Models of Exemplary, Effective, and Promising Alcohol or Other Drug
Abuse Prevention Programs on College Campuses Grant Competition

CFDA #84.184N

## Information and Application Procedures for Fiscal Year 2008

OMB No. XXXX-XXXX Expiration Date: XX/XX/XXXX

######## 

######## Application Deadline: May 19, 2008

![](media/image2.wmf)

### 

### 

### U.S. Department of Education

##### Office of Safe and Drug-Free Schools 

> **UNITED STATES DEPARTMENT OF EDUCATION**
>
> ![](media/image3.png){width="0.9375in" height="0.8645833333333334in"}
>
> Office of Safe and Drug-Free Schools

Dear Colleague:

Thank you for your interest in applying for recognition through the
Models of Exemplary, Effective, and Promising Alcohol or Other Drug
Abuse Prevention Programs on College Campuses Grant Competition.

We know that high-risk drinking and drug use by college students
contribute to a number of academic, social, and health-related problems.
According to recent findings from the Monitoring the Future National
Survey Results on Drug Use, 1975-2006, in 2006, approximately 40 percent
of the nation's college students engage in heavy drinking (defined as
five or more drinks in a row in the past two weeks). In addition, 34
percent of college students have used an illicit drug in the past year.

Survey data from the Core Institute, located at Southern Illinois
University Carbondale, also indicate the consequences of drinking. In
2006, as a result of drinking in the year prior to the survey, more than
32 percent of students reported that they had gotten into an argument or
fight; 27 percent drove a car while under the influence; approximately
30 percent missed a class; and almost 16 percent were hurt or injured.

Given these statistics, there is a national need to identify exemplary
and effective programs and strategies that reduce alcohol and other drug
abuse among college students. Funds awarded through this program will be
used to identify and disseminate information about exemplary and
effective alcohol or other drug abuse prevention programs implemented on
college campuses. This year, for the first time, we also will recognize
colleges and universities whose programs, while not yet exemplary or
effective, show evidence that they are promising. The funds also will be
used by grantees to enhance and further evaluate their exemplary,
effective, and promising programs. We hope that other institutions of
higher education will use the exemplary and effective programs
identified through this competition to strengthen their prevention
efforts.

We look forward to receiving your application under this grant
competition.

Sincerely,

> ![](media/image4.jpeg){width="2.3048611111111112in"
> height="0.6222222222222222in"}

Deborah A. Price

Assistant Deputy Secretary

***Our mission is to ensure equal access to education and to promote
educational excellence throughout the Nation.***

**TABLE OF CONTENTS**

**I. APPLICATION SUBMISSION PROCEDURES 7**

Application Transmittal Instructions

Grants.gov Submission Procedures and Tips for Applicants

**II. PROGRAM BACKGROUND INFORMATION 11**

General Information

The Government Performance and Results Act (GPRA)

> Tips for Preparing and Submitting an Application
>
> Preventing Alcohol and Other Drug Abuse among College Students
>
> Funding Priority
>
> Selection Criteria
>
> Frequently Asked Questions
>
> Alcohol and Other Drug Abuse Prevention Resource List

**III. LEGAL AND REGULATORY DOCUMENTS 25**

Notice of Proposed Priority, Definitions, Requirements, and Selection
Criteria

Notice of Final Priority, Definitions, Requirements, and Selection
Criteria

Authorizing Legislation -- No Child Left Behind Act of 2001

**IV. GENERAL APPLICATION INSTRUCTIONS AND INFORMATION 33**

Preparing the Application

> Organizing the Application
>
> Instructions for Standard Forms
>
> Intergovernmental Review of Federal Programs

General Education Provisions Act (GEPA) Section 427

Application Preparation Checklist

**I. APPLICATION SUBMISSION PROCEDURES**

# Application Transmittal Instructions

##### Applications for grants under this grant competition may be submitted electronically or in paper format by mail or hand delivery. The electronic submission of applications is voluntary. However, if you choose to submit your application electronically you must use the site listed below. **Note**: You may not submit your application by e-mail or facsimile.

##### 

##### **Attention Electronic Applicants**: Please note that you must follow the application procedures as described in the Notice Inviting Applications for this grant competition, published in the [Federal Register]{.underline} on April 4, 2008. Some programs may require electronic submission of applications and those programs will have specific requirements and waiver instructions in the [Federal Register]{.underline} notice.

If you want to apply for a grant and be considered for funding, you must
meet the following deadline requirements:

### [Applications Submitted Electronically]{.underline}

You must submit your grant application through the Internet using the
software provided on the Grants.gov Web site
([www.grants.gov](http://www.grants.gov/)) by 4:30:00 p.m. (Washington,
DC time) on the application deadline date. If you submit your
application through the Internet via the Grants.gov Web site, you will
receive an automatic acknowledgment when we receive your application.

For more information on using Grants.gov, please refer to the Notice
Inviting Applications that was published in the Federal Register on
April 4, 2008, the Grants.gov Submission Procedures and Tips document on
pages 8-10 of this application package, and the Grants.gov Web site
([www.grants.gov](http://www.grants.gov/)).

You may access the electronic application for the Models of Exemplary,
Effective, and Promising Alcohol or Other Drug Abuse Prevention Programs
on College Campuses Grant Competition at the following Web sites:
[www.grants.gov](http://www.grants.gov/) or
[www.ed.gov/programs/dvpcollege/applicant.html](http://www.ed.gov/programs/dvpcollege/applicant.html).

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

You must mail the original and two copies of the application on or
before the deadline date. To help expedite our review of your
application, we would appreciate your voluntarily including an
additional copy of your application. Please mail copies to: U.S.
Department of Education, Application Control Center, Attention: CFDA \#
84.184N, 400 Maryland Avenue, SW, Washington, DC 20202-4260.

You must 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.

(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.

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

Note: The U.S. Postal Service does not uniformly provide a dated
postmark. Before relying on this method, you should check with your
local post office.

[Applications Delivered by Commercial Carrier]{.underline}

Special Note: Due to disruptions to normal mail delivery, the Department
encourages you to consider using an alternative delivery method (for
example, a commercial carrier, such as Federal Express or United Parcel
Service; or U. S. Postal Service Express Mail) to transmit your
application for this competition to the Department. If you use an
alternative delivery method, please obtain the appropriate proof of
mailing under "Applications Sent by Mail," then follow the mailing
instructions under the appropriate delivery method.

You must mail the original and two copies of the application on or
before the deadline date. To help expedite our review of your
application, we would appreciate your voluntarily including an
additional copy of your application. Applications that are delivered by
commercial carrier, such as Federal Express or United Parcel Service
should be mailed to: U.S. Department of Education, Application Control
Center -- Stop 4260, Attention: CFDA #84.184N, 7100 Old Landover Road,
Landover, MD 20785-1506.

### 

### [Applications Delivered by Hand]{.underline}

You or your courier must hand deliver the original and two copies of
your application by 4:30 p.m. (Washington, DC time) on or before the
deadline date. To help expedite our review of your application, we would
appreciate your voluntarily including an additional copy of your
application. Please hand deliver copies to: U.S. Department of
Education, Application Control Center, Attention: CFDA #84.184N, 550
12th Street, SW, PCP -- Room 7041, Washington, DC 20202-4260. The
Application Control Center accepts application deliveries daily between
8:00 a.m. and 4:30 p.m. (Washington, DC time), except Saturdays,
Sundays, and federal holidays.

**Grants.gov Submission Procedures and Tips for Applicants**

To facilitate your use of Grants.gov, this document includes important
submission procedures you need to be aware of to ensure your application
is received in a timely manner and accepted by the Department of
Education (ED).

1.  **Register Early** -- Grants.gov registration may take five or more
    business days to complete. You may begin working on your application
    while completing the registration process, but you cannot submit an
    application until all of the registration steps are complete. For
    detailed information on the registration steps, go to
    [www.grants.gov/applicants/get_registered.jsp](http://www.grants.gov/applicants/get_registered.jsp).
    **Note**: Your organization will need to update its Central
    Contractor Registry (CCR) registration annually.

2.  **Submit Early** -- We strongly recommend that you do not wait until
    the last day to submit your application. Grants.gov will put a date
    and time stamp on your application and then process it after it is
    fully uploaded. The time it takes to upload an application will vary
    depending on a number of factors including the size of the
    application and the speed of your Internet connection, and the time
    it takes Grants.gov to process the application will vary as well. If
    Grants.gov rejects your application (see step 3 below), you will
    need to resubmit successfully by 4:30:00 p.m. (Washington, DC time)
    on the deadline date. **Note**: To submit successfully, you must
    provide the D-U-N-S Number on your application that was used when
    your organization registered with the CCR.

3.  **Verify Submission is OK** -- You will want to verify that
    Grants.gov and ED received your Grants.gov submission timely and
    that it was validated successfully. To see the date and time your
    application was received, log in to Grants.gov and click on the
    Track My Application link. For a successful submission, the date and
    time received should be by 4:30:00 p.m. (Washington, DC time) on the
    deadline date, and the application status should be Validated,
    Received by Agency, or Agency Tracking Number Assigned.

> If the date and time received is later than 4:30:00 p.m. (Washington,
> DC time) on the closing date, your application is late. If your
> application has a status of "Received" it is still awaiting validation
> by Grants.gov. Once validation is complete, the status will either
> change to "Validated" or "Rejected with Errors." If the status is
> "Rejected with Errors," your application has not been received
> successfully. Some of the reasons Grants.gov may reject an application
> can be found on the Grants.gov site
> ([www.grants.gov/help/submit_application_faqs.jsp#10](http://www.grants.gov/help/submit_application_faqs.jsp#10)).
> For more detailed information on why an application may be rejected,
> please review the Application Error Tips document
> ([www.grants.gov/section910/ApplicationErrorTips.pdf](http://www.grants.gov/section910/ApplicationErrorTips.pdf)).
> If you discover your application is late or has been rejected, please
> see the instructions below.
>
> **Note**: You will receive a series of confirmations both online and
> via e-mail about the status of your application. Please do not rely
> solely on e-mail to confirm whether your application has been received
> timely and validated successfully.

# Submission Problems -- What Should You Do?

If you have problems submitting to Grants.gov before the deadline date,
contact Grants.gov Customer Support at 800/518-4726 or use the customer
support available on the Web site
([www.grants.gov/applicants/applicant_help.jsp](http://www.grants.gov/applicants/applicant_help.jsp)).

If electronic submission is [optional]{.underline} and you have problems
that you are unable to resolve before the deadline date and time for
electronic applications, please follow the transmittal instructions for
hard copy applications in the [Federal Register]{.underline} notice and
get a hard copy application postmarked by midnight on the deadline date.

If electronic submission is [required]{.underline}, you must submit an
electronic application by 4:30:00 p.m. (Washington, DC time), unless you
follow the procedures in the [Federal Register]{.underline} notice and
qualify for one of the exceptions to the electronic submission
requirement [and]{.underline} submit, no later than two weeks before the
application deadline date, a written statement to ED that you qualify
for one of these exceptions. See the [Federal Register]{.underline}
notice for detailed instructions.

**Helpful Hints When Working with Grants.gov**

Please note that once you download an application from Grants.gov, you
will be working offline and saving data on your computer. Please be sure
to note where you are saving the Grants.gov file on your computer. You
will need to log on to Grants.gov to upload and submit the application.
You must provide on your application the D-U-N-S Number that was used
when your organization registered with the CCR.

Please go to
[www.grants.gov/applicants/applicant_help.jsp](http://www.grants.gov/applicants/applicant_help.jsp)
for help with Grants.gov. For additional tips related to submitting
grant applications, please refer to the Grants.gov Submit Application
FAQs found on Grants.gov
[(www.grants.gov/help/submit_application_faqs.jsp]()).

**Dial-Up Internet Connections**

When using a dial-up connection to upload and submit your application,
it can take significantly longer than when you are connected to the
Internet with a high-speed connection (e.g., cable modem/DSL/T1). While
times will vary depending upon the size of your application, it can take
a few minutes to a few hours to complete your grant submission using a
dial-up connection. If you do not have access to a high-speed connection
and electronic submission is required, you may want to consider
following the instructions in the [Federal Register]{.underline} notice
to obtain an exception to the electronic submission requirement no later
than two weeks before the application deadline date. See the [Federal
Register]{.underline} notice for detailed instructions.

Mac Users

If you do not have a Windows operating system, you will need to use the
Citrix solution discussed on Grants.gov or a Windows Emulation program
to submit an application using Grants.gov. For additional information,
review the FAQs for non-Windows users
([**www.grants.gov/resources/download_software.jsp#non_window**](http://www.grants.gov/resources/download_software.jsp#non_window)).
To view the white paper for Macintosh users published by Pure Edge, go
to
[**www.grants.gov/section678/PureEdgeSupportforMacintosh.pdf**](http://www.grants.gov/section678/PureEdgeSupportforMacintosh.pdf)
or contact Grants.gov Customer Support
([**www.grants.gov/contactus/contactus.jsp**](http://www.grants.gov/contactus/contactus.jsp))
for more information. If electronic submission is required and you are
concerned about your ability to submit electronically as a non-Windows
user, please follow the instructions in the [Federal
Register]{.underline} notice to obtain an exception to the electronic
submission requirement no later than two weeks before the application
deadline date. See the Federal Register notice for detailed
instructions.

II\. PROGRAM BACKGROUND INFORMATION

**General Information**

#### ELIGIBILITY

This competition limits eligibility to institutions of higher education
(IHEs) that offer an associate or baccalaureate degree.

**AUTHORITY**

This application package is based on 34 CFR Parts 74, 75, 77, 79, 80,
81, 82, 84, 85, 86, 97, 98, 99, and 299 of the Education Department
General Administrative Regulations (EDGAR). This competition is
authorized under Title IV, Section 4121 of the Elementary and Secondary
Education Act as amended by the No Child Left Behind Act of 2001.

###### OFFICIAL DOCUMENTS NOTICE

The official documents governing this competition are in Section III
(Legal and Regulatory Documents) of this application package. These
notices also are available online at
[www.ed.gov/programs/dvpcollege/applicant.html](http://www.ed.gov/programs/dvpcollege/applicant.html).

