# U. S. Department of Education

Office of Postsecondary Education

Washington, D.C. 20006-8524

![](media/image1.jpeg){width="2.0in" height="2.0in"}

Fiscal Year 2008 Application for **State Grants** Under the

**[Gaining Early Awareness]{.smallcaps}**

**[& Readiness for]{.smallcaps}**

**[Undergraduate Programs]{.smallcaps}**

# (GEAR UP) 

(CFDA NUMBER 84.334S)

#  

# CLOSING DATE: December 20, 2007

# OMB No. 1840-0740

# Expiration Date 2/29/2008 

# 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 1840-0740. The time required to complete this information
collection is estimated to average **40** hours per response, including
time to review instructions, search existing data resources, gather the
data needed 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:** Gaining Early Awareness & Readiness for
Undergraduate Programs, U.S. Department of Education, 1990 K Street, NW
Room 6100, Washington, DC 20006-8524.

# Gaining Early Awareness & Readiness for

**Undergraduate Programs (GEAR UP)**

######## Contents

**Dear Applicant Letter
......................................................................................4**

**Competition
Highlights.....................................................................................6**

**Supplemental
Information.................................................................................9**

**Grants.gov Submission Procedures and Tips for
Applicants......................................11**

**Grants.gov Registration Instructions for
Organizations...........................................14**

**Closing Date Notice
........................................................................................16**

**Program
Authorization....................................................................................38**

**Program
Regulations............\............................................................................46**

**State Grant Program
Overview..........................................................................52**

######### Non-Federal Match Requirement...............\......................................................\...52

######### State Activities...............................................................................................56

######### Evaluation of Project Performance...................................................................\...59

**Selection Criteria for State
Grants......................................................................61**

**Instructions for Completing the Application
Package..............................................63**

**Application Transmittal
Instructions..................................................................67**

**Important Notice to Prospective Participants in ED Contract and Grant
Programs......\...70**

**Intergovernmental Review of Federal
Programs..................................................\....71**

**Notice to Applicants: The Government Performance and Results Act
(GPRA)............\...73**

##### Contact Information........................................................................................77

######### Application Package Checklist............................................................\...............78 

**Forms..........................................................................................................79**

![](media/image2.png){width="1.125in" height="1.125in"} UNITED STATES
DEPARTMENT OF EDUCATION

OFFICE OF POSTSECONDARY EDUCATION

Dear Applicant:

Thank you for your interest in the Gaining Early Awareness and Readiness
for Undergraduate Programs (GEAR UP) program. We are pleased to provide
the application booklet for the fiscal year 2008 GEAR UP State grant
competition. Included in this application booklet are the program
statute and regulations, and the instructions and forms needed to submit
a complete state application package to the U.S. Department of
Education.

The GEAR UP program is designed to significantly increase the number of
low-income students who are prepared to enter and succeed in
postsecondary education. GEAR UP provides six-year grants to states and
partnerships to provide services at high-poverty middle and high
schools. The services include: tutoring, mentoring, teacher training,
curriculum enhancement, summer programs, college visits, counseling, and
parental involvement activities. GEAR UP funding can also be used to
provide college scholarships to low-income students.

In the Fiscal Year (FY) 2008 competition, there are five invitational
priorities for this program. The Department encourages all applicants to
address the relevant invitational priorities. For additional information
about the invitational priorities, refer to the [Federal
Register]{.underline} notice inviting applications for new awards for FY
2008.

This letter highlights a few items in the FY 2008 application package
that will be important to you in applying for grants under this program.
You should review the entire application package carefully before
preparing and submitting your application. Information on the GEAR UP
program is accessible at the U.S. Department of Education (Department)
Web site at:

> <http://www.ed.gov/programs/gearup/index.html>.

Please be sure to review thoroughly the entire application booklet for
information concerning the GEAR UP program. Applicants should pay
particular attention to the section entitled "Competition Highlights"
that outlines invitational priorities as well as other program and
competition details.

The Department of Education is requiring that applications for FY 2008
grants under the GEAR UP program be submitted electronically using
Grants.gov. You are urged to acquaint yourself with the requirements of
Grants.gov early. A more thorough discussion is included in the
application package. Grants.gov is accessible through its portal page
at:

[http://www.grants.gov](http://www.grants.gov/)

We also urge you to consider the following three extremely important
administrative factors if you are planning to apply for this program:

1.  We strongly encourage you to register in Grants.gov early. The
    registration procedures may require 5 or more days to complete.

2.  We strongly recommend that you [submit your application 2-3 days
    prior to the closing date]{.underline}. The time it takes to upload
    an application will vary depending on your application and the speed
    of your Internet connection. The application submission process must
    be complete prior to the deadline for transmittal of applications.

3.  In order to submit successfully, you must remember to provide the
    DUNS number on your application that was used when your organization
    registered with the CCR (Central Contractor Registry).

After you electronically submit your application, [you will first
receive an e-mail from Grants.gov]{.underline} acknowledging the date
and time at which your application was received. You will receive a
[second e-mail from Grants.gov]{.underline} that will state that your
application has been validated OR that your application was rejected
with errors. If your application is validated, you will [receive a third
e-mail]{.underline} from the Department of Education with an assigned
PR/Award number, which is an ED-specified identifying number that is
unique to your application**. This third confirmation by e-mail, with a
PR/Award number assigned, is the e-mail that verifies that your
application was submitted on time by the closing date. This may take
several days.**

Please review carefully the enclosed materials regarding eligibility and
program requirements. In particular, please note that all partnerships
must include at least one institution of higher education (IHE), at
least one local education agency (LEA) or school district, and two other
partners. The fiscal agent for the partnership must be either an IHE or
a LEA. Also, please note GEAR UP grantees are obligated to provide at
least 50 percent of the total cost of a GEAR UP project (a
dollar-for-dollar match) from state, local, institutional, or private
funds in the form of cash or documented in-kind contributions.

For further information regarding the program, please contact Mrs.
Karmon Simms-Coates in the Office of Postsecondary Education. Mrs.
Simms-Coates can be reached at (202) 502-7676 or at
<karmon.simms-coates@ed.gov>.

Sincerely,

/signed/

Thomas C. Dawson III

Deputy Assistant Secretary Higher Education Programs

**COMPETITION HIGHLIGHTS**

1.  We are implementing a change in the electronic submission process.
    **GEAR UP applications submitted for the fiscal year (FY) 2008
    competition must be submitted electronically using Grants.gov.** You
    are urged to acquaint yourself with the requirements of Grants.gov
    early as the [registration procedures may require 5 or more days to
    complete]{.underline}. A more thorough discussion is included later
    in this application package. Grants.gov is accessible through its
    portal page at:

> [**http://www.grants.gov**](http://www.grants.gov/)

2.  It is important to know that the Grants.gov site works differently
    than the Department's e-Application system used in past
    competitions.

> Grants.gov does not allow applicants to "un-submit" applications.
> Therefore, if you discover that changes or additions are needed once
> your application has been accepted and validated by the Department,
> you must "re-submit" the application. You should know that if the
> Department receives duplicate applications, we will accept and process
> the application with the latest "date/time received" validation.

3.  In the FY 2008 competition, the Department is particularly
    interested in applications that meet the following program
    priorities:

> Invitational Priorities (5):

i\. [Invitational Priority 1]{.underline}: State applicants are
encouraged to include plans to develop

> and administer an assessment in the tenth grade, eleventh grade, or
> both to determine
>
> whether GEAR UP students are adequately prepared for postsecondary
> education.
>
> Assessments would include math skills, language skills, and other
> content areas or skills
>
> the applicants believe are sound indicators of preparedness for
> college-level work. The
>
> results of such an assessment would then be used as a substitute for
> placement tests that
>
> members of the cohort who are admitted to a partner institution of
> higher education
>
> would otherwise be required to take, and to guide intervention
> strategies that focus on
>
> the needs of individual GEAR UP students to help ensure that, by the
> time they
>
> graduate from high school, they are prepared for college.

ii\. [Invitational Priority 2]{.underline}: State and Partnership
applicants are encouraged to include

plans to engage faith-based and community organizations in the delivery
of services

under this program.

> iii\. [Invitational Priority 3]{.underline}: State and Partnership
> applicants are encouraged to include plans
>
> to align their activities with the States' rigorous secondary school
> program of study options recognized by the Secretary for that State
> under the Academic Competitiveness Grant (ACG) Program, or that
> reflect the secondary school program of study recognized as rigorous
> by the Secretary under 34 CFR 691.16(d)(2) of the ACG Program. The
> recognized secondary school programs of study for each State for
> students graduating in 2007 can be found at the following website:
> <http://www.ed.gov/admins/finaid/about/ac-smart/2007/state-programs-07.html>.
> Plans should include strategies for documenting completion of the
> rigorous secondary school program of study on high school transcripts.
>
> iv\. [Invitational Priority 4]{.underline}: State and Partnership
> applicants are encouraged to include plans to

provide information to school personnel, students, and parents about the
rigorous

secondary school program of study requirements for an ACG as defined in
34 CFR

691.16.

v\. [Invitational Priority 5]{.underline}: State and Partnership
applicants are encouraged to include plans to

provide supportive services that help students meet the rigorous
secondary school

program of study requirements for an ACG as defined in 34 CFR 691.16.

> **Please note that these priorities are explained in detail in the
> Closing Date**
>
> **Notice contained in this application package. You are urged to fully
> review the Closing**
>
> **Date Notice carefully before preparing your application.**

4.  The following forms are specific to the GEAR UP program and should
    be reviewed

> carefully to ensure proper submission since they must be attached to
> the Grants.gov
>
> system:

-   Students to be Served Form

-   Project Budget Summary Form

-   Applicant Organization Identification Form and Cost Share Worksheet

-   Partner Identification Form and Cost Share Worksheet

-   Documentation of Student Eligibility for Free & Reduced -- Priced
    Lunch

**Please note that more detailed instructions for attaching these forms
are covered in the**

> **"INSTRUCTIONS FOR COMPLETING THE APPLICATION PACKAGE" section of the
> application.**

5.  The project abstract is limited to one page, single -- spaced. The
    abstract should include information about the project's goals and
    objectives, number of students to be served, the target school(s), a
    list of partners, and the activities and services that will be
    implemented during the 6-year performance period.

6.  Please note that you must submit your application by 4:30 p.m.
    (Washington, D.C. time) on or before the application deadline date.
    Late applications [will not be accepted]{.underline}. We suggest
    that you submit your application several days before the deadline.
    The Department is required to enforce the established deadline to
    ensure fairness to all applicants. No changes or additions to an
    application will be accepted after the deadline date and time.

7.  Electronic submission of applications is required; therefore, you
    must submit an electronic application unless you follow the
    procedures outlined in the [Federal Register]{.underline} notice
    inviting applications for new awards for FY 2008 and qualify for one
    of the exceptions to the electronic submission requirement.

8.  Applicants are required to adhere to the page limit in the
    Application Narrative portion of the application. The "Notice
    inviting applications" for new awards for FY 2008, published in the
    [Federal Register,]{.underline} contains specific information
    governing page limits for each grant type and formatting
    instructions. The page limit for the FY 2008 GEAR UP competition is
    40 pages.

9.  All attachments must be in .DOC, .RTF, or .PDF format. Other types
    of files will not be accepted.

10. Please note that Grants.gov does not currently support the new
    Microsoft Vista Operating system. The PureEdge software used by
    Grants.gov for forms is not compatible with Vista. In addition, the
    new version of Microsoft Word saves documents with the extension
    .DOCX. The Grants.gov system does not process Microsoft Word
    documents with the extension .DOCX. When submitting Microsoft Word
    attachements to Grants.gov, please use the version of Microsoft Word
    that ends in .DOC. If you have any questions regarding this matter
    please email the Grants.gov Contact Center at <support@grants.gov>
    or call 1-800-518-4726.

> Please note, 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 attach and submit
> the application. (This is different from e-Application, where you are
> working online and saving data to the Department's database.) You must
> provide a DUNS number that was used when your organization registered
> with the Central Contractor Registry (CCR).
>
> For help with Grants.gov, please go to
> <http://www.grants.gov/ForApplicants> and click on "help" at the top
> of the screen. Also, refer to the "Submission Procedures and Tips for
> Applicants" found on page ten of this application booklet.
>
> You are reminded that the document published in the [Federal
> Register]{.underline} is the official document, and that you should
> not rely upon any information that is inconsistent with the guidelines
> contained within the official document.

**SUPPLEMENTAL INFORMATION**

> The following information supplements the information provided in the
> "Dear Applicant" letter and the [Notice]{.underline}.

1.  **GEAR UP Eligibility**

> All applicants applying for a Gaining Early Awareness and Readiness
> for Undergraduate Programs (GEAR UP) partnership grant must be either
> a local education agency or an institution of higher education. The
> Governor of the state must designate an applicant applying for a GEAR
> UP State grant.

2.  **Estimated Funding and Project Period**

    -   Estimated Available Funds for FY 2008: \$303,423,120

    -   Estimated Range of Awards:

> \$100,000 - \$7,000,000 for partnership grants
>
> \$500,000 - \$3,000,000 for State grants

-   Estimated Average Size of Awards:

> \$1,200,000 for partnership grants
>
> \$3,000,000 for State grants

-   Estimated Number of New Awards: 20 partnership grants and 4 State
    grants

-   Project Period for New Awards: Up to 72 months

> The U.S. Department of Education is not bound by these estimates.

**3. Intergovernmental Review of Federal Programs**

> Intergovernmental Review of Federal Programs was issued to foster an
> intergovernmental partnership and to strengthen federalism by relying
> on state and local processes for the 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. A listing of the Single Point of Contact for
> each State may be viewed at:
> [http://www.whitehouse.gov/OMB/grants/spoc.html]{.underline}.

4.  **Applicant Funding**

> The Department is often unable to award the full amount of funds
> requested. Applicants should pay close attention to the "Award
> Information" section of the [Notice]{.underline}. The Department will
> not fund any application at an amount exceeding the applicable maximum
> award level.

5.  **Evaluation of Applicants for Awards**

A three-member panel of non-federal reviewers evaluates each
application. Each

reviewer assigns points for each selection criterion and prepares
evaluation comments.

**6. Selection Criteria**

> The selection criteria in EDGAR 34 CFR part 75 sections 75.209(a) and
> 75.210 are used to evaluate applications. The selection criteria and
> maximum possible points are included in the [Notice]{.underline}.

**7. Notice to Successful Applicants**

The Department's Office of Legislation and Congressional Affairs will
inform the Congress regarding applications approved for new GEAR UP
program grants. Successful applicants will receive award notices by mail
shortly after the Congress is notified. No funding information will be
released before the Congress is notified.

**8. Notice to Unsuccessful Applicants**

Unsuccessful applicants will be notified in writing following the notice
to successful

applicants.

> **9. Annual Performance Report Requirements**
>
> If you receive a FY 2008 new grant award, you will be required to
> submit annual and final performance reports during the six-year
> funding cycle using an Internet-based reporting system. This online
> system collects narratives and data about funded projects, to enable
> program officers to determine if a grantee is making substantial
> progress toward meeting approved project objectives. The Annual
> Performance Report used for this program can be found at
> http://www.ed.gov/gearup.

**10. Contact Information**

**[For GEAR UP program-related questions and assistance, please
contact]{.underline}:**

Program Officer: Angela Oliphant

Address: Gaining Early Awareness and Readiness for

Undergraduate Programs

U.S. Department of Education

1990 K Street, N.W., Room 6133

Washington, D.C. 20006-8521

Telephone: (202) 502-7676

Fax: (202) 502-7675

E-mail Address: <angela.oliphant@ed.gov>

**[For Grants.gov-related questions and assistance, please
contact]{.underline}**:

Support Desk: Grants.gov Support Desk

Telephone: (800) 518-4726

Hours: Monday -- Friday, 7:00 A.M. -- 9:00 P.M. Eastern Time

IMPORTANT -- PLEASE READ FIRST

**U.S. Department of Education**

**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.

1)  **REGISTER EARLY** -- Grants.gov registration is a one-time process
    that may take five or more 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,
    please go to: <http://www.grants.gov/applicants/get_registered.jsp>.
    \[Note: Your organization will need to update its Central Contractor
    Registry (CCR) registration annually.\]

```{=html}
<!-- -->
```
1)  **SUBMIT EARLY** -- **We strongly recommend that you do not wait
    until the last day to submit your application. Grants.gov will put a
    date/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 three below), you will
    need to resubmit successfully before 4:30 p.m. on the deadline date.

Note: To submit successfully, you must provide the DUNS number on your
application that was used when your organization registered with the CCR
(Central Contractor Registry).

2)  **VERIFY SUBMISSION IS OK** -- You will want to verify that
    Grants.gov and the Department receive your Grants.gov submission in
    a timely manner and that it was validated successfully. To see the
    date/time your application was received, login to Grants.gov and
    click on the Check Application Status link. For a successful
    submission, the date/time received should be earlier than 4:30 p.m.
    on the deadline date, AND the application status should be:
    Validated, Received by Agency, or Agency Tracking Number Assigned.

> If the date/time received is later than 4:30 p.m. Washington, D.C.
> 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:
> <http://www.grants.gov/assets/ApplicationErrorTips.doc>. 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 in a timely manner and validated
> successfully.

# Submission Problems -- What should you do?

If you have problems submitting to Grants.gov before the closing date,
please contact Grants.gov Customer Support at 1-800-518-4726 or use the
customer support available on the Web site:
<http://www.grants.gov/CustomerSupport>.

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* 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 before 4:30 p.m., unless you follow the
procedures in the *Federal Register* 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 the Department that you qualify for one of these
exceptions. (See the *Federal Register* notice for detailed
instructions.)

# 

# Helpful Hints When Working with Grants.gov

Please note, 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. (This
is different from e-Application, where you are working online and saving
data to the Department's database.) **You must provide on your
application the DUNS number that was used when your organization
registered with the CCR.**

Please go to <http://www.grants.gov/ForApplicants> for help with
Grants.gov and click on the links in the lower right corner of the
screen under Applicant Tips and Tools. For additional tips related to
submitting grant applications, please refer to the Grants.gov Submit
Application Tips found on the Grants.gov homepage
[http://www.grants.gov](http://www.grants.gov/).

# 

# 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* notice to obtain

an exception to the electronic submission requirement [no later than two
weeks before the application deadline date]{.underline}. (See the
*Federal Register* notice for detailed instructions.)

# 

# MAC Users

If you do not have a Windows operating System, you will need to use a
Windows Emulation program to submit an application using Grants.gov. For
additional information, review the [PureEdge Support for
Macintosh](http://www.grants.gov/GrantsGov_UST_Grantee/!SSL!/WebHelp/MacSupportforPureEdge.pdf)
white paper published by Pure Edge:
<http://www.grants.gov/GrantsGov_UST_Grantee/!SSL!/WebHelp/MacSupportforPureEdge.pdf>,
and/or contact Grants.gov Customer Support
(<http://www.grants.gov/CustomerSupport>) for more information.

**If you do not have a Windows emulation program and electronic
submission is required, please follow instructions in the *Federal
Register* notice to obtain an exception to the electronic submission
requirement [no later than two weeks before the application deadline
date]{.underline}.** (See the *Federal Register* notice for detailed
instructions.)

# ATTENTION -- Microsoft Vista and Word Users

Please note that Grants.gov does [not]{.underline} currently support the
new Microsoft Vista Operating system.

The PureEdge software used by Grants.gov for forms is not compatible
with Vista. In addition, the new version of Microsoft Word saves
documents with the extension .DOCX. The Grants.gov system does not
process Microsoft Word documents with the extension .DOCX. When
submitting Microsoft Word attachments to Grants.gov, please use the
version of Microsoft Word that ends in .DOC. If you have any questions
regarding this matter please email the Grants.gov Contact Center at
[**support@grants.gov**](mailto:support@grants.gov) or call
1-800-518-4726.

**GRANTS.GOV REGISTRATION INSTRUCTIONS**

**FOR ORGANIZATIONS**

# 

The Grants.gov registration process involves three basic steps:

1.  Register your organization

    -   Obtain a D-U-N-S Number (see below for instructions)

    -   Register with the Central Contractor Registry (see below for
        instructions)

2.  Register yourself as an Authorized Organization Representative (AOR)

    -   Obtain a username and password from the Grants.gov credential
        provider (<https://apply.grants.gov/OrcRegister>)

    -   Register with Grants.gov
        (<https://apply.grants.gov/GrantsgovRegister>)

3.  Get authorized as an AOR by your organization

    -   Receive approval from your organization's E-Business POC (see
        CCR instructions below for details)

    -   If you are both the E-Business POC and an AOR, you should
        authorize your own AOR request

For more information, go to
<http://www.grants.gov/applicants/get_registered.jsp>.

Note: If you are a grant applicant who is submitting a grant application
on your own behalf and not on behalf of a company, institution, state,
local or tribal government, or other type of organization, refer to
<http://www.grants.gov/assets/IndividualRegCheck.pdf>. If you apply as
an individual to a grant application package designated for
organizations, your application will be rejected.

# D-U-N-S NUMBER INSTRUCTIONS

To successfully submit an application using Grants.gov, you must provide
your organization's D-U-N-S Number. A D-U-N-S Number is a unique
nine-digit number issued by D&B, a global information services provider,
that identifies your organization and is used by the Federal government
to track how Federal money is distributed. Most large organizations,
libraries, colleges, and research universities already have D-U-N-S
numbers. Ask your grant administrator or chief financial officer to
provide your organization's D-U-N-S Number.

If your organization does not have a D-U-N-S Number, you can obtain one
at no charge by calling 1-866-705-5711 or by completing a D-U-N-S Number
Request Form (<http://www.dnb.com/US/duns_update/index.html>). You will
need to provide the following information:

-   Legal name

-   Tradestyle, doing business as (DBA), or other name by which your
    organization is commonly recognized

-   Physical address, city, state and zip code

-   Mailing address (if separate)

-   Telephone number

-   Contact name

-   SIC code (Line of Business)

-   Number of employees at your location

-   Headquarters name and address (if there is a reporting relationship
    to a parent corporate entity)

-   Is this a home-based business?

