**U.S. Department of Education**

**Office of Vocational and Adult Education**

**Washington, D.C. 20202-6200**

**Tech-Prep Demonstration Program**

**Application for Grants**

**Form Approved**

**OMB No. 1830-0550**

**Expiration Date:**

**CFDA Number 84.353**

**DATED MATERIAL-OPEN IMMEDIATELY**

**Closing Date: XXXXXX**

Page left blank.

**Paperwork Burden Statement**

According to the Paperwork Reduction Act of 1995, no persons are
required to respond to a collection of information unless it displays a
valid OMB control number. The valid OMB control number for this
information collection is 1830-0550. The time required to complete this
information collection is estimated to average 50 hours 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 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: Laura Messenger, Tech Prep
Demonstration Program, U.S. Department of Education, Office of
Vocational and Adult Education, 400 Maryland Avenue, SW, PCP room 11028,
Washington, D.C. 20202-7241.

Page left blank.

**Contents**

1\. Introducing the Tech Prep Demonstration Program
(TPDP)...............\...7

a\. Who is eligible to receive a
grant?...........................................7

**b. What requirements apply to this
program?...............................8**

c\. What will be the time period, size and number of grants? ...........
10

d\. What activities are
allowable?..............................................11

e\. What priorities apply to this
competition?...............................11

f\. What special considerations apply to this program?................
11

g\. What selection criteria apply to this
competition?.....................12

h\. What regulations apply to this
program?................................14

2\. Applying for the
Grants.............................................................14

a\. How to prepare an
application.......................................... \...14

b\. Application transmittal
instructions...................................... 16

c\. Intergovernmental Review of Federal Programs ......................
18

d\. Notice: Necessity of Meeting
Deadlines...................................24

**e. DUNS Number
Instructions.................................................25**

3\. Non-regulatory Guidance: Frequently Asked
Questions.....................25

4\. Supporting Documents: Tech -Prep Definitions and
Requirements.......28

5\. Required Forms and
Assurances................................................\...32

a\. Application Cover Page (ED
424............................................33

b\. Budget Information, Non-Construction Programs (ED 524) ........40

> c\. Notice: General Education Provisions Act (GEPA), Section 427...45

d\. Assurances: Non-Construction Programs (SF 424B)...............\...47

> e\. Certifications Regarding Lobbying (ED
> 80-0013).....................50
>
> f\. Certification Regarding Debarment, Suspension, Ineligibility and
> Voluntary Exclusion --- Lower Tier Covered Transactions (ED
> 80-0014).............................................................................
> 53

g\. Disclosure of Lobbying Activities (Form
LLL)..........................56

**h. Survey on Ensuring Equal Opportunity for Applicants..............
59**

#  **i. Consortium Agreement...................................................\... 62**

j\. Proposed Project Course Sequence
Plan..............................\... 64

***Note: Copies of the forms listed above are also available at the U.S.
Department of Education\'s Web site at
http://ocfo.ed.gov/grntinfo/appforms.htm.***

Page left blank.

**1. Introducing the Tech-Prep Demonstration Program**

The Tech Prep Demonstration Program (TPDP) is authorized by section 207
of the Carl D. Perkins Vocational and Technical Education Act of 1998
(Perkins III) (20 U.S.C.A. 2301 *et seq.*). The TPDP provides grants to
enable consortia described in section 204(a) of Perkins III to carry out
tech-prep education projects that involve the location of a secondary
school on the site of a community college, a business as a member of the
consortium, and the voluntary participation of secondary school
students. By definition, tech-prep education programs combine at least
two years of secondary education with a minimum of two years of
postsecondary education in a nonduplicative, sequential course of study,
and result in the attainment of a postsecondary degree or certificate.
Following an initial recruitment period to be conducted during the first
year of the grant**,** funded TPDP projects would enroll a new student
cohort in each subsequent year of the project, in addition to continuing
support for each previous TPDP student cohort.

Section 207 authorizes TPDP projects demonstrating a particular form of
tech-prep, whereby eligible consortia carry out tech-prep education
projects involving a secondary school located on the site of a community
college. The community college location of TPDP projects makes them part
of a growing number of initiatives involving secondary schools located
on the campuses of community colleges. The campus location enables these
schools to improve the quality of teaching and learning by tapping into
the resources of community colleges. By attending high school on campus,
students are able to take advantage of the advanced technology, quality
skill training facilities, rich curriculum, career guidance and academic
counseling services, and employer connections that are available through
the community college.

# **a. Who is eligible to receive a grant?**

To be eligible for funding under the TPDP, a consortium must include at
least one member in each of the following three categories:

> A local educational agency, an intermediate educational agency, an
> area vocational and technical education school serving secondary
> school students, or a secondary school funded by the Bureau of Indian
> Affairs;
>
> \(a\) a nonprofit institution of higher education that offers a 2-year
> associate degree, 2-year certificate, or 2-year postsecondary
> apprenticeship program, or (b) a proprietary institution of higher
> education that offers a 2-year associate degree program; and
>
> a business.

Under the provisions of section 204(a)(1) of Perkins III, to be eligible
for consortium membership both nonprofit and proprietary institutions of
higher education must be qualified as institutions of higher education
pursuant to section 102 of the Higher Education Act of 1965 (HEA),
including institutions receiving assistance under the Tribally
Controlled College or University Assistance Act of 1978 (25 U.S.C. 1801
et seq.) and tribally controlled postsecondary vocational and technical
institutions.

In addition, nonprofit institutions of higher education are eligible
only if they are not prohibited from receiving assistance under HEA,
title IV, part B (20 U.S.C. 1071 et seq.), pursuant to the provisions of
HEA section 435(a)(3) (20 U.S.C. 1083(a)). Proprietary institutions of
higher education are eligible only if they are not subject to a default
management plan required by the Secretary.

Applicants must submit a signed consortium agreement, to provide
evidence that each of the required categories of membership has been
satisfied. Under the provisions of section 204(a)(2), consortia also may
include one or more: (1) institutions of higher education that award
baccalaureate degrees; (2) employer organizations; or (3) labor
organizations.

[Note]{.underline}: Eligible consortia seeking to apply for funds should
read and follow the regulations in 34 CFR 75.127-75.129, which apply to
group applications.

# **b. What requirements apply to this program?**

Section 207 requires funded TPDP projects to meet all of the
requirements of the Perkins III State-administered Tech-Prep Education
Program (with the exception of articulation agreements with 4-year
institutions of higher education), as set forth in sections 202(3) and
204(c) of Perkins III, and modified by section 207(d)(2). See the
Appendix for applicable Tech-Prep Education definitions and
requirements.

To achieve the purposes of section 207, the following additional
requirements are established. These requirements apply to all applicants
seeking funding under this competition, and to all TPDP-funded projects.

1.  Each applicant must submit a signed Consortium Agreement
    (Agreement), providing evidence that each of the categories of
    membership required under section 207 of Perkins III has been
    satisfied, and that each of the required members is eligible for
    membership under the provisions of Perkins III. The Agreement must
    contain a signature of commitment from each participating secondary
    school, community college, and business member, affirming that those
    entities have formed a consortium to develop, implement and sustain
    a TPDP project as described under section 207 of Perkins III. The
    Agreement also must describe the roles and responsibilities of each
    consortium member within the proposed TPDP project. The format for
    the Agreement is included in this application package under Required
    Forms and Assurances.

2.  Each applicant must submit a complete Proposed Project Course
    Sequence Plan (Plan), for each program of study within the proposed
    TPDP project, to demonstrate how the proposed instructional program
    represents a sequential, four-year program of study that meets the
    specific criteria set forth in sections 202(a)(3) and 204(c) of
    Perkins III. The Plan must list the course sequence for each program
    of study within the proposed TPDP project, describing the specific
    academic and technical coursework required for all four years of the
    program. The Plan also must summarize program entrance requirements
    and specify the associate degree or postsecondary certificate to be
    earned upon completion of the program. The format for the Plan is
    included in this application package under Required Forms and
    Assurances.

3.  Each applicant must provide evidence that a secondary school will be
    physically located on the site of a community college and provide a
    complete program of academic and technical coursework at the
    community college that, at a minimum, meets State requirements for
    high school graduation. Students must be enrolled full-time in the
    high school on the community college campus. However, enrolled
    students may participate in extracurricular activities at their
    original high school. Proposed projects that involve only the
    "virtual" location of a secondary school on the site of a community
    college, and projects that involve only satellite community college
    sites located on the premises of secondary schools, are not eligible
    for support under this competition. This is consistent with the
    TPDP's legislative requirement regarding co-location, as well as
    existing literature about the \`\`middle college\'\' co-location
    program format, which suggests that the physical presence of
    secondary school students on the campus of a community college can
    have a positive impact on their morale, commitment to learning,
    likelihood of high school graduation, and transition to
    postsecondary education.

