a
comprehensive education research agenda and which specifies Native
language and culture as one of three broad research agenda goals. Thus,
only applications that address this priority will be eligible for
funding for this year's competition.

####### Who can apply for an Indian Education Research Grant?

Eligible applicants are: Indian Tribes, Indian organizations, state and
local educational agencies, institutions of higher education, including
Indian institutions of higher education; and other public and private
agencies and institutions.

The Secretary encourages collaboration in the conduct of research.
Examples of such collaborations include: public and private research
institutions collaborating with Indian organizations; and tribal
colleges collaborating with major research universities and local
educational agencies in areas serving high concentrations of Indian
children.

####### 

####### 

####### Is there a statutory preference for Indian applicants?

The statute requires the Secretary to give a preference to Indian
Tribes, Indian organizations, and Indian institutions of higher
education in awarding research grants authorized under section 9141 of
the Elementary and Secondary Education Act, the national research
activities authority, (20 USC 7861). The Secretary will award 5 extra
points to applications submitted by the entities entitled to the
statutory preference. A consortium application of eligible entities that
meets the requirements of 34 CFR 75.127-129 of the Education Department
General Administrative Requirements (EDGAR) and that includes an Indian
Tribe, Indian organization, or Indian institution of higher education
shall be considered eligible to receive the 5 extra points.

###### **What are the size and duration of awards?**

The total amount of funding is an estimated \$1.4 million. The project
period of the grant may be from 1 to 3 years. The length of projects and
the size of awards will be commensurate with the nature and scope of the
work proposed.

####### 

####### What are the applicable regulations?

The following regulations apply: (1) The Education Department General
Administrative Regulations (EDGAR) in 34 CFR 74, 75, 77, 80, 81, 82, 85,
86, 97, 98, and 99; and (2) 34 CFR 700. (NOTE: Part 86 applies only to
institutions of higher education.)

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# CONTACTS FOR THE AIAN EDUCATION RESEARCH GRANT PROGRAM 

# ARE LISTED AT THE BACK OF THIS BOOKLET.

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Part IV

Department of Education

\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\--

Office of Educational Research and Improvement; American Indian and

Alaska Native Education Research Grant Program; Notice Inviting

Applications for New Awards for Fiscal Year (FY) 2001

\[\[Page 32708\]\]

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DEPARTMENT OF EDUCATION

\[CFDA No.: 84.306N\]

Office of Educational Research and Improvement; American Indian

and Alaska Native Education Research Grant Program; Notice Inviting

Applications for New Awards for Fiscal Year (FY) 2001

Purpose of Program: The purpose of the American Indian and Alaska

Native (AIAN) Education Research Grant Program is to fund research,

evaluation, and data collection to provide information on the status of

education for the Indian population and on the effectiveness of Indian

Education Programs. For FY 2001 the competition for new awards focuses

on projects designed to meet the absolute priority published elsewhere

in this issue of the Federal Register.

Eligible Applicants: Indian Tribes, Indian organizations, State

education agencies, local education agencies, institutions of higher

education, including Indian institutions of higher education, and other

public and private agencies and institutions, or a consortium of these

institutions that meet the requirements of 34 CFR 75.127 through 75.129

of EDGAR.

Applications Available: June 29, 2001 for hardcopies.

On the date of publication of this notice application packages will

also be available electronically on the World Wide Web at the following

site: www.ed.gov/GrantApps/

Deadline for Transmittal of Applications: July 30, 2001.

Estimated Available Funds: Approximately \$1.4 million.

Estimated Range of Awards: The size of the awards will be

commensurate with the nature and scope of the work proposed.

Estimated Number of Awards: 5.

Note: The Department is not bound by any estimates in this

notice.

Budget Period: 12 months.

Project Period: 12 to 36 months.

Page Limit: The application narrative may not exceed the equivalent

of 20 double-spaced pages, with printing on only one side of 8\\1/2\\ x

11-inch paper. Our reviewers will not read any pages of your

application that\--

Exceed the page limit if you apply these standards; or

Exceed the equivalent of the page limit if you apply other

standards.

Note: We have found that reviewers are able to conduct the

highest quality review when applications are concise and easy to

read. We strongly encourage applicants to use a 12-point or larger

size font, one-inch margins at the top, bottom, and both sides, and

pages numbered consecutively.

Applicable Regulations: (a) The Education Department General

Administrative Regulations (EDGAR) in 34 CFR parts 74, 75, 77, 80, 81,

82, 85, 86 (part 86 applies to IHEs only), 97, 98, and 99. (b) The

regulations in 34 CFR part 700.

Priority: This competition focuses on projects designed to meet the

absolute priority in the notice of final priority for this program,

published elsewhere in this issue of the Federal Register.

Under 34 CFR 75.105(c)(3) we consider only applications that meet

this priority.

SUPPLEMENTARY INFORMATION: Collaboration: The Secretary encourages

collaboration in the conduct of this research. Examples of

collaboration include: public and private research institutions

collaborating with Indian organizations, including schools funded by

the Bureau of Indian Affairs; and tribal colleges collaborating with

major research universities and local educational agencies in urban

areas serving high concentrations of Indian children.

For Applications Contact: Education Publications Center (ED Pubs),

PO Box 1398, Jessup, MD 20794-1398. Telephone (toll free): 1-877-433-

7827\. FAX: (301) 470-1244. If you use a telecommunications device for

the deaf (TDD), you may call (toll free): 1-877-576-7734.

You may also contact ED Pubs at its web site: http://www.ed.gov/

pubs/edpubs.html. Or you may contact ED Pubs at its E-mail address:

edpubs@inet.ed.gov.

If you request an application from ED Pubs, be sure to identify

this competition as follows: CFDA Number 84.306N.

FOR FURTHER INFORMATION CONTACT: Karen Suagee, American Indian and

Alaska Native Research Grant Program, Office of Educational Research

and Improvement, U.S. Department of Education, 555 New Jersey Avenue,

NW., Room 610B, Washington, DC 20208-5521. Telephone: (202) 219-2244 or

via Internet: karen.suagee@ed.gov or you may contact Eileen O\'Brien, at

the same program and address. Telephone: (202) 208-2978 or via

Internet: eileen.o\'brien@ed.gov.

If you use a telecommunications device for the deaf (TDD), you may

call the Federal Information Relay Service (FIRS) at 1-800-877-8339.

Individuals with disabilities may obtain this document in an

alternative format (e.g., Braille, large print, audiotape, or computer

diskette) on request to the program contact persons listed under FOR

FURTHER INFORMATION CONTACT.

Individuals with disabilities may obtain a copy of the application

package in an alternative format by contacting that person. However,

the Department is not able to reproduce in an alternative format the

standard forms included in the application package.

Electronic Access to This Document

You may view this document, as well as all other Department of

Education documents published in the Federal Register, in text or Adobe

Portable Document Format (PDF) on the Internet at the following site:

http://www.ed.gov/legislation/FedRegister.

To use PDF, you must have Adobe Acrobat Reader, which is available

free at this site. If you have questions about using PDF, call the U.S.

Government Printing Office (GPO), toll free, at 1-888-293-6498; or in

the Washington, DC, area at (202) 512-1530.

Note: The official version of this document is the document

published in the Federal Register. Free Internet access to the

official edition of the Federal Register and the Code of Federal

Regulations is available on GPO Access at: http://

www.access.gpo.gov/nara/index.html.