Obtaining a DUNS Number places your organization on D&B's marketing
list, which is sold to other companies. You can request not to be added
to this list during your application.

Live help from D&B is available Monday-Friday, 8 a.m. -- 5 p.m. (EST) at
1-888-814-1435.

# CENTRAL CONTRACTOR REGISTRATION (CCR) INSTRUCTIONS

# 

The Central Contractor Registration (CCR) is a web-enabled
government-wide application that collects, validates, stores, and
disseminates business information about the Federal government\'s
trading partners in support of the contract award, grants, and
electronic payment processes. Check to see if your organization is
already registered at the CCR website
(<http://www.bpn.gov/ccrinq/scripts/search.asp>).

If your organization is already registered, take note of who is listed
as your E-Business Point of Contact (E-Business POC). This person will
be responsible for authorizing who within your organization is able to
submit applications using Grants.gov.

If your organization is not already registered, you can register using
the CCR website (<https://www.bpn.gov/ccr/scripts/indexnew.asp>) or by
phone (1-888-227-2423). When your organization registers with CCR, you
will need to designate an E-Business Point of Contact (POC). This
designee authorizes individuals to submit grant applications on behalf
of the organization. A special Marketing Partner ID Number (MPIN) is
established as a password to verify the E-Business POC.

The E-Business POC will be notified by e-mail when individuals from
their organization register with Grants.gov. This registration is a
request to be designated as an Authorized Organization Representative
(AOR). To assign AOR rights, E-Business POCs need to log into Grants.gov
(<http://www.grants.gov/applicants/e_biz.jsp>) using the organization's
D-U-N-S Number and MPIN. Grants.gov will send the AOR a confirmation
e-mail when this process has been completed.

**Please note that your CCR registration must be renewed once a year**.
You can check your registration status using the CCR search page
(<http://www.bpn.gov/ccrinq/scripts/search.asp>).

If you have further questions about creating, updating or renewing your
CCR registration, please visit the CCR Frequently Asked Questions page
(http://www.ccr.gov/FAQ.asp) or contact the CCR Help Desk at
1-888-227-2423.

4000-01-U

DEPARTMENT OF EDUCATION

Office of Postsecondary Education

Overview Information

Gaining Early Awareness and Readiness for Undergraduate Programs

Notice inviting applications for new awards for fiscal year (FY) 2008.

Catalog of Federal Domestic Assistance (CFDA) Numbers:

84.334S (State grants) and 84.334A (Partnership grants).

[Dates]{.underline}:

Applications Available: November 5, 2007.

Deadline for Transmittal of Applications: December 20, 2007 Deadline for
Intergovernmental Review: February 18, 2008

Full Text of Announcement

I. Funding Opportunity Description

[Purpose of Program]{.underline}: The purpose of the Gaining Early
Awareness and Readiness for Undergraduate Programs (GEAR UP) is to
support early college preparation and awareness activities for
low-income students.

[Priorities]{.underline}: Under these competitions we are particularly
interested in applications that address one or more of the following
priorities.

[Invitational Priorities]{.underline}: For FY 2008 these priorities are
invitational priorities. Under 34 CFR 75.105(c)(1) we do not give an
application that meets these invitational priorities a competitive or
absolute preference over other applications.

These priorities are:

[Invitational Priority 1]{.underline}:

State applicants are encouraged to include plans to develop and
administer an assessment in the tenth grade, eleventh grade, or both to
determine whether GEAR UP students are adequately prepared for
postsecondary education. Assessments would include math skills, language
skills, and other content areas or skills the applicants believe are
sound indicators of preparedness for college-level work.

The Secretary will review the results of this invitational priority
(including the number of applicants who include information responsive
to this priority and whether any grantees develop and administer an
assessment), and may propose to modify the regulations in 34 CFR 694 for
GEAR UP to require that grantees conduct an assessment of this kind of
the students receiving services through GEAR UP partnership or State
grants.

[Invitational Priority 2]{.underline}:

State and Partnership applicants are encouraged to include plans to
engage faith-based and community organizations in the delivery of
services under this program.

[Invitational Priority 3]{.underline}:

State and Partnership applicants are encouraged to include plans to
align their activities with the States' rigorous secondary school
program of study options recognized by the Secretary for that State
under the Academic Competitiveness Grant (ACG) Program or that reflect
the secondary school program of study recognized as rigorous by the
Secretary under 34 CFR 691.16(d)(2) of the ACG Program. The recognized
secondary school programs of study for each State for students
graduating in 2007 can be found at the following website:
<http://www.ed.gov/admins/finaid/about/ac-smart/2007/state-programs-07.html>
Plans should include strategies for documenting completion of the
rigorous secondary school program of study on high school transcripts.

[Invitational Priority 4]{.underline}:

State and Partnership applicants are encouraged to include plans to
provide information to school personnel, students, and parents about the
rigorous secondary school program of study requirements for an ACG as
defined in 34 CFR 691.16.

[Invitational Priority 5]{.underline}:

State and Partnership applicants are encouraged to include plans to
provide supportive services that help students meet the rigorous
secondary school program of study requirements for an ACG as defined in
34 CFR 691.16.

[Program Authority]{.underline}: 20 U.S.C. 1070a-21.

[Applicable Regulations]{.underline}: (a) The Education Department
General Administrative Regulations (EDGAR) in 34 CFR parts 74, 75, 77,
79, 80, 81, 82, 84, 85, 86, 97, 98, and 99. (b) The regulations for this
program in 34 CFR part 694.

[Note]{.underline}: The regulations in 34 CFR part 79 apply to all
applicants except Federally recognized Indian tribes.

[Note]{.underline}: The regulations in 34 CFR part 86 apply to
institutions of higher education (IHEs) only.

II\. Award Information

[Type of Award]{.underline}: Discretionary grants.

[Estimated Available Funds]{.underline}: The Administration has
requested \$303,423,120 for this program for FY 2008, of which we intend
to use an estimated \$44,700,000 for these competitions. The actual
level of funding, if any, depends on final congressional action.
However, we are inviting applications to allow enough time to complete
the grant process if Congress appropriates funds for this program.

Contingent upon the availability of funds and the quality of
applications, we may make additional awards in FY 2009 from the list of
unfunded applicants from these competitions.

[Estimated Range of Awards]{.underline}: State grants:
\$2,800,000-\$3,000,000. Partnership grants: \$100,000-\$7,000,000.

[Estimated Average Size of Awards]{.underline}: State grants:
\$2,900,000. Partnership grants: \$800,000.

[Maximum Award]{.underline}: We will reject any application for a State
grant that proposes a budget exceeding \$3,000,000 for a single budget
period of 12 months. We will reject any application for a partnership
grant that proposes a budget exceeding \$800 per student for a single
budget period of 12 months. We also will reject any State or partnership
grant application that proposes an increase in its budget after the
first 12-month budget period. The Assistant Secretary for Postsecondary
Education may change the maximum amounts through a notice published in
the [Federal Register]{.underline}.

[Estimated Number of Awards]{.underline}: State grants: 7. Partnership
grants: 30.

[Note]{.underline}: The Department is not bound by any estimates in this
notice.

[Project Period]{.underline}: Up to 72 months.

III\. Eligibility Information

1\. [Eligible Applicants]{.underline}: (1) A State; or (2) a partnership
consisting of (A) one or more local educational agencies acting on
behalf of (i) one or more elementary schools or secondary schools, and
(ii) the secondary schools that students from the schools described in
(i) would normally attend; (B) one or more degree granting IHE; and (C)
at least two community organizations or entities, such as businesses,
professional associations, community-based organizations, philanthropic
organizations, State agencies, institutions or agencies sponsoring
programs authorized under subpart 4 of Part A of Title IV of the Higher
Education Act of 1965, as amended (HEA), or other public or private
agencies or organizations.

[Note]{.underline}: For State grants, the fiscal agent/applicant must be
a single State agency as designated by the State's Governor. For
partnership grants, the fiscal agent/applicant must be either an IHE or
a local educational agency.

2\. [Cost Sharing or Matching]{.underline}: Section 404C of the HEA
requires grantees under this program to provide not less than 50 percent
of the total cost of the project over six years. By regulation, a
partnership may propose a non-Federal contribution of less than 50
percent, but not less than 30 percent of the total cost of the project,
if the partnership includes three or fewer IHEs as members and meets the
high-need criteria in 34 CFR 694.7(b)(2). The non-Federal share of
project costs may be in cash or in-kind. The Department will hold
applicants accountable for the matching commitment proposed in the
application for funding, even if the proposed match is higher than the
percent required by statute.

3\. [Other]{.underline}: For State grants, at least 25 percent, and not
more than 50 percent of grant funds must be spent on early college
preparation and awareness, and at least 50 percent of grant funds must
be spent on postsecondary scholarships to eligible GEAR UP students. The
Secretary may waive the scholarship percentage requirement if the
applicant demonstrates that it has another means of providing the
students with financial assistance.

IV\. Application and Submission Information

1\. [Address to Request Application Package]{.underline}: You can obtain
an application package via the Internet by downloading the package from
the program Web site at: http://www.ed.gov/programs/gearup/index.html

You also can request a copy of the application package from the
following: Angela Oliphant, Gaining Early Awareness and Readiness for
Undergraduate Programs, U.S. Department of Education, 1990 K Street,
NW., room 6133, Washington, DC 20006-8524. Telephone: (202) 502-7676 or
by e-mail: angela.oliphant@ed.gov

If you use a telecommunications device for the deaf (TDD), call the
Federal Relay Service (FRS), toll free, at 1-800-877-8339.

Individuals with disabilities can obtain a copy of the application
package in an alternative format (e.g., Braille, large print, audiotape,
or computer diskette) by contacting the program contact person listed in
this section.

2\. [Content and Form of Application Submission]{.underline}:
Requirements concerning the content of an application, together with the
forms you must submit, are in the application packages for these
competitions.

Page Limit: The application narrative is where you, the applicant,
address the selection criteria that reviewers use to evaluate your
application. You must limit the application narrative (Part III) to no
more than 40 pages, using the following standards:

• A "page" is 8.5" x 11", on one side only, with 1" margins at the top,
bottom, and both sides.

• Double space (no more than three lines per vertical inch) all text in
the application narrative, including titles, headings, footnotes,
quotations, references, and captions, as well as all text in charts,
tables, figures, and graphs.

• Use one of the following fonts: Times New Roman, Courier, Courier New,
or Arial. An application submitted in any other font (including Times
Roman and Arial Narrow) will not be accepted.

• Use a font that is either 12-point or larger or no smaller than 10
pitch (characters per inch).

The page limit does not apply to the cover sheet; the budget section,
including the narrative budget justification; the assurances and
certifications; or the one-page abstract.

We will reject your application if you exceed the page limit.

3\. [Submission Dates and Times]{.underline}:

Applications Available: \[INSERT DATE OF PUBLICATION IN THE FEDERAL
REGISTER\].

Deadline for Transmittal of Applications: (INSERT DATE)

Applications for grants under this program must be submitted
electronically using the Grants.gov Apply site (Grants.gov). For
information (including dates and times) about how to submit your
application electronically, or in paper format by mail or hand delivery
if you qualify for an exception to the electronic submission
requirement, please refer to Section IV. 6. [Other Submission
Requirements]{.underline} in this notice.

We do not consider an application that does not comply with the deadline
requirements.

Individuals with disabilities who need an accommodation or auxiliary aid
in connection with the application process should contact the person
listed under [For Further Information Contact]{.underline} in Section
VII in this notice. If the Department provides an accommodation or
auxiliary aid to an individual with a disability in connection with the
application process, the individual's application remains subject to all
other requirements and limitations in this notice.

Deadline for Intergovernmental Review: (INSERT DATE)

4\. [Intergovernmental Review]{.underline}: These competitions are
subject to Executive Order 12372 and the regulations in 34 CFR part 79.
Information about Intergovernmental Review of Federal Programs under
Executive Order 12372 is in the application packages for these
competitions.

5\. [Funding Restrictions]{.underline}: We reference regulations
outlining funding restrictions in the [Applicable
Regulations]{.underline} section of this notice.

6\. [Other Submission Requirements]{.underline}: Applications for grants
under these competitions must be submitted electronically unless you
qualify for an exception to this requirement in accordance with the
instructions in this section.

a\. [Electronic Submission of Applications]{.underline}.

Applications for grants under the GEAR UP State and Partnership
Competitions, CFDA Numbers 84.334S and CFDA 84.334A, must be submitted
electronically using the Governmentwide Grants.gov Apply site at
http://www.Grants.gov Through this site, you will be able to download a
copy of the application package, complete it offline, and then upload
and submit your application. You may not e-mail an electronic copy of a
grant application to us.

We will reject your application if you submit it in paper format unless,
as described elsewhere in this section, you 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 the Department that you qualify for one of these
exceptions. Further information regarding calculation of the date that
is two weeks before the application deadline date is provided later in
this section under [Exception to Electronic Submission
Requirement]{.underline}.

You may access the electronic grant application for GEAR UP at
http://www.Grants.gov You must search for the downloadable application
packages for these competitions by the CFDA number. Do not include the
CFDA number's alpha suffix in your search (e.g., search for 84.334, not
84.334A or 84.334S).

Please note the following:

• When you enter the Grants.gov site, you will find information about
submitting an application electronically through the site, as well as
the hours of operation.

• Applications received by Grants.gov are date and time stamped. Your
application must be fully uploaded and submitted and must be date and
time stamped by the Grants.gov system no later than 4:30 p.m.,
Washington, DC time, on the application deadline date. Except as
otherwise noted in this section, we will not consider your application
if it is date and time stamped by the Grants.gov system later than 4:30
p.m., Washington, DC time, on the application deadline date. When we
retrieve your application from Grants.gov, we will notify you if we are
rejecting your application because it was date and time stamped by the
Grants.gov system after 4:30 p.m., Washington, DC time, on the
application deadline date.

• The amount of time it can take to upload an application will vary
depending on a variety of factors, including the size of the application
and the speed of your Internet connection. Therefore, we strongly
recommend that you do not wait until the application deadline date to
begin the submission process through Grants.gov.

• You should review and follow the Education Submission Procedures for
submitting an application through Grants.gov that are included in the
application packages for these competitions to ensure that you submit
your application in a timely manner to the Grants.gov system. You can
also find the Education Submission Procedures pertaining to Grants.gov
at http://e-Grants.ed.gov/help/GrantsgovSubmissionProcedures.pdf

• To submit your application via Grants.gov, you must complete all steps
in the Grants.gov registration process (see
http://www.grants.gov/applicants/get_registered.jsp). These steps
include (1) registering your organization, a multi-part process that
includes registration with the Central Contractor Registry (CCR); (2)
registering yourself as an Authorized Organization Representative (AOR);
and (3) getting authorized as an AOR by your organization. Details on
these steps are outlined in the Grants.gov 3-Step Registration Guide
(see
http://www.grants.gov/section910/Grants.govRegistrationBrochure.pdf).
You also must provide on your application the same D-U-N-S Number used
with this registration. Please note that the registration process may
take five or more business days to complete, and you must have completed
all registration steps to allow you to submit successfully an
application via Grants.gov. In addition you will need to update your CCR
registration on an annual basis. This may take three or more business
days to complete.

• You will not receive additional point value because you submit your
application in electronic format, nor will we penalize you if you
qualify for an exception to the electronic submission requirement, as
described elsewhere in this section, and submit your application in
paper format.

• You must submit all documents electronically, including all
information you typically provide on the following forms: Application
for Federal Assistance (SF 424), the Department of Education
Supplemental Information for SF 424, Budget
Information\--Non-Construction Programs (ED 524), and all necessary
assurances and certifications. Please note that two of these forms\--the
SF 424 and the Department of Education Supplemental Information for SF
424\--have replaced the ED 424 (Application for Federal Education
Assistance).

• You must attach any narrative sections of your application as files in
a .DOC (document), .RTF (rich text), or .PDF (Portable Document) format.
If you upload a file type other than the three file types specified in
this paragraph or submit a password-protected file, we will not review
that material.

• Your electronic application must comply with any page-limit
requirements described in this notice.

• After you electronically submit your application, you will receive
from Grants.gov an automatic notification of receipt that contains a
Grants.gov tracking number. (This notification indicates receipt by
Grants.gov only, not receipt by the Department.) The Department then
will retrieve your application from Grants.gov and send a second
notification to you by e-mail. This second notification indicates that
the Department has received your application and has assigned your
application a PR/Award number (an ED-specified identifying number unique
to your application).

• We may request that you provide us original signatures on forms at a
later date.

[Application Deadline Date Extension in Case of Technical Issues with
the Grants.gov System]{.underline}: If you are experiencing problems
submitting your application through Grants.gov, please contact the
Grants.gov Support Desk, toll free, at 1-800-518-4726. You must obtain a
Grants.gov Support Desk Case Number and must 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 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 notice.

If you submit an application after 4:30 p.m., Washington, DC time, on
the application deadline date, please contact the person listed under
[For Further Information Contact]{.underline} in section VII in this
notice 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 submit your application by 4:30 p.m.,
Washington, DC time, on the application deadline date. The Department
will contact you after a determination is made on whether your
application will be accepted.

[Note]{.underline}: 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.

[Exception to Electronic Submission Requirement]{.underline}: You
qualify for an exception to the electronic submission requirement, and
may submit your application in paper format, if you are unable to submit
an application through the Grants.gov system because\--

• You do not have access to the Internet; or

• You do not have the capacity to upload large documents to the
Grants.gov system;

[and]{.underline}

• No later than two weeks before the application deadline date (14
calendar days or, if the fourteenth calendar day before the application
deadline date falls on a Federal holiday, the next business day
following the Federal holiday), you mail or fax a written statement to
the Department, explaining which of the two grounds for an exception
prevent you from using the Internet to submit your application.

If you mail your written statement to the Department, it must be
postmarked no later than two weeks before the application deadline date.
If you fax your written statement to the Department, we must receive the
faxed statement no later than two weeks before the application deadline
date.

Address and mail or fax your statement to: Angela Oliphant, U.S.
Department of Education, 1990 K Street, NW., room 6133, Washington, DC
20006-8524. FAX: (202) 502-7675.

Your paper application must be submitted in accordance with the mail or
hand delivery instructions described in this notice.

b\. [Submission of Paper Applications by Mail]{.underline}.

If you qualify for an exception to the electronic

submission requirement, you may mail (through the U.S. Postal Service or
a commercial carrier) your application in paper format to the
Department. You must mail the original and two copies of your
application, on or before the application deadline date, to the
Department at the applicable following address:

[By mail through the U.S. Postal Service]{.underline}:

> U.S. Department of Education
>
> Application Control Center
>
> Attention: (CFDA Number 84.334A or 84.334S)
>
> 400 Maryland Avenue, SW.
>
> Washington, DC 20202-4260

or

[By mail through a commercial carrier]{.underline}:

> U.S. Department of Education
>
> Application Control Center, Stop 4260
>
> Attention: (CFDA Number 84.334A or 84.334S)
>
> 7100 Old Landover Road
>
> Landover, MD 20785-1506

Regardless of which address you use, you must show proof of mailing
consisting of one of the following:

\(1\) 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 of the U.S.
Department of Education.

If you mail your 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.

If your application is postmarked after the application deadline date,
we will not consider your application.

[Note]{.underline}: 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.

c\. [Submission of Paper Applications by Hand Delivery]{.underline}.

If you qualify for an exception to the electronic submission
requirement, you (or a courier service) may deliver your application in
paper format to the Department by hand. You must deliver the original
and two copies of your application by hand, on or before the application
deadline date, to the Department at the following address:

> U.S. Department of Education
>
> Application Control Center
>
> Attention: (CFDA Number 84.334A or 84.334S)
>
> 550 12th Street, SW.
>
> Room 7041, Potomac Center Plaza
>
> Washington, DC 20202-4260

The Application Control Center accepts hand deliveries daily between
8:00 a.m. and 4:30 p.m., Washington, DC time, except Saturdays, Sundays,
and Federal holidays.

[Note for Mail or Hand Delivery of Paper Applications]{.underline}: If
you mail or hand deliver your application to the Department\--

\(1\) You must indicate on the envelope and\--if not provided by the
Department\--in Item 11 of the SF 424 the CFDA number, including suffix
letter, if any, of the competition under which you are submitting your
application; and

\(2\) The Application Control Center will mail to you a notification of
receipt of your grant application. If you do not receive this
notification within 15 business days from the application deadline date,
you should call the U.S. Department of Education Application Control
Center at (202) 245-6288.

V. Application Review Information

[Selection Criteria]{.underline}: The selection criteria for these
programs are from 34 75.210 of EDGAR and are listed in the application
package.

VI\. Award Administration Information

1\. [Award Notices]{.underline}: If your application is successful, we
notify your U.S. Representative and U.S. Senators and send you a Grant
Award Notice (GAN). We may notify you informally, also.

If your application is not evaluated or not selected for funding, we
notify you.

2\. [Administrative and National Policy Requirements]{.underline}: We
identify administrative and national policy requirements in the
application package and reference these and other requirements in the
[Applicable Regulations]{.underline} section in this notice.

We reference the regulations outlining the terms and conditions of an
award in the [Applicable Regulations]{.underline} section in this notice
and include these and other specific conditions in the GAN. The GAN also
incorporates your approved application as part of your binding
commitments under the grant.

3\. [Reporting]{.underline}: At the end of your project period, you must
submit a final performance report, including financial information, as
directed by the Secretary. If you receive a multi-year award, you must
submit an annual performance report that provides the most current
performance and financial expenditure information as directed by the
Secretary under 34 CFR 75.118. The Secretary may also require more
frequent performance reports under 34 CFR 75.720(c). For specific
requirements on reporting, please go to
http://www.ed.gov/fund/grant/apply/appforms/appforms.html

4\. [Performance Measures]{.underline}: The objectives of the GEAR UP
program are\--(1) to increase the academic performance and preparation
for postsecondary education of participating students; (2) to increase
the rate of high school graduation and participation in postsecondary
education of participating students; and (3) to increase educational
expectations for participating students and student and family knowledge
of postsecondary education options, preparation, and financing.