4.  Each applicant must provide an assurance that it will enroll its
    first student cohort and begin classes by September of the calendar
    year following the calendar year in which the grant award is made,
    and enroll its second, third, and fourth student cohorts by
    September of each subsequent year of the proposed TPDP project. We
    expect to award grants in July of 2005.

5.  Each applicant must submit enrollment goals for the number of
    students in each student cohort to be enrolled in each year of the
    proposed TPDP project.

6.  Each applicant must submit annual performance goals for each of the
    performance indicators discussed below. Successful applicants must
    reach agreement with us on their annual performance goals for each
    performance indicator. TPDP-funded projects will be required to use
    the following performance indicators to measure the progress of
    students in the TPDP-funded project:

\(a\) Retention of high school juniors for their senior year in the
TPDP-funded program of study;

> \(b\) Completion of one or more mathematics courses in addition to
> Algebra I, Algebra II, and Geometry by the time of high school
> graduation;
>
> \(c\) Completion of one or more science courses in addition to high
> school Biology and Chemistry by the time of high school graduation;

\(d\) High school graduation;

\(e\) Attainment of nine or more postsecondary credits by the time of
high school graduation;

\(f\) Enrollment in postsecondary education following high school
graduation;

\(g\) Reduction in the need for remediation in postsecondary education
following high school; and

\(h\) Attainment of a postsecondary degree or certificate.

7.  Each applicant must submit a plan for annual project evaluation.
    Each evaluation must be conducted by an independent evaluator and
    must provide information to the members of the consortium and
    project staff that will be useful in gauging progress and
    identifying areas for improvement, particularly with regard to the
    required performance indicators.

8.  Each applicant must provide an assurance that it will submit annual
    reports of anticipated enrollment that include the number of
    students in each cohort who will be enrolled for the subsequent year
    and, if that number differs from the enrollment goals for that year
    stated in the approved application, the reasons for such a
    difference. Each annual report of anticipated enrollment will be due
    at the end of April.

9.  Each applicant must provide an assurance that it will submit annual
    project performance reports and a final project performance report,
    that: summarize the TPDP project's progress and significant
    accomplishments and provide data on the agreed-upon performance
    indictors and goals; identify barriers to continued progress and
    outline solutions; include the annual evaluation report that was
    prepared by the independent evaluator; and review plans for or
    progress towards sustained operations after the cessation of Federal
    support. Each annual performance report will be due within 90 days
    of the end of each project year and the final performance report
    will be due 90 days after the end of the project.

Funded projects must comply with all requirements adopted in the Notice
of final requirements and selection criteria published in the *Federal
Register*. Failure to comply with any applicable program requirement may
subject a grantee to special conditions, withholding, or termination.

Please note that, as discussed below, we will make grants for a 60-month
period. Applicants under this competition are required to provide
detailed budget information for each year of the proposed project and
for the total grant. The Department will negotiate funding levels for
each 12-month period of the grant at the time of the award.

# **c. What will be the time period, size and number of grants?**

## 

Grants will be awarded for a 60-month period. We have concluded that
entire, multi-year projects funded by five-year awards will be necessary
for TPDP grantees to fully meet the statutory purposes of section 207 of
Perkins III and the requirements of this application. By definition,
tech-prep programs combine at least two years of secondary education
with a minimum of two years of postsecondary education in a
nonduplicative, sequential course of study, and result in the attainment
of a postsecondary degree or certificate. As outlined in this
application, five-year funding will: a) allow funded projects to engage
in a lengthy recruitment effort and meet their enrollment goals; b)
enable the first cohort of students to complete the full four years of
the tech-prep program and attain the necessary postsecondary degree or
certificate; and c) enable subsequent cohorts of students to complete a
significant portion of the tech-prep program, thus increasing the
likelihood that they will persist in their efforts to attain the
necessary postsecondary degree or certificate. In addition, by enabling
funded projects to conduct the full four-year tech-prep program,
five-year funding will allow grantees and the Department to evaluate the
effectiveness of the funded programs more thoroughly.

For this competition, the estimated amount of available funds is
\$9,867,488. The estimated range of awards is \$700,000 to \$800,000 for
the 60-month project period. The estimated average size of awards is
\$750,000. We anticipate making approximately 13 new grant awards under
this competition. However, please note that the Department is not bound
by any estimates in this application package.

# **d. What activities are allowable?**

[Allowable Costs]{.underline}

Allowable activities and expenditures for TPDP projects include, but are
not limited to: recruitment and enrollment of students; staff hiring;
updating of articulation agreements; curriculum revision; professional
development for secondary and postsecondary faculty, counselors, and
administrators; and development and maintenance of business and industry
partnerships. In addition, Section 207(b)(2) specifies that TPDP
projects may provide summer internships at a business for students or
teachers.

Section 207 gives applicants latitude for innovation. For example,
although tech-prep education by definition includes at least two years
of education at the secondary level preceding high school graduation and
two years of postsecondary education or apprenticeship training, section
204(c)(3)(B) authorizes tech-prep programs that allow students to
concurrently complete both secondary and postsecondary courses, and
simultaneously satisfy requirements for a high school diploma and an
associate degree or other postsecondary credential.

[Unallowable Costs]{.underline}

(1) [Supplanting]{.underline}. In accordance with section 311(a) of
    Perkins III, funds under this program may not be used to supplant
    non-Federal funds used to carry out vocational and technical
    education activities and tech-prep activities. Further, the
    prohibition against supplanting also means that grantees are
    required to use their negotiated restricted indirect cost rate under
    this program. (34 CFR 75.563).

> Because of the statutory prohibition against supplanting, we caution
> applicants not to plan to use Federal funds awarded under section 207
> to replace non-Federal funding that is already, or that otherwise
> would be, available for support of the TPDP projects to be assisted.
> Further, we are concerned that TPDP funds may be used to replace
> Federal student financial aid. We wish to highlight the fact that the
> statute does not authorize us to fund projects that serve primarily as
> entities through which students may apply for and receive tuition and
> other financial assistance.

(2) [Construction]{.underline}. Under EDGAR (34 CFR 75.533), TPDP grants
    cannot be used for the acquisition of real property or construction.

(3) [Articulation Agreements with Four-Year Institutions]{.underline}.
    Under the provisions of section 207(d), tech-prep articulation
    agreements with four-year institutions cannot be supported with
    funds awarded under section 207. However, articulation agreements
    with four-year institutions can be developed using other resources
    by applicants who wish to establish \`\`open-ended\'\' tech-prep
    career pathways. Also, the inclusion of institutions of higher
    education that award baccalaureate degrees in TPDP consortia is
    allowable under section 204(a)(2)(A).

# **e. What priorities apply to this program?**

Under this competition we are particularly interested in applications
that address the following priority.

For FY 2005 this priority is an invitational priority. Under 34 CFR
75.105(c)(1) we do not give an application that meets this invitational
priority a competitive or absolute preference over other applications.
This priority is:

[Student Choice]{.underline}: This priority encourages applications that
propose to implement a Tech Prep Demonstration Program in a geographic
area in which a large proportion or number of public high schools have
been identified for improvement, corrective action, or restructuring
under Title I, Part A of the ESEA, to provide an opportunity for
students to attend a school that is not in need of improvement.

# **f. What special considerations apply to this program?**

In addition to the points to be awarded to applicants based on the
selection criteria and the competitive preference priorities, under
section 207(d)(3) of Perkins III we award 5 additional points to
applications that:

1.  Provide for effective employment placement activities;

2.  Effectively address the issues of school dropout prevention and
    re-entry, as well as the needs of special populations;

3.  Provide education and training in career areas or skills in which
    there are significant workforce shortages, including the information
    technology industry; and

4.  Demonstrate how tech-prep programs will help students meet high
    academic and employability competencies.

# **g. What selection criteria apply to this competition?**

We use the following selection criteria to evaluate applications for new
grants under this competition. The maximum possible score for all of
these criteria is 100 points. The maximum possible score for each
criterion is indicated in parentheses.