###### RESOURCES

Any questions related to the requirements of this grant competition
should be directed to Richard Lucey, Jr. (202/205-5471) in ED's Office
of Safe and Drug-Free Schools (OSDFS). The OSDFS Web site is located at
[www.ed.gov/osdfs](http://www.ed.gov/osdfs). For more information about
drug abuse and violence prevention programs in higher education, contact
ED's Higher Education Center for Alcohol and Other Drug Abuse and
Violence Prevention. The Center is a national resource for training and
technical assistance in alcohol and other drug abuse and violence
prevention on college campuses and in their surrounding communities. The
Center can be contacted via telephone (800/676-1730) or its Web site
([www.higheredcenter.org](http://www.higheredcenter.org/)). Additional
resources related to alcohol and other drug abuse prevention are listed
on page 26 of this application package.

###### PROJECT PERIOD

The project periods for this grant are 18 months for exemplary and
effective programs and 12 months for promising programs. The definitions
of exemplary, effective, and promising programs are included in the
Funding Priority section of this application. We intend the project and
budget periods for projects funded under this grant competition to be
August 1, 2008 -- January 31, 2010 for exemplary and effective programs
and August 1, 2008 -- July 31, 2009 for promising programs. However,
awards may be made as late as September 30, 2008.

**GRANT AWARDS**

An estimated five new awards will be made. The maximum amount an
applicant may receive for a project recognized as an exemplary or
effective program may be no more than \$150,000 plus indirect costs, and
a project recognized as a promising program may receive no more than
\$100,000 plus indirect costs. These figures are only estimates and do
not bind ED to a specific number of grants or amount of any grant.
Contingent upon the availability of funds and the quality of
applications, we may make additional awards in fiscal years 2008 and
2009 based on the list of unfunded applications from this competition.

#### TRAVEL BUDGET

Applicants must budget for the project director and at least one
additional staff member to attend ED's annual National Meeting on
Alcohol and Other Drug Abuse and Violence Prevention in Higher Education
during their project period. For planning purposes, applicants should
include funds for transportation, lodging for four nights and four days,
per diem costs, and conference registration fee. Although the site for
the 2008 National Meeting is not selected yet, applicants should use a
Washington, DC destination to estimate expenses. For more information
about this year's National Meeting, visit
[www.higheredcenter.org/natl/2008](http://www.higheredcenter.org/natl/2008).

**SITE VISITS**

Based on the first-stage peer reviewers' recommendation, you may receive
a one-day site visit by two peer reviewers, who will not be the same
reviewers who evaluated and scored your proposal. The site visit's
purpose is to provide another source of information about each project
to ED. Since grantees under this program will be recognized as having an
exemplary, effective, or promising program, a site visit is conducted to
confirm the program's effectiveness and to clarify any concerns or
questions raised by the first-stage reviewers. Under this grant
competition, ED selects an institution of higher education for
recognition as having an exemplary, effective, or promising program
based on the recommendation from the two peer reviewers who conduct the
site visit. Therefore, please note that selection for a site visit does
not ensure recognition as an exemplary, effective, or promising program
by ED. We expect site visits to be conducted in June 2008 and expect
applicants selected for a site visit to be available during that time.

**RECOGNITION TYPES**

Contingent upon the quality of data provided by the applicant and the
recommendation of site visitors, an applicant may earn one of three
levels of recognition.

Level 1 is recognition as an exemplary program. An IHE whose program is
designated as exemplary must:

-   Within 30 days of receiving an award, provide to the Department a
    plan to disseminate information about its program to other IHEs;

-   Upon approval by the Department, implement its dissemination plan;
    and

-   Enhance and further evaluate the exemplary program during the
    project period of the grant award.

Level 2 is recognition as an effective program. An IHE whose program is
designated as effective must:

-   Within 30 days of receiving an award, provide to the Department a
    plan to disseminate information about its program to other IHEs;

-   Upon approval by the Department, implement its dissemination plan;
    and

-   Enhance and further evaluate the effective program during the
    project period of the grant award.

Level 3 is designation as a promising program. An IHE whose program is
recognized as promising must:

-   Within 30 days of receiving an award, submit to the Department a
    plan to enhance and further evaluate its program;

-   Upon approval by the Department, implement its enhancement and
    evaluation plan; and

-   Within 12 months of award provide to the Department a report
    detailing the results of its evaluation.

**E-MAIL ADDRESSES**

As part of our review of your application, we may need to contact you
with questions for clarification. Please be sure your application
contains valid e-mail addresses for the project director and authorized
representative or another party designated to answer questions in the
event the project director and authorized representative are
unavailable.

**REVIEW OF APPLICATIONS AND NOTIFICATION OF AWARD**

The review of applications and notification of awards for this grant
competition requires approximately 6 to 8 weeks. We expect to notify
successful applicants by early August 2008. Unsuccessful applicants will
be notified within 60 days of the award start date.

**HUMAN SUBJECTS RESEARCH ACTIVITIES**

Please see Item 3 of the instructions for Supplemental Information for
Standard Form 424 in Section IV of this application package. Projects
funded under this grant program may be subject to protection of human
subjects research requirements. If you have any questions about your
responsibilities under these requirements, please contact ED's
protection of human subjects in research coordinator at 202/260-3353.

###### THE U.S. DEPARTMENT OF EDUCATION'S EXPECTATIONS

By submitting an application for this program, applicants agree to fully
cooperate with any evaluation efforts conducted by ED or its
contractors. At a minimum, grantees are expected to maintain records on
how their program is operating and the extent to which their program
objectives are being met; include specific performance measures in their
evaluation plan; and make ongoing project information, findings, and
products available to ensure the dissemination of knowledge gained from
this effort during the grant period. Grantees also will be expected to
work with ED's Higher Education Center for Alcohol and Other Drug Abuse
and Violence Prevention to assist in developing a national publication
describing the exemplary and effective programs or for other
dissemination efforts (see pages 15-16).

**CONTRACTING FOR SERVICES**

Generally, all procurement transactions must be conducted in a manner
providing full and open competition, consistent with the standards in
Section 80.36 of EDGAR. This section requires that grantees use their
own procurement procedures (which reflect state and local laws and
regulations) to select contractors, provided that those procedures meet
certain standards described in EDGAR, available online at
[www.ed.gov/policy/fund/reg/edgarReg/edgar.html](http://www.ed.gov/policy/fund/reg/edgarReg/edgar.html).

Because grantees must use appropriate procurement procedures to select
contractors, applicants should not include information in their grant
applications about specific contractors that will be used to provide
services for the proposed project.

Consistent with Section 75.515 of EDGAR concerning the use of
consultants, contractors or consultants may be used to help prepare
grant applications, but their participation in the application
development process should not be presumed to result in the receipt of a
contract for work under the project if a grant is awarded. Applicants
may include a sum for grant writing costs in their proposed budget
provided that the amount requested is necessary and reasonable.

**The Government Performance and Results Act (GPRA)**

The Government Performance and Results Act of 1993 (GPRA) is designed to
address problems identified by Congress more than a decade ago,
including lack of performance data that can be used by federal program
managers to improve program efficiency and effectiveness and by Congress
to ensure that spending decisions and oversight are informed by data
about program performance. GPRA seeks to improve public confidence in
the capability of federal government by systematically holding federal
agencies accountable for achieving results, promoting an increased focus
on results and service quality, and helping federal managers improve
program quality.

As required by GPRA, ED has developed a strategic plan that reflects
organizational priorities and integrates those with our mission and
program authorities. The Secretary may choose to develop performance
measures for the Models of Exemplary, Effective, and Promising Alcohol
or Other Drug Abuse Prevention Programs on College Campuses Grant
Competition in accordance with GPRA. If measures are developed, grantees
will be asked to provide information that relates to participant
outcomes. In the absence of specific performance measures, however,
grantees are expected to further enhance and implement evaluation plans
capable of demonstrating the impact their programs have had on target
populations, for example, student behavior changes as a direct result of
the program.

Grantees are expected to collect data on their respective performance
measures and report those data to ED in their performance report.

**Tips for Preparing and Submitting an Application**

###### A. Before You Begin

-   Read this application package carefully and make sure you follow all
    of the instructions.

-   Use the tools we have provided to help you including:

    -   Frequently Asked Questions section in this application package

    -   Resources related to this specific grant competition on our Web
        site at
        [www.ed.gov/programs/dvpcollege/index.html](http://www.ed.gov/programs/dvpcollege/index.html)

    -   General grant application technical assistance resources on our
        Web site at
        [www.ed.gov/admins/grants/apply/techassist/index.html](http://www.ed.gov/admins/grants/apply/techassist/index.html)

-   If there is information that you do not understand, contact Richard
    Lucey, Jr. (202/205-5471) in ED's Office of Safe and Drug-Free
    Schools (OSDFS).

###### B. Preparing Your Application

-   Be thorough in your program description. Write so that someone who
    knows nothing about your organization or your program plan can
    understand what you are proposing.

-   Organize your application according to the selection criteria and
    respond comprehensively.

-   Make sure your budget narrative provides enough detail about planned
    expenditures so ED staff can easily determine how the funds will be
    spent.

-   Link your planned expenditures to the goals and objectives of your
    program. Do not request funds for miscellaneous purposes and make
    sure you demonstrate that your proposed expenditures are reasonable
    and necessary to carry out your program.

###### C. Submitting Your Application

-   Use the checklist provided in this application package to ensure
    your application is complete before submitting it.

-   Make sure all required forms are included and signed by an
    authorized representative of your organization.

-   Transmit your application by the deadline date. If you submit your
    application electronically, you must use the Grants.gov Web site. If
    you use the U.S. Postal Service, make sure you have a legible
    postmark date. If you use an overnight carrier, get a receipt.

###### D. What Happens Next?

-   If you submit your application by mail, you should receive a
    postcard in approximately two weeks (depending on the volume of
    applications we receive) from ED's Application Control Center (ACC)
    acknowledging receipt of your application and giving you its
    assigned PR/Award Number. If you have any questions about your
    postcard, please contact the ACC vie e-mail
    (<application.center@ed.gov>) or telephone (202/377-6289). If you
    submit your application electronically, the PR/Award Number will be
    generated automatically when you submit your application. Please
    refer to this PR/Award Number if you need to contact us about your
    application.

-   OSDFS staff members screen each application to ensure that all
    program eligibility requirements are met and all forms are included.

-   Your application will be assigned to a three-person panel of
    independent reviewers and will receive a score from 0 to 100
    depending how well it addresses the selection criteria.

-   A Grant Award Notification will be sent to applicants whose
    proposals score within the funding range. Unsuccessful applicants
    will receive a notification letter. All applicants will receive a
    copy of their respective peer reviewers' scores and comments.

> **Preventing Alcohol and Other Drug Abuse among College Students**

ED has supported campus- and community-based prevention programs for
more than two decades, in response to alcohol and other drug (AOD) abuse
on college campuses and in their surrounding communities. Through
discretionary grants and dissemination of information on effective
strategies via its Higher Education Center for Alcohol and Other Drug
Abuse and Violence Prevention, ED supports efforts to address these
complex issues facing our nation's institutions of higher education.
Projects funded by ED have been based on theory, expert consensus,
practical experience, and evaluated programs.

Data from the Monitoring the Future study show that, in 2006,
approximately 40 percent of the nation's college students engaged in
heavy drinking (defined as five or more drinks in a row) in the previous
two weeks and nearly 34 percent have used an illicit drug.[^1]
Furthermore, survey data from the Core Institute, located at Southern
Illinois University Carbondale, also illustrate the consequences of
drinking. For example, in 2006, as a result of drinking in the year
prior to the survey, more than 32 percent of students reported that they
had gotten into an argument or fight; 27 percent drove a car while under
the influence; approximately 30 percent missed a class; and almost 16
percent were hurt or injured.[^2]

There is a national need to identify exemplary and effective programs
and strategies that reduce alcohol and other drug abuse among college
students. The goals of this grant competition are to identify and
disseminate information about exemplary and effective alcohol or other
drug abuse prevention programs implemented on college campuses. Through
this grant competition, ED also will recognize colleges and universities
whose programs, while not yet exemplary or effective, show evidence that
they are promising.

Exemplary and effective programs will show reductions in campus alcohol
or other drug use or reductions in AOD-related problems. These programs
should have a significant role in developing or maintaining a safe and
healthy campus environment. Programs also should be part of a
comprehensive approach---a broad, multifaceted, campus-based strategy
focused on alcohol and other drug abuse prevention. A comprehensive
approach is one that combines a range of policies, practices, and
programs to address the various factors that influence student behavior,
and results in an institution-wide approach to reducing alcohol or other
drug problems on campus. **Note**: All grantees funded under this
program will be expected to promote a nonuse message to students under
the minimum legal drinking age as part of their funded project.

**NATIONAL PUBLICATION AND AWARDS CEREMONY**

Each institution recognized for having an exemplary or effective program
will be featured in a national publication to bring attention to the
selected institutions and their respective programs. In addition to
receiving a monetary award, representatives of schools recognized for
having an exemplary, effective, or promising program will be invited to
attend a national awards ceremony sponsored by ED to bring attention to
the selected institutions and their respective programs.

**LESSONS LEARNED**

# ED's two decades of experience with discretionary grant programs has shown that successful projects adapt strategies that are based on sound prevention theory, research, or effective programs and practices. The implementation of a successful program relies on a strategic planning process, which will result in a well-designed needs assessment; the selection of policies and programs with evidence of effectiveness or a solid foundation in behavior change theory; specific goals and objectives; a summary that links each program and policy to specific objectives; and allocation of sufficient resources to ensure full implementation of the program.[^3]

IHEs have considerable experience in educational- and individual-based
prevention programs on campuses, and these strategies are necessary in
order to provide a comprehensive array of prevention programming on
campus. ED emphasizes that while educational and individually focused
prevention programs are necessary on college campuses, they are
insufficient alone to create significant or long-lasting change.
Therefore, ED is interested in projects that incorporate
individual-based strategies into a broader and more comprehensive
approach. Research strongly supports the use of comprehensive,
integrated programs with multiple complementary components that target
individuals, including at-risk or alcohol-dependent drinkers; the
student population as a whole, and the college and surrounding
community.[^4]

The evidence supporting prevention strategies varies, which does not
mean that one strategy is better than another. Some strategies have not
been as thoroughly studied as others or have not been evaluated for
specific application to drinkers in college. The Task Force of the
National Advisory Council on Alcohol Abuse and Alcoholism placed
prevention strategies in tiers based on the evidence available to
support or refute them.[^5] Applicants should examine these tiers
closely when identifying which strategies they plan to incorporate in
their project design.