The effectiveness of this program depends on the rate at which program
participants complete high school and enroll in and complete a
postsecondary education. We developed the following performance measures
to track progress toward achieving the program's goals:

1.  The percentage of GEAR UP students who passed

Algebra 1 by the end of the 9th grade.

2.  The percentage of GEAR UP students who have

knowledge of necessary academic preparation for college.

3.  The percentage of GEAR UP students who graduated

from high school.

4.  The percentage of former GEAR UP students who are

enrolled in college.

In addition, to assess the efficiency of the program, we track the
average cost in federal funds, of achieving a successful outcome, where
success is defined as enrollment in postsecondary education of GEAR UP
students immediately after high school graduation. These performance
measures constitute GEAR UP's indicators of the success of the program.
Grant recipients must collect and report data on steps they have taken
toward achieving these goals. Accordingly, we request that applicants
include these performance measures in conceptualizing the design,
implementation, and evaluation of their proposed projects.

VII\. Agency Contact

[For Further Information Contact]{.underline}: Angela Oliphant, Gaining
Early Awareness and Readiness for Undergraduate Programs, U.S.
Department of Education, 1990 K Street, NW., room 6133, Washington, DC
20006-8524. Telephone: (202) 502-7676 or by e-mail:
angela.oliphant@ed.gov

If you use a TDD, call the FRS, toll free, at 1-800-877-8339.

VIII\. Other Information

[Alternative Format]{.underline}: Individuals with disabilities can
obtain this document and a copy of the application package in an
alternative format (e.g., Braille, large print, audiotape, or computer
diskette) on request to the program contact person listed under [For
Further Information Contact]{.underline} in Section VII in this notice.

[Electronic Access to This Document]{.underline}: You can view this
document, as well as all other documents of this Department published in
the [Federal Register]{.underline}, in text or Adobe Portable Document
Format (PDF) on the Internet at the following site:
www.ed.gov/news/fedregister

To use PDF you must have Adobe Acrobat Reader, which is available free
at this site. If you have questions about using PDF, call the U.S.
Government Printing Office (GPO), toll free, at 1-888-293-6498; or in
the Washington, DC, area at (202) 512-1530.

[Note]{.underline}: The official version of this document is the
document published in the [Federal Register]{.underline}. Free Internet
access to the official edition of the [Federal Register]{.underline} and
the Code of Federal Regulations is available on GPO Access at:
www.gpoaccess.gov/nara/index.html

Dated:

[/signed/]{.underline}

> Diane Auer Jones,

# Assistant Secretary for

> [Postsecondary Education]{.underline}.

**The Higher Education Act of 1965, as amended**

# ![](media/image3.png){width="6.25in" height="0.10416666666666667in"}

**Title IV, Part A, Subpart 2 Chapter 2\--GAINING EARLY AWARENESS AND
READINESS FOR UNDERGRADUATE PROGRAMS**

# 

# Title IV\--STUDENT ASSISTANCE

**PART A\--GRANTS TO STUDENTS IN ATTENDANCE AT INSTITUTIONS OF HIGHER
EDUCATION**

CHAPTER 2---GAINING EARLY AWARENESS AND READINESS FOR UNDERGRADUATE
PROGRAMS

**SEC. 404A. EARLY INTERVENTION AND COLLEGE AWARENESS PROGRAM
AUTHORIZED.**

(a) PROGRAM AUTHORIZED -- The Secretary is authorized, in accordance
    with the requirements of this chapter, to establish a program
    that---

    1.  encourages eligible entities to provide or maintain a guarantee
        to eligible low-income students who obtain a secondary school
        diploma (or its recognized equivalent), of the financial
        assistance necessary to permit the students to attend an
        institution of higher education; and

    2.  supports eligible entities in providing---

        A.  additional counseling, mentoring, academic support,
            outreach, and supportive services to elementary school,
            middle school, and secondary school students who are at risk
            of dropping out of school; and

        B.  information to students and their parents about the
            advantages of obtaining a postsecondary education and the
            college financing options for the students and their
            parents.

(b) AWARDS-

    1.  IN GENERAL -- From funds appropriated under section 404H for
        each fiscal year, the Secretary shall make awards to eligible
        entities described in paragraphs (1) and (2) of subsection (c)
        to enable the entities to carry out the program authorized under
        subsection (a).

    2.  PRIORITY -- In making awards to eligible entities described in
        paragraph (c)(1), the Secretary shall---

        A.  give priority to eligible entities that---

            i.  on the day before the date of enactment of the Higher
                Education Amendments of 1998, carried out successful
                educational opportunity programs under this chapter (as
                this chapter was in effect on such day); and

            ii. have a prior, demonstrated commitment to early
                intervention leading to college access through
                collaboration and replication of successful strategies;

        B.  ensure that students served under this chapter on the day
            before the date of enactment of the Higher Education
            Amendment of 1998 continue to receive assistance through the
            completion of secondary school.

(c) DEFINITION OF ELIGIBLE ENTITY- For the purposes of this chapter, the
    term eligible entity means---

    1.  a State; or

    2.  a partnership consisting of---

        A.  one or more local educational agencies acting on behalf of
            --

            i.  one or more elementary schools or secondary schools; and

            ii. the secondary schools that students from the school
                described in clause (i) would normally attend;

        B.  one or more degree granting institutions of higher
            education; and

        C.  at least two community organizations or entities, such as
            businesses, professional associations, community-based
            organizations, philanthropic organizations, State agencies,
            institutions or agencies sponsoring programs authorized
            under subpart 4, or other public or private agencies or
            organizations.

> **SEC. 404B. REQUIREMENTS.**

(a) FUNDING RULES-

    1.  CONTINUATION AWARDS-From the amount appropriated under section
        404H for fiscal year, the Secretary shall continue to award
        grants to States under this chapter (as this chapter was in
        effect on the day before the date of enactment of the Higher
        Education Amendments of 1998) in accordance with the terms and
        conditions of such grants.

    2.  DISTRIBUTION-From the amount appropriated under section 404H
        that remains after making continuation awards under
        paragraph (1) for a fiscal year, the Secretary shall---

> \(A\) make available\--
>
> \(i\) not less than 33 percent of the amount to eligible entities
> described in section 404A(c)(1); and
>
> \(ii\) not less than 33 percent of the amount to eligible entities
> described in section 404A(c) (2); and
>
> \(B\) award the remainder of the amount to eligible entities described
> in paragraph (1) or (2) of section 404A(c).
>
> \(3\) SPECIAL RULE- The Secretary shall annually reevaluate the
> distributions of funds described in paragraph (2)(B) based on number,
> quality, and promise of the applications and adjust the distribution
> accordingly.

(b) LIMITATION- Each eligible entity described in section 404A(c)(1),
    and each eligible entity described in section 404A(c)(2) that
    conducts a scholarship component under section 404E, shall use not
    less than 25 percent and not more than 50 percent of grant funds
    received under this chapter for the early intervention component of
    an eligible entity's program under this chapter, except that the
    Secretary may waive the 50 percent limitation if the eligible entity
    demonstrates that the eligible entity has another means of providing
    the students with financial assistance that is described in the plan
    submitted under section 404C.

(c) COORDINATION- Each eligible entity shall ensure that the activities
    assisted under this chapter are, to the extent practicable,
    coordinated with, and complement and enhance---

    1.  services under this chapter provided by other eligible entities
        serving the same school district or State; and

    2.  related services under other Federal or non-Federal programs.

(d) DESIGNATION OF FISCAL AGENT -- An eligible entity described in
    section 404A(c)(2) shall designate an institution of higher
    education or a local educational agency as the fiscal agent for the
    eligible entity.

(e) COORDINATORS -- An eligible entity described in section 404A(c)(2)
    shall have a full-time program coordinator or a part-time program
    coordinator, whose primary responsibility is a project under section
    404C.

(f) DISPLACEMENT -- An eligible entity described in 404A(c)(2) shall
    ensure that the activities assisted under this chapter will not
    displace an employee or eliminate a position at a school assisted
    under this chapter, including a partial displacement such as a
    reduction in hours, wages, or employment benefits.

(g) COHORT APPROACH --

    1.  IN GENERAL-The Secretary shall require that eligible entities
        described in section 404A(c)(2)---

        A.  provide services under this chapter to at least one grade
            level of students, beginning not later than 7^th^ grade, in
            a participating school that has a 7^th^ grade and in which
            at least 50 percent of the students enrolled are eligible
            for free or reduced-price lunch under the National School
            Lunch Act (or, if an eligible entity determines that it
            would promote, the effectiveness of s program, an entire
            grade level of students, beginning not later than the 7^th^
            grade, who reside in public housing as defined in section
            3(b)(1) of the United States Housing Act of 1937); and

        B.  ensure that the services are provided through the 12^th^
            grade to students in the participating grade level.

    2.  COORDINATION REQUIREMENT -- In order for the Secretary to
        require the cohort approach described in paragraph (1), the
        Secretary shall, where applicable, ensure that the cohort
        approach is done in coordination and collaboration with existing
        early intervention programs and does not duplicate the services
        already provided to a school or community.

**SEC.404C. ELIGIBLE ENTITY PLANS.**

(a) PLAN REQUIRED FOR ELIGIBILITY --

    1.  IN GENERAL -- In order for an eligible entity to qualify for a
        grant under this chapter, the eligible entity shall submit to
        the Secretary a plan for carrying out the program under this
        chapter. Such plan shall provide for the conduct of a
        scholarship component if required or undertaken pursuant to
        section 404E and an early intervention component required
        pursuant to section 404D.

    2.  CONTENTS -- Each plan submitted pursuant to paragraph (1) shall
        be in such form, contain or be accompanied by such information
        or assurances, and be submitted at such time as the Secretary
        may require by regulation. Each such plan shall---

        A.  describe the activities for which assistance under this
            chapter is sought; and

        B.  provide such additional assurances as the Secretary
            determines necessary to ensure compliance with the
            requirements of this chapter.

(b) MATCHING REQUIREMENT --

    1.  IN GENERAL -- The Secretary shall not approve a plan submitted
        under subsection (a) unless such plan---

        A.  provides that the eligible entity will provide, from State,
            local, institutional, or private funds, not less than 50
            percent of the cost of the program, which matching funds may
            be provided in cash or in kind;

        B.  specifies the methods by which matching funds will be paid;
            and

        C.  includes provisions designed to ensure that funds provided
            under this chapter shall supplement and not supplant funds
            expended for existing programs.

> \(2\) SPECIAL RULE -- Not withstanding the matching requirement
> described in paragraph (1)(A), the Secretary may by regulation modify
> the percentage requirement described in paragraph (1)(A) for eligible
> entities described n section 404A(c)(2).

(c) METHODS FOR COMPLYING WITH MATCHING REQUIREMENT -- An eligible
    entity may count toward the matching requirement described in
    subsection (b)(1)(A)---

    1.  the amount of the financial assistance paid to students from
        State, local, institutional, or private funds under this
        chapter;

    2.  the amount of tuition, fees, room or board waived or reduced for
        recipients of financial assistance under this chapter; and

    3.  the amount expended on documented, targeted, long-term mentoring
        and counseling provided by volunteers or paid staff of nonschool
        organizations, including businesses, religious organizations,
        community groups, postsecondary educational institutions,
        nonprofit and philanthropic organizations, and other
        organizations.

(d) PEER REVIEW PANELS -- The Secretary shall convene peer review panels
    to assist in making determinations regarding the awarding of grants
    under this chapter.

> **SEC.404D. EARLY INTERVENTION.**

(a) SERVICES --

    1.  IN GENERAL -- In order to receive a grant under this chapter, an
        eligible entity shall demonstrate to the satisfaction of the
        Secretary, in the plan submitted under section 404C, that the
        eligible entity will provide comprehensive mentoring,
        counseling, outreach, and supportive services to students
        participating in programs under this chapter. Such counseling
        shall include---

        A.  financial aid counseling and information regarding the
            opportunities for financial assistance under this title; and

        B.  activities or information regarding---

> \(i\) fostering and improving parent involvement in promoting the
> advantages of a college education, academic admission requirements,
> and the need to take college preparation courses;
>
> \(ii\) college admissions and achievement tests; and
>
> \(iii\) college application procedures.

2.  METHODS -- The eligible entity shall demonstrate in such plan,
    pursuant to regulations of the Secretary, the methods by which the
    eligible entity will target services on priority students described
    in subsection (c), if applicable.

```{=html}
<!-- -->
```
(b) USES OF FUNDS --

    1.  IN GENERAL -- The Secretary shall, by regulation, establish
        criteria for determining whether comprehensive mentoring,
        counseling, outreach, and supportive services programs may be
        used to meet the requirements of subsection (a).

    2.  PERMISSIBLE ACTIVITIES -- Examples of activities that meet the
        requirements of subsection (a) include the following:

        A.  Providing eligible students in preschool through grade 12
            with a continuing system of mentoring and advising that---

> \(i\) is coordinated with the Federal and State community service
> initiatives; and
>
> \(ii\) may include such support services as after school and summer
> tutoring, assistance in obtaining summer jobs, career mentoring, and
> academic counseling.

B.  Requiring each student to enter into an agreement under which the
    student agrees to achieve certain academic milestones, such as
    completing a prescribed set of courses and maintaining satisfactory
    progress described in section 484(c), in exchange for receiving
    tuition assistance for a period of time to be established by each
    eligible entity.

C.  Activities designed to ensure secondary school completion and
    college enrollment of at-risk children, such as identification of
    at-risk children, after school and summer jobs, academic counseling,
    volunteer and parent involvement, providing former or current
    scholarship recipients as mentor or peer counselors, skills
    assessment, providing access to rigorous core counselors that
    reflect challenging academic standards, personal counseling, family
    counseling and home visits, staff development, and programs and
    activities described in the subparagraph that are specially designed
    for students of limited English proficiency.

D.  Summer programs for individuals who are in their sophomore or junior
    years of secondary school or are planning to attend an institution
    of higher education in the succeeding academic year that---

> \(i\) are carried out at an institution of higher education that has
> programs of academic year supportive services for disadvantaged
> students through projects authorized under section 402D or through
> comparable projects funded by the State or other sources;
>
> \(ii\) provide for the participation of the individuals who are
> eligible for assistance under section 402D or who are eligible for
> comparable programs funded by the State;

\(iii\) (I) provide summer instruction in remedial, developmental or
supportive courses,

> \(II\) provide such summer services as counseling, tutoring, or
> orientation; and
>
> \(III\) provide financial assistance to the individuals' summer costs
> for books, supplies, living costs, and personal expenses; and
>
> \(iv\) provide the individuals with financial assistance during each
> academic year the individuals are enrolled at the participating
> institution after the summer program.

E.  Requiring eligible students to meet other standards or requirements
    as the State determines necessary to meet the purposes of this
    section.

```{=html}
<!-- -->
```
(c) PRIORITY STUDENTS -- For eligible entities not using a cohort
    approach, the eligible entity shall treat as priority students any
    student in preschool through grade 12 who is eligible---

    1.  to be counted under section 1124(c) of the Elementary and
        Secondary Education Act of 1965;

    2.  for free or reduced price meals under the National School Lunch
        Act; or

    3.  for assistance pursuant to part A of title IV of the Social
        Security Act.

(d) ALLOWABLE PROVIDERS -- In the case of eligible entities described in
    section 404A(c)(1), the activities required by this section may be
    provided by service providers such as community-based organizations,
    schools, institutions of higher education, public and private
    agencies, nonprofit and philanthropic organizations, businesses,
    institutions and agencies sponsoring programs authorized under
    subpart 4, and other organizations the State deems appropriate.

> **SEC.404E. SCHOLARSHIP COMPONENT.**

\(A\) IN GENERAL -

(1) STATES -- In order to receive a grant under this chapter, an
    eligible entity described in section 404A(c)(1) shall establish or
    maintain a financial assistance program that awards scholarships to
    students in accordance with the requirements of this section. The
    Secretary shall encourage the eligible entity to ensure that a
    scholarship provided pursuant to this section is available to an
    eligible student for use at any institution of higher education.

(2) PARTNERSHIPS -- An eligible entity described in section 404A(c)(2)
    may award scholarships to eligible students in accordance with the
    requirements of this section.

> \(b\) GRANT AMOUNTS -- The maximum amount of a scholarship that an
> eligible student shall be eligible to receive under this section shall
> be established by the eligible entity. The minimum amount of the
> scholarship for each fiscal year shall not be less than the lesser
> of---

(1) 75 percent of the average cost of attendance for an in-State
    student, in a 4-year program of instruction, at public institutions
    of higher education in such State, as determined in accordance with
    regulations prescribed by the Secretary; or

(2) the maximum Federal Pell grant funded under section 401 for such
    fiscal year.

> \(c\) RELATION TO OTHER ASSISTANCE -- Scholarships provided under this
> section shall be not considered for the purpose of awarding Federal
> grant assistance under this title, except that in no case shall the
> total amount of student financial assistance awarded to a student
> under this title exceed such student's total cost of attendance.
>
> \(d\) ELIGIBLE STUDENTS -- A student eligible for assistance under
> this section is a student who---

1.  is less than 22 years old at time of first scholarship award under
    this section;

2.  receives a secondary school diploma or its recognized equivalent on
    or after January 1, 1993;

3.  is enrolled or accepted for enrollment in a program of undergraduate
    instruction at an institution of higher education that is located
    within the State's boundaries, except that, at the State's option,
    an eligible entity may offer scholarship program portability for
    recipients who attend institutions of higher education outside such
    State; and

4.  who participated in the early intervention component required under
    section 404D.

```{=html}
<!-- -->
```
(e) PRIORITY -- The Secretary shall ensure that each eligible entity
    places a priority on awarding scholarships to students who will
    receive a Federal Pell Grant for the academic year for which the
    scholarship is awarded under this section.

(f) SPECIAL RULE -- An eligible entity may consider students who have
    successfully participated in programs funded under chapter 1 to have
    met the requirements of subsection (d)(4).

> **SEC. 404F. 21^ST^ CENTURY SCHOLAR CERTIFICATES.**

\(a\) AUTHORITY -- The Secretary using funds appropriated under section
404H that do not exceed \$200,000 for a fiscal year\--

(1) shall ensure that certificates, to be known as 21^st^ Century
    Scholar Certificates, are provided to all students participating in
    programs under this chapter; and

(2) may as practicable, ensure that such certificates are provided to
    all students in grades 6 through 12 who attend schools at which at
    least 50 percent of the students enrolled are eligible for a free or
    reduced price lunch under the National School Lunch Act.

> \(b\) INFORMATION REQUIRED -- A 21^st^ Century Scholar Certificate
> shall be personalized for each student and indicate the amount of
> Federal financial aid for college which a student may be eligible to
> receive.
>
> **SEC. 404G. EVALUATION AND REPORT.**

\(a\) EVALUATION -- Each eligible entity receiving a grant under this
chapter shall biennially evaluate the activities assisted under this
chapter in accordance with the standards described in subsection (b) and
shall submit to the Secretary a copy of such evaluation. The evaluation
shall permit service providers to track eligible student progress during
the period such students are participating in the activities and shall
be consistent with the standards developed by the Secretary pursuant to
subsection (b).

> \(b\) EVALUATION STANDARDS -- The Secretary shall prescribe standards
> for the evaluation described in subsection (a). Such standards
> shall---

(1) provide for input from eligible entities and service providers; and

(2) ensure that data protocols and procedures are consistent and
    uniform.

> \(c\) FEDERAL EVALUATION -- In order to evaluate and improve the
> impact of the activities assisted under this chapter, the Secretary
> shall, from not more than 0.75 percent of the funds appropriated under
> section 404H for a fiscal year, award one or more grants, contracts,
> or cooperative agreements to or with public and private institutions
> and organizations, to enable the institutions and organizations to
> evaluate the effectiveness of the program and, as appropriate,
> disseminate the results of the evaluation.
>
> \(d\) REPORT -- The Secretary shall biennially report to Congress
> regarding the activities assisted under this chapter and the
> evaluation conducted pursuant to this section.
>
> **SEC. 404H. AUTHORIZATION OF APPROPRIATIONS.**
>
> There are authorized to be appropriated to carry out this chapter
> \$200,000,000 for fiscal year 1999 and such sums as may be necessary
> for each of the 4 succeeding fiscal years.

**GEAR UP PROGRAM REGULATIONS**

![](media/image3.png){width="6.25in" height="0.10416666666666667in"}

**U.S. DEPARTMENT OF EDUCATION**

**OFFICE OF POSTSECONDARY EDUCATION**

#### PART 694 \-- GAINING EARLY AWARENESS AND READINESS FOR UNDERGRADUATE PROGRAMS (GEAR UP)

**Sec.**\
[694.1](http://ecfr1.access.gpo.gov/otcgi/cfr/#Sec. 694.1)   What is the
maximum amount that the Secretary may award each fiscal year to a
Partnership or a State under this program?\
[694.2](http://ecfr1.access.gpo.gov/otcgi/cfr/#Sec. 694.2)   Which
students must a Partnership, or a State that chooses to use the cohort
approach in its project, serve under the program\'s early intervention
component?\
[694.3](http://ecfr1.access.gpo.gov/otcgi/cfr/#Sec. 694.3)   What are
the requirements for a cohort?\
[694.4](http://ecfr1.access.gpo.gov/otcgi/cfr/#Sec. 694.4)   Which
students must a State or Partnership serve when there are changes in the
cohort?\
[694.5](http://ecfr1.access.gpo.gov/otcgi/cfr/#Sec. 694.5)   What
requirements must be met by a Partnership or State that chooses to
provide services to private school students under the program\'s early
intervention component?\
[694.6](http://ecfr1.access.gpo.gov/otcgi/cfr/#Sec. 694.6)   Who may
provide GEAR UP services to students attending private schools?\
[694.7](http://ecfr1.access.gpo.gov/otcgi/cfr/#Sec. 694.7)   What are
the matching requirements for a GEAR UP Partnership?\
[694.8](http://ecfr1.access.gpo.gov/otcgi/cfr/#Sec. 694.8)   What are
the requirements that a Partnership must meet in designating a fiscal
agent for its project under this program?\
[694.9](http://ecfr1.access.gpo.gov/otcgi/cfr/#Sec. 694.9)   What is the
maximum indirect cost rate for an agency of a State or local
government?\
[694.10](http://ecfr1.access.gpo.gov/otcgi/cfr/#Sec. 694.10)   What are
the requirements for awards under the program\'s scholarship component
under section 404E of the HEA?\
[694.11](http://ecfr1.access.gpo.gov/otcgi/cfr/#Sec. 694.11)   Under
what conditions may a Partnership that does not participate in the GEAR
UP scholarship component under section 404E of the HEA provide financial
assistance for postsecondary education to students under the GEAR UP
early intervention component?\
[694.12](http://ecfr1.access.gpo.gov/otcgi/cfr/#Sec. 694.12)   How does
a State determine which State agency will apply for, and administer, a
State grant under this program?\
[694.13](http://ecfr1.access.gpo.gov/otcgi/cfr/#Sec. 694.13)   What
requirements must be met by a Partnership or State participating in GEAR
UP with respect to 21st Century Scholarship Certificates?\
[694.14](http://ecfr1.access.gpo.gov/otcgi/cfr/#Sec. 694.14)   What
requirements apply to a State that served students under the National
Early Intervention Scholarship and Partnership program (NEISP) and that
receives a GEAR UP grant?\
[694.15](http://ecfr1.access.gpo.gov/otcgi/cfr/#Sec. 694.15)   What
priorities may the Secretary establish for a GEAR UP grant?