[SELECTION CRITERIA]{.underline}

(a) Quality of the project design. (40 points)

> In determining the quality of the design of the proposed project, we
> consider the following factors:

1.  The extent to which the applicant demonstrates its readiness to
    implement a complete, career-oriented, 4-year program of study, as
    evidenced by a formal articulation agreement concerning the
    structure, content and sequence of all academic and technical
    courses to be offered in the proposed tech prep program and, if
    applicable, the conditions under which dual credit will be awarded.
    (5 points)

2.  The extent to which the applicant's proposed secondary academic and
    technical course offerings and graduation requirements prepare
    students to enter postsecondary education without the need for
    remediation and are aligned with the entrance requirements for
    postsecondary degree and certificate programs. (5 points)

3.  The extent to which the proposed instructional program incorporates
    high academic standards that equal or exceed those established by
    the State and reflects industry-recognized skills and knowledge. (5
    points)

4.  The extent to which the applicant demonstrates that consortium
    efforts will align the ninth-grade and tenth-grade curricula with
    proposed TPDP program entrance requirements, to ensure a sizable,
    qualified applicant pool for the proposed TPDP program. (5 points)

5.  The extent to which the applicant presents a detailed student
    recruitment plan that is likely to be effective in fulfilling the
    project's enrollment goals for each year of the project. (5
    points[)]{.underline}

6.  The extent to which the applicant demonstrates that it has designed
    a comprehensive academic and career counseling program for
    participating students at both the secondary and postsecondary
    levels and will provide specific support services to ensure
    students' persistence in the program to the attainment of a
    postsecondary degree or certificate. (5 points)

7.  The extent to which the applicant demonstrates that the business
    member(s) of the consortium and other area employers have agreed to
    provide structured work-based learning opportunities to TPDP
    students that are directly related to the proposed technical
    program(s) of study. (5 points)

8.  The extent to which the proposed project will provide intensive
    professional development, specifically designed to help achieve the
    goals of the program, for secondary and postsecondary instructors,
    counselors, and administrators involved in the program. (5 points)

> \(b\) Quality of the management plan. (15 points)
>
> In determining the quality of the management plan for the proposed
> project, we consider the following factors:

(1) The extent to which the management plan outlines specific,
    measurable goals, objectives, and outcomes to be achieved by the
    proposed project. (5 points)

(2) The extent to which the management plan assigns responsibility for
    the accomplishment of project tasks to specific project personnel
    and provides timelines for the accomplishment of project tasks. (5
    points)

(3) The extent to which the time commitments of the project director and
    other key personnel are appropriate and adequate to achieve the
    objectives of the proposed project. (5 points)

> \(c\) Quality of project personnel. (15 points)
>
> In determining the quality of project personnel, we consider the
> following factors:

(1) The extent to which the applicant encourages applications for
    employment from members of groups that have traditionally been
    underrepresented based on race, color, national origin, gender, age,
    or disability. (5 points)

(2) The qualifications, including relevant training and experience, of
    the project director. (5 points)

(3) The qualifications, including relevant training and experience, of
    key project personnel, including teachers, counselors,
    administrators, and project consultants. (5 points)

> \(d\) Adequacy of resources. (10 points)
>
> In determining the adequacy of resources for the proposed project, we
> consider the following factors:
>
> \(1\) The adequacy of support, including facilities, equipment,
> supplies, and other resources, from the participating institutions. (5
> points)
>
> \(2\) The extent to which the budget is adequate and costs are
> reasonable in relation to the objectives and design of the proposed
> project. (5 points)
>
> \(e\) Quality of the project evaluation. (20 points)
>
> In determining the quality of the evaluation, we consider the
> following factors:

(1) The extent to which the methods of evaluation are thorough,
    feasible, and appropriate, will solicit input from all consortium
    members regarding program effectiveness, and will yield accurate and
    reliable data for each of the required performance indicators. (10
    points[)]{.underline}

(2) The extent to which the evaluation will produce reports or other
    documents at appropriate intervals to enable consortium members to
    use the data for planning and decision making for continuous program
    improvement. (5 points)

(3) The extent to which the independent evaluator possesses the
    necessary background and expertise to carry out the evaluation. (5
    points)

# **h. What regulations apply to this program?**

\(a\) The Education Department General Administrative Regulations
(EDGAR) in 34 CFR parts 74, 75, 77, 79, 80, 81, 82, 85, 86, 97, 98, and
99; and (b) the regulations in the Notice of Final Requirements and
Selection Criteria for fiscal year 2005 as published in the *Federal
Register*.

# **2. Applying for the Grants**

# 

# **a.** **How to prepare an application.**

The following forms and other items should be included in the
application in the order listed below:

1.  Application for Federal Assistance (ED424)

2.  Budget Information\--Non-construction Programs (ED Form No. 524)

3.  Budget Narrative

4.  Project Abstract

5.  Application Table of Contents

6.  Application Narrative, including: responses to the requirements;
    responses to the selection criteria; responses to the special
    considerations and invitational priority, if applicable; and
    information that addresses section 427 of the General Education
    Provisions Act. (See Required Forms and Assurances, d. Notice:
    General Education Provisions Act (GEPA), Section 427.)

7.  Proposed Project Course Sequence Plan(s)

8.  Consortium Agreement

9.  Assurances\--Non-Construction Programs (SF 424B)

10. Certifications Regarding Lobbying; Debarment, Suspension, and Other
    Responsibility Matters; and Drug-Free Workplace Requirements (ED
    80-0013)

> 11\. Disclosure of Lobbying Activities (Standard Form LLL)

11. Survey on Equal Opportunity for Applicants

**[Budget information and instructions]{.underline}:**

Applicants under this competition are required to provide detailed
budget information for each year of the proposed project and for the
total grant requested. The Department will negotiate funding levels for
each 12-month period of the grant at the time of the initial award.

1\. Personnel: Show salaries to be paid to personnel for each budget
year.

2\. Fringe Benefits: Indicate the rate and amount of fringe benefits for
each budget year.

3\. Travel: Indicate the amount requested for both local and out of
State travel of project staff for each budget year. Include funds for
one trip per year for two people to attend the Project Directors\'
Workshop in Washington, D.C.

> Equipment: Indicate the cost of non-expendable personal property that
> has a cost of \$5,000 or more per unit for each budget year.
>
> Supplies: Include the cost of consumable supplies and materials to be
> used during the project period for each budget year.
>
> Contractual: Show the amount to be used for: (1) procurement contracts
> (except those, which belong on other lines such as supplies and
> equipment); and (2) subcontracts for each budget year.
>
> Construction: Not Applicable.
>
> Other: Indicate all direct costs not clearly covered by lines 1
> through 6 above, including consultants and capital expenditures for
> each budget year.
>
> Total Direct Cost: Show the total for Lines 1 through 8 for each
> budget year.
>
> Indirect Costs: Indicate the rate and amount of indirect costs for
> each budget year. Applicants must use a restricted indirect cost rate.
>
> Training/Stipend Cost: Not applicable. This item pertains only to
> student and institutional allowances.
>
> Total Costs: Show total for lines 9 through 11 for each budget year.

Be sure to include a budget [narrative]{.underline} to explain, justify,
and, if needed, clarify your budget summary. For each line item
(personnel, fringe benefits, travel, etc.) in your budget, explain why
it is there and how you computed the costs.

**[Further Instructions for the application]{.underline}:**

Before preparing your application, you should read carefully the
description of the program, eligibility requirements, program
requirements, selection criteria, special considerations, and
invitational priority.

1.  Include a one page abstract summarizing the proposed TPDP project,
    including a short description of the student population to be served
    in the proposed project, project objectives, and planned project
    activities.

2.  Provide a table of contents listing the parts of the application. Be
    sure to number the pages in your application.

3.  The application narrative will comprise the bulk of your
    application. Describe the proposed project in detail, and address
    each requirement and selection criterion in the order in which they
    are listed in this application package. Remember that your narrative
    must encompass every function or activity for which funds are being
    requested.

4.  If applicable, describe how the proposed project meets the special
    considerations.

5.  If applicable, describe how the proposed project meets the
    invitational priority.

6.  Attach copies of the Consortium Agreement, the Proposed Project
    Course Sequence Plan(s), and all other required assurances and
    forms.

7.  If necessary, include supporting documentation as an appendix to the
    narrative. This material should be concise and pertinent to the
    application.

[Note]{.underline}: We suggest you limit the application narrative to no
more than 35 double-spaced, typed pages (on one side only), although
both shorter and longer applications will receive full consideration.

