Archived Information

U.S. DEPARTMENT OF EDUCATION

OFFICE OF SPECIAL EDUCATION AND REHABILITATIVE SERVICES

WASHINGTON, D.C. 20202-2575

**FY 2004 APPLICATION KIT FOR NEW GRANTS**

**UNDER**

**THE REHABILITATION SERVICES ADMINISTRATION**

**SPECIAL DEMONSTRATION PROGRAMS -- MODEL TRANSITIONAL REHABILITATION
SERVICES FOR YOUTH AND YOUNG ADULTS WITH DISABILITIES**

**CFDA NUMBER: 84.235S**

![](media/image1.png){width="4.0in" height="3.4270833333333335in"}

FORM APPROVED

OMB No. 1820-0018, EXP. DATE 2/28/2007

ED FORM 424, 11/2004

**DATED MATERIAL - OPEN IMMEDIATELY**

**CLOSING DATE: AUGUST 19, 2004\
**

**TABLE OF CONTENTS**

Dear Applicant Letter

Notice Inviting Applications for New Awards:(84.235S)

[Special Demonstration Program---Model Transitional Rehabilitation
Services for Youth and Young Adults With Disabilities]{.underline}

Points to
Remember................................................................Section
A

Section 303(b) of the Vocational Rehabilitation Act of 1973, as amended
**and** 34 CFR Part 373 Program
Regulations\...\...\...\...\...\...\..................\...\...\...\...\...\...\...\...\...\...\...........Section
B

Selection Criteria
\...\...\...\...\...\...\...\...\...\...\..............................................Section
C

Application Transmittal
Instructions\...\...........................................Section D

Instructions for Application for Federal Assistance

Forms and
Instructions\...\...\...\...\...\...\...\...\...\...\...\...\...\...\..............................Section
E

Part I : Application for Federal Assistance (ED Form 424, Exp. 11/30/04)

Part II : Budget Information \-- Non-Construction Programs and
Instructions

(ED Form 524)

Part III : Application Narrative

\` Part IV : Assurances and Certifications

Assurances Non-Construction Programs

Certifications Regarding Lobbying; Debarment, Suspension, and

Other Responsibility Matters; and Drug-Free Workplace

Requirements (ED Form 80-0013)

Certification Regarding Debarment, Suspension, Ineligibility and

Voluntary Exclusion \-- Lower Tier Covered Transactions

(ED Form 80-0014)

Disclosure of Lobbying Activities

Department of Education General Education Provisions Act (GEPA)

The Government Performance and Results Act (GPRA)

Survey on Ensuring Equal Opportunity for Applicants

PART V:

Important Notice to Prospective Participants In U.S. Department of
Education

Grant and Contract Programs

DUNS Number Instructions

Application Check List

Common Questions and Answers

Dear Applicant:

The Secretary invites applications for new awards for fiscal year (FY)
2004 under the Special Demonstration Programs -- Model Transitional
Rehabilitation Services for Youth and Young Adults with Disabilities
(CFDA 84.235S). This program is authorized by section 303(b) of the
Rehabilitation Act of 1973, as amended (the Act).

[PROGRAM PURPOSE]{.underline}

The purpose of the program is to provide financial assistance to
projects that expand and improve the provision of rehabilitation and
other services for individuals with disabilities. These model
demonstration projects will focus on mentoring models that provide
appropriate supports for transition-age youth and young adults with
disabilities. The mentoring models developed under this program must
incorporate effective, research-based mentoring methods. The model
demonstration projects will test whether increases in meaningful
postsecondary education and quality employment outcomes for youth and
young adults with disabilities can be achieved through the use of
mentors.

This application kit contains information and the required forms for
potential applicants to apply and compete for FY 2004 grant awards under
this competition. Potential applicants are advised to read the materials
carefully, particularly the information on the types of organizations
that are eligible to apply for these grants, and other special program
requirements. Prior to completing the grant application, please review
the Federal Register Notice included in this application packet. Only
applications that address the requirements for this Special
Demonstration Program will be reviewed. Applicants that do not address
this program's purpose and requirements, as stated in the Federal
Register Notice, will be returned to the senders without review.

[APPLICATION PROCEDURES]{.underline}

If you are submitting your application electronically, you
**[must]{.underline}** submit your grant application through the
Internet using the software provided on the e-Grants Web site
([http://e-grants.ed.gov](http://e-grants.ed.gov/)) by 4:30 p.m.
(Washington, DC time) on August 19,2004. The regular hours of operation
of the e-Grants website 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 Wednesday for maintenance (Washington, DC time). Any
modifications to these hours are posted on the e-Grants Web site.