**Authority:** 20 U.S.C. 1070a-21 to 1070a-28.

**Source:** [65 FR
24760](http://frwebgate.access.gpo.gov/cgi-bin/getpage.cgi?dbname=2000_register&page=24760&position=all),
Apr. 27, 2000, unless otherwise noted.

**§694.1   ** **What is the maximum amount that the Secretary may award
each fiscal year to a Partnership or a State under this program?**

\(a\) *Partnership grants.* The maximum amount that the Secretary may
award each fiscal year for a GEAR UP Partnership grant is calculated by
multiplying \--

\(1\) \$800; by

\(2\) The number of students the Partnership proposes to serve that
year, as stated in the Partnership\'s plan.

\(b\) *State grants.* The Secretary establishes the maximum amount that
may be awarded each fiscal year for a GEAR UP State grant in a notice
published in the FEDERAL REGISTER. (Authority: 20 U.S.C. 1070a-23)

**§694.2   ** **Which students must a Partnership, or a State that
chooses to use the cohort approach in its project, serve under the
program\'s early intervention component?**

A Partnership, or a State that chooses to use a cohort approach in its
GEAR UP early intervention component, must, except as provided in §694.4
\--

\(a\) Provide services to at least one entire grade level (cohort) of
students (subject to §694.3(b)) beginning not later than the 7th grade;

\(b\) Ensure that supplemental appropriate services are targeted to the
students with the greatest needs; and

\(c\) Ensure that services are provided through the 12th grade to those
students. (Authority: 20 U.S.C. 1070a-22)

**§694.3   ** **What are the requirements for a cohort?**

\(a\) *In general.* Each cohort to be served by a Partnership or State
must be from a participating school \--

\(1\) That has a 7th grade; and

\(2\) In which at least 50 percent of the students are eligible for free
or reduced-price lunch under the National School Lunch Act; or

\(b\) *Public housing exception.* If the Partnership or State determines
it would promote program effectiveness, a cohort may consist of all of
the students in a particular grade level at one or more participating
schools who reside in public housing, as defined in section 3(b)(1) of
the United States Housing Act of 1937. (Authority: 20 U.S.C. 1070a-22)

**§694.4   ** **Which students must a State or Partnership serve when
there are changes in the cohort?**

\(a\) *At the school where the cohort began.* A Partnership or State
must serve, as part of the cohort, any additional students who \--

\(1\) Are at the grade level of the students in the cohort; and

\(2\) Begin attending the participating school at which the cohort began
to receive GEAR UP services.

\(b\) *At a subsequent participating school.* If not all of the students
in the cohort attend the same school after the cohort completes the last
grade level offered by the school at which the cohort began to receive
GEAR UP services, a Partnership or a State \--

\(1\) May continue to provide GEAR UP services to all students in the
cohort; and

\(2\) Must continue to provide GEAR UP services to at least those
students in the cohort that attend participating schools that enroll a
substantial majority of the students in the cohort. (Authority: 20
U.S.C. 1070-a22)

**§694.5   ** **What requirements must be met by a Partnership or State
that chooses to provide services to private school students under the
program\'s early intervention component?**

\(a\) *Secular, neutral, and nonideological services or benefits.*
Educational services or other benefits, including materials and
equipment, provided under GEAR UP by a Partnership or State that chooses
to provide those services or benefits to students attending private
schools, must be secular, neutral, and nonideological.

\(b\) *Control of funds.* In the case of a Partnership or State that
chooses to provide services under GEAR UP to students attending private
schools, the fiscal agent (in the case of a Partnership) or a State
agency (in the case of a State) must \--

\(1\) Control the funds used to provide services under GEAR UP to those
students;

\(2\) Hold title to materials, equipment, and property purchased with
GEAR UP funds for GEAR UP program uses and purposes related to those
students; and

\(3\) Administer those GEAR UP funds and property. (Authority: 20 U.S.C.
1070a-21 to 1070a-28)

**§694.6   ** **Who may provide GEAR UP services to students attending
private schools?**

\(a\) GEAR UP services to students attending private schools must be
provided \--

\(1\) By employees of a public agency; or

\(2\) Through contract by the public agency with an individual,
association, agency, or organization.

\(b\) In providing GEAR UP services to students attending private
schools, the employee, individual, association, agency, or organization
must be independent of the private school that the students attend, and
of any religious organization affiliated with the school, and that
employment or contract must be under the control and supervision of the
public agency.

\(c\) Federal funds used to provide GEAR UP services to students
attending private schools may not be commingled with non-Federal funds.
(Authority: 1070a-21 to 1070a-28)

**§694.7  ** **What are the matching requirements for a GEAR UP
Partnership?**

\(a\) *In general.* A Partnership must \--

\(1\) State in its application the percentage of the cost of the GEAR UP
project the Partnership will provide for each year from non-Federal
funds, subject to the requirements in paragraph (b) of this section; and

\(2\) Comply with the matching percentage stated in its application for
each year of the project period.

\(b\) *Matching requirements.* (1) Except as provided in paragraph
(b)(2) of this section, the non-Federal share of the cost of the GEAR UP
project must be not less than 50 percent of the total cost over the
project period.

\(2\) A Partnership that has three or fewer institutions of higher
education as members may provide less than 50 percent, but not less than
30 percent, of the total cost over the project period if it includes \--

\(i\) A fiscal agent that is eligible to receive funds under Title V, or
Part B of Title III, or section 316 or 317 of the HEA, or a local
educational agency;

\(ii\) Only participating schools with a 7th grade in which at least 75
percent of the students are eligible for free or reduced-price lunch
under the National School Lunch Act; and

\(iii\) Only local educational agencies in which at least 50 percent of
the students enrolled are eligible for free or reduced-price lunch under
the National School Lunch Act.

\(3\) The non-Federal share of the cost of a GEAR UP project may be
provided in cash or in-kind. (Authority: 20 U.S.C. 1070a-23)

**§694.8   ** **What are the requirements that a Partnership must meet
in designating a fiscal agent for its project under this program?**

Although any member of a Partnership may organize the project, a
Partnership must designate as the fiscal agent for its project under
GEAR UP \--

\(a\) A local educational agency; or

\(b\) An institution of higher education that is not pervasively
sectarian. (Authority: 20 U.S.C. 1070a-22)

**§694.9   ** **What is the maximum indirect cost rate for an agency of
a State or local government?**

Notwithstanding 34 CFR 75.560-75.562 and 34 CFR 80.22, the maximum
indirect cost rate that an agency of a State or local government
receiving funds under GEAR UP may use to charge indirect costs to these
funds is the lesser of

\(a\) The rate established by the negotiated indirect cost agreement; or

\(b\) Eight percent of a modified total direct cost base. (Authority: 20
U.S.C. 1070a-21 to 1070a-28)

**§694.10   ** **What are the requirements for awards under the
program\'s scholarship component under section 404E of the HEA?**

\(a\) *Amount of scholarship.* (1) Except as provided in paragraph
(a)(2) of this section, the amount of a scholarship awarded under
section 404E of the HEA must be at least the lesser of \--

\(i\) 75 percent of the average cost of attendance, as determined under
section 472 of the HEA, for in-State students in 4-year programs of
instruction at public institutions of higher education in the State; or

\(ii\) The maximum Federal Pell Grant award funded for the award year in
which the scholarship will be awarded.

\(2\) If a student who is awarded a GEAR UP scholarship attends an
institution on a less than full-time basis during any award year, the
State or Partnership awarding the GEAR UP scholarship may reduce the
scholarship amount, but in no case shall the percentage reduction in the
scholarship be greater than the percentage reduction in tuition and fees
charged to that student.

\(b\) *Pell Grant recipient priority.* A State, or a Partnership that
chooses to participate in the scholarship component under section 404E
of the HEA in its GEAR UP project \--

\(1\) Must award GEAR UP scholarships first to students who will
receive, or are eligible to receive, a Federal Pell Grant during the
award year in which the GEAR UP scholarship is being awarded and who are
eligible for a GEAR UP scholarship under the eligibility requirements in
section 404E(d) of the HEA; and

\(2\) May, if GEAR UP scholarship funds remain after awarding
scholarships to students under paragraph (b)(1) of this section, award
GEAR UP scholarships to other eligible students (who will not receive a
Federal Pell Grant) after considering the need of those students for
GEAR UP scholarships.

\(c\) *Cost of attendance.* A GEAR UP scholarship, in combination with
other student financial assistance awarded under any title IV HEA
program and any other grant or scholarship assistance, may not exceed
the student\'s cost of attendance.

\(d\) *Continuation scholarships.* A State, or a Partnership that
chooses to participate in the scholarship component in accordance with
section 404E of the HEA in its GEAR UP project, must award continuation
scholarships in successive award years to each student who received an
initial scholarship and who continues to be eligible for a scholarship.

\(e\) *Other grant assistance.* A GEAR UP scholarship may not be
considered in the determination of a student\'s eligibility for other
grant assistance provided under title IV of the HEA. (Authority: 20
U.S.C. 1070a-25)

\[65 FR 24760, Apr. 27, 2000, as amended at 67 FR 67083, Nov. 1, 2002\]

**§694.11   ** **Under what conditions may a Partnership that does not
participate in the GEAR UP scholarship component under section 404E of
the HEA provide financial assistance for postsecondary education to
students under the GEAR UP early intervention component?**

A GEAR UP Partnership that does not participate in the GEAR UP
scholarship component may provide financial assistance for postsecondary
education, either with funds under this chapter, (Under Chapter 2 of
subpart 2 of Part A of Title IV of the HEA,) or with non-Federal funds
used to comply with the matching requirement, to students who
participate in the early intervention component of GEAR UP if \--

\(a\) The financial assistance is directly related to, and in support
of, other activities of the Partnership under the early intervention
component of GEAR UP; and

\(b\) It complies with the requirements in §694.10. (Authority: 20
U.S.C. 1070a-21 to 1070a-28)

**§694.12   ** **How does a State determine which State agency will
apply for, and administer, a State grant under this program?**

The Governor of a State must designate which State agency applies for,
and administers, a State grant under GEAR UP. (Authority: 20 U.S.C.
1070a-21 to 1070a-28)

**§694.13   ** **What requirements must be met by a Partnership or State
participating in GEAR UP with respect to 21st Century Scholarship
Certificates?**

\(a\) A State or Partnership must provide, in accordance with procedures
the Secretary may specify, a 21st Century Scholar Certificate from the
Secretary to each student participating in the early intervention
component of its GEAR UP project.

\(b\) 21st Century Scholarship Certificates must be personalized and
indicate the amount of Federal financial aid for college that a student
may be eligible to receive. (Authority: 20 U.S.C. 1070a-26)

**§694.14   ** **What requirements apply to a State that served students
under the National Early Intervention Scholarship and Partnership
program (NEISP) and that receives a GEAR UP grant?**

Any State that receives a grant under this part and that served students
under the NEISP program on October 6, 1998 must continue to provide
services under this part to those students until they complete secondary
school. (Authority: 20 U.S.C. 1070a-21)

**§694.15   ** **What priorities may the Secretary establish for a GEAR
UP grant?**

For any fiscal year, the Secretary may select one or more of the
following priorities:

\(a\) Projects by Partnerships or States that serve a substantial number
or percentage of students who reside, or attend a school, in an
Empowerment Zone, including a Supplemental Empowerment Zone, or
Enterprise Community designated by the U.S. Department of Housing and
Urban Development or the U.S. Department of Agriculture.

\(b\) Partnerships that establish or maintain a financial assistance
program that awards scholarships to students, either in accordance with
section 404E of the HEA, or in accordance with §694.11, to strengthen
the early intervention component of its GEAR UP project. (Authority: 20
U.S.C. 1070a-21 to 1070a-28)

**[GEAR UP]{.smallcaps}** **[State Grants Program
Overview]{.smallcaps}**

## Legislative Authority:

Title IV, Sections 404A-404H, of the Higher Education Act of 1965, as
amended.

**Purpose:**

The GEAR UP program is a discretionary grant program designed to
significantly increase the number of low-income students who are
prepared to enter and succeed in postsecondary education. GEAR UP
provides six-year grants to states to provide services at high-poverty
middle and high schools. GEAR UP grantees serve an entire cohort of
students beginning no later than the seventh grade and follow the cohort
through high school. GEAR UP funds are also used to provide college
scholarships to low-income students.

**Description of the GEAR UP State Grant Program:**

State GEAR UP grants are competitive six-year matching grants that must
include both an ***early intervention component*** and a ***scholarship
component***. Under the early intervention component, the project will
provide early college awareness and preparation activities for
participating students and their parents through comprehensive
mentoring, counseling, outreach, and support services. Under the
scholarship component, the project will establish or maintain a
financial assistance program that awards scholarships to eligible
students so that they may attend institutions of higher education.

**Size of Awards:**

The maximum Federal award for State grants awarded in FY 2008 is \$3.0
million. There is no minimum award.

**Out Year Costs:**

Partnership and State grants originally funded with FY 2008 funds will
receive level funding in the out years based on approved funding for the
first year award. For example, if a grantee requests \$100,000 of
funding in year 1 of the grant and that amount is approved, the grantee
will receive \$100,000 of Federal funding for years 2 through 6 of the
grant.

**Requirement for Matching of Federal Funds:**

Successful applicants are required to match the Federal contribution
dollar-for-dollar, that is, the non-Federal contribution must equal at
least 50 percent of the total six-year project cost. This non-Federal
match may be met through cash or in-kind contributions and cannot be
waived. ***Please note that funded applicants will be held to the
matching commitment proposed in the application for funding, even if the
proposed match is higher than the percent required by statute*.** No
points will be awarded for match exceeding the 50 percent level required
by statute. Readers will look for projects in which the budgets are
sufficient to provide the services proposed in their applications,
projects in which the partners have a demonstrated commitment to the
project, and projects in which there is potential support for the
project after Federal funding ends. We are more interested in strong
demonstrated commitment at a level that is sustainable over time than
larger commitments of match that are less likely to be realized or
sustained.

Matching contributions may be made from any non-Federal source, and must
be documented in accordance with relevant Office of Management and
Budget (OMB) Circulars and EDGAR, 74.23 and 80.24 as applicable.
Documentation of matching contributions must contain adequate source
documentation for the claimed cost sharing, provide clear valuation of
in-kind matching, and provide support of cost-sharing by grant partners.
Grantees are required to value in-kind contributions in accordance with
relevant OMB circulars and EDGAR, 74.23 and 80.24 as applicable. In most
cases, grantees must value in-kind contributions of facilities and
equipment using depreciation rather than fair market value.

**Eligibility:**

The governor of each state may designate only one agency to apply for
and administer a GEAR UP State grant, though states are encouraged to
ensure strong collaboration between K-12 and higher education agencies
and may choose to have more than one entity deliver the services.
College preparation and awareness activities may be provided by service
providers such as community-based organizations, schools, institutions
of higher education, public and private agencies, nonprofit and
philanthropic organizations, faith-based organizations, businesses,
institutions, and other organizations the state may deem appropriate.

**[Required Elements of a GEAR UP State Grant:]{.underline}**

STATE GRANTS MUST INCLUDE:

-   *An early intervention componen*t, including early college awareness
    and preparation activities through comprehensive mentoring,
    counseling, outreach, and supportive services, academic counseling
    and support; and

-   *A scholarship component,* which establishes or maintains a
    financial assistance program of renewable scholarships for eligible
    GEAR UP students.

*Under this grant, states are required to:*

-   Spend at least 25 percent and not more than 50 percent of their
    grant funds on the early college awareness and preparation component
    of their program;

-   Spend at least 50 percent of their State grant funds on the
    scholarship component. *The Secretary may waive this percentage
    requirement if the grantee demonstrates that it has another means of
    providing financial assistanc*e *to students*; and

-   Ensure that its activities are coordinated with other potential GEAR
    UP projects, serving the same school district or state, as well as
    with other related Federal and non-Federal programs. Applicants are
    encouraged to maximize the coordination of their GEAR UP project
    with other GEAR UP projects.

*States may choose to:*

-   Serve priority students as defined below; or

-   Serve a "cohort" of students.

States that target early intervention services to priority students must
target students in preschool through 12^th^ grade who are eligible:

1.  To be counted under section 1124(c) of the Elementary and Secondary
    Education Act of 1965 (Title I);

2.  For free or reduced-price meals under the National School Lunch Act;
    or

3.  For assistance under Temporary Assistance for Needy Families (TANF),
    authorized by Title I of the Personal Responsibility and Work
    Opportunity.

States that opt to serve a *cohort* must provide services to *all*
students in the participating grade levels at a school, rather than a
selected group of students. Services must be provided to a cohort
starting no later than the 7^th^ grade and continuing through high
school completion. Each cohort must include either: a) all the students
in a particular grade level(s) at a participating school(s) that has a
7^th^ grade and in which at least 50 percent of the students are
eligible for free or reduced-price lunch under the National School Lunch
Act; or b) all the students in a particular grade level(s) who reside in
public housing, as defined in section 3(b) (1) of the United States
Housing Act of 1937. State grant applicants that choose to use the
cohort approach must make services available to all students in the
participating "cohort" until that grade level moves on to the next
school --- for example, moving from middle school to high school. Not
all students in a cohort will necessarily opt to take advantage of
available services but services must be offered to the whole cohort. New
students at the same grade level as the students in the GEAR UP cohort,
who enroll in the school in which the cohort began to receive services,
must be considered a part of the cohort and provided GEAR UP services as
well. Those students who leave the cohort by transferring to a school
that is not participating in GEAR UP, for example, may continue to
receive GEAR UP services, but are not required to be served.

Once the cohort moves on to another school (for example, moving from
middle school to high school), a GEAR UP project must continue to
provide services to at least those students in the cohort that attend
participating secondary schools that enroll a *substantial majority* of
the students in the cohort. However, a GEAR UP project is not required
to follow individual students who attend a high school that is not
participating in the program. To fulfill the ***early intervention
component*** of a GEAR UP State grant, states are required to provide
early college preparation and awareness services through comprehensive
mentoring, counseling --- including financial aid counseling and
information about opportunities for Federal financial aid and activities
and information regarding fostering and improving parent involvement in
preparing students for college, college admissions and achievement
tests, and college application procedures --- outreach, and supportive
services for participating students.

States are encouraged to involve their top leadership in planning,
coordinating, and implementing GEAR UP State grant projects and to give
appropriate attention to the state's academic reforms and higher
academic standards. Making the issues of school reform and standards an
integral part of the project's college readiness efforts is essential.
The State grant should use state, college, and university resources
wisely, as part of the State grant's project and in cooperation with
partnership projects. Each participating organization in a GEAR UP State
grant project will want to be clear about its particular contribution
and how that contribution will coordinate with other related efforts and
resources.

**[To fulfill the scholarship component of a State GEAR UP grant, States
are required by law to provide scholarships to participating students in
the following ways:]{.underline}**

-   At least 50 percent of State grant funds must be spent on the
    Scholarship Component. *The Secretary may waive this percentage
    requirement if the grantee demonstrates that it has another means of
    providing the students with financial assistance.*

-   To receive a GEAR UP Scholarship, an eligible student must be less
    than 22 years of age at time of first scholarship award; have
    received a secondary school diploma or its recognized equivalent on
    or after January 1, 1993; and be enrolled or accepted for enrollment
    in a program of undergraduate instruction at an institution of
    higher education that is located within the state's boundaries.
    *(Exception -- the state has the option of offering a "portable"
    scholarship program that allows the participating students to use
    their scholarships to attend an institution of higher education
    outside of their stat*e); and have successfully participated in the
    early intervention component of a GEAR UP or National Early
    Intervention Scholarship and Partnership (NEISP) project or have
    participated in a Federal TRIO Program.

-   A priority must be placed on awarding scholarships to students
    *eligible* to receive a Federal Pell Grant for the same academic
    year. GEAR UP scholarships are designed to supplement, not supplant,
    other scholarship funding.

-   Individual states may determine the maximum amount of an eligible
    student's scholarship but the *minimum* amount of a scholarship
    *must not* be less than the lesser of 75 percent of the average cost
    of attendance for an in-state student in a four-year program of
    instruction at a public institution in their state; or the maximum
    Federal Pell Grant for such fiscal year.

-   Federal funds for scholarships must be placed in a trust fund in the
    year and amount specified in the GEAR UP application. These funds
    will then go to the benefit of GEAR UP students upon their
    enrollment in college.