**b. Application transmittal instructions.**

**ATTENTION ELECTRONIC APPLICANTS: Please note that you must follow the
Application Procedures as described in the Federal Register notice
announcing the grant competition. Some programs may require electronic
submission of applications, and those programs will have specific
requirements and waiver instructions in the Federal Register notice.**

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

**[Applications Submitted Electronically:]{.underline}**

You must submit your grant application through the Internet using the
software provided on the e-Grants Web site (http://e-grants.ed.gov) by
4:30 p.m. (Washington, DC time) on the application deadline date. The
regular hours of operation of the e-Grants Web site are 6:00 a.m. Monday
until 7:00 p.m. Wednesday; and 6:00 a.m. Thursday until midnight
Saturday (Washington, DC time). Please note that the system is
unavailable on Sundays, and after 7:00 p.m. on Wednesdays for
maintenance (Washington, DC time). Any modifications to these hours are
posted on the e-Grants Web site.

If you submit your application through the Internet via the e-Grants Web
site, you will receive an automatic acknowledgment when we receive your
application.

**[Applications Sent by Mail]{.underline}:**

You must mail the original and two copies of the application on or
before the deadline date. To help expedite our review of your
application, we would appreciate your voluntarily including an
additional three copies of your application. Please mail copies to:

**U. S. Department of Education**

#### Application Control Center

**Attention: (CFDA \# 84.353)**

**400 Maryland Avenue, SW**

**Washington, DC 20202‑4260**

You must show one of the following as proof of mailing:

(1) A legibly dated U.S. Postal Service postmark.

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

(3) A dated shipping label, invoice, or receipt from a commercial
    carrier.

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

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

(1) A private metered postmark.

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

You should note that the U.S. Postal Service does not uniformly provide
a dated postmark. Before relying on this method, you should check with
your local post office.

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

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

Applications that are delivered by commercial carrier, such as Federal
Express, United Parcel Service, etc. should be mailed to:

**U.S Department of Education**

#### Application Control Center -- Stop 4260

**Attention: CFDA \# 84.353**

**7100 Old Landover Road**

**Landover, MD 20785-1506**

**[Applications Delivered by Hand]{.underline}:**

You or your courier must hand deliver the original and two copies of the
application by 4:30 p.m. (Washington, DC time) on or before the deadline
date. To help expedite our review of your application, we would
appreciate your voluntarily including an additional three copies of your
application. Please hand deliver your application to:

#### U.S. Department of Education

**Application Control Center**

**Attention: (CFDA \# 84.353)**

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

**PCP - Room 7041**

**Washington, DC 20202‑4260**

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

# **c. Intergovernmental Review of Federal Programs**

Intergovernmental review 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. A listing containing the Single Point
of Contact for each State is included in this package.

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

Any State Process Recommendation and other comments submitted by a State
Single Point of Contact and any comments from State, area-wide,
regional, and local entities must be mailed or hand-delivered by the
date indicated in the actual application notice to the following
address:

> The Secretary
>
> Re: EO 12372
>
> U.S. Department of Education
>
> Room 7W-100
>
> 400 Maryland Avenue, SW
>
> Washington, DC 20202-0124.

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]{.underline} TO THE ABOVE ADDRESS!**

##  **Intergovernmental Review (SPOC List)**

Executive Order 12372, \"Intergovernmental Review of Federal Programs,\"
was issued with the desire to foster the intergovernmental partnership
and strengthen federalism by relying on State and local processes for
the coordination and review of proposed Federal financial assistance and
direct Federal development. The Order allows each State to designate an
entity to perform this function. Below is the official list of those
entities. For those States that have a home page for their designated
entity, a direct link has been provided below.

**States that are not listed on this page have chosen not to participate
in the intergovernmental review process, and therefore do not have a
SPOC. If you are located within one of these States, you may still send
application materials directly to a Federal awarding agency.**

Contact information for Federal agencies that award grants can be found
in [Appendix IV of the Catalog of Federal Domestic
Assistance](http://www.cfda.gov/public/cat-app4-index.htm).