It also is noted that the concept of responsible drinking is much more
complicated than it appears in preventing high-risk drinking among
college students. There are many factors involved, including what was
drunk and how rapidly; what, if anything, was eaten; and environmental
factors. Furthermore, as people drink, their ability to make an
unimpaired decision is lessened by the amount of alcohol consumed.
Responsible drinking messages are at the least mixed and potentially
misleading, which can result in a neutral, if not negative impact on
preventing high-risk drinking among college students. Educational
campaigns will be ineffective in campus environments that encourage
drinking and deny or ignore the risks associated with drinking.[^6]

To strengthen the quality of drug abuse and violence prevention programs
implemented with funds from OSDFS, ED established a set of Principles of
Effectiveness in 1998, since incorporated into the No Child Left Behind
Act of 2001 (Title IV -- Section 4115). Although the new statutory
requirements do not specifically apply to this grant competition, a
subset of the principles of effectiveness that are most applicable to
institutions of higher education can be summed up as follows:

-   Design programs based on a thorough needs assessment of objective
    data;

-   Establish a set of measurable goals and objectives linked to
    identified needs;

-   Implement prevention activities that research or evaluation have
    shown to be effective in preventing alcohol or other drug abuse
    among college students; and

-   Use evaluation results to refine, improve, and strengthen the
    program and refine goals and objectives as appropriate.

Basic to the success of any program to prevent alcohol or other drug
abuse among college students is the need to ensure the widespread
involvement of key stakeholders including students, faculty members,
alumni, and community members in the program's design and
implementation. Leadership from college and university presidents and
other senior administrators is essential to institutionalizing
prevention as a priority on campus.

###### EVALUATION REQUIREMENTS

# Evaluation is a powerful tool that supports program planning and an understanding of effective strategies to prevent alcohol or other drug abuse among college students. Keep in mind that what constitutes convincing evidence of success may differ from one project to the next. This grant competition requires each applicant to enhance and further evaluate an exemplary, effective, or promising alcohol or other drug abuse prevention program being implemented on its campus. Although it is anticipated that applicants may use a variety of both outcome-based and process measures for the program's enhancement, all applicants must use outcomes-based performance measures that are related to the prevention and reduction of alcohol or other drug abuse among college students.

###### [Outcome-Based Performance Measures]{.underline}

Examples of outcome-based performance measures may include, but are not
limited to:

-   changes in alcohol sales and service techniques and policies in
    social or commercial hosting situations that cater to students;

-   decreases in the overall quantity and frequency of high-risk
    drinking; and

-   changes in the number of AOD-related incidents or problems.

[Process Measures]{.underline}

Examples of process measures may include, but are not limited to:

-   decreases in the percentage of media advertisements promoting
    high-risk drinking;

-   increases in the number and frequency of alcohol-free social
    activities; and

-   increases in the percentage of individuals involved in AOD abuse
    prevention efforts.

**Funding Priority**

For FY 2008 and any subsequent year in which we make awards on the basis
of the list of unfunded applications from this competition, this
priority is an absolute priority. Under 34 CFR 75.105(c)(3), we consider
only applications that meet this absolute priority.

**Absolute Priority: Exemplary, Effective, and Promising Alcohol or**

**Other Drug Abuse Prevention Programs on College Campuses**

**Note**: "Exemplary program" means a program that has a strong
theoretical base and demonstrated effectiveness in reducing alcohol or
other drug abuse among college students or reducing problems resulting
from alcohol or other drug use among college students, using a research
design of the highest quality. For the purpose of this grant
competition, a research design of the highest quality means an
experimental design in which students are randomly assigned to
participate in a project being evaluated (treatment group) or not
participate in the project (control group). The effect of the project is
the difference in outcomes between the treatment and control groups.

If strong, experimentally determined evidence of the effectiveness of a
program already exists, and the program was implemented on the
applicant's campus with fidelity to the research, then a
quasi-experimental evaluation of the program's implementation on the
applicant's campus may be an acceptable research design. For the purpose
of this grant competition, quasi-experimental designs include several
designs that attempt to approximate a random assignment design.

"Effective program" means a program that has a strong theoretical base
and has been evaluated using either an experimental or
quasi-experimental research design, with the evaluation results
suggesting effectiveness in reducing alcohol or other drug abuse among
college students, reducing problems resulting from alcohol or other drug
use among college students, reducing risk factors, enhancing protective
factors, or resulting in some combination of those impacts.

"Promising program" means a program that has a strong theoretical base
and for which evidence has been obtained, using limited research
methods, that the program may reduce alcohol or other drug abuse among
college students, reduce problems resulting from alcohol or other drug
use among college students, reduce risk factors, enhance protective
factors, or result in some combination of those impacts. For the purpose
of this grant competition, limited research methods are methods that
include a pre- and post-treatment measurement of the effects of a
treatment on a single subject or group of single subjects.

To meet the absolute priority in its application, an applicant must:

1.  describe the program that **for at least two full years** been
    implemented on its campus, including the structure and content of
    the program, the student population that is targeted by the program,
    and any unique features of the program;

2.  provide a **detailed theoretical basis** for the program's
    effectiveness;

3.  provide **data to demonstrate the program's impact** on the target
    student population, including evidence of cognitive or behavioral
    changes, or both, among the target population; and

4.  **consent to a site visit** to clarify information in the
    application and verify evaluation data.

**Selection Criteria**

The following selection criteria will be used to evaluate your
application. For ease of reading by the reviewers, you should develop
your narrative description to follow the sequence of criteria provided
below. The maximum number of possible points for all selection criteria
is 100. **Note**: The criteria contain weighted subcriteria. Applicants
must address [each]{.underline} subcriterion to qualify for the maximum
number of points for each criterion.

These selection criteria are used by the first-stage peer reviewers to
evaluate your exemplary, effective, or promising alcohol or other drug
abuse prevention program and plan to disseminate information about it.
The peer reviewers also use the selection criteria used to assess your
plan to enhance and further evaluate the program. You are advised to
carefully read each selection criterion's subelements and the notes
section below each criterion for further guidance.

**1. Significance (20 points)**

A.  The potential contribution of the program to the development and
    advancement of theory, knowledge, and practices in the field of
    study. (15 points)

B.  The quality of the applicant's plan to disseminate the program in
    ways that will enable others to use the information or strategies,
    including evidence of the program's readiness for replication. (5
    points)

In your response to this criterion, you must provide a detailed
description of the alcohol or other drug abuse prevention program that
has been implemented on your campus for at least two full years (i.e.,
no later than spring 2006). Your application must describe a
comprehensive dissemination plan that provides information to other IHEs
about your campus's alcohol or other drug abuse prevention program,
informs them as to how the program might be used on their campus, and
provides materials or enough detailed information so interested campuses
can create a similar program. The plan may include but not be limited to
writing articles for appropriate publications, providing consultations
at your institution or at institutions interested in implementing the
program, hosting a conference, or creating Web sites related to the
project.

**2. Project Design (40 points)**

A.  The extent to which the design of the program reflects up-to-date
    knowledge from research and effective practices. (20 points)

B.  The extent to which the plan to enhance the program reflects
    up-to-date knowledge from research and effective practices. (10
    points)

C.  The extent to which the goals, objectives, and outcomes to be
    achieved by the enhancement to the program are clearly specified and
    measurable. (10 points)

In your response to this criterion, clearly describe how the program
that has been implemented on your campus for at least two full years is
based on current research and practice to prevent alcohol or other drug
abuse among college students.

You also must provide a comprehensive description of the enhancements
you propose to make to the program, including how you selected the
proposed enhancements, why they are appropriate strategies, and the
specific outcomes you intend to achieve after implementation of the
enhancements. Enhancements to the program may include, but are not
limited to, expanding the number of students served by the program,
identifying a new specific student population to be served by the
program, or implementing a new strategy to evaluate. You should
demonstrate how proposed enhancements will build on or improve the
program.

You must clearly describe the conceptual framework underlying the
proposed enhancements to your program, and explain how the enhancements
reflect current research and practice to prevent alcohol or other drug
abuse among college students.

**3. Project Evaluation (40 points)**

A.  The extent to which the evaluation data provide evidence of the
    effectiveness of the program in reducing alcohol or other drug use,
    or both, reducing problems resulting from alcohol or other drug use,
    or both, reducing risk factors, enhancing protective factors, or
    some combination of those impacts. (25 points)

B.  The extent to which the methods of evaluation used during the
    implementation of the program will provide guidance about effective
    strategies suitable for replication or testing in other settings.
    (10 points)

C.  The extent to which the methods of evaluation used during the
    enhancement of the program will provide performance feedback and
    permit periodic assessment of progress toward achieving intended
    outcomes. (5 points)

In your response to this criterion, the peer reviewers will look for
evidence of the effectiveness of your campus's alcohol or other drug
abuse program. The peer reviewers will look for a comprehensive
explanation of the specific data that serve as a clear indication of
your program's effectiveness. You must describe the methods used to
evaluate your program, include the instruments used to measure the
observed outcomes (or an in-depth description of those instruments), and
provide quantitative and qualitative data collected before and after
program implementation. Examples of possible outcome-based performance
measures are on page 17.

Your application also must specify your plan to evaluate the proposed
enhancements to your program during the project period. Evaluations
should be designed to continue to collect data on existing program
elements as well as any program enhancements.

**Frequently Asked Questions**

**[Competition-Specific Information]{.underline}**

*What is the goal of this grant competition?*

-   The goals of this grant competition are to identify and disseminate
    information about exemplary and effective alcohol or other drug
    abuse prevention programs implemented on college campuses. Through
    this grant competition, ED also will recognize colleges and
    universities whose programs, while not yet exemplary or effective,
    show evidence that they are promising.

*Who is eligible to apply?*

-   This competition limits eligibility to institutions of higher
    education (IHEs) that offer an associate or baccalaureate degree.

*Do I need to address all four elements of the absolute priority to be
considered for this grant competition?*

-   Yes. Applications that do not clearly address all four required
    elements of the absolute priority will be deemed ineligible.

*What are the project and budget periods for these grants?*

-   The project periods for this grant are 18 months for exemplary and
    effective programs and 12 months for promising programs. We intend
    the project and budget periods for projects funded under this grant
    competition to be August 1, 2008 -- January 31, 2010 for exemplary
    and effective programs and August 1, 2008 -- July 31, 2009 for
    promising programs. However, awards may be made as late as September
    30, 2008.

*How many new awards will be made and what is the average amount of each
award?*

-   It is estimated that five new awards will be made. Projects will be
    funded for approximately \$100,000 to \$150,000, plus indirect
    costs, depending on the scope of work. These figures are only
    estimates and do not bind ED to a specific number of grants or
    amount of any grant.

*Will all applicants receive a site visit as part of the peer review
process?*

-   No. Applicants may receive a one-day site visit by two peer
    reviewers, who will not be the same reviewers who evaluated and
    scored your proposal. The site visit's purpose is to provide another
    source of information about each project to ED. Since grantees under
    this program will be recognized as having an exemplary, effective,
    or promising program, a site visit is conducted to confirm the
    program's effectiveness and to clarify any concerns or questions
    raised by the first-stage reviewers. Under this grant competition,
    ED selects an institution of higher education for recognition as
    having an exemplary, effective, or promising program based on the
    recommendation from the two peer reviewers who conduct the site
    visit. Therefore, please note that selection for a site visit does
    not ensure recognition as an exemplary, effective, or promising
    program by ED. We expect site visits to be conducted in June 2008
    and expect applicants selected for a site visit to be available
    during that time.

**[Budget Information]{.underline}**

*Is there a matching funds requirement?*

-   No. However, if you volunteer to provide matching funds or other
    non-federal resources to the project, you must complete Section B on
    ED Form 524 (Budget Information Form). You also will be required to
    account for voluntary matching funds or other non-federal resources
    to this project in your final performance report.

*Is there a restricted indirect cost rate for this program?*

-   No. For this grant competition, you may charge indirect costs using
    the rate negotiated with your cognizant federal agency (e.g.,
    Department of Education, Department of Health and Human Services,
    Department of the Interior). **Note**: Since these grants are not
    research grants, it is not appropriate to use your institution's
    indirect cost rate for organized research. If you intend to claim
    indirect costs during the project period, you should use the
    indirect cost rate for other sponsored activities, as specified in
    your institution's federally-approved indirect cost rate agreement.

> You are encouraged to give priority to direct services to students by
> limiting the indirect costs charged to the project. You will not be
> penalized for failure to reduce indirect costs nor will you gain a
> competitive advantage if you do.
>
> If you claim indirect costs in the budget for your proposed project
> and do not have a negotiated rate with the federal government, ED will
> establish a temporary indirect cost rate for your project (i.e., 10
> percent of the direct salaries and wages included in the budget for
> the project). You will be allowed to draw at the temporary rate during
> the first 90 days after ED made the grant, as determined by the date
> of the Grant Award Notification. If you do not submit an indirect cost
> rate proposal to your cognizant agency within that first 90 days, you
> will not be allowed to draw any more funds for indirect costs until
> you obtain a federally recognized indirect cost rate from your
> cognizant agency. For more information about indirect cost rates,
> visit
> [www.ed.gov/about/offices/list/ocfo/intro.html](http://www.ed.gov/about/offices/list/ocfo/intro.html).

*Can grant funds be used to support professional development
activities?*

-   Yes, as long as the activities directly support the purposes of the
    grant.

*Are there guidelines for how much money can be spent on consultants?
What is the daily limit and is there a cap?*

-   There is no daily limit or cap for consultant fees. Information
    related to these fees should be included on ED Form 524 under the
    Contractual budget category. Also, applicants must fully
    substantiate all expenditures in the budget narrative.

**[Application Transmittal Information]{.underline}**

*Do I have to submit my application electronically?*

-   No. Applications may be submitted electronically or in paper format
    by mail or hand delivery. The electronic submission of applications
    is voluntary. However, if you choose to submit your application
    electronically you must use the Grants.gov site. **Note**: You may
    not submit your application by e-mail or facsimile.

*What is the deadline date for applications under this grant
competition?*

-   May 19, 2008.

*May I get an extension of the deadline date?*

-   Waivers for individual applications failing to meet the deadline
    will not be granted, regardless of the circumstances. Under very
    extraordinary circumstances ED may change the closing date for a
    grant competition. When this occurs, ED announces such a change in a
    notice published in the [Federal Register]{.underline}.