Program Authority: (20 U.S.C. 6031(c)(2)(B); 20 U.S.C. 7873 and

20 U.S.C. 7881(4)).

Dated: June 12, 2001.

Sue Betka,

Deputy Assistant Secretary, Office of Educational Research and

Improvement.

\[FR Doc. 01-15179 Filed 6-14-01; 8:45 am\]

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From the Federal Register Online via GPO Access \[wais.access.gpo.gov\]

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DEPARTMENT OF EDUCATION

American Indian and Alaska Native Education Research Grant

Program

AGENCY: Office of Educational Research and Improvement, Department of

Education.

ACTION: Notice of final priority.

\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\--

SUMMARY: The Secretary announces a priority for the American Indian and

Alaska Native Education Research Grant Program to fund research that

will evaluate the role of Native language and culture in the

development of educational strategies for improving achievement and

academic progress of American Indian and Alaska Native students. The

Secretary uses this particular priority for a competition in fiscal

year (FY) 2001 and may use this priority in later fiscal years.

EFFECTIVE DATE: This priority is effective July 16, 2001.

\[\[Page 32709\]\]

FOR FURTHER INFORMATION CONTACT: Karen Suagee, U.S. Department of

Education, 555 New Jersey Avenue, NW., room 610B, Washington, DC 20208-

5521\. Telephone: (202) 219-2244 or via Internet: karen.suagee@ed.gov.

If you use a telecommunications device for the deaf (TDD), you may

call the Federal Information Relay Service (FIRS) at 1-800-877-8339.

Individuals with disabilities may obtain this document in an

alternative format (e.g., Braille, large print, audiotape, or computer

diskette) on request to the contact person listed under FOR FURTHER

INFORMATION CONTACT.

SUPPLEMENTARY INFORMATION:

Background

The Office of Educational Research and Improvement (OERI) and the

Office of Indian Education (OIE), within the Office of Elementary and

Secondary Education (OESE), support educational research and

development activities that improve the educational achievement and

academic progress of American Indian and Alaska Native students. Under

section 9141 of the Elementary and Secondary Education Act (the

national research activities authority), the Department is authorized

to fund research, evaluation, and data collection to provide

information on the status of education for the Indian population and on

the effectiveness of Indian Education Programs. Section 9141 further

provides that the research activities funded under this authority shall

be carried out in consultation with OERI.

Pursuant to this authority and in response to Executive Order

13096, entitled \`\`American Indian and Alaska Native Education\'\', OIE

and OERI are collaborating on their first grant competition. Moreover,

pursuant to a Memorandum of Understanding between OESE and OERI, OERI

will administer the competition.

The Executive Order requires the Department to develop and

implement a comprehensive research agenda designed to improve the

academic achievement and school retention of American Indian and Alaska

Native students. The research agenda is to address three goals: (1) To

establish baseline data on academic achievement and retention of

American Indian and Alaska Native students in order to monitor

improvements; (2) to evaluate promising practices used with those

students; and (3) to evaluate the role of native language and culture

in the development of educational strategies. Work on the research

agenda is in progress. When the agenda is completed, the Secretary may

establish additional priorities for grant competitions under this

authority in FY 2002 and later years. During the interim period, the

Secretary provides an absolute priority to address one of the agenda

goals: evaluating the role of language and culture in developing

educational strategies.

We published a notice of proposed priority for the American Indian

and Alaska Native Education Research Grant Program in the Federal

Register on April 19, 2001 (66 FR 20180). As noted in the proposed

priority, recent research points to the degree of fit, or congruence,

between the cultural contexts of home and school as a factor

influencing academic and social development outcomes of students. These

outcomes include, but are not limited to, academic achievement, reduced

dropout rate, school engagement, responsible behavior (taking into

account tribal values), attendance, and high school completion. The

research suggests that achieving positive academic and social outcomes

for students from diverse linguistic and cultural backgrounds may be

enhanced by incorporating native language and culture in the

development of educational strategies.

Family and community involvement in education is also vital to the

academic and social development of students. For schools serving

students from diverse linguistic and cultural backgrounds, the research

also suggests that strong family and community collaboration with

schools that reflects the language and culture of the community may

support the efforts of schools to enhance student achievement and

social development. The Secretary wishes to determine the extent to

which, and the ways in which, incorporating native language and culture

in educational strategies (including strong family and community

collaboration with schools) contributes to the attainment of these

positive academic and social outcomes for American Indian and Alaska

Native students.

Analysis of Comments and Changes

In response to our invitation in the notice of proposed priority,

10 parties submitted comments on the proposed priority. Three comments

indicated broad support for the purpose and content of the priority.

Other comments can be grouped into the following general areas:

recommendations to add a particular focus to the scope of the final

priority and recommendations for technical or procedural changes or

definitional clarity. An analysis of the comments and the changes to

the priority since publication of the notice of proposed priority

follow. Program administrative changes and changes the Secretary is not

authorized to make under the applicable statutory authority are not

addressed.

Comment: One comment noted that the majority of American Indians

now live in urban areas and recommended that the absolute priority

should focus the research on the educational needs of Indian children

in urban areas. This comment also noted the loss of native languages in

multi-tribal urban Indian environments and advised that the priority

include research on the reintroduction of native languages into the

curriculum in urban schools.

Discussion: Research on urban Indian educational needs is within

the scope of the final priority. The text of the priority recognizes

this by using the phrase, \`\`\* \* \* in both rural and urban
settings.\'\'

However, the Secretary intends for applicants to have flexibility to

focus on either rural or urban settings, or both. Regarding the second

recommendation to include research on the reintroduction of native

languages, the Secretary wishes to allow for flexibility in selecting

topics rather than specifying particular topics, so no change will be

made.

Change: The final priority has been revised to permit applicants to

address research on either rural or urban settings, or both.

Comment: Two comments recommended making a distinction in the final

priority between the role of language and culture in developing

educational strategies. One comment emphasized that family and

community support is essential for school-based approaches to language

revitalization, and further noted the difficulties in many communities

of securing such joint commitment. According to this comment, only a

minority of Indian parents and community members supports native

language programs in the schools. The same comment indicated that for

the majority of tribes, incorporating tribal culture (as opposed to

language) into educational strategies may therefore produce a more

powerful effect on achievement. The second comment indicated that a

distinction should be made in the final priority between total language

immersion approaches and approaches that treat language and culture as

a supplement to the mainstream curriculum.

Discussion: Research supports the position that language and

culture are complementary elements insofar as language is a primary

vehicle through which culturally embedded concepts

\[\[Page 32710\]\]

are expressed. The final priority for funding research on both Native

language and culture reflects this position and in addition, responds

to the language of the Executive Order goal, \`\`\* \* \* to evaluate
the

role of native language and culture in the development of educational

strategies.\'\' However, the Secretary wishes to allow for flexibility
in

conducting research on this broad subject and recognizes that it may be

feasible to address only one element at a time.

The Secretary also recognizes that total language immersion is a

distinct approach in contrast to the supplemental nature of many

instructional approaches to teaching language and culture. However, the

Secretary does not wish to specify particular approaches, preferring

that researchers identify approaches for study. Thus, no change has

been made to distinguish total language immersion from the array of

approaches to teaching language and culture.

Change: The final priority has been revised to allow applicants to

address language or culture, or both elements.

Comment: One comment suggested that educational leadership be added

to the listing of factors from among which applicants must consider in

addressing the final priority.