+---------------------------------+------------------------------------+
| *                               | [**C                               |
| *[ARKANSAS](http://www.state.ar | ALIFORNIA**](http://www.opr.ca.gov |
| .us/dfa/intergovernmental/feder | /clearinghouse/FederalGrant.shtml) |
| al_grants/clearinghouse.html)** |                                    |
|                                 | Grants Coordination\               |
| Tracy L. Copeland\              | State Clearinghouse\               |
| Manager, State Clearinghouse\   | Office of Planning and Research\   |
| Office of Intergovernmental     | P.O. Box 3044, Room 222\           |
| Services\                       | Sacramento, California 95812-3044\ |
| Department of Finance and       | Telephone: (916) 445-0613\         |
| Administration\                 | Fax: (916) 323-3018\               |
| 1515 W. 7th St., Room 412\      | state.clearinghouse@opr.ca.gov     |
| Little Rock, Arkansas 72203\    |                                    |
| Telephone: (501) 682-1074\      |                                    |
| Fax: (501) 682-5206\            |                                    |
| <tlcopeland@dfa.state.ar.us>    |                                    |
+---------------------------------+------------------------------------+
| [**DELA                         | [**DISTRICT OF                     |
| WARE**](http://www.state.de.us/ | CO                                 |
| budget/clearinghouse/main.html) | LUMBIA**](http://www.opgd.dc.gov/) |
|                                 |                                    |
| Charles H. Hopkins\             | Luisa Montero-Diaz\                |
| Executive Department\           | Office of Partnerships and Grants  |
| Office of the Budget\           | Development\                       |
| 540 S. Dupont Highway, 3rd      | Executive Office of the Mayor\     |
| Floor\                          | District of Columbia Government\   |
| Dover, Delaware 19901\          | 441 4th Street, NW, Suite 530      |
| Telephone: (302) 739-3323\      | South\                             |
| Fax: (302) 739-5661\            | Washington, DC 20001\              |
| <chopkins@state.de.us>          | Telephone: (202) 727-8900\         |
|                                 | Fax: (202) 727-1652\               |
|                                 | opgd.eom@dc.gov                    |
+---------------------------------+------------------------------------+
| [**FLORIDA**](http://           | [**GEORGIA**](http://www.          |
| www.dca.state.fl.us/ffcm/FCMP/S | opb.state.ga.us/clearinghouse.htm) |
| tate_Clearinghouse/fcmpsch.htm) |                                    |
|                                 | Georgia State Clearinghouse\       |
| Jasmin Raffington\              | 270 Washington Street, SW\         |
| Florida State Clearinghouse\    | Atlanta, Georgia 30334\            |
| Department of Community         | Telephone: (404) 656-3855\         |
| Affairs\                        | Fax: (404) 656-7901\               |
| 2555 Shumard Oak Blvd.\         | gach@mail.opb.state.ga.us          |
| Tallahassee, Florida            |                                    |
| 32399-2100\                     |                                    |
| Telephone: (850) 922-5438\      |                                    |
| Fax: (850) 414-0479\            |                                    |
| clearinghouse@dca.state.fl.us   |                                    |
+---------------------------------+------------------------------------+
| [**ILLINOIS**](h                | **IOWA**                           |
| ttp://www.state.il.us/fedclear) |                                    |
|                                 | Steven R. McCann\                  |
| Virginia Bova\                  | Division of Community and Rural    |
| Department of Commerce\         | Development\                       |
|    and Community Affairs\       | Iowa Department of Economic        |
| James R. Thompson Center\       | Development\                       |
| 100 West Randolph, Suite 3-400\ | 200 East Grand Avenue\             |
| Chicago, Illinois 60601\        | Des Moines, Iowa 50309\            |
| Telephone: (312) 814-6028\      | Telephone: (515) 242-4719\         |
| Fax (312) 814-8485\             | Fax: (515) 242-4809\               |
| vbova@commerce.state.il.us      | steve.mccann@ided.state.ia.us      |
+---------------------------------+------------------------------------+
| **KENTUCKY**                    | **MAINE**                          |
|                                 |                                    |
| Ron Cook\                       | Joyce Benson\                      |
| Department for Local            | State Planning Office\             |
| Government\                     | 184 State Street\                  |
| 1024 Capital Center Drive,      | 38 State House Station\            |
| Suite 340\                      | Augusta, Maine 04333\              |
| Frankfort, Kentucky 40601\      | Telephone: (207) 287-3261\         |
| Telephone: (502) 573-2382\      | (207) 287-1461 (direct)\           |
| Fax: (502) 573-2512\            | Fax: (207) 287-6489\               |
| <ron.cook@mail.state.ky.us>     | joyce.benson@state.me.us           |
+---------------------------------+------------------------------------+
| [**MARYLAND                     | **MICHIGAN**                       |
| **](http://www.op.state.md.us/) |                                    |
|                                 | Richard Pfaff\                     |
| Linda Janey\                    | Southeast Michigan Council of      |
| Manager, Clearinghouse\         | Governments\                       |
|    and Plan Review Unit\        | 535 Griswold, Suite 300\           |
| Maryland Office of Planning\    | Detroit, Michigan 48226\           |
| 301 West Preston Street - Room  | Telephone: (313) 961-4266\         |
| 1104\                           | Fax: (313) 961-4869\               |
| Baltimore, Maryland 21201-2305\ | pfaff@semcog.org                   |
| Telephone: (410) 767-4490\      |                                    |
| Fax: (410) 767-4480\            |                                    |
| linda@mail.op.state.md.us       |                                    |
+---------------------------------+------------------------------------+
| **MISSISSIPPI**                 | [**MISSOURI**](http://www.oa.s     |
|                                 | tate.mo.us/gs/mofedasst/index.htm) |
| Cathy Mallette\                 |                                    |
| Clearinghouse Officer\          | Carol Meyer, Teresa Krichhoff\     |
| Department of Finance and       | Federal Assistance Clearinghouse\  |
| Administration\                 | Office of Administration\          |
| 1301 Woolfolk Building, Suite   | P.O. Box 809\                      |
| E\                              | Truman Building, Room 840\         |
| 501 North West Street\          | Jefferson City, Missouri 65102\    |
| Jackson, Mississippi 39201\     | Telephone: (573) 751-4834\         |
| Telephone: (601) 359-6762\      | Fax: (573) 522-4395\               |
| Fax: (601) 359-6758             | <meyerc@mail.oa.state.mo.us>       |
|                                 |                                    |
|                                 | kirchhoft@mail.oa.state.mo.us      |
+---------------------------------+------------------------------------+
| [**NEVADA**]                    | [**NEW                             |
| (http://www.state.nv.us/budget) | HAMP                               |
|                                 | SHIRE**](http://www.state.nh.us/os |
| Heather Elliott\                | p/planning/federalassistance.html) |
| Department of Administration\   |                                    |
| State Clearinghouse\            | Jeffrey H. Taylor\                 |
| 209 E. Musser Street, Room 200\ | Director\                          |
| Carson City, Nevada 89701\      | New Hampshire Office of State      |
| Telephone: (775) 684-0209\      | Planning\                          |
| Fax: (775) 684-0260\            | Attn: Intergovernmental Review     |
| helliott@govmail.state.nv.us    | Process\                           |
|                                 | Mike Blake\                        |
|                                 | 2-1/2 Beacon Street\               |
|                                 | Concord, New Hampshire 03301\      |
|                                 | Telephone: (603) 271-2155\         |
|                                 | Fax: (603) 271-1728\               |
|                                 | jtaylor@osp.state.nh.us            |
+---------------------------------+------------------------------------+
| [**NEW                          | [**NORTH                           |
| MEXICO**](http://www.lgd        | CAROLINA**](http://www.doa.stat    |
| -newmarc.net/ddo/dir_clear.htm) | e.nc.us/doa/clearing/clearing.htm) |
|                                 |                                    |
| Ken Hughes\                     | Jeanette Furney\                   |
| Local Government Division\      | Department of Administration\      |
| Room 201 Bataan Memorial        | 1302 Mail Service Center\          |
| Building\                       | Raleigh, North Carolina            |
| Santa Fe, New Mexico 87503\     | 27699-1302\                        |
| Telephone: (505) 827-4370\      | Telephone: (919) 807-2323\         |
| Fax: (505) 827-4948\            | Fax: (919) 733-9571\               |
| khughes@dfa.state.nm.us         | jeanette.furney@ncmail.net         |
+---------------------------------+------------------------------------+
| [**NORTH                        | **RHODE ISLAND**                   |
| DAKOTA                          |                                    |
| **](http://www.state.nd.us/dcs) | Kevin Nelson\                      |
|                                 | Department of Administration\      |
| Jim Boyd\                       | Statewide Planning Program\        |
| Division of Community Services\ | One Capitol Hill\                  |
| 600 East Boulevard Ave, Dept    | Providence, Rhode Island           |
| 105\                            | 02908-5870\                        |
| Bismarck, North Dakota          | Telephone: (401) 222-2093\         |
| 58505-0170\                     | Fax: (401) 222-2083\               |
| Telephone: (701) 328-2094\      | knelson@doa.state.ri.us            |
| Fax: (701) 328-2308\            |                                    |
| <jboyd@state.nd.us>             |                                    |
+---------------------------------+------------------------------------+
| **SOUTH CAROLINA**              | [**TEXAS**](http://www.gove        |
|                                 | rnor.state.tx.us/the_office/gts_tr |
| Omeagia Burgess\                | acs/TRACS/general_information.htm) |
| Budget and Control Board\       |                                    |
| Office of State Budget\         | Denise S. Francis\                 |
| 1122 Ladies Street, 12th Floor\ | Director, State Grants Team\       |
| Columbia, South Carolina 29201\ | Governor\'s Office of Budget and   |
| Telephone: (803) 734-0494\      | Planning\                          |
| Fax: (803) 734-0645\            | P.O. Box 12428\                    |
| aburgess@budget.state.sc.us     | Austin, Texas 78711\               |
|                                 | Telephone: (512) 305-9415\         |
|                                 | Fax: (512) 936-2681\               |
|                                 | dfrancis@governor.state.tx.us      |
+---------------------------------+------------------------------------+
| [**UTAH**](http://www.governor  | **WEST VIRGINIA**                  |
| .utah.gov/rplr/rdcc/grants.htm) |                                    |
|                                 | Fred Cutlip, Director\             |
| Carolyn Wright\                 | Community Development Division\    |
| Utah State Clearinghouse\       | West Virginia Development Office\  |
| Governor\'s Office of Planning  | Building #6, Room 553\             |
| and Budget\                     | Charleston, West Virginia 25305\   |
| State Capitol, Room 114\        | Telephone: (304) 558-4010\         |
| Salt Lake City, Utah 84114\     | Fax: (304) 558-3248\               |
| Telephone: (801) 538-1535\      | fcutlip@wvdo.org                   |
| Fax: (801) 538-1547\            |                                    |
| cwright@gov.state.ut.us         |                                    |
+---------------------------------+------------------------------------+
| [**WISCONSIN                    | **AMERICAN SAMOA**                 |
| **](http://www.doa.state.wi.us/ |                                    |
| dhir//boir/fed_state/index.asp) | Pat M. Galea\'i\                   |
|                                 | Federal Grants/Programs            |
| Jeff Smith\                     | Coordinator\                       |
| Section Chief, Federal/State    | Office of Federal Programs\        |
| Relations\                      | Office of the Governor/Department\ |
| Wisconsin Department of         |     of Commerce\                   |
| Administration\                 | American Samoa Government\         |
| 101 East Wilson Street - 6th    | Pago Pago, American Samoa 96799\   |
| Floor\                          | Telephone: (684) 633-5155\         |
| P.O. Box 7868\                  | Fax: (684) 633-4195\               |
| Madison, Wisconsin 53707\       | pmgaleai@samoatelco.com            |
| Telephone: (608) 266-0267\      |                                    |
| Fax: (608) 267-6931\            |                                    |
| jeffrey.smith@doa.state.wi.us   |                                    |
+---------------------------------+------------------------------------+
| **GUAM**                        | **PUERTO RICO**                    |
|                                 |                                    |
| Director\                       | Jose Caballero / Mayra Silva\      |
| Bureau of Budget and Management | Puerto Rico Planning Board\        |
| Research\                       | Federal Proposals Review Office\   |
| Office of the Governor\         | Minillas Government Center\        |
| P.O. Box 2950\                  | P.O. Box 41119\                    |
| Agana, Guam 96910\              | San Juan, Puerto Rico 00940-1119\  |
| Telephone: 011-671-472-2285\    | Telephone: (787) 723-6190\         |
| Fax: 011-472-2825\              | Fax: (787) 722-6783                |
| <jer@ns.gov.gu>                 |                                    |
+---------------------------------+------------------------------------+
| **NORTH MARIANA ISLANDS**       | **VIRGIN ISLANDS**                 |
|                                 |                                    |
| Ms. Jacoba T. Seman\            | Ira Mills\                         |
| Federal Programs Coordinator\   | Director, Office of Management and |
| Office of Management and        | Budget\                            |
| Budget\                         | #41 Norre Gade Emancipation        |
| Office of the Governor\         | Garden\                            |
| Saipan, MP 96950\               | Station, Second Floor\             |
| Telephone: (670) 664-2289\      | Saint Thomas, Virgin Islands       |
| Fax: (670) 664-2272\            | 00802\                             |
| omb.jseman@saipan.com           | Telephone: (340) 774-0750\         |
|                                 | Fax: (340) 776-0069\               |
|                                 | lrmills@usvi.org                   |
+---------------------------------+------------------------------------+

Changes to this list can be made only after OMB is notified by a
State\'s officially designated representative. E-mail messages can be
sent to <grants@omb.eop.gov>. If you prefer, you may send correspondence
to the following postal address:

> Attn: Grants Management
>
> Office of Management and Budget
>
> New Executive Office Building, Suite 6025
>
> 725 17th Street, NW
>
> Washington, DC 20503

**Please note:** Inquiries about obtaining a Federal grant should not be
sent to the OMB e-mail or postal address shown above. The best source
for this information is the [CFDA](http://www.cfda.gov/).