If you are submitting your application by mail, you
**[must]{.underline}** submit one original application and two copies.
[The Rehabilitation Services Administration would appreciate receiving
three additional copies to facilitate the review process, (six
applications in all).]{.underline}

Applications **[must]{.underline}** be mailed (postmarked) on or before
the closing date of August 19, 2004 indicated in this package, to the
following address: U.S. Department of Education, Application Control
Center, Attention: CFDA Number 84.235S, 400 Maryland Avenue, S.W.,
Washington, D.C. 20202-4725.

Applications sent by overnight mail (UPS, Federal Express, USPO Express,
etc.) **[must]{.underline}** be sent to a [different
address]{.underline}: U.S. Department of Education, Application Control
Center, Room 7067, Potomac Center Plaza, 550 12^th^ Street S.W.,
Washington D.C. 20202. Phone number: 202-245-6288.

[APPLICATION CONTENT]{.underline}

In block 4 of the application cover sheet (Standard Form 424), you
**[must]{.underline}** insert CFDA number 84.235S, and the following
title: Special Demonstration Programs -- Model Transitional
Rehabilitation Services for Youth and Young Adults with Disabilities.

As a result of changes in the Department of Education's grants
management process, all applicants for multi year projects are required
to provide detailed budget information for the total grant period
requested (up to 60 months). At the time of the initial award, the
Department will address the funding levels for each year of the grant
award. Detailed instructions for providing budget information is
provided in this application kit. Please note that the program
regulations found in 34 CFR part 373 limit indirect cost reimbursement
for grants under this program to the recipient's actual indirect costs,
as determined by its negotiated indirect cost agreement,
**[or]{.underline}** 10 percent of the total direct cost base,
**[whichever amount is less]{.underline}**.

Each proposal **[must]{.underline}** include a one page abstract. The
abstract is a critical component of the proposal and it
**[must]{.underline}** highlight the purpose of the project, target
population to be served during the project period, planned goals and
objectives, innovative strategies utilized, project outcomes, and a plan
or process for maintaining the momentum of the project after the project
ends.

[The program narrative **must** address the application requirements for
this program's Absolute Priority contained within the Notice Inviting
Applications, and the selection criteria provided in this application
kit. To facilitate the peer review process, the narrative should address
the selection criteria in the order that the criteria are
listed]{.underline}. Please be certain to carefully review these
materials and call for technical assistance if needed. In addition,
applicants are reminded that the 1998 Amendments to the Rehabilitation
Act require that all new applications **[must]{.underline}** describe
how the needs of individuals with disabilities from minority backgrounds
will be addressed. Applicants **[must]{.underline}** also provide an
assurance that individuals who receive services will be advised of the
availability and purposes of the State\'s Client Assistance Programs,
including information on means of seeking assistance under such program.

[PROGRAM RULES AND REGULATIONS]{.underline}

The applicable program authority, Section 303(b) of The Act, and program
regulations from 34 CFR part 373 are provided in this kit. In addition,
these grants are subject to the requirements of the Education Department
General Administrative Regulations (EDGAR), 34 CFR Part 74, 75, 77, 79,
80, 81, 82, 84, 85, 86, 97, and 99 which set forth general rules
affecting the submittal, review, awarding, and post-award administration
of grants funded by the Department of Education.

[TECHNICAL ASSISTANCE]{.underline}

If you have any questions about the information in this application kit,
please contact Pedro Romero, Program Officer, at (202) 245-7645.
[NOTE]{.underline}: Please forward this entire application kit to the
grant writer(s). The entire kit is needed to complete the grant
application. Individuals who use a telecommunications device (TDD) may
call the Federal Information Relay Service (FIRS) at 1-800-576-7734
between 8:00 a.m. and 8:00 p.m., Eastern time, Monday through Friday.

Thank you for your interest in these programs.

Sincerely,

/s/

Timothy C. Muzzio, Ph. D.

Acting Director, Division of Special Projects

NOTICE INVITING APPLICATIONS FOR NEW AWARDS

4000-01-U

DEPARTMENT OF EDUCATION

Office of Special Education and Rehabilitative Services

Overview Information

Special Demonstration Programs\--Model Transitional Rehabilitation
Services for Youth and Young Adults With Disabilities

Notice inviting applications for new awards for fiscal year (FY) 2004.

[Catalog of Federal Domestic Assistance (CFDA) Number]{.underline}:
84.235S

[Dates]{.underline}:

Applications Available: July 19, 2004

Deadline for Transmittal of Applications: August 19, 2004

[Eligible Applicants]{.underline}: Public or nonprofit agencies or
organizations, including institutions of higher education, for-profit
organizations, State vocational rehabilitation (VR) agencies, community
rehabilitation programs, and Indian tribes or tribal organizations.