> If you experience problems submitting your application electronically
> through Grants.gov, please contact the Grants.gov Support Desk at
> 800/518-4726. You must obtain a Grants.gov Support Desk Case Number
> and keep a record of it.
>
> If you are prevented from electronically submitting your application
> on the application deadline date because of technical problems with
> the Grants.gov system, we will grant you an extension until 4:30:00
> p.m. (Washington, DC time) the following business day to enable you to
> transmit your application electronically or by hand delivery. You also
> may mail your application by following the mailing instructions
> described elsewhere in this application package.
>
> If you electronically submit an application after 4:30:00 p.m.
> (Washington, DC time) on the application deadline date, please contact
> Rich Lucey (<richard.lucey@ed.gov> or 202/205-5471) and provide an
> explanation of the technical problem you experienced with Grants.gov,
> along with the Grants.gov Support Desk Case Number. We will accept
> your application if we can confirm that a technical problem occurred
> with the Grants.gov system and that that problem affected your ability
> to electronically submit your application by 4:30:00 p.m. (Washington,
> DC time) on the application deadline date. ED will contact you after a
> determination is made on whether your application will be accepted.
>
> **Note**: The extensions to which we refer in this section apply only
> to the unavailability of, or technical problems with, the Grants.gov
> system. We will not grant you an extension if you failed to fully
> register to submit your application to Grants.gov before the
> application deadline date and time or if the technical problem you
> experienced is unrelated to the Grants.gov system.

*Do I need to provide the Funding Opportunity Number (Item #12) and the
Competition Identification Number (Item #13) on the SF-424?*

-   If you submit your application electronically via Grants.gov, then
    you need to provide these numbers. They are located on the
    Grants.gov Web site on the application download page and also on the
    application package page once it is downloaded. If you submit your
    application in paper format by mail or hand delivery, then you do
    not need to provide these numbers as they are used strictly for the
    electronic package submitted via Grants.gov.

*Does Grants.gov support the new Microsoft Vista Operating System?*

-   Grants.gov uses two viewer products -- Adobe Acrobat Reader and
    PureEdge -- that predate the release of Windows Vista. Adobe Reader
    7.0.9 **may** work with Vista, but Adobe does not fully support this
    configuration. PureEdge Viewer v.6.0.2 is only compatible with Vista
    when using a Citrix server connection. Grants.gov is anticipating
    the release of Adobe Reader 8.1.1 shortly, which will be compatible
    with Microsoft Vista. Until Adobe Reader 8.1.1 is released, you have
    two choices: Use an operating system other than Vista or use Citrix,
    which has been identified as an option for any applicant that is
    using Vista. The Grants.gov Web site
    ([www.grants.gov/help/general_faqs.jsp#18](http://www.grants.gov/help/general_faqs.jsp#18))
    has been updated to provide applicants with instructions on how to
    utilize the Citrix solution.

**[General Information]{.underline}**

*Do I need to notify my State Single Point of Contact about my
application?*

-   Yes. You must contact the appropriate State Single Point of Contact
    to find out about, and to comply with, your state's process under
    Executive Order 12372, and include a copy of your letter to the
    State Single Point of Contact with your application. For more
    information about this requirement, see the Intergovernmental Review
    of Federal Programs section in this application package.

> On the Application for Federal Assistance (Standard Form 424), you
> also must check the appropriate box in Item 19. Specifically, check
> box (a) and provide the date on which you made your application
> available to the State Single Point of Contact for review
> **[or]{.underline}** check box (b) if the State Single Point of
> Contact indicated that they will not review the application. **Note**:
> Do not check box (c) since this grant program is covered by Executive
> Order 12372.

*How does the Freedom of Information Act affect my application?*

-   The Freedom of Information Act (FOIA) provides an individual the
    right to request access to federal agency records or information.
    All U.S. Government agencies are required to disclose records upon
    receiving a written request for them, except for those records that
    are protected from disclosure by the nine exemptions listed in the
    FOIA. All applications submitted for funding consideration under
    this grant competition are subject to the FOIA. To read the text of
    the Freedom of Information Act, visit
    [www.usdoj.gov/04foia/foiastat.htm](http://www.usdoj.gov/04foia/foiastat.htm).

*Who do I contact for more information about this grant competition?*

-   Richard Lucey, Jr., Education Program Specialist, U.S. Department of
    Education, 400 Maryland Avenue, SW -- Room 3E335, Washington, DC
    20202-6450, Phone: 202/205-5471, Fax: 202/260-7767, E-mail:
    <richard.lucey@ed.gov>.

**Alcohol and Other Drug Abuse Prevention Resource List**

DeJong, William, et al., [Environmental Management: A Comprehensive
Strategy for Reducing Alcohol and Other Drug Use on College
Campuses]{.underline}. The Higher Education Center for Alcohol and Other
Drug Prevention, U.S. Department of Education, 1998.

DeJong, William, et al., [Experiences in Effective Prevention. The U.S.
Department of Education's Alcohol and Other Drug Prevention Models on
College Campuses Grants]{.underline}. The Higher Education Center for
Alcohol and Other Drug Abuse and Violence Prevention, U.S. Department of
Education, 2007.

DeJong, William and Linda Langford, [Evaluating Environmental Management
Approachs to Alcohol and Other Drug Abuse Prevention]{.underline}. The
Higher Education Center for Alcohol and Other Drug Abuse and Violence
Prevention, U.S. Department of Education, 2006.

Johannessen, Koreen, et al., [A Practical Guide to Alcohol Abuse
Prevention: A Campus Case Study in Implementing Social Norms and
Environmental Management Approaches]{.underline}. The Higher Education
Center for Alcohol and Other Drug Prevention, U.S. Department of
Education, 1999.

Muraskin, Lana D., [Understanding Evaluation: The Way to Better
Prevention Programs]{.underline}. U.S. Department of Education, 1993.

National Institute on Drug Abuse, [Preventing Drug Use Among Children
and Adolescents: A Research-Based Guide for Parents, Educators, and
Community Leaders]{.underline}. National Institutes on Health, 2003.

Perkins, H. Wesley and David W. Craig, [A Multifaceted Social Norms
Approach to Reduce High-Risk Drinking: Lessons from Hobart and William
Smith Colleges]{.underline}. The Higher Education Center for Alcohol and
Other Drug Prevention, U.S. Department of Education, 2002.

Presley, Cheryl A., S. Bryn Austin, and Judith Jacobs., [Selecting the
Right Tool: A Compendium of Alcohol and Other Drug Assessment and
Evaluation Instruments for Use in Higher Education]{.underline}. The
Higher Education Center for Alcohol and Other Drug Prevention, U.S.
Department of Education, 1998.

Ryan, Barbara E., [Alcohol and Other Drugs: Prevention Challenges at
Community Colleges]{.underline}. The Higher Education Center for Alcohol
and Other Drug Prevention, U.S. Department of Education, 1998.

Ryan, Barbara E., Tom Colthurst, and Lance Segars, [College Alcohol Risk
Assessment Guide: Environmental Approaches to Prevention]{.underline}.
The Higher Education Center for Alcohol and Other Drug Prevention, U.S.
Department of Education, 1997.

Task Force of the National Advisory Council on Alcohol Abuse and
Alcoholism, [A Call to Action: Changing the Culture of Drinking at U.S.
Colleges]{.underline}. National Institutes of Health, U.S. Department of
Health and Human Services, 2002.

**III. LEGAL AND REGULATORY DOCUMENTS**

**Placeholder for the following items:**

1.  **Notice of Proposed Priority**

2.  **Notice of Final Priority**

3.  **Notice Inviting Applications**

**Authorizing Legislation -- No Child Left Behind Act of 2001**

Subpart 2-National Programs

**SEC. 4121. FEDERAL ACTIVITIES.**

\(a\) Program Authorized-From funds made available to carry out this
subpart under section 4003(2), the Secretary, in consultation with the
Secretary of Health and Human Services, the Director of the Office of
National Drug Control Policy, and the Attorney General, shall carry out
programs to prevent the illegal use of drugs and violence among, and
promote safety and discipline for, students. The Secretary shall carry
out such programs directly, or through grants, contracts, or cooperative
agreements with public and private entities and individuals, or through
agreements with other Federal agencies, and shall coordinate such
programs with other appropriate Federal activities. Such programs may
include-

1)  the development and demonstration of innovative strategies for the
    training of school personnel, parents, and members of the community
    for drug and violence prevention activities based on State and local
    needs;

2)  the development, demonstration, scientifically based evaluation, and
    dissemination of innovative and high quality drug and violence
    prevention programs and activities, based on State and local needs,
    which may include-

    a.  alternative education models, either established within a school
        or separate and apart from an existing school, that are designed
        to promote drug and violence prevention, reduce disruptive
        behavior, reduce the need for repeat suspensions and expulsions,
        enable students to meet challenging State academic standards,
        and enable students to return to the regular classroom as soon
        as possible;

    b.  community service and service-learning projects, designed to
        rebuild safe and health neighborhoods and increase students'
        sense of individual responsibility

    c.  video-based projects developed by noncommercial
        telecommunications entities that provide young people with
        models for conflict resolution and responsible decision-making;
        and

    d.  child abuse education and prevention programs for elementary and
        secondary students;

3)  the provision of information on drug abuse education and prevention
    to the Secretary of Health and Human Services for dissemination;

4)  the provision of information on violence prevention and education
    and school safety to the Department of Justice for dissemination;

5)  technical assistance to chief executive officers, State agencies,
    local educational agencies, and other recipients of funding under
    this part to build capacity to develop and implement high-quality,
    effective drug and violence prevention programs consistent with the
    principles of effectiveness in section 4115(a);

6)  assistance to school systems that have particularly severe drug and
    violence problems, including hiring drug prevention and school
    safety coordinators, or assistance to support appropriate response
    efforts to crisis situations;

7)  the development of education and training programs, curricula,
    instructional materials, and professional training and development
    for preventing and reducing the incidence of crimes and conflicts
    motivated by hate in localities most directly affected by hate
    crimes;

8)  activities in communities designated as empowerment zones or
    enterprise communities that will connect schools to community-wide
    efforts to reduce drug and violence problems; and

9)  other activities in accordance with the purpose of this part, based
    on State and local needs.

\(b\) Peer Review-The Secretary shall use a peer review process in
reviewing applications for funds under this section.

**IV. GENERAL APPLICATION INSTRUCTIONS AND INFORMATION**

**Preparing the Application**

A completed application for assistance under this competition consists
of two parts: a detailed narrative description of the proposed project
and budget, and all forms and assurances that must be submitted in order
to receive a grant.

A panel of non-federal readers with experience in alcohol and other drug
abuse prevention or evaluation in higher education will review each
eligible application submitted by the deadline. The panel will award
points ranging from 0 to 100 to each application depending on how well
the selection criteria are addressed. Be sure you provide a
comprehensive response to each factor under each selection criterion.
Applications that fail to do so will be read, but our experience
suggests they may not score well enough to be funded.

If you apply via Grants.gov, you will use the following Grants.gov
narrative forms:

-   ED Abstract Form

-   Project Narrative Attachment Form

-   Other Attachments Form

-   Budget Narrative Attachment Form

The **ED Abstract Form** is where you will attach your program abstract.

The **Project Narrative Attachment Form** is where you will attach the
narrative sections addressing the selection criteria that will be used
to evaluate applications submitted for this grant competition.

The **Other Attachments Form** is where you will attach proposal
appendices, such as curriculum vitae of key personnel, letters of
commitment, and samples of evaluation instruments. The Grants.gov system
will allow applicants to attach as many as 10 separate appendices in
this section.

The **Budget Narrative Attachment Form** is where you will attach a
detailed line item budget and any supplemental budget information.

All applicants should adhere to the following formatting guidelines:

-   Use 1-inch margins. If you submit your application in paper format
    by mail or hand delivery, your application must be printed on 8 1/2"
    by 11" paper.

-   Use consistent font no smaller than 12-point type throughout your
    document. You may use boldface type, underlining, and italics;
    however, do not use colored text.

-   For the project narrative, your application should consist of the
    number and text of each selection criterion followed by the
    narrative. The text of the selection criterion, if included, does
    not count against any page limitation.

-   Place a page number at the bottom right of each page beginning with
    1, and number your pages consecutively throughout your document,
    beginning with the Abstract and ending with the Appendices.
    **Note**: Do not paginate any of the forms.

If you submit your proposal electronically via Grants.gov, you will use
your own word-processing software to complete the application for this
grant competition.

If you submit your application in paper format by mail or hand delivery,
you will follow the same general instructions but you will not attach
your abstract, project narrative, or other narratives to the Grants.gov
forms.

**Organizing the Application**

[Supplemental Instructions for Standard Form 424]{.underline}

**1. Application for Federal Assistance (SF Form 424)**: Reminder: All
applicants must obtain and use a D-U-N-S Number, and all applicants
applying through Grants.gov must register with Grants.gov. Information
on how to obtain a D-U-N-S Number is included below. The D-U-N-S Number
used on the application must be the same number that you used to
register with the Central Contractor Registry. If the numbers are not
the same, Grants.gov will reject the application.

**D-U-N-S NUMBER INSTRUCTIONS**

The D-U-N-S Number is a unique nine-digit number that does not convey
any information about the recipient. A built-in check digit helps to
ensure the accuracy of the D-U-N-S Number. The ninth digit of each
number is the check digit, which is mathematically related to the other
digits. It lets computer systems determine if a D-U-N-S Number has been
entered correctly.

You can obtain a D-U-N-S Number at no charge by calling 800/333-0505 or
by completing the D-U-N-S Number Request Form, available online at
[www.dnb.com/US/duns_update/index.html](http://www.dnb.com/US/duns_update/index.html).
Dun & Bradstreet, a global information provider, has assigned D-U-N-S
Numbers to more than 43 million companies worldwide. Customer service is
available on Monday-Friday from 8:00 a.m. to 6:00 p.m. (Eastern Time) at
888/814-1435.

Use the Application for Federal Assistance and the Department of
Education Supplemental Information for SF 424. This is the title page of
your application. Be sure that Item 10 identifies the CFDA Number for
this grant competition: 84.184N and the Title as Models of Exemplary,
Effective, and Promising Alcohol or Other Drug Abuse Prevention Programs
on College Campuses Grant Competition.

If you submit your proposal for this grant competition electronically
via Grants.gov, please complete the SF 424 first. Grants.gov will insert
the correct CFDA number and program name automatically where needed.

If you submit your proposal in paper format by mail or hand delivery,
you will need to insert the correct CFDA number and program name where
requested.