# d. **Notice: Necessity of Meeting Deadlines**

> **IMPORTANT NOTICE**

To Prospective Participants in U.S. Department of Education

> **Contract and Grant Programs**

[Grants]{.underline}

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]{.underline}

Competitive procurement actions undertaken by the Department are
governed by the Federal Procurement Regulation and implementing ED
Procurement Regulation. Generally, prospective competitive procurement
actions are synopsized in the Commerce Business Daily (CBD). Prospective
offerors are therein advised of the nature of the procurement and where
to apply for copies of the Request for Proposals (RFP).

Offerors are advised to be guided solely by the contents of the CBD
synopsis and the instructions contained in the RFP. Questions regarding
the submission of offers should be addressed to the Contracts Specialist
identified on the face page of the RFP. Offers are judged in competition
with others, and failure to conform with any substantive requirements of
the RFP will result in rejection of the offer without any consideration
whatever.

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

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

Superintendent of Documents

U.S. Government Printing Office

Washington, 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.

# **e. DUNS Number Instructions**

**DUNS Number Instructions**

> D‑U‑N‑S No.: Please provide the applicant\'s D‑U‑N‑S Number. You can
> obtain your D‑U‑N‑S Number at no charge by calling **1‑800‑333‑0505**
> or by completing a D‑U‑N‑S Number Request Form. The form can be
> obtained via the Internet at the following URL:

**http://www.dnb.com/dbis/aboutdb/intlduns.htm**

> The D‑U‑N‑S Number is a unique nine‑digit number that does not convey
> any information about the recipient. A built in check digit helps
> assure the accuracy of the D‑U‑N‑S Number. The ninth digit of each
> number is the check digit, which is mathematically related to the
> other digits. It lets computer systems determine if a D‑U‑N‑S Number
> has been entered correctly.
>
> Dun & Bradstreet, a global information services provider, has assigned
> D‑U‑N‑S numbers to over 43 million companies worldwide.

**5****. Non-regulatory Guidance**

Potential applicants frequently direct questions to officials of the
Department regarding application notices and programmatic and
administrative regulations governing various direct grant programs. To
assist potential applicants, we have compiled the most frequently asked
questions followed by our response.

## **Can we get an extension of the deadline?**

No. A closing date may be changed only under extraordinary
circumstances. Any change must be announced in the [Federal
Register]{.underline} and must apply to all applications. Waivers for
individual applications cannot be granted regardless of the
circumstances.

## **If I submit a paper application instead of electronic, how many copies of the application should I submit and must they be bound?**

Applicants who elect to prepare paper applications are required to
submit one original and two copies of the grant application. To aid with
the review of applications, we encourage paper applicants to submit
three additional copies of the grant application. However, we will not
penalize applicants who do not provide additional copies. Sending
applications in notebooks, binders, folders, or other coverings is
discouraged.

## **We just missed the deadline for a particular competition. May we submit under another competition?**

Yes, however, the likelihood of success is not good. A properly prepared
application must meet the specifications of the competition to which it
is submitted.

## **I\'m not sure which competition is most appropriate for my project. What should I do?**

We are happy to discuss any such questions with you and provide
clarification on the unique elements of the various competitions.

## **Will you help us prepare our application?**

We are happy to provide general program information. Clearly, it would
not be appropriate for staff to participate in the actual writing of an
application, but we can respond to specific questions about application
requirements, evaluation criteria, and priorities. Applicants should
understand, however, that prior contact with the Department is not
required, nor will it in any way influence the success of an
application.

## **f. When will I find out if I\'m going to be funded?**

You can expect to receive notification as soon as possible after the
application closing date, depending on the number of applications
received and the number of Department competitions with similar closing
dates.

## **g. Once the review panel has reviewed my application, can you tell me the outcome?**

No. Every year we are called by a number of applicants who have a
legitimate reason for needing to know the outcome of the panel review
prior to official notification. Some applicants need to make job
decisions, some need to notify a local school district, etc. Regardless
of the reason, because final funding decisions have not been made at
that point, we cannot share information about the results of panel
review with anyone.

## **h. Will my application be returned if I am not funded?**

No. We no longer return unsuccessful applications. Thus, applicants
should retain at least one copy of their application.

23. i\. Can I obtain copies of reviewers\' comments?

Yes. Upon written request, reviewers\' comments will be mailed to
unsuccessful applicants.

## **j. Is travel allowed under these projects?**

Travel associated with carrying out the project is allowed. Because we
may request the project director of funded projects to attend an annual
project directors\' meeting, you should include an annual trip to
Washington, DC, in the travel budget. Travel to conferences is sometimes
allowed when the purpose of the conference will be of benefit and
relates to the project.

## **k. If my application receives high scores from the reviewers, will it be** 

## **funded?**

Not necessarily. It is often the case that the number of applications
scored highly by the reviewers exceeds the dollars available for funding
projects under a particular competition. The order of selection, which
is based on the scores of all the applications reviewed and other
relevant factors, determines the applications that can be funded.

## **l. What happens during pre-award clarification discussions?**

During pre-award clarification discussions, technical and budget issues
may be raised. These are issues that have been identified during the
panel and staff reviews that require clarification. Sometimes issues are
stated as "conditions". These are issues that have been identified as so
critical that the award cannot be made unless those conditions are met.
Questions may also be raised about the proposed budget. Generally, these
issues are raised because an application contains inadequate
justification or

explanation of a particular budget item, or because the budget item
seems unimportant to the successful completion of the project. If you
are asked to make changes that you feel could seriously affect the
project\'s success, you may provide reasons for not making the changes
or provide alternative suggestions. Similarly, if proposed budget
reductions will, in your opinion, seriously affect the project
activities, you may explain why and provide additional justification for
the proposed expenses. We cannot make an award until all issues under
discussion have been resolved.

## **m. How do I provide an assurance?**

Except for SF-424B, "Assurances\--Non-Construction Programs," you may
provide an assurance simply by stating in writing that you are meeting a
prescribed requirement.

## **n. Where can copies of the Federal Register, program regulations, and Federal statutes be obtained?**

Copies of these materials can usually be found at your local library. If
not, they can be obtained from the Government Printing Office by writing
to Superintendent of Documents, U.S. Government Printing Office,
Washington, DC 20402. Telephone: (202) 708-8228. When requesting copies
of regulations or statutes, it is helpful to use the specific name or
public law, number of a statute, or part number of a regulation. A copy
of the Code of Federal Regulations that contains the Education
Department General Administrative Regulations, 34 CFR parts 74, 75, 77,
79, 80, 81, 82, 85, 86, 97, 98, and 99, may be obtained from the
Government Printing Office by writing to Superintendent of Documents,
P.O. Box 371954, Pittsburgh, PA 15250-7954, or by telephoning (202)
512-1800. It may also be obtained on the internet at:
www.access.gpo.gov/su\--docs, or www.access.gpo.gov/nara/cfr.

Federal Register notices can also be accessed on the internet at:
www.access.gpo.gov/nara/index.html.

## **o. Where is it explained how the application should be ordered?**

The ordering for the required parts of the application is specified in
the section entitled "How to prepare an application".

**6.** **Supporting Documents**

#  **Tech-Prep Education Definitions and Requirements**

The following are applicable Tech-Prep education definitions and
requirements from Perkins III. Additional requirements that apply to the
TPDP or to this competition are discussed in the notice. We provide this
information for your convenience, however, it is not meant to substitute
for a careful reading of all the statutory provisions that are
applicable as discussed in the notice.

**[Definitions]{.underline}**

**Articulation Agreement**

A written commitment to a program designed to provide students with a
nonduplicative sequence of progressive achievement leading to degrees or
certificates in a tech-prep education program.

**Community College**

An institution of higher education, as defined in section 101 of the
Higher Education Act of 1965, that---

provides not less than a 2-year program that is acceptable for full
credit toward a bachelor\'s degree; and includes tribally controlled
colleges or universities.