WHAT THE STATE CAN DO

EXAMPLES OF ACTIVITIES IN THE EARLY INTERVENTION COMPONENT ARE:

**[Tutoring]{.underline}**

Fundamental to supporting classroom instruction, tutoring supports
commitment and incremental success vital to motivating students. While
GEAR UP funds can be used to cover costs associated with tutoring, local
college students and other partners, to satisfy part of the matching
requirement, can also provide these services. What better way to
demonstrate that college is possible than getting the extra academic
support low-income middle and high school students needs one-on-one from
successful college students?

**[Professional Development and Curriculum Improvement]{.underline}**

GEAR UP expressly encourages the support of professional development and
curriculum improvement. Strengthening subject matter knowledge and
teaching skills among classroom teachers is integral to GEAR UP's
mission of fostering long-term, sustainable school-wide improvements.
Funds may be used for training, courses, materials, textbooks, and other
professional resources to strengthen classroom instruction. Successful
applicants will expressly show how professional development and
curriculum improvement benefit GEAR UP student cohorts.

**[21^st^ Century Scholar Certificates]{.underline}**

All GEAR UP students will receive a 21^st^ Century Scholar Certificate
congratulating them on their commitment and reminding them that if they
study hard, take challenging courses, and finish high school, they will
be able to go to college. On the reverse side of the certificate will be
a summary of how much Federal aid may be available to them based on
income. Supplemental information will also be provided which gives
further detail about the forms of available Federal financial assistance
and how families can learn more about Federal financial aid programs.

The Department supplies both the 21^st^ Century Scholar Certificates and
the accompanying supplemental material. The grantee is responsible for
personalizing the certificates by adding the students' names, and
distributing the certificates to participating GEAR UP students. Grant
funds may be used for hosting an event where families, faculty,
partners, and others supporting the local Partnership are invited and
students receive their certificates.

**[After-School and Saturday Programs]{.underline}**

GEAR UP funds can be used to extend the school day and week by providing
teachers, classrooms, and materials for after school programs. The level
of emphasis on improving skills and subject knowledge, as opposed to a
focus on advanced academic preparation, can vary depending on the
project and should be tailored to the needs of the student cohort(s).
GEAR UP funds can also be used to provide refreshments (e.g.,
after-school snacks) and the transportation associated with these
programs, though they cannot be used for purchasing school buses and the
like. Projects are encouraged to use GEAR UP funds to leverage Federal,
state and local funds to supplement these programs.

**[Summer Programs]{.underline}**

GEAR UP funds can support summer programs. Summer programs are sometimes
designed around themes such as science and math or computer camps. When
college campuses are not fully utilized in summer months, they may
supply facilities and other resources for such programs, which can be
used as part of a grantee's non-Federal contribution to the project's
cost. In other cases, meeting places and materials and other costs can
be paid for by GEAR UP funds or supplied by matching resources from the
grantee.

**[Mentoring]{.underline}**

Mentoring services provide valuable opportunities to inspire GEAR UP
students connecting academic work with practical application. Through
mentoring, the real life benefits of studying hard and staying in school
are impressed on the students by personal observation. Mentors can also
provide friendship, guidance, connection to other resources, and help in
resolving conflicts and problems. Incidental expenses related to
mentoring and coordination and training can be paid out of grant funds.
However, it is more common that grantees provide mentoring services as a
matching contribution.

**[College Counseling]{.underline}**

Unfortunately, it is more often the exception rather than the rule that
low-income students are told, "you can go to college." Not surprisingly,
they seldom see higher education in their future and as a result, fail
to investigate how they may obtain a college degree. GEAR UP grants can
be used in a variety of ways to support college counseling---for
example, funds can be used for college fairs, nights, purchasing or
printing information kits, and underwriting visits to college campuses.
In short, GEAR UP grants can support nearly any reasonable approach to
inform and counsel students on what they must do to prepare for college.

**[Financial Counseling]{.underline}**

Research indicates that low-income families often overestimate the cost
of higher education. When college is perceived as unaffordable, there is
little attempt to learn about college cost or the numerous forms of
financial assistance that help students pay for college. Research also
shows that communicating with and engaging families in their children's
education is a critical step in getting students on the pathway to
college. GEAR UP grants can be used to provide the tools needed to reach
out and communicate effectively with families about the real costs of
college. GEAR UP can fund parent education programs and materials.
Previous GEAR UP grantees have found that parental engagement is one of
the most difficult aspects of administering a GEAR UP grant. Applicants
should consider how to best reach their individual populations.
Strategies could include visiting families at home, events to attract
parents, taking parents on college visits, and other activities.

**[Scholarships]{.underline}**

Scholarships are required for GEAR UP State grants. Scholarships can
serve multiple GEAR UP objectives. Most important is providing tangible
resources to ensure that after graduating from high school, students
will have the resources to go to college. Depending on how the program
structures scholarships, they can also be valuable tools for motivating
students by rewarding progress and providing incentives for students to
persist.

**[Develop Matching Commitments]{.underline}**

**[Federal funds shall provide not more than 50 percent of the total
cost of any project funded by a grant under this program. There is no
waiver for state matching requirements.]{.underline}**

The non-Federal share of project costs may be in cash or in kind,
including services, supplies, facilities use or equipment.

This grant program encourages the leveraging of grantee resources, and
investments and contributions from the private and public sectors.
Subject to some exceptions, the total of non-Federal commitments made by
states and local partnership members and the value of private sector
investments and donations may be included in the match. It is
particularly important that these matching commitments contribute to the
long-term sustainability of the project after the grant's funding ends.

In determining the adequacy of resources under the selection criteria
for grants, applications will be evaluated on the relevance and
demonstrated commitment of each partner in the proposed project and the
potential for continued support of the project after Federal funding
ends.

**Please note that funded applicants will be held to the matching
commitment proposed in the application for funding, even if the proposed
match is higher than the percentage required by statute. No points will
be awarded for match exceeding the 50 percent (dollar-for-dollar) level
required by statute.** Readers will look for projects in which the
budgets are sufficient to provide the services proposed in their
applications, projects in which the partners have a demonstrated
commitment to the project, and projects in which there is potential
support for the project after Federal funding ends. We are more
interested in strong demonstrated commitment at a level that is
sustainable over time than larger commitments of match that are less
likely to be realized or sustained.

**[Indirect Costs]{.underline}**

Consistent with section 75.562 of EDGAR, all grant recipients are
limited to a maximum indirect cost rate of eight percent of a modified
total direct cost base or the amount permitted by its negotiated
indirect cost rate agreement, whichever is less. Notwithstanding 34 CFR
75.560-75.562 and 34 CFR 80.22, the maximum indirect cost rate that an
agency of a state or local government receiving funds under GEAR UP may
use to charge indirect costs to these funds is the lesser of (a) the
rate established by the negotiated indirect cost agreement; or

\(b\) eight percent of a modified total direct cost base. (Authority: 20
U.S.C. 1070a-21 to 1070a-28). Unrecovered indirect costs cannot be used
to fulfill non-Federal matching requirements.

**[Participate in Conferences and Technical Assistance
Workshops]{.underline}**

It is essential for grantees to collaborate, together and with others,
on strategies for improving the academic experiences of low-income
students. To achieve this objective, applicants should plan and budget
for attendance at annual conferences and workshops, in the event that
they are awarded a grant. Each trip will be for four days for up to six
persons paid for out of GEAR UP funds (Federal and/or non-Federal).
Grantees may also make prudent use of grant funds to participate in
other conferences during the year, if these activities will contribute
to their efforts to prepare GEAR UP students for college and help inform
parents about the cost of college and student financial assistance.
*Before using GEAR UP Federal or matching funds to attend conferences
not sponsored or co-sponsored by the U.S. Department of Education,
grantees must obtain approval from their program officer at the U.S.
Department of Education.*

**[Evaluation of Project Performance]{.underline}**

# Your application must explain your GEAR UP project's overall objectives. These objectives must be clear and measurable, and be outcomes-oriented (i.e., related to achieving specific, desirable results of your GEAR UP services for participants) rather than process-oriented. The activities that you propose to implement for students, parents, and teachers must be linked to the objectives you are aiming to achieve. 

Each year, successful applicants will be required to submit to the
Department an annual performance report that includes evidence of
progress in meeting the project's objectives and program's objectives
which are:

**Objective 1:** Increase the academic performance and preparation for
post-secondary education for GEAR UP students.

**Objective 2:** Increase the rate of high school graduation and
participation in post-secondary education for GEAR UP students.

**Objective 3:** Increase GEAR UP students' and their families'
knowledge of post-secondary education options, preparation and
financing.

Therefore, if you are chosen as a GEAR UP grantee, you will be required
to consistently collect, analyze, and report on the participation and
outcome data that enables the Department to verify that your GEAR UP
project is accomplishing the proposed objectives during each year.

In this application, you need to report on each of your project
objectives and associated **performance measures** for each of those
objectives. (Note: there can be multiple performance measures tied to
each project objective).

**Your performance measures should include the following:**

1.  Government Performance and Results Act of 1993 (GPRA) measures,
    which are related to GEAR UP's performance indicators that are
    published in this application. (Please refer to the GEAR UP GPRA
    Performance Indicators for these measures.) These indicators include
    students' completion of courses such as Pre Algebra by the end of
    seventh grade, students' completion of Algebra I by the end of ninth
    grade, and students' and parents' knowledge of necessary academic
    preparation for college. An example of a performance measure related
    to a GPRA indicator would be "Increase the percentage of GEAR UP
    students who have completed Algebra I by ninth grade by 10
    percentage points each year of the project."

2.  Program measures, which are additional performance measures the GEAR
    UP program office has established that are aligned with the GEAR UP
    statute and program goals. These specific measures are (a) average
    daily attendance at the GEAR UP schools, (b) percentages of GEAR UP
    students promoted on time to successive grade levels, and (c)
    students' education aspirations/expectations (i.e., percentages of
    GEAR UP students who expect to graduate from high school). An
    example of a program performance measure could be " Each project
    year, at least 95 percent of GEAR UP students will be promoted to
    the next grade level on time."

3.  Project-specific measures, which are performance measures in
    addition to those mentioned above that you establish and include in
    your GEAR UP application. These measures can relate to, for
    instance, academic factors such as grade point averages or
    standardized test scores. An example of a project-specific
    performance measure could be "Increase the average percentile rank
    of GEAR UP students' math scores by 5 points each year."

In addition to reporting the specific performance measures for each of
your objectives, your application must show the **targets** you have set
for [each]{.underline} of those measures. Targets must be set for each
of the six years of your GEAR UP project. Please note that these targets
are set **after** you have collected baseline data on the performance
measures. If you have already collected baseline data on any of the
performance measures (e.g., baseline data such as the 2006-07 average
daily attendance of seventh graders in the middle school you propose to
serve in your GEAR UP project) and included these data in this
application, please set targets for each year of your GEAR UP project on
those specific performance measures and include them in your application
as well. If you have **not** included baseline data for each performance
measure in your application, then baseline data should be collected
during the first year of the project (on those specific measures). Once
the baseline data are obtained for a particular measure, targets for
that measure can then be set for the second and subsequent years of the
project.

Each year, when you submit your annual performance report, Department of
Education GEAR UP staff will compare the target you have established for
each performance measure to the actual performance data.

Selection Criteria for State Grants

The Secretary considers six criteria drawn from the Education Department
General Administrative Regulations (EDGAR): (1) the need for the
project; (2) the quality of project services; (3) the quality of project
personnel; (4) the quality of the management plan; (5) the quality of
the project evaluation; and (6) the adequacy of project resources. The
Secretary evaluates each criterion equally and, within each criterion,
each factors equally.

1\. NEED FOR THE PROJECT (15 POINTS):

In determining the need for the proposed project, the Secretary
considers the following factors:

-   The magnitude or severity of the problem to be addressed by the
    proposed project; and

-   The extent to which specific gaps or weaknesses in services,
    infrastructure, or opportunities have been identified and will be
    addressed by the proposed project, including the nature and
    magnitude of those gaps or weaknesses.

2\. QUALITY OF PROJECT SERVICES (20 POINTS):

In determining the quality of project services provided by the proposed
project, the Secretary considers the quality and sufficiency of
strategies for ensuring equal access and treatment for eligible project
participants who are members of groups that have traditionally been
underrepresented based on race, color, national origin, gender, age, or
disability.

In addition, the Secretary considers the following factors:

-   The extent to which the services to be provided by the proposed
    project are appropriate to the needs of the intended recipients or
    beneficiaries of those services;

-   The extent to which the services to be provided by the proposed
    project reflect up-to-date knowledge from research and effective
    practices;

-   The extent to which the training or professional development
    services to be provided by the proposed project are of sufficient
    quality, intensity, and duration to lead to improvements in practice
    among the recipients of those services; and

-   The long-term and systemic effects of the services to be provided by
    the proposed project on the intended recipients of those services.

3\. QUALITY OF PROJECT PERSONNEL (15 POINTS):

In determining the quality of project personnel, the Secretary considers
the extent to which the applicant encourages applications for employment
from persons who are members of groups that have traditionally been
underrepresented based on race, color, national origin, gender, age or
disability. In addition, the Secretary considers the following factors:

-   The qualifications, including relevant training and experience, of
    the project director or principal investigator, and

-   The qualifications, including relevant training and experience, of
    key personnel.

4\. QUALITY OF THE MANAGEMENT PLAN (15 POINTS):

In determining the quality of the management plan for the proposed
project, the Secretary considers the following factors:

-   The adequacy of the management plan to achieve the objectives of the
    proposed project on time and within budget, including clearly
    defined responsibilities, timelines, and milestones for
    accomplishing project tasks;

-   The adequacy of procedures for ensuring feedback and continuous
    improvement in the operation of the proposed project;

-   The extent to which the time commitments of the project director and
    other key project personnel are appropriate and adequate to meet the
    objectives of the proposed project; and

-   How the applicant will ensure that a diversity of perspectives are
    brought to bear in the operation of the proposed project, including
    those of parents, teachers, the business community, a variety of
    disciplinary and professional fields, recipients or beneficiaries of
    services, or others, as appropriate.

5\. QUALITY OF THE PROJECT EVALUATION (20 POINTS):

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

-   The extent to which the methods of evaluation include the use of
    objective performance measures that are clearly related to the
    intended outcomes of the project and will produce quantitative and
    qualitative data to the extent possible; and

-   The extent to which the methods of evaluation will provide
    performance feedback and permit periodic assessment of progress
    toward achieving intended outcomes.

6\. ADEQUACY OF RESOURCES (15 POINTS):

In determining the adequacy of resources for the proposed project, the
Secretary considers the following factors:

-   The adequacy of support, including facilities, equipment, supplies
    and other resources, from the applicant organization or the lead
    applicant organization;

-   The relevance and demonstrated commitment of each partner in the
    proposed project to the implementation and success of the project;

-   The extent to which the costs are reasonable in relation to the
    number of persons to be served and the anticipated results and
    benefits; and

-   The potential for continued support of the project after Federal
    funding ends, including, as appropriate, the demonstrated commitment
    of appropriate entities to such support.

###### 

###### INSTRUCTIONS FOR COMPLETING THE

###### APPLICATION PACKAGE

The GEAR UP application consists of three parts. These parts are
organized in the same manner that the submitted application should be
organized. The parts are as follows:

**[Part I]{.underline}: 424 Forms**

Application for Federal Assistance -- (SF424)

> Department of Education Supplemental Information Form for SF424

**\*[Notes]{.underline}**:

-   Applicants must complete the SF 424 form first because some of the
    information you provide here is automatically inserted into other
    sections of the Grants.gov application package.

-   Please do not attach any narratives, supporting files, or
    application components to the Standard Form (SF 424). Although the
    form accepts attachments, the Department of Education will only
    review materials/files attached to the forms listed below.

**[Part II]{.underline}: Attachments**

ED Abstract Form

Project Narrative Attachment Form

Other Attachments Form

The [Department of Education Abstract Form]{.underline} is where you
attach your project abstract.

The [Project Narrative Attachment Form]{.underline} is where you address
the selection criteria that reviewers use to evaluate your application.
As a guide for reviewers, applicants are encouraged to label each
section in the narrative by its associated criterion. **You must limit
the project narrative to no more than 40 double-spaced pages.
Applications that exceed the page limit will not be considered for
funding and will be returned to the applicant.** A page is 8.5 inches by
11 inches, on one side only, with 1-inch margins at the top, bottom, and
both sides. Double space all text in the application narrative,
including titles, headings, footnotes, quotations, references, and
captions, as well as all text in charts, tables, figures and graphs. Use
a font that is 12 point or larger. The page limits do not apply to the
Budget Summary Form and Narrative; other application forms attached in
the "Other Attachments Form" section; or the assurances and
certifications. We will reject your application if you do not apply
these standards and exceed the page limit.

The "[Other Attachments Form]{.underline}" is where you attach curricula
vitae of key personnel, position descriptions for proposed personnel for
the project, Students to be Served Form, Budget Summary Form, Detailed
Budget Narrative, Applicant Organization Identification Form and Cost
Share Worksheet, Partner Identification Form and Cost Share Worksheet
(for each partner), Waiver Request (if applicable), Governor's Letter,
and Documentation of Student Eligibility for Free & Reduced-Priced
Lunch.

Applicants should copy and paste these forms from this document (the
application package) into Microsoft Word and save the new documents
(separate files) as either a .DOC (document) .RTF (rich text) or .PDF
(Portable Document) file in landscape format. These forms can be found
in the "FORMS" section of the application package. **[DO NOT MODIFY OR
CHANGE THE CONTENTS IN ANY WAY]{.underline}**. Once the forms have been
completed, the applicant must attach the documents (separate files) to
the "Other Attachments Form" in the Grants.gov system.

**Please note there is no specific form or format for the Detailed
Budget Narrative and Documentation of Student Eligibility for Free &
Reduced-Priced Lunch.** This information also has to be saved as a
Microsoft Word document, per instructions above, and attached (separate
files) to the "Other Attachments Form" in the Grants.gov system.

**[Part III]{.underline}: Assurances, Certifications, and Survey Forms**

GEPA Section 427 Requirement

Assurances -- Non-Construction Programs (SF 424B)

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

Disclosure of Lobbying Activities (SF-LLL)

> Survey on Ensuring Equal Opportunity for Applicants

**APPLICATION** **FORMS/INSTRUCTIONS**

**GEPA SECTION 427 REQUIREMENT:** Section 427 of the General Education
Provisions Act (GEPA) requires each applicant to include in its
application a description of proposed steps to ensure equitable access
to, and participation in, its Federally-assisted program. The statute,
which allows applicants discretion in developing the required
description, highlights six types of barriers that can impede equitable
access or participation: gender, race, national origin, color,
disability, or age. You may use local circumstances to determine the
extent to which these or other barriers prevent equitable participation
by students, teachers, parents or other community members. Your
description need not be lengthy, but it should include a clear and
succinct description of how you plan to address those barriers that are
applicable to your circumstances, and it should support the discussion
of similar issues in the narrative section of the application.

**STANDARD FORM 424B, ASSURANCES-NON-CONSTRUCTION PROGRAM:** Applicants
should read each section of the form to determine which of the
assurances apply to their project.

**GRANTS.GOV LOBBYING FORM (ED 80-0013):** Applicants should refer to
the regulations cited in each section of the form to determine the
certification to which they are required to attest.

**Disclosure of Lobbying Activities (SF-LLL)**: Applicants should read
the accompanying directions before filling out this form.

**APPLICANT ORGANIZATION IDENTIFICATION FORM AND COST SHARE WORKSHEET:**
The support, contribution, and commitment of the partner serving as the
grant Applicant should be described clearly within the narrative.
Additionally, the Applicant Organization Identification Form and Cost
Share Worksheet, which clearly documents the role and contribution of
the Partnership's Applicant Organization, must be attached in the "Other
Attachments Form" section of the Grants.gov system.

**PARTNER IDENTIFICATION FORM AND COST SHARE WORKSHEET:** The support,
contributions, and commitment of each partner should be described
clearly within the narrative. Additionally, a Partner Identification
Form and Cost Share Worksheet for each member of the partnership, other
than the lead partner, which clearly documents the role and contribution
of each partner, must be attached in the "Other Attachments Forms"
section of the Grants.gov system. The total of the contributions on each
of the Cost Share Worksheets should equal the total matching dollars on
the Project Budget Summary Form.

**Students to be served:** This form presents an outline of the proposed
cohort of students to be served during the 6-year performance period.

[**BUDGET SUMMARY FORM AND NARRATIVE:** T]{.smallcaps}his form presents
a complete budget summary for each year of grant funding. Please provide
a narrative for this budget by including, ***for each year***, a
narrative for each budget line item, which explains: (1) the basis for
estimating the costs of professional personnel salaries, benefits,
project staff travel, materials and supplies, consultants and
subcontracts, indirect costs, and any projected expenditures; (2) how
the major cost items relate to the proposed activities; and (3) the
costs of evaluation. Please include travel funds to attend annual
conferences and workshops. Each trip will be for four days for up to six
persons paid for out of project funds. At these meetings, each grant
recipient will have an opportunity to strengthen its efforts by
collaborating with other grantees funded in this program and receive
technical assistance from U.S. Department of Education personnel.
Applicants are reminded that GEAR UP funds must be used to supplement,
not supplant, funds for existing programs.

SURVEY ON ENSURING EQUAL OPPORTUNITY FOR APPLICANTS: Applicants should
read the accompanying directions before filling out this form.

#### Application Transmittal Instructions

##### ATTENTION ELECTRONIC APPLICANTS: Please note that you must follow the Application Procedures as described in the [Federal Register]{.underline} notice announcing the grant competition. 

##### [This program requires the electronic submission of]{.underline} applications; specific requirements and waiver instructions can be found in the [Federal]{.underline} [Register]{.underline} notice. 

**According to the instructions found in the [Federal
Register]{.underline} notice, those requesting and qualifying for an
exception to the electronic submission requirement may submit an
application via mail, commercial carrier or by hand delivery.**

### 

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

### **Applications Submitted Electronically**

**You must submit your grant application through the Internet using the
software provided on the Grants.gov Web site
([http://www.grants.gov](http://www.grants.gov/)) by 4:30 p.m.
(Washington, D.C. time) on or before 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]{.underline}, or visit http://www.grants.gov.