Under Item 3 in the ED Supplemental Information, indicate whether the
proposed project includes human subjects research activities, and if so,
whether any or all of the proposed activities are exempt. For additional
guidance, see instructions for ED Supplemental Information in the
required forms section of this application package or call ED's
protection of human subjects in research coordinator at 202/260-3353.

Electronic submission requires that narratives and other files be
attached to the following attachment forms per the instructions in this
document, such as:

One-Page Abstract must be attached to the ED Abstract Form.

Program Narratives must be attached to the Program Narrative Attachment
Form.

Budget Narratives must be attached to the Budget Narrative Attachment
Form.

All appendices must be attached to the Other Attachments Form.

**Note**: Do not attach any narratives, supporting files, or application
components to the SF 424. Although this form accepts attachments, ED
will only review materials and files attached to the appropriate
attachment forms listed above.

**2. Abstract**: Include a concise, one-page, double-spaced abstract
following the Table of Contents. This is a key element and must include
a brief narrative describing a summary of the project goals and
objectives and the intended outcomes of the project. Clearly mark this
page with the applicant's name as shown in Item 1 of SF Form 424. If you
submit your application via Grants.gov, attach this document to the **ED
Abstract Form**.

**3. Project Narrative**: This section should be no more than 25
double-spaced typewritten pages. The narrative must contain evidence
that the applicant meets the grant competition's absolute priority, and
should contain and follow in sequence the information requested for each
selection criterion. Applicants should review Section II for a
discussion of the selection criteria and the chief considerations for
this grant competition. A timeline or schedule of tasks and events,
responsible person(s), project milestone(s), and/or completion dates
should be included in the narrative. Include a Table of Contents with
page references. The Table of Contents does not count against any page
limitations. If you submit your application via Grants.gov, attach this
document to the **Project Narrative Attachment Form**.

**4. Budget Narrative**: You will use the Budget Information Form (ED
Form 524) provided in the required forms section of this application
package to prepare a budget for the project. That form will not be
attached to the Budget Narrative Attachment Form.

You must include a detailed budget narrative that supports and explains
the information provided on ED Form 524. Use the same budget categories
as those on ED Form 524 and explain the basis used to estimate costs for
all budget categories, and how the cost items relate to the project's
goals, objectives, and activities. All expenditures must be necessary to
carry out the goals and objectives of the project, reasonable for the
scope and complexity of the project, and allowable under the terms and
conditions of the grant and in accordance with government cost
principles.

The Budget Information Form and accompanying narrative should provide
enough detail for ED staff to easily understand how costs were
determined and if the budget is commensurate with the scope of the
project. **Note**: Failure to submit a detailed budget narrative may
result in significant cuts to your request. If you submit your
application via Grants.gov, attach this document to the **Budget
Narrative Attachment Form**.

For this grant competition, you may charge indirect costs using the rate
negotiated with your cognizant federal agency (e.g., Department of
Education, Department of Health and Human Services, Department of the
Interior). **Note**: Since these grants are not research grants, it is
not appropriate to use your institution's indirect cost rate for
organized research. If you intend to claim indirect costs during the
project period, you should use the indirect cost rate for other
sponsored activities, as specified in your institution's
federally-approved indirect cost rate agreement. Be sure to include
evidence of a federally negotiated indirect cost rate.

If you budget for contractual services, please note that indirect costs
may be applied only to the first \$25,000 of each subcontract,
regardless of the period covered by the subcontract.

You are encouraged to give priority to direct services to students by
limiting the indirect costs charged to the project. You will not be
penalized for failure to reduce indirect costs nor will you gain
competitive advantage if you do.

If you claim indirect costs in the budget for your proposed project and
do not have a negotiated rate with the federal government, ED will
establish a temporary indirect cost rate for your project (i.e., 10
percent of the direct salaries and wages included in the budget for the
project). Grantees will be allowed to draw at the temporary rate during
the first 90 days after ED made the grant, as determined by the date of
the Grant Award Notification. If a grantee does not submit an indirect
cost rate proposal to its cognizant agency within that first 90 days,
the grantee will not be allowed to draw any more funds for indirect
costs until it obtains a federally recognized indirect cost rate from
its cognizant agency. For more information about indirect cost rates,
visit
[www.ed.gov/about/offices/list/ocfo/intro.html](http://www.ed.gov/about/offices/list/ocfo/intro.html).

**5. Appendices**: If you submit your application via Grants.gov, the
**Other Attachments Form** is where you will attach proposal appendices
that you may choose to submit in support of your capacity and
preparation to undertake the project, such as resumes of key personnel,
letters of commitment, and samples of evaluation instruments. The
Grants.gov system allows you to attach as many as 10 separate appendices
in this section.

If you submit your application in paper format by mail or hand delivery,
information provided in this section includes forms and other material
required by ED in order for an application to be eligible for funding as
well as any other information that you may choose to submit in support
of your capacity and preparation to undertake the proposed project.

The following items are **not** part of the appendices and may not be
included:

-   Budget or program narrative information that you wish to have
    reviewed as part of your response to one or more scoring
    criteria---all such information must be included in the narrative
    portion of the application.

-   Videotapes, CD-ROMs, photographs, or floppy disks---they will not be
    reviewed and we will not return them.

This section **must** include the following:

-   GEPA 427, Equitable Access to and Participation in Federally
    Assisted Programs

-   Letter of Transmittal to State Single Point of Contact (if your
    state participates)

-   Proof of federally negotiated indirect cost rate (if you are
    claiming indirect costs)

This section **may** include the following:

-   Other information you wish to include in support of your capacity,
    experience, and readiness to undertake the project, including:

    -   Resumes of key personnel. If personnel have yet to be hired for
        this project, include a narrative description of expected staff
        qualifications.

    -   Letters of commitment that reflect each person's awareness of
        their role in the project. Each letter should indicate a
        willingness to put forth the necessary time and effort to make
        the project work efficiently and effectively.

    -   Relevant prior grant experience.

**6. Assurances and Certifications**: If you submit your application
electronically, you must complete all forms posted on Grants.gov.

If you submit your application in paper format via mail or hand
delivery, you **must** fill out, have signed by the person authorized to
sign for the institution, and submit the following forms:

-   Assurances, Non-Construction Programs (Standard Form, 424B)

-   Grants.gov Lobbying Form (formerly ED Form 80-0013)

-   Disclosure of Lobbying Activities (Standard Form-LLL)

**Note**: If Item 2 of the Grants.gov Lobbying Form applies because of
lobbying activities related to a previous grant, or are anticipated to
occur with this project if it is funded, you must submit Standard Form
LLL. If your organization does not engage in lobbying, please submit
Standard Form LLL and indicate as "Not Applicable."

**Instructions for Standard Forms**

-   Application for Federal Assistance (Standard Form 424)

-   Department of Education Supplemental Information Form for the
    Standard Form 424

-   Department of Education Budget Information -- Non-Construction
    Programs (ED Form 524)

-   Disclosure of Lobbying Activities (Standard Form LLL)

## **Instructions for Application for Federal Assistance (Standard Form 424)**

Public reporting burden for this collection of information is estimated
to average 60 minutes per response, including time for reviewing
instructions, searching existing data sources, gathering and maintaining
the data needed, and completing and reviewing the collection of
information. Send comments regarding the burden estimate or any other
aspect of this collection of information, including suggestions for
reducing this burden, to the Office of Management and Budget, Paperwork
Reduction Project (0348-0043), Washington, DC 20503.

**PLEASE DO NOT RETURN YOUR COMPLETED FORM TO THE OFFICE OF MANAGEMENT
AND BUDGET. SEND IT TO THE ADDRESS PROVIDED BY THE SPONSORING AGENCY.**

> This is a standard form (including the continuation sheet) required
> for use as a cover sheet for submission of preapplications and
> applications and related information under discretionary programs.
> Some of the items are required and some are optional at the discretion
> of the applicant or the Federal agency (agency). Required items are
> identified with an asterisk on the form and are specified in the
> instructions below. In addition to the instructions provided below,
> applicants must consult agency instructions to determine specific
> requirements.