**Tech-Prep Program**

A program of study that\--

1.  combines at a minimum 2 years of secondary education (as determined
    under State law) with a minimum of 2 years of postsecondary
    education in a nonduplicative, sequential course of study;

2.  integrates academic, and vocational and technical, instruction, and
    utilizes work-based and worksite learning where appropriate and
    available;

3.  provides technical preparation in a career field such as engineering
    technology, applied science, a mechanical, industrial, or practical
    art or trade, agriculture, health occupations, business, or applied
    economics;

4.  builds student competence in mathematics, science, reading, writing,
    communications, economics, and workplace skills through applied,
    contextual academics, and integrated instruction, in a coherent
    sequence of courses;

5.  leads to an associate or a baccalaureate degree or a postsecondary
    certificate in a specific career field; and

6.  leads to placement in appropriate employment or to further
    education.

**[Contents of a Tech-Prep Program]{.underline}**

Each tech-prep program shall\--

1.  be carried out under an articulation agreement between the
    participants in the consortium;

2.  consist of at least 2 years of secondary school preceding graduation
    and 2 years or more of higher education, or an apprenticeship
    program of at least 2 years following secondary instruction, with a
    common core of required proficiency in mathematics, science,
    reading, writing, communications, and technologies designed to lead
    to an associate\'s degree or a postsecondary certificate in a
    specific career field;

3.  include the development of tech-prep programs for both secondary and
    postsecondary participants in the consortium that---

    a.  meet academic standards developed by the State;

    b.  link secondary schools and 2-year postsecondary institutions
        through nonduplicative sequences of courses in career fields,
        including the investigation of opportunities for tech-prep
        secondary students to enroll concurrently in secondary and
        postsecondary coursework;

    c.  use, if appropriate and available, work-based or worksite
        learning in conjunction with business and all aspects of an
        industry; and

    d.  use educational technology and distance learning, as
        appropriate, to involve all the consortium partners more fully
        in the development and operation of programs;

4.  include in-service training for teachers that\--

    a.  is designed to train vocational and technical teachers to
        effectively implement tech-prep programs;

    b.  provides for joint training for teachers in the tech-prep
        consortium;

    c.  is designed to ensure that teachers and administrators stay
        current with the needs, expectations, and methods of business
        and all aspects of an industry;

    d.  focuses on training postsecondary education faculty in the use
        of contextual and applied curricula and instruction; and

    e.  provides training in the use and application of technology;

5.  include training programs for counselors designed to enable
    counselors to more effectively\--

    a.  provide information to students regarding tech-prep education
        programs;

    b.  support student progress in completing tech-prep programs;

    c.  provide information on related employment opportunities;

    d.  ensure that such students are placed in appropriate employment;
        and

    e.  stay current with the needs, expectations, and methods of
        business and all aspects of an industry;

6.  provide equal access, to the full range of technical preparation
    programs, to individuals who are members of special populations,
    including the development of tech-prep program services appropriate
    to the needs of special populations; and

7.  provide for preparatory services that assist participants in
    tech-prep programs.

Page left blank.

# **7.** **Required Forms and Assurances**

**Note:** Copies of the standard forms shown from this page forward are
available at the U.S. Department of Education's Web site at
<http://www.ed.gov/offices/OCFO/grants/appforms.html>.

1.  Tech Prep Demonstration Program Consortium Agreement

2.  Proposed Project Course Sequence Plan

3.  Application for Federal Assistance (ED Form 424)

4.  Budget Information, Non-Construction Programs (ED Form 524)

5.  General Education Provisions Act (GEPA), Section 427

6.  Assurances: Non-Construction Programs (SF 424B)

7.  Certifications Regarding Lobbying; Debarment, Suspension and Other
    Responsibility Matters; and Drug-Free Workplace Requirements (ED
    80-0013)

8.  Certification Regarding Debarment, Suspension, Ineligibility and
    Voluntary Exclusion -- Lower Tier Covered Transactions (ED 80-0014)

9.  Disclosure of Lobbying Activities (Form LLL)

10. Survey on Ensuring Equal Opportunity for Applicants

**a. Tech Prep Demonstration Program Consortium Agreement**

Tech Prep Demonstration Program

**Consortium Agreement**

The entities listed below have formed a consortium to develop,
implement, and sustain a Tech Prep Demonstration Program, as described
under Section 207 of the Carl D. Perkins Vocational and Technical
Education Act of 1998. Their roles and responsibilities are described
below.

# Secondary School Commitment 

In support of the program. the undersigned secondary school(s) agree to:

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

Entity

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

Name/Title

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

Signature

# Community College Commitment

In support of the program, the undersigned community college agrees to:

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

Entity

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

Name/Title

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

Signature

# Business Member Commitment 

In support of the program, the undersigned business partner(s) agrees
to:

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

Entity

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

Name/Title

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

Signature

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

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 1830-0550. The time required
to complete this information collection is estimated to average
[2]{.underline} hours 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:** 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:** Karen Stratman Clark, Office of Vocational
and Adult Education, U.S. Department of Education, 400 Maryland Avenue,
S.W., MES, Room 5512, Washington D.C. 20202-4651.

**b. Proposed Project Course Sequence Plan**

This page left blank

**Proposed Project Course Sequence Plan**

Title of Program**:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

List course name and credit hours in appropriate boxes below.

+------+------+-------+------+-------+------+-------+------+-----+
| Sub  | S    |       |      |       | P    |       |      |     |
| ject | econ |       |      |       | osts |       |      |     |
|      | dary |       |      |       | econ |       |      |     |
|      |      |       |      |       | dary |       |      |     |
+------+------+-------+------+-------+------+-------+------+-----+
|      | Ju   |       | Se   |       | Fres |       | S    |     |
|      | nior |       | nior |       | hman |       | opho |     |
|      | Year |       | Year |       | Year |       | more |     |
|      |      |       |      |       |      |       | Year |     |
+------+------+-------+------+-------+------+-------+------+-----+
| Seme | Fall | S     | Fall | S     | Fall | S     | Fall | Spr |
| ster |      | pring |      | pring |      | pring |      | ing |
+------+------+-------+------+-------+------+-------+------+-----+
| Math |      |       |      |       |      |       |      |     |
+------+------+-------+------+-------+------+-------+------+-----+
| Eng  |      |       |      |       |      |       |      |     |
| lish |      |       |      |       |      |       |      |     |
+------+------+-------+------+-------+------+-------+------+-----+
| Sci  |      |       |      |       |      |       |      |     |
| ence |      |       |      |       |      |       |      |     |
+------+------+-------+------+-------+------+-------+------+-----+
| Hu   |      |       |      |       |      |       |      |     |
| mani |      |       |      |       |      |       |      |     |
| ties |      |       |      |       |      |       |      |     |
|      |      |       |      |       |      |       |      |     |
| So   |      |       |      |       |      |       |      |     |
| cial |      |       |      |       |      |       |      |     |
| Sci  |      |       |      |       |      |       |      |     |
| ence |      |       |      |       |      |       |      |     |
+------+------+-------+------+-------+------+-------+------+-----+
| Hu   |      |       |      |       |      |       |      |     |
| mani |      |       |      |       |      |       |      |     |
| ties |      |       |      |       |      |       |      |     |
|      |      |       |      |       |      |       |      |     |
| So   |      |       |      |       |      |       |      |     |
| cial |      |       |      |       |      |       |      |     |
| Sci  |      |       |      |       |      |       |      |     |
| ence |      |       |      |       |      |       |      |     |
+------+------+-------+------+-------+------+-------+------+-----+
| T    |      |       |      |       |      |       |      |     |
| echn |      |       |      |       |      |       |      |     |
| ical |      |       |      |       |      |       |      |     |
| Core |      |       |      |       |      |       |      |     |
+------+------+-------+------+-------+------+-------+------+-----+
| T    |      |       |      |       |      |       |      |     |
| echn |      |       |      |       |      |       |      |     |
| ical |      |       |      |       |      |       |      |     |
| Core |      |       |      |       |      |       |      |     |
+------+------+-------+------+-------+------+-------+------+-----+
| O    |      |       |      |       |      |       |      |     |
| ther |      |       |      |       |      |       |      |     |
+------+------+-------+------+-------+------+-------+------+-----+
| O    |      |       |      |       |      |       |      |     |
| ther |      |       |      |       |      |       |      |     |
+------+------+-------+------+-------+------+-------+------+-----+
|      |      |       | High |       |      |       | Cer  |     |
|      |      |       | Sc   |       |      |       | tifi |     |
|      |      |       | hool |       |      |       | cate |     |
|      |      |       | Gr   |       |      |       | or   |     |
|      |      |       | adua |       |      |       | De   |     |
|      |      |       | tion |       |      |       | gree |     |
|      |      |       |      |       |      |       | Rece |     |
|      |      |       |      |       |      |       | ived |     |
+------+------+-------+------+-------+------+-------+------+-----+

[Key]{.underline}

\* Student receives secondary credit only

> \*\* Student receives postsecondary credit only
>
> \*\*\* Student receives dual credit (secondary and postsecondary
> simultaneously)

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 1830-0550. The time required
to complete this information collection is estimated to average
[8]{.underline} hours 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:** 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:** Sylvia E. Lyles, Office of Vocational and
Adult Education, U.S. Department of Education, 550 12^th^ Street, S.W.,
Room 11053, Washington D.C. 20202-4651.