[Estimated Available Funds]{.underline}: \$2,000,000.

[Estimated Range of Awards]{.underline}: \$200,000-\$300,000.

[Estimated Average Size of Awards]{.underline}: \$250,000.

[Estimated Number of Awards]{.underline}: 8.

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

[Project Period]{.underline}: Up to 60 months.

Full Text of Announcement

I. Funding Opportunity Description

[Purpose of Program]{.underline}: This program provides grants to
eligible entities to support activities that increase the provision,
extent, availability, scope, and quality of rehabilitation services.

[Priority]{.underline}: In accordance with 34 CFR 75.105(b)(2)(ii), this
priority is from the regulations for this program (34 CFR 373.6(a)(1),
(a)(2), (b)(2), and (b)(10)).

[Absolute Priority]{.underline}: For FY 2004 this priority is an
absolute priority. Under 34 CFR 75.105(c)(3) we consider only
applications that meet this priority.

This priority is:

> [Special Demonstration Programs\--Model Demonstrations to
> Increase]{.underline}

[Meaningful Community Integration, Postsecondary Education, and
Employment]{.underline}

[Outcomes for Transition-Age Youth and Young Adults With Disabilities
Through]{.underline}

[Research-Based Mentoring Methods]{.underline}

Special demonstration projects under this priority must focus on
research-based mentoring methods that provide appropriate supports for
transition-age youth and young adults with disabilities. The projects
must demonstrate research-based mentoring models that are aimed at
increasing meaningful community integration, postsecondary education,
and employment outcomes. To meet the requirements, an applicant must\--

\(1\) Describe the research-based mentoring models that will be
demonstrated through its project;

\(2\) Describe the outreach methods used to select project participants
and the criteria by which mentors will be recruited;

\(3\) Describe how the proposed project will increase self-advocacy,
high-level personal and career expectations, and decisionmaking. At a
minimum, the project must describe how mentors will help consumers
develop and improve self-confidence, community integration skills, work
skills, self-determination skills, advocacy, and decisionmaking;

\(4\) Describe clear program objectives, goals, and outcomes, including
expected outcomes in the areas of community integration, postsecondary
education, and employment. Descriptions must include targets, such as
the estimated number of individuals to be served and the number of those
who are expected to become enrolled in higher education, and
well-defined operational guidelines;

\(5\) Describe, in specific detail, the data that will be collected in
order to measure the project's success in achieving its goals and
meeting its targets;

\(6\) Describe the design and implementation of an internal evaluation
plan for which\--

\(a\) The methods of evaluation are thorough, feasible, and appropriate
to the objectives, outcomes, and goals of the project;

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

\(c\) The methods of evaluation provide performance feedback and permit
periodic assessment of progress toward achieving intended outcomes; and

\(7\) Include a plan to widely disseminate the results of the project,
including any mentoring methods that demonstrate positive results, so
the mentoring model may be adapted, replicated, or integrated into State
VR agencies and disability organizations.

[Definitions]{.underline}:

For the purposes of this competition, the following definitions apply:

[Employment outcome]{.underline} means, with respect to an individual,
entering or retaining full-time or, if appropriate, part-time
competitive employment in the integrated labor market, supported
employment, or any other type of employment in an integrated setting,
including self-employment, telecommuting, or business ownership, that is
consistent with an individual's strengths, resources, priorities,
concerns, abilities, capabilities, interests, and informed choice. (See
34 CFR 361.5(b))

[Institution of higher education]{.underline} means an educational
institution in any State that\--

\(1\) Admits as regular students only persons having a certificate of
graduation from a school providing secondary education or the recognized
equivalent of such a certificate;

\(2\) Is legally authorized within such a State to provide a program of
education beyond secondary education;

\(3\) Provides an educational program for which the institution awards a
bachelor's degree or provides not less than a two-year program that is
acceptable for full credit toward such a degree;

\(4\) Is a public or other nonprofit institution; and

\(5\) Is accredited by a nationally recognized accrediting agency or
association or, if not so accredited, is an institution that has been
granted preaccreditation status by such an agency or association that
has been recognized by the Secretary for the granting of
preaccreditation status, and the Secretary has determined that there is
satisfactory assurance that the institution will meet the accreditation
standards of such an agency or association within a reasonable time.

The term \"institution of higher education\" also includes\--

\(6\) Any school that provides not less than a one-year program of
training to prepare students for gainful employment in a recognized
occupation and that meets the provisions of paragraphs (1), (2), (4),
and (5) of this definition; and

\(7\) A public or nonprofit private educational institution in any State
that, in lieu of the requirement in paragraph (1) of this definition,
admits as regular students persons who are beyond the age of compulsory
school attendance in the State in which the institution is located. (See
20 U.S.C. 1001)

[Mentor]{.underline}, as generally defined, means a more successful,
experienced person who can impart advice, support, insight, and
knowledge on employment and other life activities to a less experienced
person.