### **Applications Delivered by Mail**

You must mail the original and two copies of your application on or
before the application deadline date to:

## 

## U.S. Department of Education 

**Application Control Center**

**Attention: (CFDA Number - 84.334A or 84.334S)**

**400 Maryland Avenue, S.W.**

**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 U. S. Secretary of
    Education

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

1.  A private metered postmark, or

2.  A mail receipt that is not dated by the U.S. Postal Services

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

Special Note: Due to potential 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; U. S. Postal Service Express Mail; or a courier
service) 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 Delivered by Mail,"
then follow the instructions for "Applications Delivered by Hand."

**[Applications Delivered by Commercial Carrier:]{.underline}**

If you use an alternative delivery method, please obtain the appropriate
proof of mailing under "Applications Sent by Mail," then follow the
instructions under the appropriate delivery method.

You must mail the original and two copies of your application on or
before the application deadline date to:

**U.S. Department of Education**

**Application Control Center -- Stop 4260**

**Attention: (CFDA Number - 84.334A or 84.334S)**

**7100 Old Landover Road**

##### Landover, MD 20785-1506

### **Applications Delivered by Hand**

You or your courier must hand deliver the original and two copies of the
application by 4:30 p.m. (Washington, D.C. time) on or before the
deadline date to the following address:

**U.S. Department of Education**

##### Application Control Center 

##### Attention: (CFDA Number - 84.334A or 84.334S)

**550 12^th^ Street, SW**

Potomac Center Plaza -- Room 7067

Washington, D.C. 20202 -- 4260

[Application Control Center Hours of Operation]{.underline}

The Application Control Center accepts application deliveries daily
between 8:00 a.m. and 4:30 p.m. (Washington, D.C. time), except
Saturdays, Sundays and Federal holidays.

**[Grant application Receipt From the Application Control
Center]{.underline}**

If you send your application by mail or if you or your courier delivers
it by hand, the Application Control Center will mail a Grant Application
Receipt Acknowledgment to you.

If you do not receive the notification of application receipt within 15
days from the mailing of the application, you should call the U.S.
Department of Education Application Control Center at (202) 245-6288.

**[Late Applications]{.underline}**

If your application is late, we will notify you that we will not
consider the application.

Notification of Award

Applicants will be notified on or around July 30, 2008 whether their
application is being funded.

Assurances and Certifications

Applications selected for funding will be required to not just submit
assurances and certifications \[i.e., Certifications Regarding Lobbying
Form; Suspension and Other Responsibility Matters; and Drug-Free
Workplace Requirements, Standard Form 424B (Assurances-Non-Construction
Programs), and Standard Form LLL (Disclosure of Lobbying Activities)\]
but sign them as well before an award is made.

**IMPORTANT NOTICE TO PROSPECTIVE PARTICIPANTS**

**IN U.S. Department of Education CONTRACT AND GRANT PROGRAMS**

**GRANTS**

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

Deadlines assure all applicants that they will be treated fairly and
equally, without last minute haste.

For these reasons, ED must set strict deadlines for grant applications.
Prospective applicants can avoid disappointment if they understand that

**Failure to meet a deadline will mean that an applicant will be
rejected**

**without any consideration whatever.**

The rules, including the deadline, for applying for each grant are
published, individually, in the Federal Register. A one-year
subscription to the Register may be obtained by sending \$340.00 to:
Superintendent of Documents, U.S. Government Printing Office,
Washington, D.C. 20402-9371. (Send check or money order only, no cash or
stamps.)

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

Questions regarding submission of applications may be addressed to:

U.S. Department of Education

Application Control Center

Washington, D.C. 20202-4725

**CONTRACTS**

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

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

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

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

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

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

Superintendent of Documents

U.S. Government Printing Office

Washington, D.C. 20402-9371

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

**ED FORM 5348, 8 \'92 REPLACES ED FORM 5348, 6 \'86, WHICH IS
OBSOLETE**

**[Intergovernmental Review of Federal Programs]{.smallcaps}**

This appendix applies to each program that is subject to the
requirements of Executive Order 12372 (Intergovernmental Review of
Federal Programs) and the regulations in 34 CFR part 79.

The objective of the Executive order is to foster an intergovernmental
partnership and to strengthen federalism by relying on State and local
processes for State and local government 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 of those
States under the Executive order. You can find a list of the Single
Point of Contact for each State at
<http://www.whitehouse.gov/omb/grants/spoc.html>.

In States that have not established a process or chosen a program for
review, State, areawide, 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, areawide, regional,
and local entities must be mailed or hand-delivered by the date
indicated in the actual application notice to the following address: The
Secretary, EO 12372\--CFDA# \[commenter must insert number\--including
suffix letter, if any\], U.S. Department of Education, room
[7W301]{.underline}, 400 Maryland Avenue, SW., Washington, DC 20202.

Proof of mailing will be determined on the same basis as applications
(see 34 CFR 75.102). Recommendations or comments may be hand-delivered
until 4:30 p.m. (Washington, DC time) on the date indicated in the
actual application notice.

> PLEASE NOTE THAT THE ABOVE ADDRESS IS NOT THE SAME ADDRESS AS THE ONE
> TO WHICH THE APPLICANT SUBMITS ITS COMPLETED APPLICATION. [DO NOT SEND
> APPLICATIONS TO THE ABOVE ADDRESS]{.underline}.

**[Notice to All Applicants:]{.smallcaps}**

The Government Performance and Results Act (GPRA)

**What is GPRA?**

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

##### How has the Department of Education Responded to the GPRA Requirements?

As required by GPRA, the Department of Education has prepared a
strategic plan for 2007‑2012. This plan reflects the Department\'s
priorities and integrates them with its mission and program authorities
and describes how the department will work to improve education for all
children and adults in the United States. The Department\'s goals, as
listed in the plan, are:

**Goal 1:** Increase student achievement, reward qualified teachers, and
renew troubled schools so that every student can read and do math at
grade level by 2014, as called for by the No Child Left Behind Act.

**Goal 2:** Encourage more rigorous and advanced coursework to improve
the academic performance of our middle and high school students.

**Goal 3:** Work with colleges and universities to improve access,
affordability, and accountability, so that our higher education system
remains the world's finest.

##### What are the Performance Indicators for the GEAR UP Program?

The Department's specific goal for the GEAR UP Program is: "to
significantly increase the number of low-income students who are
prepared to enter and succeed in post-secondary education."

**Objective 1:** Increase the academic performance and preparation for
post-secondary education

of GEAR UP students.

**Objective 2:** Increase the rate of high school graduation and
participation in post-secondary

education for GEAR UP students.

**Objective 3:** Increase GEAR UP students' and their families'
knowledge of post-secondary

education options, preparation and financing.

**OPE: Gaining Early Awareness and Readiness for Undergraduate Programs
(GEAR-UP)\
HEA Title IV, Part A-2, Chapter 2\
FY2006**

  ------------ -----------------------------------------------------------
  **CFDA       84.334 - Gaining Early Awareness and Readiness for
  Numbers:**   Undergraduate Programs\
               84.334A - GEAR-UP Partnership Grants\
               84.334S - GEAR-UP State Grants

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

  -----------------------------------------------------------------------
  **Program Goal: To significantly increase the number of low-income
  students who are prepared to enter and succeed in postsecondary
  education.**

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

  -----------------------------------------------------------------------
  **Objective 8.1 of 3: Increase the academic performance and preparation
  for postsecondary education of GEAR UP students.**

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

+-----------------------------------+-------------------+--------------+
| **Indicator 8.1.1 of 1:           |                   |              |
| Completion of academically        |                   |              |
| challenging curricula: The        |                   |              |
| percentage of GEAR UP students    |                   |              |
| who passed prealgebra by the end  |                   |              |
| of the 7th grade and Algebra 1 by |                   |              |
| the end of the 9th grade.**       |                   |              |
+-----------------------------------+-------------------+--------------+
| Targets and Performance Data      | Assessment of     | Sources and  |
|                                   | Progress          | Data Quality |
+-----------------------------------+-------------------+--------------+
| +-----+------------+----------+   | **Explanation:**  | **Additional |
| | *   |            |          |   | Historical        | Source       |
| | The |            |          |   | performance data  | In           |
| | p   |            |          |   | through 2002 show | formation:** |
| | erc |            |          |   | the percentages   | Annual       |
| | ent |            |          |   | of GEAR UP        | program      |
| | age |            |          |   | students who were | performance  |
| | of  |            |          |   | enrolled in       | reports and  |
| | G   |            |          |   | prealgebra by the | program      |
| | EAR |            |          |   | end of the 7th    | evaluation   |
| | UP  |            |          |   | grade. Data for   | study.\      |
| | st  |            |          |   | 2003 reflect the  | \            |
| | ude |            |          |   | percentage of     | **           |
| | nts |            |          |   | GEAR UP students  | Frequency:** |
| | who |            |          |   | who were enrolled | Annually.\   |
| | pas |            |          |   | in prealgebra by  | **Collection |
| | sed |            |          |   | the end of the    | Period:**    |
| | p   |            |          |   | 7th grade and in  | 2004 - 2005\ |
| | rea |            |          |   | Algebra 1 by the  | **Data       |
| | lge |            |          |   | end of the 9th    | Available:** |
| | bra |            |          |   | grade. Data       | December     |
| | by  |            |          |   | beginning in 2004 | 2005\        |
| | the |            |          |   | are collected on  | **Validated  |
| | end |            |          |   | successful        | By:** No     |
| | of  |            |          |   | completion of     | Formal       |
| | the |            |          |   | core academic     | Ve           |
| | 7th |            |          |   | subjects and      | rification.\ |
| | gr  |            |          |   | other college     | GEAR UP      |
| | ade |            |          |   | preparatory       | staff review |
| | and |            |          |   | courses.          | performance  |
| | the |            |          |   | Standards to      | report data  |
| | p   |            |          |   | enter and         | for quality, |
| | erc |            |          |   | complete above    | clarity, and |
| | ent |            |          |   | grade-level math  | consistency  |
| | age |            |          |   | courses (such as  | and to       |
| | of  |            |          |   | prealgebra and    | assess       |
| | G   |            |          |   | Algebra I for 7th | extent to    |
| | EAR |            |          |   | graders) are      | which        |
| | UP  |            |          |   | becoming more     | project      |
| | st  |            |          |   | rigorous. This    | objectives   |
| | ude |            |          |   | practice may      | are being    |
| | nts |            |          |   | limit the         | ac           |
| | who |            |          |   | percentage of     | complished.\ |
| | pas |            |          |   | students in many  | \            |
| | sed |            |          |   | schools served by |              |
| | A   |            |          |   | GEAR UP who are   |              |
| | lge |            |          |   | entering and      |              |
| | bra |            |          |   | completing such   |              |
| | 1   |            |          |   | courses. Data for |              |
| | by  |            |          |   | each year were    |              |
| | the |            |          |   | obtained from the |              |
| | end |            |          |   | GEAR UP annual    |              |
| | of  |            |          |   | performance       |              |
| | the |            |          |   | reports. For      |              |
| | 9th |            |          |   | example: data for |              |
| | g   |            |          |   | year 2004 were    |              |
| | rad |            |          |   | obtained from the |              |
| | e.* |            |          |   | GEAR UP Annual    |              |
| +-----+------------+----------+   | Performance       |              |
| | **  | **Actual   | **Per    |   | Report covering   |              |
| | Yea | Per        | formance |   | April 2003 -      |              |
| | r** | formance** | T        |   | March 2004.       |              |
| |     |            | argets** |   |                   |              |
| +-----+------------+----------+   |                   |              |
| |     |   --       |   ------ |   |                   |              |
| |     | ---------- | ------ - |   |                   |              |
| |     |  --------- | -------- |   |                   |              |
| |     |   Pr       |   Prealg |   |                   |              |
| |     | ealgebra   | ebra   A |   |                   |              |
| |     |  Algebra 1 | lgebra 1 |   |                   |              |
| |     |            |          |   |                   |              |
| |     |   --       |   ------ |   |                   |              |
| |     | ---------- | ------ - |   |                   |              |
| |     |  --------- | -------- |   |                   |              |
| +-----+------------+----------+   |                   |              |
| | **  |   ---- --- |          |   |                   |              |
| | 200 |   18       |  --- --- |   |                   |              |
| | 1** |            |          |   |                   |              |
| |     |   ---- --- |          |   |                   |              |
| |     |            |          |   |                   |              |
| |     |            |  --- --- |   |                   |              |
| +-----+------------+----------+   |                   |              |
| | **  |   ---- --- |          |   |                   |              |
| | 200 |   18       |  --- --- |   |                   |              |
| | 2** |            |          |   |                   |              |
| |     |   ---- --- |          |   |                   |              |
| |     |            |          |   |                   |              |
| |     |            |  --- --- |   |                   |              |
| +-----+------------+----------+   |                   |              |
| | **  |            |   -      |   |                   |              |
| | 200 |  ---- ---- | --- ---- |   |                   |              |
| | 3** |   22   30  |          |   |                   |              |
| |     |            |  19   19 |   |                   |              |
| |     |            |          |   |                   |              |
| |     |  ---- ---- |   -      |   |                   |              |
| |     |            | --- ---- |   |                   |              |
| +-----+------------+----------+   |                   |              |
| | **  |            |   -      |   |                   |              |
| | 200 |  ---- ---- | --- ---- |   |                   |              |
| | 4** |   29   21  |          |   |                   |              |
| |     |            |  20   20 |   |                   |              |
| |     |            |          |   |                   |              |
| |     |  ---- ---- |   -      |   |                   |              |
| |     |            | --- ---- |   |                   |              |
| +-----+------------+----------+   |                   |              |
| | **  |   --- ---  |   -      |   |                   |              |
| | 200 |            | --- ---- |   |                   |              |
| | 5** |            |          |   |                   |              |
| |     |   --- ---  |  25   50 |   |                   |              |
| |     |            |          |   |                   |              |
| |     |            |   -      |   |                   |              |
| |     |            | --- ---- |   |                   |              |
| +-----+------------+----------+   |                   |              |
| | **  |   --- ---  |   -      |   |                   |              |
| | 200 |            | --- ---- |   |                   |              |
| | 6** |            |          |   |                   |              |
| |     |   --- ---  |  30   22 |   |                   |              |
| |     |            |          |   |                   |              |
| |     |            |   -      |   |                   |              |
| |     |            | --- ---- |   |                   |              |
| +-----+------------+----------+   |                   |              |
| | **  |   --- ---  |   -      |   |                   |              |
| | 200 |            | --- ---- |   |                   |              |
| | 7** |            |          |   |                   |              |
| |     |   --- ---  |  35   23 |   |                   |              |
| |     |            |          |   |                   |              |
| |     |            |   -      |   |                   |              |
| |     |            | --- ---- |   |                   |              |
| +-----+------------+----------+   |                   |              |
+-----------------------------------+-------------------+--------------+

  -----------------------------------------------------------------------
  **Objective 8.2 of 3: Increase the rate of high school graduation and
  enrollment in postsecondary education of GEAR UP students.**

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

+-----------------------------------+-------------------+--------------+
| **Indicator 8.2.1 of 1: High      |                   |              |
| school graduation and enrollment  |                   |              |
| in postsecondary education: GEAR  |                   |              |
| UP students will have high rates  |                   |              |
| of high school graduation and     |                   |              |
| postsecondary education           |                   |              |
| enrollment.**                     |                   |              |
+-----------------------------------+-------------------+--------------+
| Targets and Performance Data      | Assessment of     | Sources and  |
|                                   | Progress          | Data Quality |
+-----------------------------------+-------------------+--------------+
| +-----+------------+---------+    | **Explanation:**  | **Additional |
| | *   |            |         |    | Data will be      | Source       |
| | The |            |         |    | collected in      | In           |
| | p   |            |         |    | future years on   | formation:** |
| | erc |            |         |    | GEAR UP           | Annual       |
| | ent |            |         |    | students\' high   | program      |
| | age |            |         |    | school completion | performance  |
| | of  |            |         |    | and postsecondary | reports and  |
| | G   |            |         |    | education         | program      |
| | EAR |            |         |    | enrollment. The   | evaluation   |
| | UP  |            |         |    | long term goal    | study.\      |
| | st  |            |         |    | for the           | \            |
| | ude |            |         |    | percentage of     | **           |
| | nts |            |         |    | GEAR UP students  | Frequency:** |
| | who |            |         |    | who have          | Annually.\   |
| | gra |            |         |    | completed high    | **Collection |
| | dua |            |         |    | school is 74.5%   | Period:**    |
| | ted |            |         |    | in 2010, and the  | 2007 - 2008\ |
| | f   |            |         |    | long term goal    | **Data       |
| | rom |            |         |    | for the           | Available:** |
| | h   |            |         |    | percentage of     | December     |
| | igh |            |         |    | former GEAR UP    | 2008\        |
| | sc  |            |         |    | students who are  | **Validated  |
| | hoo |            |         |    | enrolled in       | By:** No     |
| | l.* |            |         |    | college is 66.5   | Formal       |
| +-----+------------+---------+    | in 2010.          | Ve           |
| | **  | **Actual   | **Perf  |    |                   | rification.\ |
| | Yea | Per        | ormance |    |                   | GEAR UP      |
| | r** | formance** | Ta      |    |                   | staff review |
| |     |            | rgets** |    |                   | performance  |
| +-----+------------+---------+    |                   | report data  |
| | **  |   -------  |   ----  |    |                   | for quality, |
| | 200 |            |   73    |    |                   | clarity, and |
| | 7** |            |         |    |                   | consistency  |
| |     |   -------  |   ----  |    |                   | and to       |
| +-----+------------+---------+    |                   | assess       |
| | **  |   -------  |         |    |                   | extent to    |
| | 200 |            | ------- |    |                   | which        |
| | 8** |            |   73.50 |    |                   | project      |
| |     |   -------  |         |    |                   | objectives   |
| |     |            |         |    |                   | are being    |
| |     |            | ------- |    |                   | ac           |
| +-----+------------+---------+    |                   | complished.\ |
| | **  |   -------  |   ----  |    |                   | \            |
| | 200 |            |   74    |    |                   |              |
| | 9** |            |         |    |                   |              |
| |     |   -------  |   ----  |    |                   |              |
| +-----+------------+---------+    |                   |              |
| | **  |   -------  |         |    |                   |              |
| | 201 |            | ------- |    |                   |              |
| | 0** |            |   74.50 |    |                   |              |
| |     |   -------  |         |    |                   |              |
| |     |            |         |    |                   |              |
| |     |            | ------- |    |                   |              |
| +-----+------------+---------+    |                   |              |
|                                   |                   |              |
| +-----+------------+---------+    |                   |              |
| | *   |            |         |    |                   |              |
| | The |            |         |    |                   |              |
| | p   |            |         |    |                   |              |
| | erc |            |         |    |                   |              |
| | ent |            |         |    |                   |              |
| | age |            |         |    |                   |              |
| | of  |            |         |    |                   |              |
| | for |            |         |    |                   |              |
| | mer |            |         |    |                   |              |
| | G   |            |         |    |                   |              |
| | EAR |            |         |    |                   |              |
| | UP  |            |         |    |                   |              |
| | st  |            |         |    |                   |              |
| | ude |            |         |    |                   |              |
| | nts |            |         |    |                   |              |
| | who |            |         |    |                   |              |
| | are |            |         |    |                   |              |
| | en  |            |         |    |                   |              |
| | rol |            |         |    |                   |              |
| | led |            |         |    |                   |              |
| | in  |            |         |    |                   |              |
| | col |            |         |    |                   |              |
| | leg |            |         |    |                   |              |
| | e.* |            |         |    |                   |              |
| +-----+------------+---------+    |                   |              |
| | **  | **Actual   | **Perf  |    |                   |              |
| | Yea | Per        | ormance |    |                   |              |
| | r** | formance** | Ta      |    |                   |              |
| |     |            | rgets** |    |                   |              |
| +-----+------------+---------+    |                   |              |
| | **  |   -------  |   ----  |    |                   |              |
| | 200 |            |   65    |    |                   |              |
| | 7** |            |         |    |                   |              |
| |     |   -------  |   ----  |    |                   |              |
| +-----+------------+---------+    |                   |              |
| | **  |   -------  |         |    |                   |              |
| | 200 |            | ------- |    |                   |              |
| | 8** |            |   65.50 |    |                   |              |
| |     |   -------  |         |    |                   |              |
| |     |            |         |    |                   |              |
| |     |            | ------- |    |                   |              |
| +-----+------------+---------+    |                   |              |
| | **  |   -------  |   ----  |    |                   |              |
| | 200 |            |   66    |    |                   |              |
| | 9** |            |         |    |                   |              |
| |     |   -------  |   ----  |    |                   |              |
| +-----+------------+---------+    |                   |              |
| | **  |   -------  |         |    |                   |              |
| | 201 |            | ------- |    |                   |              |
| | 0** |            |   66.50 |    |                   |              |
| |     |   -------  |         |    |                   |              |
| |     |            |         |    |                   |              |
| |     |            | ------- |    |                   |              |
| +-----+------------+---------+    |                   |              |
+-----------------------------------+-------------------+--------------+

  -----------------------------------------------------------------------
  **Objective 8.3 of 3: Increase GEAR UP students\' and their families\'
  knowledge of postsecondary education options, preparation, and
  financing.**