Discussion: The factors stated in the final priority were intended

to be illustrative of a range of factors, as opposed to an exhaustive

listing. The Secretary intends for the applicant to identify and

justify the factors that may affect either academic achievement or

social development (or both) of students. Notwithstanding this

intention, the Secretary agrees that educational leadership may be a

significant factor in establishing a climate for enhancing teaching and

learning and thus, adding educational leadership adds clarity.

Change: Educational Leadership will be added to the listing of

factors that may contribute to positive academic achievement or social

development.

Comment: Two comments indicated the need to add a specific focus to

the statement of priority. One comment emphasized the need to integrate

mental health approaches in conjunction with cultural strategies for

educational and social success. This comment emphasized the need to

have the issues of self-esteem, fear of failure, and discrimination

incorporated into the cultural strategies. A second comment indicated

that access to quality on-reservation instruction for deaf and hard of

hearing Indian students was critically important.

Discussion: Regarding the first comment, the term \`\`social

development\'\' as used in the priority statement is intended to

encompass a number of factors, including healthy emotional development.

The Secretary intends for applicants to identify these factors, if

applicable to their proposed research. The second comment is directed

to the provision of specialized instructional services and is thus not

applicable to the research focus of the final priority.

Change: None.

Comment: One comment recommended certain additions to the items

that the priority statement indicates should be included in a research

application. This comment recommended that the following be added: (1)

evidence that tribal protocols are followed to ensure access and

support for the proposed research project; (2) the active involvement

of American Indians and Alaska Natives in the conceptualization and

conduct of the research; and (3) language explaining that \`\`a rigorous

design\'\' can be one that uses many methods and creative approaches,

including Native Ways of Knowing designs.

Discussion: In listing the components of a research application,

the Secretary intended to identify the technical attributes of high

quality research. While the Secretary acknowledges that the first two

recommendations regarding proper protocol and active involvement of

stakeholders may clearly enhance the quality of the research, the

Secretary believes that high quality research may encompass additional

attributes, and thus does not believe it necessary to make the two

recommended changes. However, the third recommendation, to add multiple

methods, including quantitative and qualitative methods, as well as

innovative and creative approaches, does enhance understanding of what

constitutes a rigorous design. Finally, as there are many high quality

designs, the Secretary does not wish to specify examples.

Change: The listing of components of a high quality application

will include language regarding multiple methodologies.

Comment: One comment recommended that the term \`\`Indian

organization\'\' be defined for eligibility purposes and that tribal

colleges and universities be specifically mentioned as qualified

members of the applicant pool.

Discussion: The Secretary wishes to advise that there is no

statutory or regulatory definition of \`\`Indian organization.\'\'
However,

the term, \`\`Indian\'\', which modifies organization, is a defined term

and is contained in section 9161(4) of Title IX of the Elementary and

Secondary Education Act (ESEA). In addition, there is no separate

definition of \`\`Indian IHE\'\'. However, as just noted, there is a

statutory definition of \`\`Indian\'\' and the definition of \`\`IHE\'\'
is

contained by reference in section 14101(17) of Title XIV of the ESEA.

Whether a particular tribal community college is an eligible applicant

will be determined on a case-by-case basis.

Change: None.

Comment: One comment stated that projects should be funded for five

years, and that the priority statement should include development and

pilot testing of instructional strategies in the list of factors that

may affect student outcomes.

Discussion: The Secretary believes that a project period of up to

three years is adequate to conduct this type of research. The Field-

Initiated Studies Education Research Grant Program, administered by

OERI, is an example of such research. Concerning the second

recommendation to add development and pilot testing of instructional

strategies, the list of factors was intended to be illustrative of a

range of factors, as opposed to an exhaustive listing. Thus, the

Secretary does not believe it is necessary to add more examples.

Change: None.

Comment: A comment recommended that the term \`\`evaluate\'\' be

replaced with \`\`investigate\'\' or \`\`examine,\'\' in order to
reflect

research language.

Discussion: The Secretary acknowledges that the term \`\`evaluate\'\'

often connotes an activity to judge the merit or worth of a specific

program or approach and may therefore be narrow in focus. However,

Executive Order 13096 (to which this priority responds) utilizes the

phrase, \`\`evaluate the role of native language and culture \* \*
\*\'\',

which the Secretary interprets in the broader sense of systematic

study.

Change: No change.

Comment: One comment recommended that in order to avoid confusion,

the words, \`\`in later years\'\', be deleted from the Background
section

that precedes the priority statement.

Discussion: The Background section is intended to distinguish the

single proposed priority on language and culture for this fiscal year

from priorities in future years. Once the Research Agenda is completed

and priority research questions are identified, the Secretary may elect

to propose absolute, competitive, or invitational priorities from among

the

\[\[Page 32711\]\]

priority research questions in any given year, commencing in 2002.

Change: None

Absolute Priority: Under 34 CFR 75.105(c)(3), the Secretary gives

an absolute preference to applications that meet the priority in the

next paragraph. Funding this priority will depend on the availability

of funds and the quality of applications received. There will be only

one grant competition addressing this priority. Therefore, each

applicant will compete against all applicants under this competition.

The Secretary funds only applicants that propose to expand the

current research base for pre-kindergarten through secondary level

education of American Indian and Alaska Native students, in both rural

and urban settings, by addressing the following research question:

To what extent and in what ways does incorporating native language

and culture in educational strategies affect either academic

achievement or social development of American Indian and Alaska Native

students, or both? In addressing this question applicants may choose to

address only native language or culture (or both). In addition,

applicants may choose to address only rural or urban settings (or

both).

Applicants must take into account other factors that may affect

these outcomes, such as curriculum and instruction, standards and

assessment, school and classroom settings, educational leadership,

teacher professional development, and family and community

collaboration with schools.

The research proposed in the application should\--

a\. Incorporate a well-conceptualized and theoretically sound

framework;

b\. Incorporate a rigorous design (that utilizes multiple methods

such as qualitative and quantitative as well as innovative and creative

approaches, as appropriate) that is capable of generating findings that

contribute substantially to understanding in the field;

c\. Link previous research, theory, and findings to the proposed

study;

d\. Conduct work of sufficient size, scope, and duration to produce

generalizable results;

e\. Contribute to the advancement of knowledge; and

f\. Provide for a dissemination plan that will facilitate effective

use of the research by educators, community members, policy makers, and

other interested parties.

Preference for Indian Applicants

Eligible entities for the national research program authorized

under section 9141 of the Elementary and Secondary Education Act (20

U.S.C. 7861) are Indian Tribes, Indian organizations, State educational

agencies, local educational agencies, institutions of higher education,

including Indian institutions of higher education, and other public and

private agencies and institutions. We want to advise the public that

the statute requires the Secretary to give a preference to Indian

Tribes, Indian organizations, and Indian institutions of higher

education in awarding research grants authorized under section 9141.

(Section 9153; 20 U.S.C. 7873.)

The Secretary will award 5 extra points to applications submitted

by the entities entitled to the statutory preference. We want to advise

the public that a consortium application of eligible entities that

includes an Indian Tribe, Indian organization or Indian institution of

higher education would be considered eligible to receive the extra 5

points.

Electronic Access to This Document

You may view this document, as well as all other Department of

Education documents published in the Federal Register, in text or Adobe

Portable Document Format (PDF) on the Internet at: www.ed.gov/

legislation/FedRegisterTo use PDF, you must have Adobe Acrobat Reader,

which is available free at this site. If you have questions about using

PDF, call the U.S. Government Printing Office (GPO), toll free, at

\(888\) 293-6498; or in the Washington, DC area at (202) 512-1530.