+---+-----------------+---------------+---+---------------------------+
| I | Entry:          |               | I | Entry:                    |
| t |                 |               | t |                           |
| e |                 |               | e |                           |
| m |                 |               | m |                           |
+---+-----------------+---------------+---+---------------------------+
| 1 | **Type of       |               | 1 | **Name Of Federal         |
| \ | Submission:**   |               | 0 | Agency**: (Required)      |
| . | (Required):     |               | \ | Enter the name of the     |
|   | Select one type |               | . | Federal agency from which |
|   | of submission   |               |   | assistance is being       |
|   | in accordance   |               |   | requested with this       |
|   | with agency     |               |   | application.              |
|   | instructions.   |               |   |                           |
|   |                 |               |   |                           |
|   | -               |               |   |                           |
|   |  Preapplication |               |   |                           |
|   |                 |               |   |                           |
|   | -   Application |               |   |                           |
|   |                 |               |   |                           |
|   | -   Ch          |               |   |                           |
|   | anged/Corrected |               |   |                           |
|   |     Application |               |   |                           |
|   |     -- If       |               |   |                           |
|   |     requested   |               |   |                           |
|   |     by the      |               |   |                           |
|   |     agency,     |               |   |                           |
|   |     check if    |               |   |                           |
|   |     this        |               |   |                           |
|   |     submission  |               |   |                           |
|   |     is to       |               |   |                           |
|   |     change or   |               |   |                           |
|   |     correct a   |               |   |                           |
|   |     previously  |               |   |                           |
|   |     submitted   |               |   |                           |
|   |                 |               |   |                           |
|   |    application. |               |   |                           |
|   |     Unless      |               |   |                           |
|   |     requested   |               |   |                           |
|   |     by the      |               |   |                           |
|   |     agency,     |               |   |                           |
|   |     applicants  |               |   |                           |
|   |     may not use |               |   |                           |
|   |     this to     |               |   |                           |
|   |     submit      |               |   |                           |
|   |     changes     |               |   |                           |
|   |     after the   |               |   |                           |
|   |     closing     |               |   |                           |
|   |     date.       |               |   |                           |
+---+-----------------+---------------+---+---------------------------+
|   |                 |               | 1 | **Catalog Of Federal      |
|   |                 |               | 1 | Domestic Assistance       |
|   |                 |               | \ | Number/Title:** Enter the |
|   |                 |               | . | Catalog of Federal        |
|   |                 |               |   | Domestic Assistance       |
|   |                 |               |   | number and title of the   |
|   |                 |               |   | program under which       |
|   |                 |               |   | assistance is requested,  |
|   |                 |               |   | as found in the program   |
|   |                 |               |   | announcement, if          |
|   |                 |               |   | applicable.               |
+---+-----------------+---------------+---+---------------------------+
|   |                 |               |   |                           |
+---+-----------------+---------------+---+---------------------------+
| 2 | **Type of       |               | 1 | **Funding Opportunity     |
| \ | Application**:  |               | 2 | Number/Title:**           |
| . | (Required)      |               | \ | (Required) Enter the      |
|   | Select one type |               | . | Funding Opportunity       |
|   | of application  |               |   | Number and title of the   |
|   | in accordance   |               |   | opportunity under which   |
|   | with agency     |               |   | assistance is requested,  |
|   | instructions.   |               |   | as found in the program   |
|   |                 |               |   | announcement.             |
|   | -   New -- An   |               |   |                           |
|   |     application |               |   |                           |
|   |     that is     |               |   |                           |
|   |     being       |               |   |                           |
|   |     submitted   |               |   |                           |
|   |     to an       |               |   |                           |
|   |     agency for  |               |   |                           |
|   |     the first   |               |   |                           |
|   |     time.       |               |   |                           |
|   |                 |               |   |                           |
|   | -               |               |   |                           |
|   |  Continuation - |               |   |                           |
|   |     An          |               |   |                           |
|   |     extension   |               |   |                           |
|   |     for an      |               |   |                           |
|   |     additional  |               |   |                           |
|   |                 |               |   |                           |
|   |  funding/budget |               |   |                           |
|   |     period for  |               |   |                           |
|   |     a project   |               |   |                           |
|   |     with a      |               |   |                           |
|   |     projected   |               |   |                           |
|   |     completion  |               |   |                           |
|   |     date. This  |               |   |                           |
|   |     can include |               |   |                           |
|   |     renewals.   |               |   |                           |
|   |                 |               |   |                           |
|   | ```{=html}      |               |   |                           |
|   | <!-- -->        |               |   |                           |
|   | ```             |               |   |                           |
|   | -   Revision -  |               |   |                           |
|   |     Any change  |               |   |                           |
|   |     in the      |               |   |                           |
|   |     Federal     |               |   |                           |
|   |                 |               |   |                           |
|   |    Government's |               |   |                           |
|   |     financial   |               |   |                           |
|   |     obligation  |               |   |                           |
|   |     or          |               |   |                           |
|   |     contingent  |               |   |                           |
|   |     liability   |               |   |                           |
|   |     from an     |               |   |                           |
|   |     existing    |               |   |                           |
|   |     obligation. |               |   |                           |
|   |     If a        |               |   |                           |
|   |     revision,   |               |   |                           |
|   |     enter the   |               |   |                           |
|   |     appropriate |               |   |                           |
|   |     letter(s).  |               |   |                           |
|   |     More than   |               |   |                           |
|   |     one may be  |               |   |                           |
|   |     selected.   |               |   |                           |
|   |     If          |               |   |                           |
|   |     \"Other\"   |               |   |                           |
|   |     is          |               |   |                           |
|   |     selected,   |               |   |                           |
|   |     please      |               |   |                           |
|   |     specify in  |               |   |                           |
|   |     text box    |               |   |                           |
|   |     provided.   |               |   |                           |
|   |                 |               |   |                           |
|   | > A. Increase   |               |   |                           |
|   | > Award B.      |               |   |                           |
|   | > Decrease      |               |   |                           |
|   | > Award         |               |   |                           |
|   |                 |               |   |                           |
|   | C. Increase     |               |   |                           |
|   | Duration D.     |               |   |                           |
|   | Decrease        |               |   |                           |
|   | Duration        |               |   |                           |
|   |                 |               |   |                           |
|   | E. Other        |               |   |                           |
|   | (specify)       |               |   |                           |
+---+-----------------+---------------+---+---------------------------+
|   |                 |               | 1 | **Competition             |
|   |                 |               | 3 | Identification            |
|   |                 |               | \ | Number/Title:** Enter the |
|   |                 |               | . | Competition               |
|   |                 |               |   | Identification Number and |
|   |                 |               |   | title of the competition  |
|   |                 |               |   | under which assistance is |
|   |                 |               |   | requested, if applicable. |
+---+-----------------+---------------+---+---------------------------+
|   |                 |               | 1 | **Areas Affected By       |
|   |                 |               | 4 | Project:** List the areas |
|   |                 |               | \ | or entities using the     |
|   |                 |               | . | categories (e.g., cities, |
|   |                 |               |   | counties, states, etc.)   |
|   |                 |               |   | specified in agency       |
|   |                 |               |   | instructions. Use the     |
|   |                 |               |   | continuation sheet to     |
|   |                 |               |   | enter additional areas,   |
|   |                 |               |   | if needed.                |
+---+-----------------+---------------+---+---------------------------+
| 3 | **Date          |               | 1 | **Descriptive Title of    |
| \ | Received:**     |               | 5 | Applicant's Project:**    |
| . | Leave this      |               | \ | (Required) Enter a brief  |
|   | field blank.    |               | . | descriptive title of the  |
|   | This date will  |               |   | project. If appropriate,  |
|   | be assigned by  |               |   | attach a map showing      |
|   | the Federal     |               |   | project location (e.g.,   |
|   | agency.         |               |   | construction or real      |
|   |                 |               |   | property projects). For   |
|   |                 |               |   | preapplications, attach a |
|   |                 |               |   | summary description of    |
|   |                 |               |   | the project.              |
+---+-----------------+---------------+---+---------------------------+
| 4 | **Applicant     |               |   |                           |
| \ | Identifier**:   |               |   |                           |
| . | Enter the       |               |   |                           |
|   | entity          |               |   |                           |
|   | identifier      |               |   |                           |
|   | assigned by the |               |   |                           |
|   | Federal agency, |               |   |                           |
|   | if any, or      |               |   |                           |
|   | applicant's     |               |   |                           |
|   | control number, |               |   |                           |
|   | if applicable.  |               |   |                           |
+---+-----------------+---------------+---+---------------------------+
| 5 | **Federal       |               | 1 | **Congressional Districts |
| a | Entity          |               | 6 | Of**: (Required) 16a.     |
|   | Identifier**:   |               | \ | Enter the applicant's     |
|   | Enter the       |               | . | Congressional District,   |
|   | number assigned |               |   | and 16b. Enter all        |
|   | to your         |               |   | District(s) affected by   |
|   | organization by |               |   | the program or project.   |
|   | the Federal     |               |   | Enter in the format: 2    |
|   | Agency, if any. |               |   | characters State          |
|   |                 |               |   | Abbreviation -- 2-3       |
|   |                 |               |   | characters District       |
|   |                 |               |   | Number, e.g., CA-12 for   |
|   |                 |               |   | California 12^th^         |
|   |                 |               |   | district, NC-103 for      |
|   |                 |               |   | North Carolina's 103^rd^  |
|   |                 |               |   | district.                 |
|   |                 |               |   |                           |
|   |                 |               |   | -   If all congressional  |
|   |                 |               |   |     districts in a state  |
|   |                 |               |   |     are affected, enter   |
|   |                 |               |   |     "all" for the         |
|   |                 |               |   |     district number,      |
|   |                 |               |   |     e.g., MD-all for all  |
|   |                 |               |   |     congressional         |
|   |                 |               |   |     districts in          |
|   |                 |               |   |     Maryland.             |
|   |                 |               |   |                           |
|   |                 |               |   | -   If nationwide, i.e.   |
|   |                 |               |   |     all districts within  |
|   |                 |               |   |     all states are        |
|   |                 |               |   |     affected, enter       |
|   |                 |               |   |     US-all.               |
|   |                 |               |   |                           |
|   |                 |               |   | -   If the                |
|   |                 |               |   |     program/project is    |
|   |                 |               |   |     outside the US, enter |
|   |                 |               |   |     00-000.               |
+---+-----------------+---------------+---+---------------------------+
| 5 | **Federal Award |               |   |                           |
| b | Identifier**:   |               |   |                           |
| . | For new         |               |   |                           |
|   | applications    |               |   |                           |
|   | leave blank.    |               |   |                           |
|   | For a           |               |   |                           |
|   | continuation or |               |   |                           |
|   | revision to an  |               |   |                           |
|   | existing award, |               |   |                           |
|   | enter the       |               |   |                           |
|   | previously      |               |   |                           |
|   | assigned        |               |   |                           |
|   | Federal award   |               |   |                           |
|   | identifier      |               |   |                           |
|   | number. If a    |               |   |                           |
|   | ch              |               |   |                           |
|   | anged/corrected |               |   |                           |
|   | application,    |               |   |                           |
|   | enter the       |               |   |                           |
|   | Federal         |               |   |                           |
|   | Identifier in   |               |   |                           |
|   | accordance with |               |   |                           |
|   | agency          |               |   |                           |
|   | instructions.   |               |   |                           |
+---+-----------------+---------------+---+---------------------------+
| 6 | **Date Received |               |   |                           |
| \ | by State:**     |               |   |                           |
| . | Leave this      |               |   |                           |
|   | field blank.    |               |   |                           |
|   | This date will  |               |   |                           |
|   | be assigned by  |               |   |                           |
|   | the State, if   |               |   |                           |
|   | applicable.     |               |   |                           |
+---+-----------------+---------------+---+---------------------------+
| 7 | **State         |               |   |                           |
| \ | Application     |               |   |                           |
| . | Identifier:**   |               |   |                           |
|   | Leave this      |               |   |                           |
|   | field blank.    |               |   |                           |
|   | This identifier |               |   |                           |
|   | will be         |               |   |                           |
|   | assigned by the |               |   |                           |
|   | State, if       |               |   |                           |
|   | applicable.     |               |   |                           |
+---+-----------------+---------------+---+---------------------------+
| 8 | **Applicant     |               |   |                           |
| \ | Information**:  |               |   |                           |
| . | Enter the       |               |   |                           |
|   | following in    |               |   |                           |
|   | accordance with |               |   |                           |
|   | agency          |               |   |                           |
|   | instructions:   |               |   |                           |
|   |                 |               |   |                           |
|   | **a. Legal      |               |   |                           |
|   | Name**:         |               |   |                           |
|   | (Required):     |               |   |                           |
|   | Enter the legal |               |   |                           |
|   | name of         |               |   |                           |
|   | applicant that  |               |   |                           |
|   | will undertake  |               |   |                           |
|   | the assistance  |               |   |                           |
|   | activity. This  |               |   |                           |
|   | is the name     |               |   |                           |
|   | that the        |               |   |                           |
|   | organization    |               |   |                           |
|   | has registered  |               |   |                           |
|   | with the        |               |   |                           |
|   | Central         |               |   |                           |
|   | Contractor      |               |   |                           |
|   | Registry.       |               |   |                           |
|   | Information on  |               |   |                           |
|   | registering     |               |   |                           |
|   | with CCR may be |               |   |                           |
|   | obtained by     |               |   |                           |
|   | visiting the    |               |   |                           |
|   | Grants.gov      |               |   |                           |
|   | website.        |               |   |                           |
+---+-----------------+---------------+---+---------------------------+
|   |                 |               |   |                           |
+---+-----------------+---------------+---+---------------------------+
|   |                 |               | 1 | **Proposed Project Start  |
|   |                 |               | 7 | and End Dates**:          |
|   |                 |               | \ | (Required) Enter the      |
|   |                 |               | . | proposed start date and   |
|   |                 |               |   | end date of the project.  |
+---+-----------------+---------------+---+---------------------------+
|   | **b.            |               |   |                           |
|   | Em              |               |   |                           |
|   | ployer/Taxpayer |               |   |                           |
|   | Number          |               |   |                           |
|   | (EIN/TIN):**    |               |   |                           |
|   | (Required):     |               |   |                           |
|   | Enter the       |               |   |                           |
|   | Employer or     |               |   |                           |
|   | Taxpayer        |               |   |                           |
|   | Identification  |               |   |                           |
|   | Number (EIN or  |               |   |                           |
|   | TIN) as         |               |   |                           |
|   | assigned by the |               |   |                           |
|   | Internal        |               |   |                           |
|   | Revenue         |               |   |                           |
|   | Service. If     |               |   |                           |
|   | your            |               |   |                           |
|   | organization is |               |   |                           |
|   | not in the US,  |               |   |                           |
|   | enter           |               |   |                           |
|   | 44-4444444.     |               |   |                           |
+---+-----------------+---------------+---+---------------------------+
|   |                 |               | 1 | **Estimated Funding:**    |
|   |                 |               | 8 | (Required) Enter the      |
|   |                 |               | \ | amount requested or to be |
|   |                 |               | . | contributed during the    |
|   |                 |               |   | first funding/budget      |
|   |                 |               |   | period by each            |
|   |                 |               |   | contributor. Value of     |
|   |                 |               |   | in-kind contributions     |
|   |                 |               |   | should be included on     |
|   |                 |               |   | appropriate lines, as     |
|   |                 |               |   | applicable. If the action |
|   |                 |               |   | will result in a dollar   |
|   |                 |               |   | change to an existing     |
|   |                 |               |   | award, indicate only the  |
|   |                 |               |   | amount of the change. For |
|   |                 |               |   | decreases, enclose the    |
|   |                 |               |   | amounts in parentheses.   |
+---+-----------------+---------------+---+---------------------------+
|   | **c.            |               |   |                           |
|   | Organizational  |               |   |                           |
|   | DUNS**:         |               |   |                           |
|   | (Required)      |               |   |                           |
|   | Enter the       |               |   |                           |
|   | organization's  |               |   |                           |
|   | DUNS or DUNS+4  |               |   |                           |
|   | number received |               |   |                           |
|   | from Dun and    |               |   |                           |
|   | Bradstreet.     |               |   |                           |
|   | Information on  |               |   |                           |
|   | obtaining a     |               |   |                           |
|   | DUNS number may |               |   |                           |
|   | be obtained by  |               |   |                           |
|   | visiting the    |               |   |                           |
|   | Grants.gov      |               |   |                           |
|   | website.        |               |   |                           |
+---+-----------------+---------------+---+---------------------------+
|   | **d. Address**: |               |   |                           |
|   | Enter the       |               |   |                           |
|   | complete        |               |   |                           |
|   | address as      |               |   |                           |
|   | follows: Street |               |   |                           |
|   | address (Line 1 |               |   |                           |
|   | required), City |               |   |                           |
|   | (Required),     |               |   |                           |
|   | County, State   |               |   |                           |
|   | (Required, if   |               |   |                           |
|   | country is US), |               |   |                           |
|   | Province,       |               |   |                           |
|   | Country         |               |   |                           |
|   | (Required),     |               |   |                           |
|   | Zip/Postal Code |               |   |                           |
|   | (Required, if   |               |   |                           |
|   | country is US). |               |   |                           |
+---+-----------------+---------------+---+---------------------------+
|   |                 |               | 1 | **Is Application Subject  |
|   |                 |               | 9 | to Review by State Under  |
|   |                 |               | \ | Executive Order 12372     |
|   |                 |               | . | Process?** Applicants     |
|   |                 |               |   | should contact the State  |
|   |                 |               |   | Single Point of Contact   |
|   |                 |               |   | (SPOC) for Federal        |
|   |                 |               |   | Executive Order 12372 to  |
|   |                 |               |   | determine whether the     |
|   |                 |               |   | application is subject to |
|   |                 |               |   | the State                 |
|   |                 |               |   | intergovernmental review  |
|   |                 |               |   | process. Select the       |
|   |                 |               |   | appropriate box. If "a."  |
|   |                 |               |   | is selected, enter the    |
|   |                 |               |   | date the application was  |
|   |                 |               |   | submitted to the State    |
+---+-----------------+---------------+---+---------------------------+
|   | **e.            |               |   |                           |
|   | Organizational  |               |   |                           |
|   | Unit:** Enter   |               |   |                           |
|   | the name of the |               |   |                           |
|   | primary         |               |   |                           |
|   | organizational  |               |   |                           |
|   | unit (and       |               |   |                           |
|   | department or   |               |   |                           |
|   | division, if    |               |   |                           |
|   | applicable**)** |               |   |                           |
|   | that will       |               |   |                           |
|   | undertake the   |               |   |                           |
|   | assistance      |               |   |                           |
|   | activity, if    |               |   |                           |
|   | applicable.     |               |   |                           |
+---+-----------------+---------------+---+---------------------------+
|   |                 |               |   |                           |
+---+-----------------+---------------+---+---------------------------+
|   |                 |               |   |                           |
+---+-----------------+---------------+---+---------------------------+
|   | **f. Name and   |               |   |                           |
|   | contact         |               |   |                           |
|   | information of  |               |   |                           |
|   | person to be    |               |   |                           |
|   | contacted on    |               |   |                           |
|   | matters         |               |   |                           |
|   | involving this  |               |   |                           |
|   | application**:  |               |   |                           |
|   | Enter the name  |               |   |                           |
|   | (First and last |               |   |                           |
|   | name required), |               |   |                           |
|   | organizational  |               |   |                           |
|   | affiliation (if |               |   |                           |
|   | affiliated with |               |   |                           |
|   | an organization |               |   |                           |
|   | other than the  |               |   |                           |
|   | applicant       |               |   |                           |
|   | organization),  |               |   |                           |
|   | telephone       |               |   |                           |
|   | number          |               |   |                           |
|   | (Required), fax |               |   |                           |
|   | number, and     |               |   |                           |
|   | email address   |               |   |                           |
|   | (Required) of   |               |   |                           |
|   | the person to   |               |   |                           |
|   | contact on      |               |   |                           |
|   | matters related |               |   |                           |
|   | to this         |               |   |                           |
|   | application.    |               |   |                           |
+---+-----------------+---------------+---+---------------------------+
|   |                 |               | 2 | **Is the Applicant        |
|   |                 |               | 0 | Delinquent on any Federal |
|   |                 |               | \ | Debt?** (Required) Select |
|   |                 |               | . | the appropriate box. This |
|   |                 |               |   | question applies to the   |
|   |                 |               |   | applicant organization,   |
|   |                 |               |   | not the person who signs  |
|   |                 |               |   | as the authorized         |
|   |                 |               |   | representative.           |
|   |                 |               |   | Categories of debt        |
|   |                 |               |   | include delinquent audit  |
|   |                 |               |   | disallowances, loans and  |
|   |                 |               |   | taxes.                    |
|   |                 |               |   |                           |
|   |                 |               |   | If yes, include an        |
|   |                 |               |   | explanation on the        |
|   |                 |               |   | continuation sheet.       |
+---+-----------------+---------------+---+---------------------------+
|   |                 |               |   |                           |
+---+-----------------+---------------+---+---------------------------+
| 9 | Type of         |               | 2 | **Authorized              |
| \ | Applicant:      |               | 1 | Representative**:         |
| . | (Required)      |               | \ | (Required) To be signed   |
|   |                 |               | . | and dated by the          |
|   | Select up to    |               |   | authorized representative |
|   | three applicant |               |   | of the applicant          |
|   | type(s) in      |               |   | organization. Enter the   |
|   | accordance with |               |   | name (First and last name |
|   | agency          |               |   | required) title           |
|   | instructions.   |               |   | (Required), telephone     |
|   |                 |               |   | number (Required), fax    |
|   |                 |               |   | number, and email address |
|   |                 |               |   | (Required) of the person  |
|   |                 |               |   | authorized to sign for    |
|   |                 |               |   | the applicant.            |
|   |                 |               |   |                           |
|   |                 |               |   | A copy of the governing   |
|   |                 |               |   | body's authorization for  |
|   |                 |               |   | you to sign this          |
|   |                 |               |   | application as the        |
|   |                 |               |   | official representative   |
|   |                 |               |   | must be on file in the    |
|   |                 |               |   | applicant's office.       |
|   |                 |               |   | (Certain Federal agencies |
|   |                 |               |   | may require that this     |
|   |                 |               |   | authorization be          |
|   |                 |               |   | submitted as part of the  |
|   |                 |               |   | application.)             |
+---+-----------------+---------------+---+---------------------------+
|   | A.  State       | L.  Nonprofit |   |                           |
|   |     Government  |     with      |   |                           |
|   |                 |     501C3 IRS |   |                           |
|   | ```{=html}      |     Status    |   |                           |
|   | <!-- -->        |     (Other    |   |                           |
|   | ```             |     than      |   |                           |
|   | A.  County      |               |   |                           |
|   |     Government  |   Institution |   |                           |
|   |                 |     of Higher |   |                           |
|   | B.  City or     |               |   |                           |
|   |     Township    |    Education) |   |                           |
|   |     Government  |               |   |                           |
|   |                 | M.  Nonprofit |   |                           |
|   | C.  Special     |     without   |   |                           |
|   |     District    |     501C3 IRS |   |                           |
|   |     Government  |     Status    |   |                           |
|   |                 |     (Other    |   |                           |
|   | D.  Regional    |     than      |   |                           |
|   |                 |               |   |                           |
|   |    Organization |   Institution |   |                           |
|   |                 |     of Higher |   |                           |
|   | E.  U.S.        |               |   |                           |
|   |     Territory   |    Education) |   |                           |
|   |     or          |               |   |                           |
|   |     Possession  | N.  Private   |   |                           |
|   |                 |               |   |                           |
|   | F.  Independent |   Institution |   |                           |
|   |     School      |     of Higher |   |                           |
|   |     District    |     Education |   |                           |
|   |                 |               |   |                           |
|   | G               | O             |   |                           |
|   | .  Public/State | .  Individual |   |                           |
|   |     Controlled  |               |   |                           |
|   |     Institution | P             |   |                           |
|   |     of Higher   | .  For-Profit |   |                           |
|   |     Education   |               |   |                           |
|   |                 |  Organization |   |                           |
|   | H.              |     (Other    |   |                           |
|   |   Indian/Native |     than      |   |                           |
|   |     American    |     Small     |   |                           |
|   |     Tribal      |     Business) |   |                           |
|   |     Government  |               |   |                           |
|   |     (Federally  | Q.  Small     |   |                           |
|   |     Recognized) |     Business  |   |                           |
|   |                 |               |   |                           |
|   | I.              | R.  His       |   |                           |
|   |   Indian/Native | panic-serving |   |                           |
|   |     American    |               |   |                           |
|   |     Tribal      |   Institution |   |                           |
|   |     Government  |               |   |                           |
|   |     (Other than | S.            |   |                           |
|   |     Federally   |  Historically |   |                           |
|   |     Recognized) |     Black     |   |                           |
|   |                 |     Colleges  |   |                           |
|   | J.              |     and       |   |                           |
|   |   Indian/Native |               |   |                           |
|   |     American    |  Universities |   |                           |
|   |     Tribally    |     (HBCUs)   |   |                           |
|   |     Designated  |               |   |                           |
|   |                 | T.  Tribally  |   |                           |
|   |    Organization |               |   |                           |
|   |                 |    Controlled |   |                           |
|   | K.              |     Colleges  |   |                           |
|   |   Public/Indian |     and       |   |                           |
|   |     Housing     |               |   |                           |
|   |     Authority   |  Universities |   |                           |
|   |                 |     (TCCUs)   |   |                           |
|   |                 |               |   |                           |
|   |                 | U.  Alaska    |   |                           |
|   |                 |     Native    |   |                           |
|   |                 |     and       |   |                           |
|   |                 |     Native    |   |                           |
|   |                 |     Hawaiian  |   |                           |
|   |                 |     Serving   |   |                           |
|   |                 |               |   |                           |
|   |                 |  Institutions |   |                           |
|   |                 |               |   |                           |
|   |                 | V.            |   |                           |
|   |                 |  Non-domestic |   |                           |
|   |                 |     (non-US)  |   |                           |
|   |                 |     Entity    |   |                           |
|   |                 |               |   |                           |
|   |                 | W.  Other     |   |                           |
|   |                 |     (specify) |   |                           |
+---+-----------------+---------------+---+---------------------------+
|   |                 |               |   |                           |
+---+-----------------+---------------+---+---------------------------+
|   |                 |               |   |                           |
+---+-----------------+---------------+---+---------------------------+
|   |                 |               |   |                           |
+---+-----------------+---------------+---+---------------------------+