**Instructions for Form ED 424**

**1.** **Legal Name and Address.** Enter the legal name of applicant and
the name of the primary organizational unit which will undertake the
assistance activity.

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

**3. Tax Identification Number.** Enter the taxpayer's identification
number as assigned by the Internal Revenue Service.

**4.** **Catalog of Federal Domestic Assistance** **(CFDA) Number.**
Enter the CFDA number and title of the program under which assistance is
requested. The CFDA number can be found in the federal register notice
and the application package.

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

**6. 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 Form ED 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**.**

**7. Federal Debt Delinquency**. Check "**Yes**" if the applicant's
organization is delinquent on any Federal debt. (This question refers to
the applicant's organization and not to the person who signs as the
authorized representative. Categories of debt include delinquent audit
disallowances, loans and taxes.) Otherwise, check "**No**."

**8. Type of Applicant.** Enter the appropriate letter in the box
provided.

**9. State Application Identifier**. State use only (if applicable).

**10. Type of Submission**. See "Definitions for Form ED 424" attached.

**11. Executive Order 12372**. See "Definitions for Form ED 424"
attached. Check "**Yes**" if the application is subject to review by
E.O. 12372. Also, please enter the month, day, and four (4) digit year
(mm/dd/yyyy). Otherwise, check "**No**."

**12. Proposed Project Dates**. Please enter the month, day, and four
(4) digit year (mm/dd/yyyy).

**13. Human Subjects Research**. (See I.A. "Definitions" in attached
page entitled "Definitions for Form ED 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 12 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 Form ED 424.")

**13a. 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 Form ED 424." Insert this narrative immediately
following the ED 424 face page.

**13a. 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 Form ED 424." Insert this narrative
immediately following the ED 424 face page.

**13a. Human Subjects Assurance Number**. If the applicant has an
approved Federal Wide (FWA) or Multiple Project Assurance (MPA) 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 face page, 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.

**14. Project Title**. Enter a brief descriptive title of the project.
If more than one program is involved, you should append an explanation
on a separate sheet. If appropriate (e.g., construction or real property
projects), attach a map showing project location. For preapplications,
use a separate sheet to provide a summary description of this project.

**15. Estimated Funding**. 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. If both basic and supplemental amounts are included, show
breakdown on an attached sheet. For multiple program funding, use totals
and show breakdown using same categories as item 15.

**16. Certification**. To be signed by the authorized representative of
the applicant. A copy of the governing body's authorization for you to
sign this application as official representative must be on file in the
applicant's office. Be sure to enter the telephone and fax number and
e-mail address of the authorized representative. Also, in item 15e,
please enter the month, day, and four (4) digit year (mm/dd/yyyy) in the
date signed field.

**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
1875-0106. 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 12th Street SW, Room
7076, Washington, DC 20202-4260.

##  {#section-2 .unnumbered}

**Definitions for Form ED 424**

**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.

**Type of Submission.** "Construction" includes construction of new
buildings and acquisition, expansion, remodeling, and alteration of
existing buildings, and initial equipment of any such buildings, or any
combination of such activities (including architects' fees and the cost
of acquisition of land). "Construction" also includes remodeling to meet
standards, remodeling designed to conserve energy, renovation or
remodeling to accommodate new technologies, and the purchase of existing
historic buildings for conversion to public libraries. For the purposes
of this paragraph, the term "equipment" includes machinery, utilities,
and built-in equipment and any necessary enclosures or structures to
house them; and such term includes all other items necessary for the
functioning of a particular facility as a facility for the provision of
library services.

**Executive Order 12372.** The purpose of Executive Order 12372 is to
foster an intergovernmental partnership and strengthen federalism by
relying on State and local processes for the coordination and review of
proposed Federal financial assistance and direct Federal development.
The application notice, as published in the Federal Register, informs
the applicant as to whether the program is subject to the requirements
of E.O. 12372. In addition, the application package contains information
on the State Single Point of Contact. An applicant is still eligible to
apply for a grant or grants even if its respective State, Territory,
Commonwealth, etc. does not have a State Single Point of Contact. For
additional information on E.O. 12372 go to
http://12.46.245.173/pls/portal30/catalog.REQ_FOR_12372.show

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

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

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

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

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

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

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

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

If the applicant marked "Yes" for Item 13 on the ED 424, the applicant
must provide a human subjects "exempt research" or "nonexempt research"
narrative and insert it immediately following the ED 424 face page.

**A. Exempt Research Narrative.**

If you marked "Yes" for item 13 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 13 a. you must provide the "nonexempt
research" narrative. The narrative must address the following seven
points. Although no specific page limitation applies to this section of
the application, be succinct.

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

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

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

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

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

\(6\) **Importance of the Knowledge to be Gained**: Discuss the
importance of the knowledge gained or to be gained as a result of the
proposed research. Discuss why the risks to subjects are reasonable in
relation to the anticipated benefits to subjects and in relation to the
importance of the knowledge that may reasonably be expected to result.

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

***Copies of the Department of Education's Regulations for the
Protection of Human Subjects, 34 CFR Part 97 and other pertinent
materials on the protection of human subjects in research are available
from the Grants Policy and Oversight Staff, Office of the Chief
Financial Officer, U.S. Department of Education, Washington, D.C.
20202-4250, telephone: (202) 245-6120, and on the U.S. Department of
Education's Protection of Human Subjects in Research Web Site at
http://www.ed.gov/about/offices/list/ocfo/humansub.html***

**Instructions for ED 524**

[General Instructions]{.underline}

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

[Section A - Budget Summary]{.underline}

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

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

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

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

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

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

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

[Section B - Budget Summary]{.underline}

[Non-Federal Funds]{.underline}

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

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

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

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

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

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

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

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

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

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

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

4.  Provide other explanations or comments you deem necessary.

Paperwork Burden Statement

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

#   {#section-3 .unnumbered}

# 

**INSTRUCTIONS FOR COMPLETION OF SF-LLL, DISCLOSURE OF LOBBYING
ACTIVITIES**

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
followup 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.

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

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

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

![](media/image1.jpeg){width="0.7534722222222222in"
height="0.7597222222222222in"}

1.  Does the applicant have 501(c)(3) status?

Yes No

2\. How many full-time equivalent employees does the applicant have?
*(Check only one box).*

> 3 or Fewer 15-50
>
> 4-5 51-100
>
> 6-14 over 100

3\. What is the size of the applicant's annual budget? *(Check only one
box.)*

Less Than \$150,000

\$150,000 - \$299,999

\$300,000 - \$499,999

\$500,000 - \$999,999

\$1,000,000 - \$4,999,999

\$5,000,000 or more

4\. Is the applicant a faith-based/religious organization?

Yes No

5\. Is the applicant a non-religious community-based organization?

Yes No

6\. Is the applicant an intermediary that will manage the grant on
behalf of other organizations?

> Yes No

7.  Has the applicant ever received a government grant or contract
    (Federal, State, or local )?

Yes No

8\. Is the applicant a local affiliate of a national organization?

Yes No

#  Survey Instructions on Ensuring Equal Opportunity for Applicant

1\. 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.

2\. 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.

3\. Annual budget means the amount of money your organization spends
each year on all of its activities.

4\. Self-identify.

5\. An organization is considered a community-based organization if its
headquarters/service location shares the same zip code as the clients
you serve.

6\. An "intermediary" is an organization that enables a group of small
organizations to receive and manage government funds by administering
the grant on their behalf.

7.  Self-explanatory.

8.  Self-explanatory

**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:** 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:** Joyce I.
Mays, Application Control Center, U.S. Department of Education, 7^th^
and D Streets, SW, ROB-3, Room 3671, Washington, DC 20202-4725.