Note: The official version of this document is the document

published in the Federal Register. Free Internet access to the

official edition of the Federal Register and the Code of Federal

Regulations is available on GPO Access at: http://

www.access.gpo.gov/nara/index.html.

(Catalog of Federal Domestic Assistance Number: 84.306N American

Indian and Alaska Native Education Research Grant Program)

Program Authority: 20 U.S.C. 7861 and 7873 and section 931 of

the Educational Research, Development, Dissemination, and

Improvement Act of 1994 (20 U.S.C. 6031).

Dated: June 12, 2001.

Sue Betka,

Deputy Assistant Secretary, Office of Educational Research and

Improvement.

\[FR Doc. 01-15178 Filed 6-14-01; 8:45 am\]

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**Selection Criteria**

All applications will be rated according to the following evaluation
criteria:

(1) **The National Significance (30 points).**

In determining the national significance of the proposed project, the
Secretary considers the following factors:

-   the importance of the problem or issue to be addressed.

-   the potential contribution of the project to increased knowledge or
    understanding of education problems, issues, or effective
    strategies.

-   the potential for generalizing from project findings or results.

2.  **(2) The Quality of the Project Design (30 points).**

In determining the quality of the proposed project design, the Secretary
considers the following factors:

-   whether there is a conceptual framework underlying the proposed
    activities and the quality of that framework.

-   whether a specific research design has been proposed, and the
    quality and appropriateness of that design, including the scientific
    rigor of the studies involved.

-   the extent to which the research design includes a thorough,
    high-quality review of the relevant literature, a high-quality plan
    for research activities, and the use of appropriate theoretical and
    methodological tools, including those of a variety of disciplines,
    where appropriate.

(3) **The Quality and Potential Contributions of Personnel (25
    points).**

In determining the quality and potential contribution of the proposed
personnel, the Secretary considers the following factors:

-   the qualifications, including training and experience, of:

\(a\) the project director or principal investigator;

> \(b\) key project personnel; and

\(c\) any proposed consultants or subcontractors.

\(4\) The Quality of the Management Plan (15 points).

> In determining the quality of the management plan, the Secretary
> considers the following factors:

-   the adequacy of the management plan to achieve the objectives of the
    project, including the specification of staff responsibility,
    timelines, and benchmarks for accomplishing project tasks.

-   whether time commitments of the project director or principal
    investigator and other key personnel are appropriate and adequate to
    meet project objectives.

-   the adequacy of plans for widespread dissemination of project
    results and products in ways that will assist others to use the
    information.

**How to Apply**

***Deadline for Transmittal of Application: July 30 , 2001***

####### General Information

Applications submitted under the American Indian and Alaska Native
(AIAN) Education Research Grant Program will compete under one general
competition. When the peer review process is completed, and grants are
awarded, each grant will be assigned to and monitored by a staff member
of the National Institute on the Education of At-Risk Students, Office
of Educational Research and Improvement.

Applicants should carefully review all the instructions in this
application and the selection criteria. **Applications are evaluated
solely on the basis of these criteria.** The AIAN Education Research
Grant Program will be highly competitive. Strong applications make a
well-reasoned and compelling case for the national significance of the
problem or issues affecting Indian students that will be the subject of
the proposed research. They provide evidence of both the potential for
increasing the knowledge base in Indian education and of the potential
for generalizing project results to a broader Indian education setting.

Strong applications also include: a well-conceptualized and
theoretically sound framework underlying the project activities; a
research design that is high quality, specific and appropriate, and that
describes the use of appropriate research methods; and a thorough review
of the relevant literature. The personnel descriptions in strong
applications make it apparent that the principal investigator, key
personnel, and consultants possess the training and experience
commensurate with their duties. Strong applications also clearly
delineate and justify the requested budget, the management plan, time
commitments of personnel, and the dissemination plan.

## Application Format and Length

All applications must include: title page form, narrative, vitae for
principal investigator(s) and other key personnel, GEPA 427 statement,
budget summary form, and budget narrative**.** ***Applicants must
include this information in order to receive funding under the AIAN
program.***

Applicants may provide other relevant information, including pertinent
exhibits, but each application must be a self-contained document.

**Only the materials included in the application at the time of
submission will be sent to the review panel**.

The application narrative may not exceed the equivalent of 20
double-spaced pages, with printing on only one side of 8 1/2 x 11-inch
paper. Our reviewers will not read any pages of your application that
exceed the page limit if you apply these standards; or exceed the
equivalent of the page limit if you apply other standards. We will
remove all pages in excess of the 20-page narrative maximum or its
equivalent.

**NOTE:** *We have found that reviewers are able to conduct the highest
quality review when applications are concise and easy to read. We
strongly encourage applicants to use a 12-point or larger size font, and
one-inch margins at the top, bottom, and both sides, and pages numbered
consecutively***.**

**The application should not be bound or enclosed in a folder.** The
preferred method is to clip or staple the application. All sections of
the application, and all appendices or attachments must be suitable for
photocopying in order to be included in the materials given to the
reviewers.

**Content of Each Section of the Application**

All applications for research grants must include:

• **Title Page Form**

Use the Title Page Form (included within this package) as the cover for
each copy of your application. Follow the instructions for completing
the form included in this application package. Be sure to include an
abstract of your proposed research project in the space provided.

Abstracts should include the following: (1) a description of the issue
or problem being addressed and why it is important, (2) a summary of the
methodology being used and why that approach will yield the intended
results, and (3) the intended results or outcomes of the work and a
summary of why those results or outcomes are important.

If your application is funded, this abstract may be sent to your
congressional representatives as a description of your project. It may
also be the basis of a public announcement about the grant awards. **Be
sure that the certifying representative of your institution signs this
Title Page Form**.

• **Narrative**

A narrative (not to exceed 20 double-spaced pages) that addresses the
following:

-   The significance of the research question and the potential
    contribution of the project to increased knowledge or understanding;

-   The potential for generalizing from project results to other Indian
    education settings;

-   A conceptual framework and a description of the research design,
    including the methodology and analytical techniques;

> \- A review of the pertinent literature that provides a rationale for
> what is proposed;

-   Descriptions of relevant qualifications of proposed personnel
    commensurate with project responsibilities;

-   A management plan for accomplishing the objectives of the project;
    and

-   Dissemination of project results and products.

• **Personnel**

> Be sure to include vitae of principal investigator(s) and other key
> personnel.
>
> *Vitae do not count against the 20-page limitation of the application
> narrative.*

**• GEPA 427**

Provide a brief description separate from the narrative.

> *A separate description will not count against the 20-page limitation
> of the application narrative*.
>
> Section 427 of the General Education Provisions Act (GEPA) requires
> applicants to include in their proposal a succinct description of the
> steps the applicant proposes to take to ensure equitable access to,
> and participation in, its federally assisted program for students,
> teachers, and other program beneficiaries with special needs. GEPA 427
> highlights six types of barriers that can impede equitable access or
> participation: gender, race, national origin, color, disability, or
> age. Based on local circumstances, you can determine whether these or
> other barriers may prevent your students, teachers, and other program
> beneficiaries from such access or participation.
>
> Your description need not be lengthy. However, you must identify
> barriers to access or participation, and provide a clear and succinct
> description of how you plan to address those barriers that are
> applicable to your circumstances. This information should be provided
> in a statement separate from the research narrative.
>
> GEPA 427 is not intended to duplicate the requirements of the civil
> rights statutes, but rather to ensure that, in designing their
> projects, applicants for federal funds address equity concerns that
> may affect the ability of certain potential beneficiaries to fully
> participate in the project and to achieve high standards. An applicant
> may use the federal funds awarded to it to eliminate barriers it
> identifies.