[Mentoring]{.underline}, as generally defined, means the act of a mentor
providing guidance in the form of teaching and support, encouraging and
motivating, assisting with career and professional development,
assisting with goal achievement, and linking the less experienced person
to others who can help enhance growth and development.

[Youth and young adults with disabilities]{.underline} means individuals
with disabilities who are between the ages of 16 and 26 inclusive when
entering the program. (See 34 CFR 373.4)

[Program Authority]{.underline}: 29 U.S.C. 773(b).

[Applicable Regulations]{.underline}: (a) The Education Department
General Administrative Regulations (EDGAR) in 34 CFR parts 74, 75, 77,
79, 80, 81, 82, 84, 85, 86, 97, and 99. (b) The regulations for this
program in 34 CFR part 373.

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

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

II\. Award Information

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

[Estimated Available Funds]{.underline}: \$2,000,000.

[Estimated Range of Awards]{.underline}: \$200,000-\$300,000.

[Estimated Average Size of Awards]{.underline}: \$250,000.

[Estimated Number of Awards]{.underline}: 8.

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

[Project Period]{.underline}: Up to 60 months.

III\. Eligibility Information

1\. [Eligible Applicants]{.underline}: Public or nonprofit agencies or
organizations, including institutions of higher education, for-profit
organizations, State VR agencies, community rehabilitation programs, and
Indian tribes or tribal organizations.

2\. [Cost Sharing or Matching]{.underline}: This program does not
involve cost sharing or matching.

IV\. Application and Submission Information

1\. [Address to Request Application Package]{.underline}: Education
Publications Center (ED Pubs), P.O. Box 1398, Jessup, MD 20794-1398.
Telephone (toll free): 1-877-433-7827. FAX: (301) 470-1244. If you use a
telecommunications device for the deaf (TDD), you may call (toll free):
1-877-576-7734.

You may also contact ED Pubs at its Web site:

www.ed.gov/pubs/edpubs.html or you may contact ED Pubs at its e-mail
address: edpubs@inet.ed.gov

If you request an application from ED Pubs, be sure to identify this
competition as follows: CFDA number 84.235S.

Individuals with disabilities may obtain a copy of the application
package in an alternative format (e.g., Braille, large print, audiotape,
or computer diskette) by contacting the Grants and Contracts Services
Team, U.S. Department of Education, 400 Maryland Avenue, SW., room 5075,
Potomac Center Plaza, Washington, DC 20202-2550. Telephone: (202)
245-7562.

2\. [Content and Form of Application Submissions]{.underline}:
Requirements concerning the content of an application, together with the
forms you must submit, are in the application package for this
competition.

Page Limit: The application narrative (Part III of the application) is
where you, the applicant, address the selection criteria that reviewers
use to evaluate your application. We suggest that you limit Part III to
approximately 35 double-spaced pages.

3\. Submission Dates and Times:

Applications Available: July 19, 2004

Deadline for Transmittal of Applications: August 19, 2004

The dates and times for the transmittal of applications by mail or by
hand (including a courier service or commercial carrier) are in the
application package for this competition. The application package also
specifies the hours of operation of the e-Application Web site.

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

4\. Intergovernmental Review: This program is subject to Executive Order
12372 and the regulations in 34 CFR part 79. However, in order to ensure
that these FY 2004 grants are made before September 30, 2004, the 60-day
intergovernmental review period has been waived.

5\. Funding Restrictions: We specify limitations on indirect costs in 34
CFR 373.22. We reference additional regulations outlining funding
restrictions in the Applicable Regulations section of this notice.

6\. Other Submission Requirements: Instructions and requirements for the
transmittal of applications by mail or by hand (including a courier
service or commercial carrier) are in the application package for this
competition.

Application Procedures:

Note: Some of the procedures in these instructions for transmitting
applications differ from those in EDGAR (34 CFR 75.102). Under the
Administrative Procedure Act (5 U.S.C. 553) the Department generally
offers interested parties the opportunity to comment on proposed
regulations. However, these amendments make procedural changes only and
do not establish new substantive policy. Therefore, under 5 U.S.C.
553(b)(A), the Secretary has determined that proposed rulemaking is not
required.