**Instructions for Department of Education**

**Supplemental Information for Standard Form 424**

**1. Project Director.** Name, address, telephone and fax numbers, and
e-mail address of the person to be contacted on matters involving this
application.

**2. Novice Applicant.** Check **"Yes"** or "**No**" only if assistance
is being requested under a program that gives special consideration to
novice applicants. Otherwise, **leave blank.**

Check "**Yes"** if you meet the requirements for novice applicants
specified in the regulations in 34 CFR 75.225 and included on the
attached page entitled "Definitions for Department of Education
Supplemental Information for SF 424." By checking "Yes" the applicant
certifies that it meets these novice applicant requirements. Check
"**No**" if you do not meet the requirements for novice applicants**.**

**3. Human Subjects Research.** (See I. A. "Definitions" in attached
page entitled "Definitions for Department of Education Supplemental
Information for SF 424.")

**If Not Human Subjects Research.** Check "**No**" if research
activities involving human subjects are not planned at any time during
the proposed project period. The remaining parts of Item 3 are then not
applicable.

**If Human Subjects Research.** Check "**Yes**" if research activities
involving 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**" even if
the research is exempt from the regulations for the protection of human
subjects. (See I. B. "Exemptions" in attached page entitled "Definitions
for Department of Education Supplemental Information for SF 424.")

**3a. If Human Subjects Research is Exempt from the Human Subjects
Regulations.** Check "**Yes**" if all the research activities proposed
are designated to be exempt from the regulations. Insert the exemption
number(s) corresponding to one or more of the six exemption categories
listed in I. B. "Exemptions." In addition, follow the instructions in
II. A. "Exempt Research Narrative" in the attached page entitled
"Definitions for Department of Education Supplemental Information for SF
424."

**3a. If Human Subjects Research is Not Exempt from Human Subjects
Regulations.** Check "**No**" if some or all of the planned research
activities are covered (not exempt). In addition, follow the
instructions in II. B. "Nonexempt Research Narrative" in the page
entitled "Definitions for Department of Education Supplemental
Information for SF 424.

**3a. Human Subjects Assurance Number.** If the applicant has an
approved Federal Wide (FWA) on file with the Office for Human Research
Protections (OHRP), U.S. Department of Health and Human Services, that
covers the specific activity, insert the number in the space provided.
If the applicant does not have an approved assurance on file with OHRP,
enter "None." In this case, the applicant, by signature on the SF-424,
is declaring that it will comply with 34 CFR 97 and proceed to obtain
the human subjects assurance upon request by the designated ED official.
If the application is recommended/selected for funding, the designated
ED official will request that the applicant obtain the assurance within
30 days after the specific formal request.

**Note about Institutional Review Board Approval.** ED does not require
certification of Institutional Review Board approval with the
application. However, if an application that involves non-exempt human
subjects research is recommended/selected for funding, the designated ED
official will request that the applicant obtain and send the
certification to ED within 30 days after the formal request.

## *Paperwork Burden Statement*. *According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless such collection displays a valid OMB control number. The valid OMB control number for this information collection is 1890-0017. The time required to complete this information collection is estimated to average between 15 and 45 minutes per response, including the time to review instructions, search existing data resources, gather the data needed, and complete and review the information collection. If you have any comments concerning the accuracy of the estimate(s) or suggestions for improving this form, please write to: U.S. Department of Education, Washington, D.C. 20202-4700. If you have comments or concerns regarding the status of your individual submission of this form write directly to: Joyce I. Mays, Application Control Center, U.S. Department of Education, Potomac Center Plaza, 550 12^th^ Street, S.W. Room 7076, Washington, D.C. 20202-4260*. 

**Definitions for Department of Education**

**Supplemental Information for Standard Form 424**

**Definitions:**

**Novice Applicant (See 34 CFR 75.225**). For discretionary grant
programs under which the Secretary gives special consideration to novice
applications, a novice applicant means any applicant for a grant from ED
that---

-   Has never received a grant or subgrant under the program from which
    it seeks funding;

-   Has never been a member of a group application, submitted in
    accordance with 34 CFR 75.127-75.129, that received a grant under
    the program from which it seeks funding; and

-   Has not had an active discretionary grant from the Federal
    government in the five years before the deadline date for
    applications under the program. For the purposes of this
    requirement, a grant is active until the end of the grant's project
    or funding period, including any extensions of those periods that
    extend the grantee's authority to obligate funds.

In the case of a group application submitted in accordance with 34 CFR
75.127-75.129, a group includes only parties that meet the requirements
listed above.

#### PROTECTION OF HUMAN SUBJECTS IN RESEARCH

**I. Definitions and Exemptions**

**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.

---**Research**

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 it is research.* Activities which
meet this definition constitute research whether or not they are
conducted or supported under a program that is considered research for
other purposes. For example, some demonstration and service programs may
include research activities.

**---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]{.underline}** 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, exemption
2 applies only to research involving educational tests and observations
of public behavior when the investigator(s) do not participate in the
activities being observed. Exemption 2 does not apply if children are
surveyed or interviewed or if the research involves observation of
public behavior and the investigator(s) 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.

**II. Instructions for Exempt and Nonexempt Human Subjects Research
Narratives**

If the applicant marked "Yes" for Item 3 of Department of Education
Supplemental Information for SF 424, the applicant must provide a human
subjects "exempt research" or "nonexempt research" narrative. Insert the
narrative(s) in the space provided. If you have multiple projects and
need to provide more than one narrative, be sure to label each set of
responses as to the project they address.

**A. Exempt Research Narrative.**

If you marked "Yes" for item 3 a. and designated exemption numbers(s),
provide the "exempt research" narrative. The narrative must contain
sufficient information about the involvement of human subjects in the
proposed research to allow a determination by ED that the designated
exemption(s) are appropriate. The narrative must be succinct.

**B. Nonexempt Research Narrative.**

If you marked "No" for item 3 a. you must provide the "nonexempt
research" narrative. The narrative must address the following seven
points. Although no specific page limitation applies to this section of
the application, be succinct.

\(1\) **Human Subjects Involvement and Characteristics**: 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.

\(2\) **Sources of Materials**: 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.

\(3\) **Recruitment and Informed Consent**: 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.

\(4\) **Potential Risks**: 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.

\(5\) **Protection Against Risk**: 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.

\(6\) **Importance of the Knowledge to be Gained**: Discuss the
importance of the knowledge gained or to be gained as a result of the
proposed research. 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.

\(7\) **Collaborating Site(s)**: If research involving human subjects
will take place at collaborating site(s) or other performance site(s),
name the sites and briefly describe their involvement or role in the
research.

***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, Office of the Chief
Financial Officer, U.S. Department of Education, Washington, D.C.
20202-4250, telephone: (202) 245-6120, and on the U.S. Department of
Education's Protection of Human Subjects in Research Web Site:
http://www.ed.gov/about/offices/list/OCFO/humansub.html***

NOTE: The **State Applicant Identifier** on the SF 424 is for State Use
only. Please complete it on the OMB Standard 424 in the upper right
corner of the form (if applicable).

Instructions for Department of Education Budget Information --

Non-Construction Programs (ED Form 524)

General Instructions

This form is used to apply to individual U.S. Department of Education
(ED) discretionary grant programs. Unless directed otherwise, provide
the same budget information for each year of the multi-year funding
request. Pay attention to applicable program specific instructions, if
attached. Please consult with your Business Office prior to submitting
this form.

[Section A - Budget Summary]{.underline}

[U.S. Department of Education Funds]{.underline}

All applicants must complete Section A and provide a breakdown by the
applicable budget categories shown in lines 1-11.

Lines 1-11, columns (a)-(e): For each project year for which funding is
requested, show the total amount requested for each applicable budget
category.

Lines 1-11, column (f): Show the multi-year total for each budget
category. If funding is requested for only one project year, leave this
column blank.

Line 12, columns (a)-(e): Show the total budget request for each project
year for which funding is requested.

Line 12, column (f): Show the total amount requested for all project
years. If funding is requested for only one year, leave this space
blank.