• **Budget and Budget Narrative**

A complete budget for each year of the project must be included (use the
Budget Summary Form in this package, or a suitable facsimile). Projects
may be funded for 1 to 3 years.

Each 12-month budget should be clearly delineated and justified in terms
of the proposed activities. A separate budget narrative must be provided
to justify each line item in the completed Budget Summary form. Be sure
to include key personnel's time commitment to the project.

*The budget and budget narrative do not count against the 20-page
limitation of the application narrative.*

NOTE: Successful applicants may be asked to provide more detailed budget
information.

####### Number of Copies

All applicants are *required* to submit one signed original and two
copies of the application. Applicants are *requested* to submit *three*
(3) additional copies of the entire application. The reviewers will use
these copies. Each copy of the application must include a Title Page
Form.

**Instructions for Completing the**

**Title Page Form**

Do not forget to have the Title Page Form signed by the authorized
representative.

**ITEM 1. D-U-N-S NUMBER:** Enter the applicant's D-U-N-S number. If
your organization does not have a D-U-N-S number, you can obtain the
number by calling 1-800-333-0505 or by completing a D-U-N-S Number
Request Form. This service is free. The form can be obtained via the
Internet at the following URL**:
http://www.dnb.com/dunsno/whereduns.htm#own**

**ITEM 2. LEGAL APPLICANT:** Enter the name and complete mailing address
of the organization, agency, or individual that will serve as the legal
applicant. When more than one organization or agency is involved, enter
the name of the one responsible for budget control. NOTE:
Acknowledgments of grant awards are sent to this address. It is
important to provide all requested information.

**ITEM 3. PROJECT DIRECTOR:** Enter the name and complete mailing
address of the Project Director or Co-Directors. If no one has been
selected, so indicate and enter the name of the person who can be
contacted to discuss the programmatic aspects of the project. NOTE: The
name and address listed here will be used to mail notifications of
application status. Do not forget to include the telephone number. Both
this address and the Legal Applicant address should be detailed. Please
provide all requested information.

**ITEM 4. FEDERAL FUNDS REQUESTED:** Enter the amount of federal funds
being requested in each year of the project. Under "TOTAL" enter the
cumulative amount requested for the duration of the project.

**ITEM 5. DURATION OF THE PROJECT:** Enter appropriate starting and
ending dates.

**ITEM 6. APPLICATION TITLE:** Self-explanatory.

**ITEM 7. BRIEF ABSTRACT OF APPLICATION:** Keep concise and substantive.
Indicate major outcomes of the work and expected contributions to theory
or practice.

**ITEM 8. HUMAN SUBJECTS:** If research activities involving human
subjects are **not planned at any time** during the proposed project,
check **"No."** The remaining parts of item 8 are then not applicable.

If research activities involving human subjects, whether or not exempt
from federal regulations for the protection of human subjects, **are**
planned **at any time** during the proposed project period, either at
the applicant organization or at any other performance site or
collaborating institution, check **"Yes."** If the research activities
are designated to be exempt under the regulations, enter, in item 8a,
the exemption number(s) corresponding to one or more of the six
exemption categories listed in **"PROTECTION OF HUMAN SUBJECTS IN
RESEARCH"** attached to this form. Provide sufficient information in the
application to allow a determination that the designated exemptions are
appropriate.

If the planned research activities involving human subjects are covered
(not exempt), complete the remaining parts of item 8 and follow the
instructions in **"PROTECTION OF HUMAN SUBJECTS IN RESEARCH"** attached
to this form. If the applicant organization has an approved Multiple
Project Assurance of Compliance on file with the Grants Policy and
Oversight Staff (GPOS), U.S. Department of Education (ED), or with the
Office for Protection from Research Risks (OPRR), National Institutes of
Health, U.S. Department of Health and Human Services, that covers the
specific activity, enter the assurance number in item 8b and the date of
approval by the Institutional Review Board (IRB) of the proposed
activities in item 8c. This date must be no earlier than one year before
the receipt date for which the application is submitted and must include
the four digit year (e.g., 2000). Check the type of IRB review in the
appropriate box. An IRB may review an application through an expedited
review procedure only if it complies with Section 97.110 of the human
subjects regulations 34 CFR 97. If the IRB review is unavoidably delayed
beyond the submission of the application, enter **"Pending"** in item
8c. A follow-up certification of IRB approval from an official signing
for the applicant organization must then be sent to and received by the
designated ED official. The certification must be received within 30
days of a specific formal request from the designated ED official. The
certification must include: the PR Award number, title of the project
from item 6, name of the principal investigator, project director,
fellow, or other, institution, Multiple Assurance number, date of IRB
approval, and appropriate signatures.

If the applicant organization does not have on file with GPOS or OPRR an
approved Assurance of Compliance that covers the proposed research
activity, enter **"None"** in item 8b. In this case, the applicant
organization, by the signature on the application, is declaring that it
will comply with 34 CFR 97 within 30 days of a specific formal request
from the designated ED official.

For additional instructions regarding proposals that involve human
subjects research, see **"PROTECTION OF HUMAN SUBJECTS IN RESEARCH"**
attached to this form.

**ITEM 9. CERTIFICATION BY AUTHORIZING OFFICIAL:** Enter the name,
title, and telephone number of the official who has the authority both
to commit the legal applicant to accept federal funding and to execute
the proposed project. Submit the original ink-signed copy of the
authorizing official's signature.

*NOTE: USE THIS TITLE PAGE FORM AS THE COVER PAGE FOR YOUR APPLICATION.*

**Protection of Human Subjects in Research**

**(Attachment to Title Page Form)**

**I. Instructions to Applicants about the Narrative Information that
must be provided if research activities involving human subjects are
planned.**

If you marked item 8 on the application "Yes" and designated exemptions
in 8a **(all research activities are exempt),** provide sufficient
information in the application to allow a determination that the
designated exemptions are appropriate. Research involving human subjects
that is exempt from the regulations is discussed under **II.B.
"Exemptions,"** below. The Narrative must be succinct. **Provide this
information in an "Item 8/Protection of Human Subjects Attachment" and
insert this attachment immediately following the Title Form Page.**

If you marked "Yes" to item 8 on the face page, and designated no
exemptions from the regulations **(some or all of the research
activities are nonexempt),** address the following six points for each
nonexempt activity. In addition, if research involving human subjects
will take place at collaborating site(s) or other performance site(s),
provide this information before discussing the six points. Although no
specific page limitation applies to this section of the application, be
succinct. Provide the six-point narrative and discussion of other
performance sites in an **"Item 8/Protection of Human Subjects
Attachment" and insert this attachment immediately following the Title
Form Page.**

\(1\) Provide a detailed description of the proposed involvement of
human subjects. Describe the characteristics of the subject population,
including their anticipated number, age range, and health status.
Identify the criteria for inclusion or exclusion of any subpopulation.
Explain the rationale for the involvement of special classes of
subjects, such as children, children with disabilities, adults with
disabilities, persons with mental disabilities, pregnant women,
prisoners, institutionalized individuals, or others who are likely to be
vulnerable.

\(2\) Identify the sources of research material obtained from
individually identifiable living human subjects in the form of
specimens, records, or data. Indicate whether the material or data will
be obtained specifically for research purposes or whether use will be
made of existing specimens, records, or data.