# Pilot Project for Electronic Submission of Applications: We are continuing to expand our pilot project for electronic submission of applications to include additional formula grant programs and additional discretionary grant competitions. Special Demonstration Programs\--Model Transitional Rehabilitation Services for Youth and Young Adults With Disabilities\--CFDA Number 84.235S is one of the programs included in the pilot project. If you are an applicant under Special Demonstration Programs\--Model Transitional Rehabilitation Services for Youth and Young Adults With Disabilities, you may submit your application to us in either electronic or paper format.

The pilot project involves the use of the Electronic Grant Application
System (e-Application). If you use e-Application, you will be entering
data online while completing your application. You may not e-mail an
electronic copy of a grant application to us. If you participate in this
voluntary pilot project by submitting an application electronically, the
data you enter online will be saved into a database. We request your
participation in e-Application. We shall continue to evaluate its
success and solicit suggestions for its improvement.

If you participate in e-Application, please note the following:

-   Your participation is voluntary.

When you enter the e-Application system, you will find information about
its hours of operation. We strongly recommend that you do not wait until
the application deadline date to initiate an e-Application package.

You will not receive additional point value because you submit a grant
application in electronic format, nor will we penalize you if you submit
an application in paper format.

You may submit all documents electronically, including the Application
for Federal Education Assistance (ED 424), Budget
Information\--Non-Construction Programs (ED 524), and all necessary
assurances and certifications.

Your e-Application must comply with any page limit requirements
described in this notice.

After you electronically submit your application, you will receive an
automatic acknowledgement, which will include a PR/Award number (an
identifying number unique to your application).

-   Within three working days after submitting your electronic
    application, fax a signed copy of the Application for Federal
    Education Assistance (ED 424) to the Application Control Center
    after following these steps:

1\. Print ED 424 from e-Application.

2\. The institution's Authorizing Representative must sign this form.

3\. Place the PR/Award number in the upper right hand corner of the hard
copy signature page of the ED 424.

4\. Fax the signed ED 424 to the Application Control Center at (202)
245-6272.

-   We may request that you give us original signatures on other forms
    at a later date***.***

Application Deadline Date Extension in Case of System Unavailability: If
you elect to participate in the e-Application pilot for Special
Demonstration Programs\--Model Transitional Rehabilitation Services for
Youth and Young Adults With Disabilities and you are prevented from
submitting your application on the application deadline date because the
e-Application system is unavailable, we will grant you an extension of
one business day in order to transmit your application electronically,
by mail, or by hand delivery. We will grant this extension if\--

1\. You are a registered user of e-Application, and you have initiated
an e-Application for this competition; and

2\. (a) The e-Application system is unavailable for 60 minutes or more
between the hours of 8:30 a.m. and 3:30 p.m., Washington, DC time, on
the application deadline date; or

\(b\) The e-Application system is unavailable for any period of time
during the last hour of operation (that is, for any period of time
between 3:30 p.m. and 4:30 p.m., Washington, DC time) on the application
deadline date.

We must acknowledge and confirm these periods of unavailability before
granting you an extension. To request this extension or to confirm our
acknowledgement of any system unavailability, you may contact either (1)
the person listed elsewhere in this notice under [For Further
Information Contact]{.underline} (see VII. Agency Contact) or (2) the
e-GRANTS help desk at 1-888-336-8930.

You may access the electronic grant application for Special
Demonstration Programs\--Model Transitional Rehabilitation Services for
Youth and Young Adults With Disabilities at: http://e-grants.ed.gov

V. Application Review Information

[Selection Criteria]{.underline}: The selection criteria for this
competition are in the application package.

VI\. Award Administration Information

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

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

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

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

3\. [Reporting]{.underline}: At the end of your project period, you must
submit a final performance report, including financial information, as
directed by the Secretary. If you receive a multi-year award, you must
submit an annual performance report that provides the most current
performance and financial expenditure information as specified by the
Secretary in 34 CFR 75.118.

4\. [Performance Measures]{.underline}: The Government Performance and
Results Act (GPRA) of 1993 directs Federal departments and agencies to
improve the effectiveness of their programs by engaging in strategic
planning, setting outcome-related goals for programs, and measuring
program results against those goals. Program officials must develop
performance measures for all of their grant programs to assess their
performance and effectiveness. The Rehabilitation Services
Administration has established the following indicators to assess the
effectiveness of mentoring models developed under this Special
Demonstration Program:

The percentage of youth and young adults with disabilities served by
these projects who become enrolled in an institution of higher
education.

The percentage of youth and young adults with disabilities served by
these projects who achieve an employment outcome.

Each grantee must report on these indicators in its annual performance
report. All grantees must submit annual performance reports documenting
their performance and evaluation findings, as required by 34 CFR 75.590
and section 306 of the Rehabilitation Act of 1973, as amended.