Indirect Cost Information:\
If you are requesting reimbursement for indirect costs on line 10, this
information is to be completed by your Business Office. (1): Indicate
whether or not your organization has an Indirect Cost Rate Agreement
that was approved by the Federal government. (2): If you checked "yes"
in (1), indicate in (2) the beginning and ending dates covered by the
Indirect Cost Rate Agreement. In addition, indicate whether ED or
another Federal agency (Other) issued the approved agreement. If you
check "Other," specify the name of the Federal agency that issued the
approved agreement. (3): If you are applying for a grant under a
Restricted Rate Program (34 CFR 75.563 or 76.563), indicate whether you
are using a restricted indirect cost rate that is included on your
approved Indirect Cost Rate Agreement or whether you are using a
restricted indirect cost rate that complies with 34 CFR 76.564(c)(2).
Note: State or Local government agencies may not use the provision for a
restricted indirect cost rate specified in 34 CFR 76.564(c)(2). Check
only one response. Leave blank, if this item is not applicable.

[Section B - Budget Summary]{.underline}

[Non-Federal Funds]{.underline}

If you are required to provide or volunteer to provide matching funds or
other non-Federal resources to the project, these should be shown for
each applicable budget category on lines 1‑11 of Section B.

Lines 1-11, columns (a)-(e): For each project year, for which matching
funds or other contributions are provided, show the total contribution
for each applicable budget category.

Lines 1-11, column (f): Show the multi-year total for each budget
category. If non-Federal contributions are provided for only one year,
leave this column blank.

Line 12, columns (a)-(e): Show the total matching or other contribution
for each project year.

Line 12, column (f): Show the total amount to be contributed for all
years of the multi-year project. If non-Federal contributions are
provided for only one year, leave this space blank.

[Section C - Budget Narrative \[Attach separate sheet(s)\]]{.underline}

[Pay attention to applicable program specific instructions, if
attached.]{.underline}

1.  Provide an itemized budget breakdown, and justification by project
    year, for each budget category listed in Sections A and B. For grant
    projects that will be divided into two or more separately budgeted
    major activities or sub-projects, show for each budget category of a
    project year the breakdown of the specific expenses attributable to
    each sub-project or activity.

2.  If applicable to this program, provide the rate and base on which
    fringe benefits are calculated.

3.  If you are requesting reimbursement for indirect costs on line 10,
    this information is to be completed by your Business Office. Specify
    the estimated amount of the base to which the indirect cost rate is
    applied and the total indirect expense. Depending on the grant
    program to which you are applying and/or your approved Indirect Cost
    Rate Agreement, some direct cost budget categories in your grant
    application budget may not be included in the base and multiplied by
    your indirect cost rate. For example, you must multiply the indirect
    cost rates of "Training grants\" (34 CFR 75.562) and grants under
    programs with "Supplement not Supplant" requirements (\"Restricted
    Rate\" programs) by a "modified total direct cost" (MTDC) base (34
    CFR 75.563 or 76.563). Please indicate which costs are included and
    which costs are excluded from the base to which the indirect cost
    rate is applied.

> When calculating indirect costs (line 10) for \"Training grants\" or
> grants under \"Restricted Rate\" programs, you must refer to the
> information and examples on ED's website at:
> http://www.ed.gov/fund/grant/apply/appforms/appforms.html.
>
> You may also contact (202) 377-3838 for additional information
> regarding calculating indirect cost rates or general indirect cost
> rate information.

4.  Provide other explanations or comments you deem necessary.

Paperwork Burden Statement

According to the Paperwork Reduction Act of 1995, no persons are
required to respond to a collection of information unless such
collection displays a valid OMB control number. The valid OMB control
number for this information collection is 1890-0004. The time required
to complete this information collection is estimated to vary from 13 to
22 hours per response, with an average of 17.5 hours per response,
including the time to review instructions, search existing data sources,
gather the data needed, and complete and review the information
collection. If you have any comments concerning the accuracy of the time
estimate(s) or suggestions for improving this form, please write to:
U.S. Department of Education, Washington, D.C. 20202-4651. If you have
comments or concerns regarding the status of your individual submission
of this form, write directly to (insert program office), U.S. Department
of Education, 400 Maryland Avenue, S.W., Washington, D.C. 20202.

**Instructions for Disclosure of Lobbying Activities (Standard Form
LLL)**

This disclosure form shall be completed by the reporting entity, whether
subawardee or prime Federal recipient, at the initiation or receipt of a
covered Federal action, or a material change to a previous filing,
pursuant to title 31 U.S.C. section 1352. The filing of a form is
required for each payment or agreement to make payment to any lobbying
entity for influencing or attempting to influence an officer or employee
of any agency, a Member of Congress, an officer or employee of Congress,
or an employee of a Member of Congress in connection with a covered
Federal action. Complete all items that apply for both the initial
filing and material change report. Refer to the implementing guidance
published by the Office of Management and Budget for additional
information.

1)  Identify the type of covered Federal action for which lobbying
    activity is and/or has been secured to influence the outcome of a
    covered Federal action.

2)  Identify the status of the covered Federal action.

3)  Identify the appropriate classification of this report. If this is a
    follow-up report caused by a material change to the information
    previously reported, enter the year and quarter in which the change
    occurred. Enter the date of the last previously submitted report by
    this reporting entity for this covered Federal action.

4)  Enter the full name, address, city, State and zip code of the
    reporting entity. Include Congressional District, if known. Check
    the appropriate classification of the reporting entity that
    designates if it is, or expects to be, a prime or subaward
    recipient. Identify the tier of the subawardee, e.g., the first
    subawardee of the prime is the 1st tier. Subawards include but are
    not limited to subcontracts, subgrants and contract awards under
    grants.

5)  If the organization filing the report in item 4 checks "Subawardee,"
    then enter the full name, address, city, State and zip code of the
    prime Federal recipient. Include Congressional District, if known.

6)  Enter the name of the federal agency making the award or loan
    commitment. Include at least one organizational level below agency
    name, if known. For example, Department of Transportation, United
    States Coast Guard.

7)  Enter the Federal program name or description for the covered
    Federal action (item 1). If known, enter the full Catalog of Federal
    Domestic Assistance (CFDA) number for grants, cooperative
    agreements, loans, and loan commitments.

8)  Enter the most appropriate Federal identifying number available for
    the Federal action identified in item 1 (e.g., Request for Proposal
    (RFP) number; Invitations for Bid (IFB) number; grant announcement
    number; the contract, grant, or loan award number; the
    application/proposal control number assigned by the Federal agency).
    Included prefixes, e.g., "RFP-DE-90-001."

9)  For a covered Federal action where there has been an award or loan
    commitment by the Federal agency, enter the Federal amount of the
    award/loan commitment for the prime entity identified in item 4 or
    5.

10) Enter the full name, address, city, State and zip code of the
    lobbying registrant under the Lobbying Disclosure Act of 1995
    engaged by the reporting entity identified in item 4 to influence
    the covered Federal action.

\(b\) Enter the full names of the individual(s) performing services, and
include full address if different from 10(a). Enter Last Name, First
Name, and Middle Initial (MI).

11) The certifying official shall sign and date the form, print his/her
    name, title, and telephone number.

**\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

According to the Paperwork Reduction Act, as amended, no persons are
required to respond to a collection of information unless it displays a
valid OMB control Number. The valid OMB control number for this
information collection is OMB No. 0348-0046. Public reporting burden for
this collection of information is estimated to average 10 minutes per
response, including time for reviewing instructions, searching existing
data sources, gathering and maintaining the data needed, and completing
and reviewing the collection of information. Send comments regarding the
burden estimate or any other aspect of this collection of information,
including suggestions for reducing this burden, to the Office of
Management and Budget, Paperwork Reduction Project (0348-0046),
Washington, DC 20503.

**Intergovernmental Review of Federal Programs**

This grant competition is subject to the requirements of Executive Order
12372 and the regulations in 34 CFR part 79. One of the objectives of
the Executive Order is to foster an intergovernmental partnership and a
strengthened federalism. The Executive Order relies on processes
developed by state and local governments for coordination and review of
proposed federal financial assistance.

Applicants must contact the appropriate State Single Point of Contact to
find out about, and to comply with, the state's process under Executive
Order 12372. Applicants proposing to perform activities in more than one
state should immediately contact the Single Point of Contact for each of
those states and follow the procedure established in each state under
the Executive Order. *Note*: **A copy of the applicant's letter to the
State Single Point of Contact must be included with this application**.

To view a list of states that participate in the intergovernmental
review process, visit
[www.whitehouse.gov/omb/grants/spoc.html](http://www.whitehouse.gov/omb/grants/spoc.html).
States that are not listed have chosen not to participate in the
intergovernmental review process, and therefore do not have a State
Single Point of Contact. If you are located within one of these states,
you are exempt from this requirement.

In states that have not established a process or chosen a program for
review, state, area-wide, regional, and local entities may submit
comments directly to the Department.

Any state process recommendation and other comments submitted by a State
Single Point of Contact and any comments from state, area-wide,
regional, and local entities must be received by July 18, 2008, at the
following address: The Secretary, EO 12372---CFDA #84.184N, U.S.
Department of Education, 400 Maryland Avenue, SW, Room 7W300,
Washington, DC 20202-0124. Recommendations or comments may be
hand-delivered until 4:30 p.m. (Eastern Time) on July 18, 2008. Please
do not send applications to this address.

**General Education Provisions Act (GEPA) Section 427**

Section 427 of GEPA affects applicants for new discretionary grant
awards under this program. All applicants for new awards must include
information in their applications to address this provision, summarized
below, in order to receive funding under this program.

Section 427 requires each applicant for funds (other than an individual
person) to include in its application a 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.

This section allows applicants discretion in developing the required
description. The statute highlights six types of barriers that can
impede equitable access or participation that you may address: *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, or others from equitable access or
participation. Your description need not be lengthy; you may provide a
clear and succinct description of how you plan to address those barriers
that are applicable to your circumstances. In addition, the information
may be provided in a single narrative, or, if appropriate, may be
discussed in connection with related topics in the application.

**NOTE**: **A general statement of an applicant's nondiscriminatory
hiring policy is not sufficient to meet this requirement. Applicants
must identify potential barriers and explain steps they will take to
overcome these barriers**.

Section 427 is not intended to duplicate the requirements of 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 to high standards. Consistent with program
requirements and its approved application, an applicant may use the
federal funds awarded to eliminate barriers it identifies.

**Examples**

The following examples help illustrate how an applicant may comply with
section 427.

1.  An applicant that proposes to carry out an adult literacy project
    serving, among others, adults with limited English proficiency,
    might describe in its application how it intends to distribute a
    brochure about the proposed project to such potential participants
    in their native language.

2.  An applicant that proposes to develop instructional materials for
    classroom use might describe how it will make the materials
    available on audiotape or in Braille for students who are blind.

3.  An applicant that proposes to carry out a model science program for
    secondary students and is concerned that girls may be less likely
    than boys to enroll in the course might indicate how it tends to
    conduct "outreach" efforts to girls to encourage their enrollment.

We recognize that many applicants may already be implementing effective
steps to ensure equity of access and participation in their grant
programs, and we appreciate your cooperation in responding to the
requirements of this provision.

**Estimated Public Reporting Burden**

According to the Paperwork Reduction Act of 1995, no persons are
required to respond to a collection of information unless it displays a
valid OMB control number. The valid OMB control number for the GEPA 427
is OMB No. 1890-0007. The time required to complete GEPA 427 is
estimated to average 1.5 hours per response, including the time to
review instructions, search existing data sources, gather and maintain
the data needed, and complete and review the information collection. If
you have any comments concerning the accuracy of the time estimate 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 Safe and Drug-Free
Schools, 400 Maryland Avenue, SW, Washington, DC 20202-6450.

**Application Preparation Checklist**

Application for Federal Assistance (SF Form 424) is completed according
to the instructions and includes the nine-digit D-U-N-S Number and Tax
Identification Number.

All required forms are signed in black or blue ink and dated by an
authorized official and the signed original is included with your
submission.

One signed original and two copies of the application, including all
required forms and appendices plus one voluntarily submitted additional
copy, are included. All copies are unbound and each page is
consecutively numbered.

Deadline Date: **May 19, 2008**. See Sections I and IV of this
application package for complete application transmittal instructions
and general application instructions and information.

**[EACH COPY OF THE APPLICATION MUST INCLUDE THE
FOLLOWING]{.underline}:**

-   Application for Federal Assistance (SF Form 424) - Page 1

-   Department of Education Supplemental Information Form for the SF 424

-   Project Abstract - Page 2 (one page double-spaced)

-   Project Narrative (up to 25 pages double-spaced)

-   All applications must include the required forms, assurances, and
    certifications, including:

-   Budget Information Form (ED Form 524) and detailed budget narrative

-   Assurances, Non-Construction Programs (ED Form 424B)

-   Certification Regarding Lobbying (Grants.gov Lobbying Form)

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

-   Narrative response to GEPA 427

-   Copy of letter to State Single Point of Contact (see page 44)

-   Proof of federally negotiated indirect cost rate (if you are
    claiming indirect costs)

-   Resumes of key personnel

-   Letters of commitment

**Paperwork Burden Statement**

According to the Paperwork Reduction Act of 1995, no persons are
required to respond to a collection of information unless it displays a
valid OMB control number. The valid OMB control number for this
information collection is OMB No. XXXX-XXXX, Expiration Date:
XX/XX/XXXX. The time required to complete this information collection is
estimated to average 32 hours per response, including the time to review
instructions, search existing data sources, gather the data needed, and
complete and review the information collection.

If you have any comments concerning the accuracy of the time estimate 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 Safe and Drug-Free
Schools, 400 Maryland Avenue, SW, Washington, DC 20202-6450.

[^1]: Johnston, L.D., O'Malley, P.M., Bachman, J.G., and Schulenberg,
    J.E. [Monitoring the Future: National Survey Results on Drug Use,
    1975-2006. Volume II: College Students and Adults Ages
    19-45]{.underline}. National Institute on Drug Abuse, 2007.

[^2]: The Core Institute. Available online at www.siu.edu/\~coreinst.

[^3]: DeJong, W. [Experiences in Effective Prevention. The U.S.
    Department of Education's Alcohol and Other Drug Prevention Models
    on College Campuses Grants]{.underline}. The Higher Education Center
    for Alcohol and Other Drug Abuse and Violence Prevention, U.S.
    Department of Education, 2007.

[^4]: National Institute on Alcohol Abuse and Alcoholism. [A Call to
    Action: Changing the Culture of Drinking at U.S.
    Colleges]{.underline}. U.S. Department of Health and Human Services,
    2002.

[^5]: See number 4.

[^6]: New York State Office of Alcoholism and Substance Abuse Services.
    [Healthy Campus Communities: NYS College Alcohol and Other Drug
    Abuse Prevention Manual]{.underline}, 2003.