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

+-----------------------------------+-------------------+--------------+
| **Indicator 8.3.1 of 2: Knowledge |                   |              |
| of postsecondary education: GEAR  |                   |              |
| UP students and their families    |                   |              |
| who report having knowledge of    |                   |              |
| available financial aid and       |                   |              |
| necessary academic preparation    |                   |              |
| for college.**                    |                   |              |
+-----------------------------------+-------------------+--------------+
| Targets and Performance Data      | Assessment of     | Sources and  |
|                                   | Progress          | Data Quality |
+-----------------------------------+-------------------+--------------+
| +-----+------------+---------+    | **Explanation:**  | **Additional |
| | *   |            |         |    | Data reflect the  | Source       |
| | The |            |         |    | percentages of    | In           |
| | p   |            |         |    | GEAR UP students  | formation:** |
| | erc |            |         |    | and their parents | Annual       |
| | ent |            |         |    | who have talked   | program      |
| | age |            |         |    | to school         | performance  |
| | of  |            |         |    | counselors,       | reports and  |
| | p   |            |         |    | advisors, or      | program      |
| | are |            |         |    | someone else      | evaluation   |
| | nts |            |         |    | about academic    | study.\      |
| | of  |            |         |    | preparation for   | \            |
| | G   |            |         |    | college and       | **           |
| | EAR |            |         |    | college entrance  | Frequency:** |
| | UP  |            |         |    | requirements as   | Annually.\   |
| | st  |            |         |    | well as the       | **Collection |
| | ude |            |         |    | percentages of    | Period:**    |
| | nts |            |         |    | GEAR UP           | 2004 - 2005\ |
| | who |            |         |    | students\'        | **Data       |
| | h   |            |         |    | parents who have  | Available:** |
| | ave |            |         |    | talked to school  | December     |
| | kno |            |         |    | counselors,       | 2005\        |
| | wle |            |         |    | advisors, or      | **Validated  |
| | dge |            |         |    | someone else      | By:** No     |
| | of  |            |         |    | about             | Formal       |
| | ava |            |         |    | availability of   | Ve           |
| | ila |            |         |    | financial         | rification.\ |
| | ble |            |         |    | assistance. Data  | GEAR UP      |
| | fin |            |         |    | will continue to  | staff review |
| | anc |            |         |    | be collected on   | performance  |
| | ial |            |         |    | students\' and    | report data  |
| | ai  |            |         |    | parents\'         | for quality, |
| | d.* |            |         |    | knowledge of      | clarity, and |
| +-----+------------+---------+    | postsecondary     | consistency  |
| | **  | **Actual   | **Perf  |    | education         | and to       |
| | Yea | Per        | ormance |    | entrance          | assess       |
| | r** | formance** | Ta      |    | requirements,     | extent to    |
| |     |            | rgets** |    | costs of          | which        |
| +-----+------------+---------+    | attendance, and   | project      |
| |     |            |   ---   |    | financial aid     | objectives   |
| |     | ---------- | ------- |    | opportunities.    | are being    |
| |     |   Parents: |   P     |    |                   | ac           |
| |     |   Aid      | arents: |    |                   | complished.\ |
| |     |            |   Aid   |    |                   | \            |
| |     |            |         |    |                   |              |
| |     | ---------- |   ---   |    |                   |              |
| |     |            | ------- |    |                   |              |
| +-----+------------+---------+    |                   |              |
| | **  |   -------  |   ----  |    |                   |              |
| | 200 |   24       |         |    |                   |              |
| | 1** |            |         |    |                   |              |
| |     |   -------  |   ----  |    |                   |              |
| +-----+------------+---------+    |                   |              |
| | **  |   -------  |   ----  |    |                   |              |
| | 200 |   31       |         |    |                   |              |
| | 2** |            |         |    |                   |              |
| |     |   -------  |   ----  |    |                   |              |
| +-----+------------+---------+    |                   |              |
| | **  |   -------  |   ----  |    |                   |              |
| | 200 |   35       |   32    |    |                   |              |
| | 3** |            |         |    |                   |              |
| |     |   -------  |   ----  |    |                   |              |
| +-----+------------+---------+    |                   |              |
| | **  |   -------  |   ----  |    |                   |              |
| | 200 |   34       |   33    |    |                   |              |
| | 4** |            |         |    |                   |              |
| |     |   -------  |   ----  |    |                   |              |
| +-----+------------+---------+    |                   |              |
| | **  |   -------  |   ----  |    |                   |              |
| | 200 |            |   35    |    |                   |              |
| | 5** |            |         |    |                   |              |
| |     |   -------  |   ----  |    |                   |              |
| +-----+------------+---------+    |                   |              |
| | **  |   -------  |   ----  |    |                   |              |
| | 200 |            |   37    |    |                   |              |
| | 6** |            |         |    |                   |              |
| |     |   -------  |   ----  |    |                   |              |
| +-----+------------+---------+    |                   |              |
| | **  |   -------  |   ----  |    |                   |              |
| | 200 |            |   38    |    |                   |              |
| | 7** |            |         |    |                   |              |
| |     |   -------  |   ----  |    |                   |              |
| +-----+------------+---------+    |                   |              |
|                                   |                   |              |
| +-----+------------+---------+    |                   |              |
| | *   |            |         |    |                   |              |
| | The |            |         |    |                   |              |
| | p   |            |         |    |                   |              |
| | erc |            |         |    |                   |              |
| | ent |            |         |    |                   |              |
| | age |            |         |    |                   |              |
| | of  |            |         |    |                   |              |
| | G   |            |         |    |                   |              |
| | EAR |            |         |    |                   |              |
| | UP  |            |         |    |                   |              |
| | st  |            |         |    |                   |              |
| | ude |            |         |    |                   |              |
| | nts |            |         |    |                   |              |
| | and |            |         |    |                   |              |
| | th  |            |         |    |                   |              |
| | eir |            |         |    |                   |              |
| | fa  |            |         |    |                   |              |
| | mil |            |         |    |                   |              |
| | ies |            |         |    |                   |              |
| | who |            |         |    |                   |              |
| | h   |            |         |    |                   |              |
| | ave |            |         |    |                   |              |
| | kno |            |         |    |                   |              |
| | wle |            |         |    |                   |              |
| | dge |            |         |    |                   |              |
| | of  |            |         |    |                   |              |
| | nec |            |         |    |                   |              |
| | ess |            |         |    |                   |              |
| | ary |            |         |    |                   |              |
| | ac  |            |         |    |                   |              |
| | ade |            |         |    |                   |              |
| | mic |            |         |    |                   |              |
| | pr  |            |         |    |                   |              |
| | epa |            |         |    |                   |              |
| | rat |            |         |    |                   |              |
| | ion |            |         |    |                   |              |
| | for |            |         |    |                   |              |
| | col |            |         |    |                   |              |
| | leg |            |         |    |                   |              |
| | e.* |            |         |    |                   |              |
| +-----+------------+---------+    |                   |              |
| | **  | **Actual   | **Perf  |    |                   |              |
| | Yea | Per        | ormance |    |                   |              |
| | r** | formance** | Ta      |    |                   |              |
| |     |            | rgets** |    |                   |              |
| +-----+------------+---------+    |                   |              |
| |     |   --       |   -     |    |                   |              |
| |     | ---------  | ------- |    |                   |              |
| |     | ---------- | --- --- |    |                   |              |
| |     |            | ------- |    |                   |              |
| |     | Students:  |         |    |                   |              |
| |     |   Parents: |  Studen |    |                   |              |
| |     |   Prep     | ts:   P |    |                   |              |
| |     |       Prep | arents: |    |                   |              |
| |     |            |   Pr    |    |                   |              |
| |     |   --       | ep      |    |                   |              |
| |     | ---------  |    Prep |    |                   |              |
| |     | ---------- |         |    |                   |              |
| |     |            |   -     |    |                   |              |
| |     |            | ------- |    |                   |              |
| |     |            | --- --- |    |                   |              |
| |     |            | ------- |    |                   |              |
| +-----+------------+---------+    |                   |              |
| | **  |            |         |    |                   |              |
| | 200 |  ---- ---- | --- --- |    |                   |              |
| | 1** |   50   31  |         |    |                   |              |
| |     |            |         |    |                   |              |
| |     |            |         |    |                   |              |
| |     |  ---- ---- | --- --- |    |                   |              |
| +-----+------------+---------+    |                   |              |
| | **  |            |         |    |                   |              |
| | 200 |  ---- ---- | --- --- |    |                   |              |
| | 2** |   53   39  |         |    |                   |              |
| |     |            |         |    |                   |              |
| |     |            |         |    |                   |              |
| |     |  ---- ---- | --- --- |    |                   |              |
| +-----+------------+---------+    |                   |              |
| | **  |            |   --    |    |                   |              |
| | 200 |  ---- ---- | -- ---- |    |                   |              |
| | 3** |   57   43  |         |    |                   |              |
| |     |            | 54   40 |    |                   |              |
| |     |            |         |    |                   |              |
| |     |  ---- ---- |   --    |    |                   |              |
| |     |            | -- ---- |    |                   |              |
| +-----+------------+---------+    |                   |              |
| | **  |            |   --    |    |                   |              |
| | 200 |  ---- ---- | -- ---- |    |                   |              |
| | 4** |   62   42  |         |    |                   |              |
| |     |            | 56   42 |    |                   |              |
| |     |            |         |    |                   |              |
| |     |  ---- ---- |   --    |    |                   |              |
| |     |            | -- ---- |    |                   |              |
| +-----+------------+---------+    |                   |              |
| | **  |   --- ---  |   --    |    |                   |              |
| | 200 |            | -- ---- |    |                   |              |
| | 5** |            |         |    |                   |              |
| |     |   --- ---  | 61   46 |    |                   |              |
| |     |            |         |    |                   |              |
| |     |            |   --    |    |                   |              |
| |     |            | -- ---- |    |                   |              |
| +-----+------------+---------+    |                   |              |
| | **  |   --- ---  |   --    |    |                   |              |
| | 200 |            | -- ---- |    |                   |              |
| | 6** |            |         |    |                   |              |
| |     |   --- ---  | 66   47 |    |                   |              |
| |     |            |         |    |                   |              |
| |     |            |   --    |    |                   |              |
| |     |            | -- ---- |    |                   |              |
| +-----+------------+---------+    |                   |              |
| | **  |   --- ---  |   --    |    |                   |              |
| | 200 |            | -- ---- |    |                   |              |
| | 7** |            |         |    |                   |              |
| |     |   --- ---  | 75   48 |    |                   |              |
| |     |            |         |    |                   |              |
| |     |            |   --    |    |                   |              |
| |     |            | -- ---- |    |                   |              |
| +-----+------------+---------+    |                   |              |
+-----------------------------------+-------------------+--------------+
| **Indicator 8.3.2 of 2: Effciency |                   |              |
| measure: Cost per successful      |                   |              |
| outcome**                         |                   |              |
+-----------------------------------+-------------------+--------------+
| Targets and Performance Data      | Assessment of     | Sources and  |
|                                   | Progress          | Data Quality |
+-----------------------------------+-------------------+--------------+
| +-----+------------+---------+    | **Explanation:**  | **Additional |
| | *   |            |         |    | In school year    | Source       |
| | The |            |         |    | 2007-2008, the    | In           |
| | a   |            |         |    | program will      | formation:** |
| | ver |            |         |    | begin to collect  | Annual       |
| | age |            |         |    | data on college   | program      |
| | c   |            |         |    | enrollment rates, | performance  |
| | ost |            |         |    | which will be     | reports,     |
| | (f  |            |         |    | reported by       | program      |
| | ede |            |         |    | December 2008.    | evaluation   |
| | ral |            |         |    | The FY 2008       | study, and   |
| | fun |            |         |    | target is to      | Grants       |
| | ds) |            |         |    | establish a       | Ad           |
| | per |            |         |    | baseline.         | ministration |
| | G   |            |         |    |                   | and Payment  |
| | EAR |            |         |    |                   | System       |
| | UP  |            |         |    |                   | (GAPS)\      |
| | s   |            |         |    |                   | \            |
| | tud |            |         |    |                   | **           |
| | ent |            |         |    |                   | Frequency:** |
| | who |            |         |    |                   | Annually.\   |
| | im  |            |         |    |                   | **Collection |
| | med |            |         |    |                   | Period:**    |
| | iat |            |         |    |                   | 2007 - 2008\ |
| | ely |            |         |    |                   | **Data       |
| | e   |            |         |    |                   | Available:** |
| | nro |            |         |    |                   | December     |
| | lls |            |         |    |                   | 2008\        |
| | in  |            |         |    |                   | **Validated  |
| | c   |            |         |    |                   | By:** No     |
| | oll |            |         |    |                   | Formal       |
| | ege |            |         |    |                   | Ve           |
| | af  |            |         |    |                   | rification.\ |
| | ter |            |         |    |                   | GEAR UP      |
| | h   |            |         |    |                   | staff review |
| | igh |            |         |    |                   | performance  |
| | sch |            |         |    |                   | report data  |
| | ool |            |         |    |                   | for quality, |
| | gra |            |         |    |                   | clarity, and |
| | dua |            |         |    |                   | consistency  |
| | tio |            |         |    |                   | and to       |
| | n.* |            |         |    |                   | assess       |
| +-----+------------+---------+    |                   | extent to    |
| | **  | **Actual   | **Perf  |    |                   | which        |
| | Yea | Per        | ormance |    |                   | project      |
| | r** | formance** | Ta      |    |                   | objectives   |
| |     |            | rgets** |    |                   | are being    |
| +-----+------------+---------+    |                   | ac           |
| | **  |   -------  |   ----- |    |                   | complished.\ |
| | 200 |            |   999   |    |                   | \            |
| | 8** |            |         |    |                   |              |
| |     |   -------  |   ----- |    |                   |              |
| +-----+------------+---------+    |                   |              |
+-----------------------------------+-------------------+--------------+

  ----------------------------------- -----------------------------------
  Source: 2006PM                      11/09/2005   01:20 PM

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

**Contact Information**

+-----------------------------------------------------------------------+
| **Director of the Teacher and Student**                               |
|                                                                       |
| **Development Service**                                               |
|                                                                       |
| ##### James Davis                                                     |
|                                                                       |
| **GEAR UP Team Leader**                                               |
|                                                                       |
| Karmon Simms-Coates                                                   |
|                                                                       |
| **Program Staff**                                                     |
|                                                                       |
| Marie Buker Francesca Paris-Albertson                                 |
|                                                                       |
| Ann McNeal Sylvia Ross                                                |
|                                                                       |
| Pariece Wilkins                                                       |
|                                                                       |
| Angela Oliphant                                                       |
+-----------------------------------------------------------------------+

+-----------------------------------------------------------------------+
| ##### Gaining Early Awareness and                                     |
|                                                                       |
| ##### Readiness for Undergraduate Programs                            |
+-----------------------------------------------------------------------+
| U.S. Department of Education                                          |
|                                                                       |
| 1990 K Street N.W., Rm 6101                                           |
|                                                                       |
| Washington, DC 20006-8524                                             |
|                                                                       |
| Phone: 202-502-7676                                                   |
|                                                                       |
| Fax: 202-502-7675                                                     |
|                                                                       |
| Web Page: http://www.ed.gov/programs/gearup                           |
+-----------------------------------------------------------------------+

**Application Package Checklist**

+-----------------------------------------------------------------------+
| **The Application:**                                                  |
|                                                                       |
| -   SF-424 and Supplemental Forms                                     |
|                                                                       |
| -   Budget Summary Form                                               |
|                                                                       |
| -   Detailed Budget Narrative                                         |
|                                                                       |
| -   Students to be Served Form                                        |
|                                                                       |
| -   Abstract (one page maximum)                                       |
|                                                                       |
| -   Narrative (40 page maximum)                                       |
|                                                                       |
| -   Applicant Organization Identification Form and Cost Share         |
|     Worksheet                                                         |
|                                                                       |
| -   Partner Identification Form and Cost Share Worksheet              |
|                                                                       |
| -   Documentation of Student Eligibility for Free & Reduced -- Priced |
|     Lunch                                                             |
|                                                                       |
| -   Equitable Access and Participation (GEPA)                         |
|                                                                       |
| -   Governor's Letter                                                 |
|                                                                       |
| -   Scholarship Waiver Request (if applicable)                        |
|                                                                       |
| -   Grants.gov Lobbying Form (formerly 80-0013)                       |
|                                                                       |
| -   Standard Form 424B                                                |
|                                                                       |
| -   Standard Form LLL                                                 |
|                                                                       |
| -   Survey on Ensuring Equal Opportunity for Applicants               |
+-----------------------------------------------------------------------+

[A]{.smallcaps}pproved by OMB 1840-0740

**[Students To Be Served Form]{.smallcaps}**

# 

# For *all* Partnership Grants using a cohort approach:

+----------------+-------+--------+--------+-------+--------+--------+
| ##             | *     | **YEAR | **YEAR | *     | **YEAR | **YEAR |
|                | *YEAR | 2**    | 3**    | *YEAR | 5**    | 6**    |
|                | 1**   |        |        | 4**   |        |        |
+----------------+-------+--------+--------+-------+--------+--------+
| Kindergarten   |       |        |        |       |        |        |
+----------------+-------+--------+--------+-------+--------+--------+
| 1^st^          |       |        |        |       |        |        |
+----------------+-------+--------+--------+-------+--------+--------+
| 2^nd^          |       |        |        |       |        |        |
+----------------+-------+--------+--------+-------+--------+--------+
| 3^rd^          |       |        |        |       |        |        |
+----------------+-------+--------+--------+-------+--------+--------+
| 4^th^          |       |        |        |       |        |        |
+----------------+-------+--------+--------+-------+--------+--------+
| 5^th^          |       |        |        |       |        |        |
+----------------+-------+--------+--------+-------+--------+--------+
| 6^th^          |       |        |        |       |        |        |
+----------------+-------+--------+--------+-------+--------+--------+
| 7^th^          |       |        |        |       |        |        |
+----------------+-------+--------+--------+-------+--------+--------+
| 8^th^          |       |        |        |       |        |        |
+----------------+-------+--------+--------+-------+--------+--------+
| 9^th^          |       |        |        |       |        |        |
+----------------+-------+--------+--------+-------+--------+--------+
| 10^th^         |       |        |        |       |        |        |
+----------------+-------+--------+--------+-------+--------+--------+
| 11^th^         |       |        |        |       |        |        |
+----------------+-------+--------+--------+-------+--------+--------+
| 12^th^         |       |        |        |       |        |        |
+----------------+-------+--------+--------+-------+--------+--------+
| Total Students |       |        |        |       |        |        |
| Served         |       |        |        |       |        |        |
+----------------+-------+--------+--------+-------+--------+--------+

**For *all* Partnership Grants using a cohort approach:**

+--------------------------------------+-------------------------------+
| # Target School(s)                   | # Grade le                    |
|                                      | vels offered in the school(s) |
+--------------------------------------+-------------------------------+
| #                                    | #                             |
+--------------------------------------+-------------------------------+
| #                                    | #                             |
+--------------------------------------+-------------------------------+
| #                                    | #                             |
+--------------------------------------+-------------------------------+
| #                                    | #                             |
+--------------------------------------+-------------------------------+
| #                                    | #                             |
+--------------------------------------+-------------------------------+
| #                                    | #                             |
+--------------------------------------+-------------------------------+

**For Partnerships using a *school-based* cohort approach:**

Are at least 50% of all the students in the participating school(s) from
which the cohort(s) is drawn *eligible* for free or reduced-priced lunch
under the National School Lunch Act? \_\_\_\_Yes \_\_\_\_ No

Are at least 75% of all the students in the participating school(s) from
which the cohort(s) is drawn *and* at least 50% of all the students in
each participating school district from which the participating
school(s) are drawn *eligible* for free or reduced-priced lunch under
the National School Lunch Act? \_\_\_\_Yes \_\_\_\_ No

Approved by [OMB 1840-0740]{.smallcaps}

**[Project Budget Summary Form]{.smallcaps}**

# FEDERAL FUNDS REQUESTED FROM THE GEAR UP GRANT PROGRAM

+-----------------+------+------+------+------+------+------+-------+
| #               | **   | **   | #    | **   | **   | **   | **TO  |
| # Direct Costs: | YEAR | YEAR | #### | YEAR | YEAR | YEAR | TAL** |
|                 | 1**  | 2**  | # YE | 4**  | 5**  | 6**  |       |
|                 |      |      | AR 3 |      |      |      |       |
+-----------------+------+------+------+------+------+------+-------+
| 1\. Salaries    |      |      |      |      |      |      |       |
| and Wages       |      |      |      |      |      |      |       |
+-----------------+------+------+------+------+------+------+-------+
| 2\. Employee    |      |      |      |      |      |      |       |
| Benefits        |      |      |      |      |      |      |       |
+-----------------+------+------+------+------+------+------+-------+
| 3\. Travel      |      |      |      |      |      |      |       |
+-----------------+------+------+------+------+------+------+-------+
| 4\. Materials   |      |      |      |      |      |      |       |
| and Supplies    |      |      |      |      |      |      |       |
+-----------------+------+------+------+------+------+------+-------+
| 5\. Consultants |      |      |      |      |      |      |       |
| & Contracts     |      |      |      |      |      |      |       |
+-----------------+------+------+------+------+------+------+-------+
| 6\. Other       |      |      |      |      |      |      |       |
+-----------------+------+------+------+------+------+------+-------+
| A.  **Total     |      |      |      |      |      |      |       |
|     Direct      |      |      |      |      |      |      |       |
|     Costs:**    |      |      |      |      |      |      |       |
|                 |      |      |      |      |      |      |       |
| *(Sum of lines  |      |      |      |      |      |      |       |
| 1-6)*           |      |      |      |      |      |      |       |
+-----------------+------+------+------+------+------+------+-------+
| B.  **Total     |      |      |      |      |      |      |       |
|     Indirect    |      |      |      |      |      |      |       |
|     Costs\*:**  |      |      |      |      |      |      |       |
|                 |      |      |      |      |      |      |       |
| *(cannot be     |      |      |      |      |      |      |       |
| greater than 8% |      |      |      |      |      |      |       |
| of Total Direct |      |      |      |      |      |      |       |
| Costs)*         |      |      |      |      |      |      |       |
+-----------------+------+------+------+------+------+------+-------+
| C.              |      |      |      |      |      |      |       |
|   **Equipment** |      |      |      |      |      |      |       |
+-----------------+------+------+------+------+------+------+-------+
| **D.            |      |      |      |      |      |      |       |
| Scholarships/** |      |      |      |      |      |      |       |
|                 |      |      |      |      |      |      |       |
| **Tuition       |      |      |      |      |      |      |       |
| Assistance**    |      |      |      |      |      |      |       |
+-----------------+------+------+------+------+------+------+-------+
| **E. TOTAL      |      |      |      |      |      |      |       |
| REQUESTED**     |      |      |      |      |      |      |       |
|                 |      |      |      |      |      |      |       |
| ## *A +         |      |      |      |      |      |      |       |
|  B+ C+D* (*Ente |      |      |      |      |      |      |       |
| r these figures |      |      |      |      |      |      |       |
|  in Item 7 of t |      |      |      |      |      |      |       |
| he Title Page*) |      |      |      |      |      |      |       |
+-----------------+------+------+------+------+------+------+-------+

> **All items must be addressed in the detailed budget justification**
>
> **\*Indirect Cost Information *(To Be Completed by Your Business
> Office*):**
>
> If you are requesting reimbursement for indirect costs on line B,
> please answer the following questions:

(1) Do you have an Indirect Cost Rate Agreement approved by the Federal
    government?