VII\. Agency Contact

[For Further Information Contact]{.underline}: Pedro Romero, U.S.
Department of Education, 400 Maryland Avenue, SW., room 5029, Potomac
Center Plaza, Washington, DC 20202-2800. Telephone: (202) 245-7645 or by
e-mail: pedro.romero@ed.gov

If you use a telecommunications device for the deaf, you may call the
TDD number at (800) 437-0833.

Individuals with disabilities may obtain this document in an alternative
format (e.g., Braille, large print, audiotape, or computer diskette) on
request to the program contact person listed in this section.

VIII\. Other Information

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

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

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

Dated: JUL --9 2004

/s/

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

> Troy R. Justesen,
>
> [Acting Deputy Assistant Secretary for Special Education and
> Rehabilitative Services]{.underline}.

### SECTION A

IMPORTANT POINTS TO REMEMBER

**[IMPORTANT POINTS TO REMEMBER IN PREPARING AN
APPLICATION]{.underline}**

-   Be certain to read **ALL** of the [requirements]{.underline} for the
    Priority.

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-   Number all pages to make it easier for the reader to refer to a page
    number if comments are given (including the appendices).

-   DEFINITIONS for BUDGET Categories:

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-   [Equipment]{.underline} - Tangible, non-expendable personal property
    having a useful life of more than one year and an acquisition cost
    of \$5,000 or more per unit. However, consistent with institutional
    policy, lower limits may be established.

-   [Supplies]{.underline} - Direct materials and supplies that are
    consumable, expendable and of a relatively low unit cost.

-   [Key Personnel]{.underline} - The personnel category of the budget
    includes **all** project staff members who are employees of the
    applicant. However, **KEY PERSONNEL** are defined as the Project
    Director, Principle Investigator, and Project Coordinator.

-   [Other]{.underline} - Where applicants may place all direct costs
    that are not clearly covered by the other direct cost categories. It
    is a catch-all category that could include a wide variety of costs
    that do not seem to \"fit\" elsewhere in the budget.

-   [Indirect Costs]{.underline}---Indirect costs are limited to the
    recipient's actual negotiated indirect cost rate, or 10% of the
    total direct cost base, whichever amount is **less**.

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-   Organize your narrative in accordance with the selection criteria in
    SECTION C of this package. Address all criteria.

-   In the narrative address the needs of individuals with disabilities
    from minority backgrounds (Section 21 of the Act).

-   In the narrative address the availability and purposes of the State
    Client Assistance Program (CAP), including information on means of
    seeking assistance under such program. (Section 20 of the Act)

-   Include a table of contents in your application.

-   Please read Section 303 of the Rehabilitation Act of 1973, the
    program priority and the program regulations from 34 CFR part 373
    included in this application kit.

-   **Keep the narrative to 35 pages, double-spaced.** The one-page
    abstract may be single-spaced.

-   Applications must be postmarked by the closing date. **Only use this
    address** if sending by courier service (i.e., Fed Ex, UPS, Postal
    Express), please hand deliver between 8:00 a.m. and 4:30 p.m., to
    the following address: U.S. Department of Education, Application
    Control Center, Room 7067, Potomac Center Plaza, 550 12^th^ Street
    S.W., Washington, D.C. 20202. Telephone number: (202) 245-6288.

SECTION B

SECTION 303 (b) OF THE REHABILITATION ACT OF 1973, AS AMENDED **AND** 34
CFR PART 373 PROGRAM REGULATIONS

Sec. 303 Demonstration and Training Programs

**(b)** **Special Demonstration Programs**

**(1)** **Grants; contracts**

The Commissioner, subject to the provisions of section 306, may provide
grants to, or enter into contracts with, eligible entities to pay all or
part of the cost of programs that expand and improve the provision of
rehabilitation and other services authorized under this Act or that
further the purposes of the Act, including related research and
evaluation activities.

**(2)** **Eligible entities; terms and conditions**

**(A)** **Eligible entities**

To be eligible to receive a grant, or enter into a contract, under
paragraph (1), an entity shall be a State vocational rehabilitation
agency, community rehabilitation program, Indian tribe or tribal
organization, or other public or nonprofit agency or organization, or as
the Commissioner determines appropriate, a for‑profit organization. The
Commissioner may limit competitions to 1 or more types of organizations
described in this subparagraph.

**(B)** **Terms and conditions**

A grant or contract under paragraph (1) shall contain such terms and
conditions as the Commissioner may require.