\(3\) Describe plans for the recruitment of subjects and the consent
procedures to be followed. Include the circumstances under which consent
will be sought and obtained, who will seek it, the nature of the
information to be provided to prospective subjects, and the method of
documenting consent. State if the Institutional Review Board (IRB) has
authorized a modification or waiver of the elements of consent or the
requirement for documentation of consent.

\(4\) Describe potential risks (physical, psychological, social, legal,
or other) and assess their likelihood and seriousness. Where
appropriate, describe alternative treatments and procedures that might
be advantageous to the subjects.

\(5\) Describe the procedures for protecting against or minimizing
potential risks, including risks to confidentiality, and assess their
likely effectiveness. Where appropriate, discuss provisions for ensuring
necessary medical or professional intervention in the event of adverse
effects to the subjects. Also, where appropriate, describe the
provisions for monitoring the data collected to ensure the safety of the
subjects.

\(6\) Discuss why the risks to subjects are reasonable in relation to
the anticipated benefits to subjects and in relation to the importance
of the knowledge that may reasonably be expected to result.

**II. Information on Research Activities**

**Involving Human Subjects**

**A. Definitions.**

A research activity involves human subjects if the activity is research,
as defined in the Department's regulations, and the research activity
will involve use of human subjects, as defined in the regulations.

**---Is it a research activity?**

The ED Regulations for the Protection of Human Subjects, Title 34, Code
of Federal Regulations, Part 97, define research as "a systematic
investigation, including research development, testing and evaluation,
designed to develop or contribute to generalizable knowledge." *If an
activity follows a deliberate plan whose purpose is to develop or
contribute to generalizable knowledge, such as an exploratory study or
the collection of data to test a hypothesis, it is research.* Activities
which meet this definition constitute research whether or not they are
conducted or supported under a program which is considered research for
other purposes. For example, some demonstration and service programs may
include research activities.

**---Is it a human subject?**

The regulations define human subject as "a living individual about whom
an investigator (whether professional or student) conducting research
obtains (1) data through intervention or interaction with the
individual, or (2) identifiable private information." *(1) If an
activity involves obtaining information about a living person by
manipulating that person or that person's environment, as might occur
when a new instructional technique is tested, or by communicating or
interacting with the individual, as occurs with surveys and interviews,
the definition of human subject is met. (2) If an activity involves
obtaining private information about a living person in such a way that
the information can be linked to that individual (the identity of the
subject is or may be readily determined by the investigator or
associated with the information), the definition of human subject is
met.* \[Private information includes information about behavior that
occurs in a context in which an individual can reasonably expect that no
observation or recording is taking place, and information which has been
provided for specific purposes by an individual and which the individual
can reasonably expect will not be made public (for example, a school
health record).\]

**B. Exemptions.**

Research activities in which the only involvement of human subjects will
be in one or more of the following six categories of ***exemptions***
are not covered by the regulations:

\(1\) Research conducted in established or commonly accepted educational
settings, involving normal educational practices, such as (a) research
on regular and special education instructional strategies, or (b)
research on the effectiveness of or the comparison among instructional
techniques, curricula, or classroom management methods.

\(2\) Research involving the use of educational tests (cognitive,
diagnostic, aptitude, achievement), survey procedures, interview
procedures or observation of public behavior, unless: (a) information
obtained is recorded in such a manner that human subjects can be
identified, directly or through identifiers linked to the subjects; and
(b) any disclosure of the human subjects' responses outside the research
could reasonably place the subjects at risk of criminal or civil
liability or be damaging to the subjects' financial standing,
employability, or reputation. ***If the subjects are children, this
exemption applies only to research involving educational tests or
observations of public behavior when the investigator(s) do not
participate in the activities being observed.*** \[Children are defined
as persons who have not attained the legal age for consent to treatments
or procedures involved in the research, under the applicable law or
jurisdiction in which the research will be conducted.\]

\(3\) Research involving the use of educational tests (cognitive,
diagnostic, aptitude, achievement), survey procedures, interview
procedures or observation of public behavior that is not exempt under
section (2) above, if the human subjects are elected or appointed public
officials or candidates for public office; or federal statute(s)
require(s) without exception that the confidentiality of the personally
identifiable information will be maintained throughout the research and
thereafter.

\(4\) Research involving the collection or study of existing data,
documents, records, pathological specimens, or diagnostic specimens, if
these sources are publicly available or if the information is recorded
by the investigator in a manner that subjects cannot be identified,
directly or through identifiers linked to the subjects.

\(5\) Research and demonstration projects which are conducted by or
subject to the approval of department or agency heads, and which are
designed to study, evaluate, or otherwise examine: (a) public benefit or
service programs; (b) procedures for obtaining benefits or services
under those programs; (c) possible changes in or alternatives to those
programs or procedures; or (d) possible changes in methods or levels of
payment for benefits or services under those programs.

\(6\) Taste and food quality evaluation and consumer acceptance studies,
(a) if wholesome foods without additives are consumed or (b) if a food
is consumed that contains a food ingredient at or below the level and
for a use found to be safe, or agricultural chemical or environmental
contaminant at or below the level found to be safe, by the Food and Drug
Administration or approved by the Environmental Protection Agency or the
Food Safety and Inspection Service of the U.S Department of Agriculture.

***Copies of the Department of Education's Regulations for the
Protection of Human Subjects, 34 CFR Part 97 and other pertinent
materials on the protection of human subjects in research are available
from the Grants Policy and Oversight Staff (GPOS) Office of the Chief
Financial and Chief Information Officer, U.S. Department of Education,
Washington, DC.; telephone: (202) 708-8263, and on the U.S. Department
of Education's Protection of Human Subjects in Research Web Site at
ocfo.ed.gov/humansub.htm.***

######## Instructions for Completing the Budget Summary Form

**A. Direct Costs**

1\. Salaries (professional and clerical): Show salaries and wages to be
paid to personnel employed in the project. Fees and expenses for
consultants must be included in item A6.

2\. Employee Benefits: Include contributions for Social Security,
employee insurance, pension plans, and the like. Leave blank if fringe
benefits applicable to direct salaries and wages are treated as part of
the indirect cost rate.

3\. Employee Travel: Indicate the amount requested for travel of
employees. **Include round-trip travel to Washington, DC for a 2-day
project director's meeting each project year.**

4\. Equipment (purchase): Indicate the cost of nonexpendable personal
property which has a useful life of more than 2 years. Provide per unit
costs in the budget narrative.

5\. Materials and Supplies: Include the cost of consumable supplies and
materials to be used in the project.

6\. Consultants and Contracts: Show the amount to be used for:

\(a\) subgrants or payments for consultants and secondary recipient
organizations such as affiliates and cooperating institutions; and

\(b\) procurement contracts (except those which are included on the
lines for supplies and for equipment).

7\. Other (such as equipment rental, printing): Indicate all other
direct costs not covered in lines 1 through 6.

8\. Total Direct Costs: Show totals for lines 1 through 7.

B.  **Indirect Costs**

    Indicate the amount of indirect costs to be charged to the program
    or project. Explain the indirect cost rate and base in the budget
    narrative.