> \_\_\_\_Yes \_\_\_\_ No

(2) If yes, please provide the following information:

> Period Covered by the Indirect Cost Rate Agreement:
>
> From: \_\_\_/\_\_\_/\_\_\_\_\_\_ To: \_\_\_/\_\_\_/\_\_\_\_\_\_
> (mm/dd/yyyy)
>
> Approving Federal agency: \_\_\_\_ ED \_\_\_\_ Other (please specify):
> \_\_\_\_\_\_\_\_\_\_\_\_

(3) For Restricted Rate Programs (check one) \-- Are you using a
    restricted indirect cost rate

> that: \_\_\_Is included in your approved Indirect Cost Rate Agreement?
> or \_\_\_ Complies
>
> with 34 CFR 76.564(c)(2)?

### **MATCHING FUNDS PROVIDED BY NON-FEDERAL SOURCES**

+-----------------+------+------+------+------+------+------+--------+
| #               | **   | **   | **   | **   | **   | **   | **T    |
| # Direct Costs: | YEAR | YEAR | YEAR | YEAR | YEAR | YEAR | OTAL** |
|                 | 1**  | 2**  | 3**  | 4**  | 5**  | 6**  |        |
+-----------------+------+------+------+------+------+------+--------+
| 1\. Salaries    |      |      |      |      |      |      |        |
| and Wages       |      |      |      |      |      |      |        |
+-----------------+------+------+------+------+------+------+--------+
| 2\. Employee    |      |      |      |      |      |      |        |
| Benefits        |      |      |      |      |      |      |        |
+-----------------+------+------+------+------+------+------+--------+
| 3\. Travel      |      |      |      |      |      |      |        |
+-----------------+------+------+------+------+------+------+--------+
| 4\. Materials   |      |      |      |      |      |      |        |
| and Supplies    |      |      |      |      |      |      |        |
+-----------------+------+------+------+------+------+------+--------+
| 5\. Consultants |      |      |      |      |      |      |        |
| & Contracts     |      |      |      |      |      |      |        |
+-----------------+------+------+------+------+------+------+--------+
| 6\. Other       |      |      |      |      |      |      |        |
+-----------------+------+------+------+------+------+------+--------+
| **A. Total      |      |      |      |      |      |      |        |
| Direct Costs:** |      |      |      |      |      |      |        |
|                 |      |      |      |      |      |      |        |
| *(Sum of lines  |      |      |      |      |      |      |        |
| 1-6)*           |      |      |      |      |      |      |        |
+-----------------+------+------+------+------+------+------+--------+
| **B. Total      |      |      |      |      |      |      |        |
| Indirect        |      |      |      |      |      |      |        |
| Costs:**        |      |      |      |      |      |      |        |
|                 |      |      |      |      |      |      |        |
| *(cannot be     |      |      |      |      |      |      |        |
| greater than 8% |      |      |      |      |      |      |        |
| of Total Direct |      |      |      |      |      |      |        |
| Costs)*         |      |      |      |      |      |      |        |
+-----------------+------+------+------+------+------+------+--------+
| **C.            |      |      |      |      |      |      |        |
| Equipment**     |      |      |      |      |      |      |        |
+-----------------+------+------+------+------+------+------+--------+
| D.  **          |      |      |      |      |      |      |        |
| Scholarships/** |      |      |      |      |      |      |        |
|                 |      |      |      |      |      |      |        |
| **Tuition       |      |      |      |      |      |      |        |
| Assistance**    |      |      |      |      |      |      |        |
+-----------------+------+------+------+------+------+------+--------+
| E.  **TOTAL     |      |      |      |      |      |      |        |
|     MATCHING    |      |      |      |      |      |      |        |
|     FUNDS FROM  |      |      |      |      |      |      |        |
|     NON-FEDERAL |      |      |      |      |      |      |        |
|     SOURCES**   |      |      |      |      |      |      |        |
+-----------------+------+------+------+------+------+------+--------+

###  **All items must be addressed in the detailed budget justification** 

> Approved by [OMB 1840-0740]{.smallcaps}

**[Applicant Organization Identification]{.smallcaps}**

**[Form and Cost Share Worksheet]{.smallcaps}**

**Please provide the following information for the Applicant
Organization and its share of matching commitments (cash or in-kind) for
each year of the proposed project.**

**1. Type of Grant:**

Are you applying for a partnership grant? \_\_\_\_Yes \_\_\_\_ No

Are you applying for a State grant? \_\_\_\_Yes \_\_\_\_ No

2\. Type of Institution/Organization:

+------------------------------+---------------------------------------+
| Are you an Local Education   | Are you an Institution of Higher      |
| Agency (LEA)? \_\_\_Yes      | Education (IHE)?                      |
| \_\_\_ No                    |                                       |
|                              | \_\_\_Yes \_\_\_ No                   |
|                              |                                       |
|                              | Type of IHE:                          |
|                              |                                       |
|                              | **[\_\_\_]{.smallcaps}**Four-Year     |
|                              | \_\_\_Two-Year                        |
|                              |                                       |
|                              | **[\_\_\_]{.smallcaps}**Public        |
|                              | \_\_\_Private                         |
|                              |                                       |
|                              | \_\_\_College \_\_\_University        |
|                              |                                       |
|                              | \_\_\_HBCU \_\_\_HSI                  |
|                              | **[\_\_\_]{.smallcaps}**TCCU          |
|                              | \_\_\_[NHSI \_\_\_ANSI]{.smallcaps}   |
+------------------------------+---------------------------------------+
| If you are applying for a    |                                       |
| **State grant**, please tell |                                       |
| us the type of organization. |                                       |
|                              |                                       |
| \_\_\_\_\_\_\_\_\_\_\_       |                                       |
| \_\_\_\_\_\_\_\_\_\_\_\_\_\_ |                                       |
|                              |                                       |
| (i.e., business,             |                                       |
| community-based              |                                       |
| organization, professional   |                                       |
| association, philanthropic   |                                       |
| organization, or state       |                                       |
| agency)                      |                                       |
+------------------------------+---------------------------------------+

<table>
<colgroup>
<col style="width: 23%" />
<col style="width: 10%" />
<col style="width: 10%" />
<col style="width: 11%" />
<col style="width: 10%" />
<col style="width: 11%" />
<col style="width: 10%" />
<col style="width: 0%" />
<col style="width: 2%" />
<col style="width: 8%" />
</colgroup>
<tbody>
<tr class="odd">
<td colspan="8"><strong>3.</strong> <strong>Matching Funds Provided by
Applicant Organization</strong></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td><h2 id="section-26"></h2></td>
<td><strong>YEAR 1</strong></td>
<td><strong>YEAR 2</strong></td>
<td><strong>YEAR 3</strong></td>
<td><strong>YEAR 4</strong></td>
<td><strong>YEAR 5</strong></td>
<td><strong>YEAR 6</strong></td>
<td colspan="3"><strong>TOTAL</strong></td>
</tr>
<tr class="odd">
<td><ol type="1">
<li><p>Salaries and Wages</p></li>
</ol></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td colspan="3"></td>
</tr>
<tr class="even">
<td><ol start="2" type="1">
<li><p>Employee Benefits</p></li>
</ol></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td colspan="3"></td>
</tr>
<tr class="odd">
<td><ol start="3" type="1">
<li><p>Travel</p></li>
</ol></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td colspan="3"></td>
</tr>
<tr class="even">
<td><ol start="4" type="1">
<li><p>Materials and Supplies</p></li>
</ol></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td colspan="3"></td>
</tr>
<tr class="odd">
<td><ol start="5" type="1">
<li><p>Consultants and Contracts</p></li>
</ol></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td colspan="3"></td>
</tr>
<tr class="even">
<td><ol start="6" type="1">
<li><p>Other</p></li>
</ol></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td colspan="3"></td>
</tr>
<tr class="odd">
<td><ol type="A">
<li><p><strong>Total Direct Costs</strong> <em>(Sum of lines
1-6)</em></p></li>
</ol></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td colspan="3"></td>
</tr>
<tr class="even">
<td><ol start="2" type="A">
<li><p><strong>Total Indirect Costs:</strong></p></li>
</ol>
<p><em>(cannot be greater than 8% of Total Direct Costs)</em></p></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td colspan="3"></td>
</tr>
<tr class="odd">
<td><ol start="3" type="A">
<li><p><strong>Equipment</strong></p></li>
</ol></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td colspan="3"></td>
</tr>
<tr class="even">
<td><ol start="4" type="A">
<li><p><strong>Scholarships/</strong></p></li>
</ol>
<p><strong>Tuition Assistance</strong></p></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td colspan="3"></td>
</tr>
<tr class="odd">
<td><ol start="5" type="A">
<li><p><strong>TOTAL COMMITMENT</strong></p></li>
</ol>
<p>(Lines A + B+ C+D)</p></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td colspan="3"></td>
</tr>
</tbody>
</table>

4\. **Match Reduction:** Are you applying for the reduced match?
\_\_\_\_Yes \_\_\_\_ No

You will have to supply eligibility documentation and submit a budget
reflecting a reduction in match. Reduced match is only applicable to
Partnership applicants.

> Approved by [OMB 1840-0740]{.smallcaps}

**[Partner Identification Form and Cost Share Worksheet]{.smallcaps}**

**Please complete one form for each partner (other than the Applicant
Organization).**

**1.**
Institution/Organization\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**Point of Contact**:
Name\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Title\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_Department\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Address\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

City \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
State\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Zip
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Telephone \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ e-mail
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_Fax
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

2\. Type of Organization:

<table style="width:100%;">
<colgroup>
<col style="width: 16%" />
<col style="width: 8%" />
<col style="width: 7%" />
<col style="width: 2%" />
<col style="width: 1%" />
<col style="width: 3%" />
<col style="width: 7%" />
<col style="width: 7%" />
<col style="width: 7%" />
<col style="width: 9%" />
<col style="width: 26%" />
</colgroup>
<tbody>
<tr class="odd">
<td colspan="4"><p>Are you an Local Education Agency (LEA)?</p>
<p>____ Yes ____No</p></td>
<td></td>
<td colspan="6" rowspan="2"><p>Other types:</p>
<p>___Business</p>
<p>___Community-based organization</p>
<p>___Professional association</p>
<p>___Philanthropic Organization</p>
<p>___State Agency</p>
<p>Other: ____________________</p></td>
</tr>
<tr class="even">
<td colspan="4"><p>Are you an Institution of Higher Education (IHE)?</p>
<p>____ Yes ____No</p>
<p>Type of IHE:</p>
<p>___Four-Year ___Two-Year</p>
<p>___Public ___Private</p>
<p>___College ___University</p>
<p>___HBCU ___HSI ___TCCU ___NHSI ___ANSI</p></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="7"><strong>3. Non-Federal Fund contribution provided by
Partner</strong></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td><h2 id="section-27"></h2></td>
<td><strong>YEAR 1</strong></td>
<td><strong>YEAR 2</strong></td>
<td colspan="3"><strong>YEAR 3</strong></td>
<td><strong>YEAR 4</strong></td>
<td><strong>YEAR 5</strong></td>
<td><strong>YEAR 6</strong></td>
<td><strong>TOTAL</strong></td>
<td></td>
</tr>
<tr class="odd">
<td><ol type="1">
<li><p>Salaries and Wages</p></li>
</ol></td>
<td></td>
<td></td>
<td colspan="3"></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td><ol start="2" type="1">
<li><p>Employee Benefits</p></li>
</ol></td>
<td></td>
<td></td>
<td colspan="3"></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td><ol start="3" type="1">
<li><p>Travel</p></li>
</ol></td>
<td></td>
<td></td>
<td colspan="3"></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td><ol start="4" type="1">
<li><p>Materials and Supplies</p></li>
</ol></td>
<td></td>
<td></td>
<td colspan="3"></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td><ol start="5" type="1">
<li><p>Consultants and Contracts</p></li>
</ol></td>
<td></td>
<td></td>
<td colspan="3"></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td><ol start="6" type="1">
<li><p>Other</p></li>
</ol></td>
<td></td>
<td></td>
<td colspan="3"></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td><ol type="A">
<li><p><strong>Total Direct Costs</strong> <em>(Sum of lines
1-6)</em></p></li>
</ol></td>
<td></td>
<td></td>
<td colspan="3"></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td><ol start="2" type="A">
<li><p><strong>Total Indirect Costs:</strong></p></li>
</ol>
<p><em>(Cannot be greater than 8% of Total Direct Costs)</em></p></td>
<td></td>
<td></td>
<td colspan="3"></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td><ol start="3" type="A">
<li><p><strong>Equipment</strong></p></li>
</ol></td>
<td></td>
<td></td>
<td colspan="3"></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td><ol start="4" type="A">
<li><p><strong>Scholarships/Tuition Assistance</strong></p></li>
</ol></td>
<td></td>
<td></td>
<td colspan="3"></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td><ol start="5" type="A">
<li><p><strong>TOTAL</strong></p></li>
</ol>
<p>(Lines A + B+ C+D)</p></td>
<td></td>
<td></td>
<td colspan="3"></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
</tbody>
</table>

Please summarize the partner's specific support and commitment to the
project in this space.

> SIGNATURE OF AUTHORIZING OFFICIAL:
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
>
> NAME OF AUTHORIZING
> OFFICIAL:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
>
> TITLE OF AUTHORIZING
> OFFICIAL:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

# [Survey Instructions on Ensuring Equal Opportunity for Applicants]{.underline}

#  {#section-28}

> **Provide the applicant's (organization) name and DUNS number and the
> grant name and CFDA number.**

1.  Self-explanatory.

2.  Self-identify.

3.  Self-identify.

> 4\. 501(c)(3) status is a legal designation provided on application to
> the Internal Revenue Service by eligible organizations. Some grant
> programs may require nonprofit applicants to have 501(c)(3) status.
> Other grant programs do not.
>
> 5\. Self-explanatory.
>
> 6\. For example, two part-time employees who each work half-time equal
> one full-time equivalent employee. If the applicant is a local
> affiliate of a national organization, the responses to survey
> questions 2 and 3 should reflect the staff and budget size of the
> local affiliate.
>
> 7\. Annual budget means the amount of money your organization spends
> each year on all of its activities.

**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 1890-0014. The time required
to complete this information collection is estimated to average five (5)
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 time estimate(s) or suggestions for improving this form,
please write to:** The Agency Contact listed in this grant application
package.

> OMB No. 1890-0014 Exp. 02/28/09

**[Instructions for Completion of SF-LLL,]{.smallcaps}**

**[Disclosure of Lobbying Activities]{.smallcaps}**

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. \(a\) 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.

11. 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).

12. 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

> OMB No. 1890-0014 Exp. 02/28/09

##  {#section-29}

## INSTRUCTIONS FOR THE SF-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 Agency**: |
| \ | Submission:**  |                | 0 | (Required) Enter the name   |
| . | (Required):    |                | \ | of the Federal agency from  |
|   | Select one     |                | . | which assistance is being   |
|   | type of        |                |   | requested with this         |
|   | submission in  |                |   | application.                |
|   | accordance     |                |   |                             |
|   | with agency    |                |   |                             |
|   | instructions.  |                |   |                             |
|   |                |                |   |                             |
|   | -              |                |   |                             |
|   | Preapplication |                |   |                             |
|   |                |                |   |                             |
|   | -              |                |   |                             |
|   |    Application |                |   |                             |
|   |                |                |   |                             |
|   | -   Cha        |                |   |                             |
|   | nged/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 Funding           |
|   | Select one     |                | . | Opportunity Number and      |
|   | type of        |                |   | title of the opportunity    |
|   | application in |                |   | under which assistance is   |
|   | accordance     |                |   | requested, as found in the  |
|   | with agency    |                |   | program announcement.       |
|   | instructions.  |                |   |                             |
|   |                |                |   |                             |
|   | -   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. Enter |
|   | Identifier**:  |                | \ | the applicant's             |
|   | Enter the      |                | . | Congressional District, and |
|   | number         |                |   | 16b. Enter all District(s)  |
|   | assigned to    |                |   | affected by the program or  |
|   | your           |                |   | project. Enter in the       |
|   | organization   |                |   | format: 2 characters State  |
|   | by the Federal |                |   | Abbreviation -- 2-3         |
|   | Agency, if     |                |   | characters District Number, |
|   | any.           |                |   | 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      |                |   |                             |
| b | Award          |                |   |                             |
| . | 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   |                |   |                             |
|   | cha            |                |   |                             |
|   | nged/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.           |                |   |                             |
|   | Emp            |                |   |                             |
|   | loyer/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 to |
|   |                |                | 9 | 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   |                |   |                             |
|   | a              |                |   |                             |
|   | pplicable**)** |                |   |                             |
|   | 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 authorized     |
|   | Select up to   |                |   | representative of the       |
|   | three          |                |   | applicant organization.     |
|   | applicant      |                |   | Enter the name (First and   |
|   | type(s) in     |                |   | last name required) title   |
|   | accordance     |                |   | (Required), telephone       |
|   | with agency    |                |   | number (Required), fax      |
|   | instructions.  |                |   | 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 Status |   |                             |
|   | ```{=html}     |     (Other     |   |                             |
|   | <!-- -->       |     than       |   |                             |
|   | ```            |                |   |                             |
|   | A.  County     |    Institution |   |                             |
|   |     Government |     of Higher  |   |                             |
|   |                |     Education) |   |                             |
|   | B.  City or    |                |   |                             |
|   |     Township   | M.  Nonprofit  |   |                             |
|   |     Government |     without    |   |                             |
|   |                |     501C3 IRS  |   |                             |
|   | C.  Special    |     Status     |   |                             |
|   |     District   |     (Other     |   |                             |
|   |     Government |     than       |   |                             |
|   |                |                |   |                             |
|   | D.  Regional   |    Institution |   |                             |
|   |                |     of Higher  |   |                             |
|   |   Organization |     Education) |   |                             |
|   |                |                |   |                             |
|   | E.  U.S.       | N.  Private    |   |                             |
|   |     Territory  |                |   |                             |
|   |     or         |    Institution |   |                             |
|   |     Possession |     of Higher  |   |                             |
|   |                |     Education  |   |                             |
|   | F              |                |   |                             |
|   | .  Independent | O.  Individual |   |                             |
|   |     School     |                |   |                             |
|   |     District   | P.  For-Profit |   |                             |
|   |                |                |   |                             |
|   | G.             |   Organization |   |                             |
|   |   Public/State |     (Other     |   |                             |
|   |     Controlled |     than Small |   |                             |
|   |                |     Business)  |   |                             |
|   |    Institution |                |   |                             |
|   |     of Higher  | Q.  Small      |   |                             |
|   |     Education  |     Business   |   |                             |
|   |                |                |   |                             |
|   | H.             | R.  Hi         |   |                             |
|   |  Indian/Native | spanic-serving |   |                             |
|   |     American   |                |   |                             |
|   |     Tribal     |    Institution |   |                             |
|   |     Government |                |   |                             |
|   |     (Federally | S.             |   |                             |
|   |                |   Historically |   |                             |
|   |    Recognized) |     Black      |   |                             |
|   |                |     Colleges   |   |                             |
|   | I.             |     and        |   |                             |
|   |  Indian/Native |                |   |                             |
|   |     American   |   Universities |   |                             |
|   |     Tribal     |     (HBCUs)    |   |                             |
|   |     Government |                |   |                             |
|   |     (Other     | T.  Tribally   |   |                             |
|   |     than       |     Controlled |   |                             |
|   |     Federally  |     Colleges   |   |                             |
|   |                |     and        |   |                             |
|   |    Recognized) |                |   |                             |
|   |                |   Universities |   |                             |
|   | J.             |     (TCCUs)    |   |                             |
|   |  Indian/Native |                |   |                             |
|   |     American   | U.  Alaska     |   |                             |
|   |     Tribally   |     Native and |   |                             |
|   |     Designated |     Native     |   |                             |
|   |                |     Hawaiian   |   |                             |
|   |   Organization |     Serving    |   |                             |
|   |                |                |   |                             |
|   | K.             |   Institutions |   |                             |
|   |  Public/Indian |                |   |                             |
|   |     Housing    | V.             |   |                             |
|   |     Authority  |   Non-domestic |   |                             |
|   |                |     (non-US)   |   |                             |
|   |                |     Entity     |   |                             |
|   |                |                |   |                             |
|   |                | W.  Other      |   |                             |
|   |                |     (specify)  |   |                             |
+---+----------------+----------------+---+-----------------------------+
|   |                |                |   |                             |
+---+----------------+----------------+---+-----------------------------+
|   |                |                |   |                             |
+---+----------------+----------------+---+-----------------------------+
|   |                |                |   |                             |
+---+----------------+----------------+---+-----------------------------+

#  {#section-30}

# INSTRUCTIONS FOR

# DEPARTMENT OF EDUCATION SUPPLEMENTAL INFORMATION FOR SF 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.")
>
> **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."
>
> **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
>
> **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.

##  {#section-31}

## 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 {#definitions-for .TOC1}

# DEPARTMENT OF EDUCATION SUPPLEMENTAL INFORMATION FOR SF 424

**(Attachment to Instructions for Supplemental Information for SF 424)**

#  {#section-32}

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 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, DC 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). (0348-0046),
Washington, DC 20503