**(3)** **Application**

An eligible entity that desires to receive a grant, or enter into a
contract, under paragraph (1) shall submit an application to the
Secretary at such time, in such form, and containing such information
and assurances as the Commissioner may require, including, if the
Commissioner determines appropriate, a description of how the proposed
project or demonstration program‑‑

**(A)** is based on current research findings, which may include
research conducted by the National Institute on Disability and
Rehabilitation Research, the National Institutes of Health, and other
public or private organizations; and

**(B)** is of national significance.

**(4)** **Types of projects**

The programs that may be funded under this subsection may include‑‑

**(A)** special projects and demonstrations of service delivery;

**(B)** model demonstration projects;

**(C)** technical assistance projects;

**(D)** systems change projects;

**(E)** special studies and evaluations; and

**(F)** dissemination and utilization activities.

**(5)** **Priority for competitions**

**(A)** **In general**

In announcing competitions for grants and contracts under this
subsection, the Commissioner shall give priority consideration to‑‑

**(i)** special projects and demonstration programs of service delivery
for adults who are either low‑functioning and deaf or low‑functioning
and hard of hearing;

**(ii)** supported employment, including community‑based supported
employment programs to meet the needs of individuals with the most
significant disabilities or to provide technical assistance to States
and community organizations to improve and expand the provision of
supported employment services; and

**(iii)** model transitional planning services for youths with
disabilities.

**(B)** **Additional competitions**: In announcing competitions for
grants and contracts under this subsection, the Commissioner may require
that applicants address 1 or more of the following:

**(i)** Age ranges.

**(ii)** Types of disabilities.

**(iii)** Types of services.

**(iv)** Models of service delivery.

**(v)** Stage of the rehabilitation process.

**(vi)** The needs of underserved populations, unserved and underserved
areas, individuals with significant disabilities, low‑incidence
disability population or individuals residing in federally designated
empowerment zones and enterprise communities.

**(vii)** Expansion of employment opportunities for individuals with
disabilities.

**(viii)** Systems change projects to promote meaningful access of
individuals with disabilities to employment‑related services under title
I of the Workforce Investment Act of 1998 and under other Federal laws.

**(ix)** Innovative methods of promoting achievement of high‑quality
employment outcomes.

**(x)** The demonstration of the effectiveness of early intervention
activities in improving employment outcomes.

**(xi)** Alternative methods of providing affordable transportation
services to individuals with disabilities who are employed, seeking
employment, or receiving vocational rehabilitation services from public
or private organizations and who reside in geographic areas in which
public transportation or paratransit service is not available.

**(6)** **Use of funds for continuation awards**

The Commissioner may use funds made available to carry out this section
for continuation awards for projects that were funded under sections 12
and 311 (as such sections were in effect on the day before the date of
the enactment of the Rehabilitation Act Amendments of 1998).

PART 373\--SPECIAL DEMONSTRATION PROGRAMS

Subpart A\--General

Sec.

373.1 What is the purpose of the Special Demonstration Programs?

373.2 Who is eligible for assistance?

373.3 What regulations apply?

373.4 What definitions apply?

373.5 Who is eligible to receive services and to benefit from

activities conducted by eligible entities?

373.6 What are the priorities and other factors and requirements

for competitions?

Subpart B\--How Does the Secretary Make a Grant?

373.10 What selection criteria does the Secretary use?

373.11 What other factors does the Secretary consider when making

a grant?

Subpart C\--What Conditions Must Be Met by a Grantee?

373.20 What are the matching requirements?

373.21 What are the reporting requirements?

373.22 What are the limitations on indirect costs?

373.23 What additional requirements must be met?

373.24 What are the special requirements pertaining to the

protection, use, and release of personal information?

Authority: 29 U.S.C. 773(b), unless otherwise noted.

Subpart A\--General

Sec. 373.1 What is the purpose of the Special Demonstration Programs?

The purpose of this program is to provide competitive grants to, or

enter into contracts with, eligible entities to expand and improve the

provision of rehabilitation and other services authorized under the

Rehabilitation Act of 1973, as amended (Act), or to further the

purposes and policies in sections 2(b) and (c) of the Act by supporting

activities that increase the provision, extent, availability, scope,

and quality of rehabilitation services under the Act, including related

research and evaluations activities.

(Authority: 29 U.S.C. 701(b) and (c), 711(c), and 773(b))

Sec. 373.2 Who is eligible for assistance?

\(a\) The following types of organizations are eligible for

assistance under this program:

\(1\) State vocational rehabilitation agencies.

\(2\) Community rehabilitation programs.

\(3\) Indian tribes or tribal organizations.

\(4\) Other public or nonprofit agencies or organizations, including

institutions of higher education.

\(5\) For-profit organizations, if the Secretary considers them to be

appropriate.

\(6\) Consortia that meet the requirements of 34 CFR 75.128 and

75.129.

\(7\) Other organizations identified by the Secretary and published

in the Federal Register.

\(b\) In competitions held under this program, the Secretary may

limit competitions to one or more types of these organizations.