**C. Total---**Add lines A8 and B. Please note that these items should
be completed for each year of the budget request. *Use this Budget
Summary Form for the budget figures.*

OMB #1850-0601

Expires 5/31/2003

TITLE PAGE FORM

**American Indian and Alaska Native Education Research Grant
Program---CFDA 84.306N**

**U.S. Department of Education**

1\. DUNS No.:

2.  APPLICANT: 3. PROJECT DIRECTOR:

> Name:
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
> Name:
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
>
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
> Title:
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
>
> Address:
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
> Address:
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Telephone:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Fax: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Email:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

4\. Federal Funds Requested: 1^st^ Year:
\$\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ 5. Duration of Project:

2^nd^ Year: \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Starting Date:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

> 3^rd^ Year: \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Ending Date:
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
>
> Total: \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Total Number of Months:
> \_\_\_\_\_\_\_\_\_\_\_

6.  Application Title:

7.  Brief Abstract of Application: (Use this space only)

8.  Are any research activities involving human subjects planned at any
    time during the proposed project period?

Yes No a. If "Yes," Exemption(s) #: **[OR]{.underline}** b. Assurance of
Compliance #:

c\. IRB approval date:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Full IRB
**[OR]{.underline}** Expedited Review

9.  Certification by Authorizing Official

The applicant certifies to the best of his/her knowledge and belief that
the data in this application are true and correct and that the filing of
the application has been duly authorized by the governing body of the
applicant.

Name:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Title:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Signature:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Date: \_\_\_\_\_\_\_\_\_\_\_ Telephone: (
)\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

> OMB #1850-0601
>
> Expires 5/31/2003

Budget Summary

+---------------------------+------------+--------------+-------------+
|                           | # YEAR 1   |              |             |
+---------------------------+------------+--------------+-------------+
| **BUDGET ITEM**           | Requested  | Support by   | TOTAL       |
|                           | from ED    | Other        |             |
|                           |            | Sources      |             |
+---------------------------+------------+--------------+-------------+
| A. DIRECT COSTS           |            |              |             |
+---------------------------+------------+--------------+-------------+
| 1.  Salaries              |            |              |             |
|     (professional &       |            |              |             |
|     clerical)             |            |              |             |
|                           |            |              |             |
| 2.  Employee Benefits     |            |              |             |
|                           |            |              |             |
| 3.  Employee Travel       |            |              |             |
|                           |            |              |             |
| 4.  Equipment (purchase)  |            |              |             |
|                           |            |              |             |
| 5.  Materials & Supplies  |            |              |             |
|                           |            |              |             |
| 6.  Consultants and       |            |              |             |
|     Contracts             |            |              |             |
|                           |            |              |             |
| 7.  Other (equip. rental, |            |              |             |
|     printing, etc.)       |            |              |             |
|                           |            |              |             |
| 8.  Total Direct Costs    |            |              |             |
+---------------------------+------------+--------------+-------------+
|                           |            |              |             |
+---------------------------+------------+--------------+-------------+
|                           |            |              |             |
+---------------------------+------------+--------------+-------------+
|                           |            |              |             |
+---------------------------+------------+--------------+-------------+
|                           |            |              |             |
+---------------------------+------------+--------------+-------------+
|                           |            |              |             |
+---------------------------+------------+--------------+-------------+
|                           |            |              |             |
+---------------------------+------------+--------------+-------------+
|                           |            |              |             |
+---------------------------+------------+--------------+-------------+
| B. INDIRECT COSTS         |            |              |             |
+---------------------------+------------+--------------+-------------+
| C. TOTAL                  |            |              |             |
+---------------------------+------------+--------------+-------------+
|                           | **YEAR 2** |              |             |
+---------------------------+------------+--------------+-------------+
| **BUDGET ITEM**           | Requested  | Support by   | TOTAL       |
|                           | from ED    | Other        |             |
|                           |            | Sources      |             |
+---------------------------+------------+--------------+-------------+
| A. DIRECT COSTS           |            |              |             |
+---------------------------+------------+--------------+-------------+
| 1.  Salaries              |            |              |             |
|     (professional &       |            |              |             |
|     clerical)             |            |              |             |
|                           |            |              |             |
| 2.  Employee Benefits     |            |              |             |
|                           |            |              |             |
| 3.  Employee Travel       |            |              |             |
|                           |            |              |             |
| 4.  Equipment (purchase)  |            |              |             |
|                           |            |              |             |
| 5.  Materials & Supplies  |            |              |             |
|                           |            |              |             |
| 6.  Consultants and       |            |              |             |
|     Contracts             |            |              |             |
|                           |            |              |             |
| 7.  Other (equip. rental, |            |              |             |
|     printing, etc.)       |            |              |             |
|                           |            |              |             |
| 8.  Total Direct Costs    |            |              |             |
+---------------------------+------------+--------------+-------------+
|                           |            |              |             |
+---------------------------+------------+--------------+-------------+
|                           |            |              |             |
+---------------------------+------------+--------------+-------------+
|                           |            |              |             |
+---------------------------+------------+--------------+-------------+
|                           |            |              |             |
+---------------------------+------------+--------------+-------------+
|                           |            |              |             |
+---------------------------+------------+--------------+-------------+
|                           |            |              |             |
+---------------------------+------------+--------------+-------------+
|                           |            |              |             |
+---------------------------+------------+--------------+-------------+
| B. INDIRECT COSTS         |            |              |             |
+---------------------------+------------+--------------+-------------+
| C. TOTAL                  |            |              |             |
+---------------------------+------------+--------------+-------------+
|                           | **YEAR 3** |              |             |
+---------------------------+------------+--------------+-------------+
| **BUDGET ITEM**           | Requested  | Support by   | TOTAL       |
|                           | from ED    | Other        |             |
|                           |            | Sources      |             |
+---------------------------+------------+--------------+-------------+
| A. DIRECT COSTS           |            |              |             |
+---------------------------+------------+--------------+-------------+
| 1.  Salaries              |            |              |             |
|     (professional &       |            |              |             |
|     clerical)             |            |              |             |
|                           |            |              |             |
| 2.  Employee Benefits     |            |              |             |
|                           |            |              |             |
| 3.  Employee Travel       |            |              |             |
|                           |            |              |             |
| 4.  Equipment (purchase)  |            |              |             |
|                           |            |              |             |
| 5.  Materials & Supplies  |            |              |             |
|                           |            |              |             |
| 6.  Consultants and       |            |              |             |
|     Contracts             |            |              |             |
|                           |            |              |             |
| 7.  Other (equip. rental, |            |              |             |
|     printing, etc.)       |            |              |             |
|                           |            |              |             |
| 8.  Total Direct Costs    |            |              |             |
+---------------------------+------------+--------------+-------------+
|                           |            |              |             |
+---------------------------+------------+--------------+-------------+
|                           |            |              |             |
+---------------------------+------------+--------------+-------------+
|                           |            |              |             |
+---------------------------+------------+--------------+-------------+
|                           |            |              |             |
+---------------------------+------------+--------------+-------------+
|                           |            |              |             |
+---------------------------+------------+--------------+-------------+
|                           |            |              |             |
+---------------------------+------------+--------------+-------------+
|                           |            |              |             |
+---------------------------+------------+--------------+-------------+
| B. INDIRECT COSTS         |            |              |             |
+---------------------------+------------+--------------+-------------+
| C. TOTAL                  |            |              |             |
+---------------------------+------------+--------------+-------------+

+-----------------------------------------------------------------------+
| **NOTICE TO ALL APPLICANTS:**                                         |
|                                                                       |
| **The Government Performance and Results Act (GPRA)**                 |
+-----------------------------------------------------------------------+

# What Is GPRA?

The Government Performance and Results Act of 1993 is a straightforward
statute that requires all Federal agencies to manage their activities
with attention to the consequences of those activities. Each agency is
to clearly state what it intends to accomplish, identify the resources
required, and periodically report their progress to the Congress. In
doing so, it is expected that GPRA will contribute to improvements in
accountability for the expenditures of public funds, improve
Congressional decision-making through more objective information on the
effectiveness of Federal programs, and promote a new government focus on
results, service delivery, and customer satisfaction.

How has the United States Department of Education Responded to the GPRA
Requirements?

As required by GPRA, the U.S. Department of Education (the Department)
has prepared a strategic plan for 1998-2002. This plan reflects the
Department's priorities and integrates them with its mission and program
authorities and describes how the Department will work to improve
education for all children and adults in the United States. The
Department's goals, as listed in the plan, are:

***Goal 1*:** Help all students reach challenging academic standards so
that they are prepared for responsible citizenship, further learning,
and productive employment.

***Goal 2:*** Build a solid foundation for learning for all children.

***Goal 3:*** Ensure access to postsecondary education and lifelong
learning.

***Goal 4:*** Make the U.S. Department of Education a high performance
organization by focusing on results, service quality, and customer
satisfaction.

**Assurances and Certifications**

Applicants selected for funding will be required to submit the following
forms:

-   A signed Form ED 80-0013 ("Certifications Regarding Lobbying,
    Debarment, Suspension and Other Responsibility Matters; and
    Drug-Free Workplace Requirements");

-   Standard Form SF 424B ("Assurances---Non-Construction Programs");
    and

-   Standard Form LLL ("Disclosure of Lobbying Activities").

> The above three forms are available at the following site:
> www.ed.gov/GrantApps/
>
> .

**Instructions For Transmitting Applications**

All applications must be postmarked or hand delivered **by July 30,
2001.** The closing date and procedures for guaranteeing timely
submission will be strictly observed.

####### 

####### [Applications Sent by Mail]{.underline}

Applications must be mailed on or before the deadline date to:

U.S. Department of Education

Application Control Center

Room 3633

ATTN: CFDA 84.306N

Washington, DC 20202-4725

Applications received after the deadline date will not be considered for
funding unless the applicant can show one of the following as proof of
mailing:

\(1\) a legibly dated U.S. Postal Service Postmark;

\(2\) a legible mail receipt with the date of mailing stamped by the
U.S. Postal

Service;

\(3\) a dated shipping label, invoice, or receipt from a commercial
carrier; or

\(4\) any other proof of mailing acceptable to the Secretary.

If you mail an application through the U.S. Postal Service, we do not
accept either of the following as proof of mailing:

(1) A private metered postmark, or

(2) A mail receipt that is not dated by the U.S. Postal Service.

An applicant should note that the U.S. Postal Service does not uniformly
provide a dated postmark. Before relying on this method, an applicant
should check with its local post office.

Each late applicant will be notified that its application will not be
considered.

**[If You Deliver Your Application by Hand]{.underline}**

You or your courier must hand deliver your application by 4:30 p.m.
(Washington, DC time) on or before the deadline date to:

U.S. Department of Education

Application Control Center

Attn: (CFDA #84.306N)

Regional Office Building 3, Room 3633

7th and D Streets SW

Washington, DC 20202-4725

######## Contacts for the

**American Indian and Alaska Native Education Research Grant Program**

If you have questions about this application, please contact:

Karen Suagee

\(202\) 219-2244

E-mail: karen.suagee@ed.gov

or

Eileen O'Brien

\(202\) 208-2978

E-mail: eileen.o'brien@ed.gov

> **Things to Check Before You Mail**
>
> **Your Application**
>
> **Make sure that the Title Page Form:**

-   Has been completed according to the instructions in this package;

-   Has its human subjects section (item #8) completed; and

-   Has been signed and dated by the certifying representative and the
    signed original has been included in your submission to the U.S.
    Department of Education.

> **Your application package should include:**

-   One original plus two copies. (**Three** additional copies are
    requested but are not required.) Each copy should be organized as
    follows:

```{=html}
<!-- -->
```
-   Title page form (application cover page);

-   Narrative;

-   Vitae of principal investigator(s) and key personnel;

-   GEPA 427 statement; and

> \- Budget summary form and a detailed budget narrative.
>
> The application should be clipped or stapled, *not* bound, or enclosed
> in a folder.
>
> **Mail to**:
>
> U.S. Department of Education, Application Control Center, Room 3633,
> Regional Office Building 3, ATTN: CFDA 84.306N; Washington, DC
> 20202-4725.
>
> **Important Notice to Prospective Participants**
>
> **in U.S. Department of Education**
>
> **Grant and Contract Programs**

Applicants for grants from the U.S. Department of Education (ED) have to
compete for limited funds.

Deadlines assure all applicants that they will be treated fairly and
equally, without last minute haste. For these reasons, ED must set
strict deadlines for grant applications. Prospective applicants can
avoid disappointment if they understand that.

**Failure to meet a deadline will mean that an application will be
rejected without any consideration**.

The rules, including the deadline, for applying for each grant are
published individually in the *Federal Register.* A one-year
subscription to the Register may be obtained by sending \$555.00 to
Superintendent of Documents, U.S. Government Printing Office,
Washington, DC 20402-9371. (Send check or money order only, no cash or
stamps.)

The instructions in the *Federal Register* must be followed exactly. Do
not accept any other advice you may receive. No ED employees are
authorized to extend any deadline published in the Federal Register.

Questions regarding submission of applications may be addressed to:

U.S. Department of Education

Application Control Center

Washington, DC 20202-4725

######### Contracts

Competitive procurement actions undertaken by the ED are governed by the
Federal Procurement Regulation and implementing ED Procurement
Regulation.

Generally, prospective competitive procurement actions are synopsized in
the Commerce Business Daily (CBD). Prospective offerors are therein
advised of the nature of the procurement and where to apply for copies
of the Request for Proposals (RFP).

Offerors are advised to be guided solely by the contents of the CBD
synopsis and the instructions contained in the RFP. Questions regarding
the submission of offers should be addressed to the Contracts Specialist
identified on the face page of the RFP.

Offers are judged in competition with others, and failure to conform
with any substantive requirements of the RFP will result in rejection of
the offer without any consideration whatever.

Do not accept any advice you receive that is contrary to instructions
contained in either the CBD synopsis or the RFP. No ED employee is
authorized to consider a proposal which is non-responsive to the RFP.

A subscription to the CBD is available for \$208.00 per year via second
class mailing or \$261.00 per year via first class mailing. Information
included in the Federal Acquisition Regulation is contained in Title 48,
Code of Federal Regulations, Chapter 1 (\$49.00). The foregoing
publication may be obtained by sending your check or money order only,
no cash or stamps, to: Superintendent of Documents, U.S. Government
Printing Office, Washington, DC 20402-9371.

In an effort to be certain this important information is widely
disseminated, this notice is being included in all ED mail to the
public. You may, therefore, receive more than one notice. If you do, we
apologize for any annoyance it may cause you. ED Form 5348, 8/92

**GRANT APPLICATION RECEIPT ACKNOWLEDGMENT**

If you fail to receive the notification of application receipt within 15
days from the closing date, contact:

U.S. Department of Education

Application Control Center

\(202\) 708-9493

######## GRANT AND CONTRACT FUNDING INFORMATION

The U.S. Department of Education provides information about grant and
contract opportunities electronically in two ways:

ED Web Site: www.ed.gov/

OCFO Web Site: ocfo.ed.gov/