(Authority: 29 U.S.C. 711(c) and 773(b)(2)

Sec. 373.3 What regulations apply?

The following regulations apply to this program:

\(a\) The Education Department General Administrative Regulations

(EDGAR) as follows:

\(1\) 34 CFR part 74 (Administration of Grants and Agreements with

Institutions of Higher Education, Hospitals, and other Non-profit

Organizations).

\(2\) 34 CFR part 75 (Direct Grant Programs).

\(3\) 34 CFR part 77 (Definitions that Apply to Department

Regulations).

\(4\) 34 CFR part 79 (Intergovernmental Review of Department of

Education Programs and Activities).

\(5\) 34 CFR part 80 (Uniform Administrative Requirements for Grants

and Cooperative Agreements to State and Local Governments).

\(6\) 34 CFR part 81 (General Education Provisions Act\--Enforcement).

\(7\) 35 CFR part 82 (New Restrictions on Lobbying).

\(8\) 34 CFR part 85 (Governmentwide Debarment and Suspension

(Nonprocurement) and Governmentwide Requirements for Drug-Free

Workplace (Grants)).

\(9\) 34 CFR part 86 (Drug and Alcohol Abuse Prevention).

\(10\) 34 CFR part 97 (Protection of Human Subjects).

\(11\) 34 CFR part 98 (Student Rights in Research, Experimental

Programs, and Testing).

\(12\) 34 CFR part 99 (Family Educational Rights and Privacy).

\(b\) The regulations in this part 373.

\(c\) The regulations in 48 CFR part 31 (Contracts Cost Principles

and Procedures).

(Authority: 29 U.S.C. 711(c))

Sec. 373.4 What definitions apply?

The following definitions apply to this part:

Act means the Rehabilitation Act of 1973, as amended.

(Authority: 29 U.S.C. 701 et seq.)

Early intervention means a service delivery or model demonstration

program for adults with disabilities designed to begin the

rehabilitation services as soon as possible after the onset or

identification of actually or potentially disabling conditions. The

populations served may include, but are not limited to, the following:

\(a\) Individuals with chronic and progressive diseases that may

become more disabling, such as multiple sclerosis, progressive visual

disabilities, or HIV positive.

\(b\) Individuals in the acute stages of injury or illness,

including, but not limited to, diabetes, traumatic brain injury,

stroke, burns, or amputation.

(Authority: 29 U.S.C. 711(c))

\[\[Page 39255\]\]

Employment outcome is defined in 34 CFR 361.5.

(Authority: 29 U.S.C. 711(c))

Informed choice means the provision of activities whereby

individuals with disabilities served by projects under this part have

the opportunity to be active, full partners in the rehabilitation

process, making meaningful and informed choices as follows:

\(a\) During assessments of eligibility and vocational rehabilitation

needs.

\(b\) In the selection of employment outcomes, services needed to

achieve the outcomes, entities providing these services, and the

methods used to secure these services.

(Authority: 29 U.S.C. 711(c))

Individual with a disability is defined as follows:

\(a\) For an individual who will receive rehabilitation services

under this part, an individual with a disability means an individual\--

\(1\) Who has a physical or mental impairment which, for that

individual, constitutes or results in a substantial impediment to

employment; and

\(2\) Who can benefit in terms of an employment outcome from

vocational rehabilitation services.

\(b\) For all other purposes of this part, an individual with a

disability means an individual\--

\(1\) Who has a physical or mental impairment that substantially

limits one or more major life activities;

\(2\) Who has a record of such an impairment; or

\(3\) Who is regarded as having such an impairment.

\(c\) For purposes of paragraph (b) of this definition, projects that

carry out services or activities pertaining to Title V of the Act must

also meet the requirements for \`\`an individual with a disability\'\'
in

section 7(20)(c) through (e) of the Act, as applicable.

(Authority: 29 U.S.C 705(20)(A) and (B))

Individual with a significant disability means an individual\--

\(a\) Who has a severe physical or mental impairment that seriously

limits one or more functional capacities (such as mobility,

communication, self-care, self-direction, interpersonal skills, work

tolerance, or work skills) in terms of an employment outcome;

\(b\) Whose vocational rehabilitation can be expected to require

multiple vocational rehabilitation services over an extended period of

time; and

\(c\) Who has one or more physical or mental disabilities resulting

from amputation, arthritis, autism, blindness, burn injury, cancer,

cerebral palsy, cystic fibrosis, deafness, head injury, heart disease,

hemiplegia, hemophilia, respiratory or pulmonary dysfunction, mental

retardation, mental illness, multiple sclerosis, muscular dystrophy,

musculo-skeletal disorders, neurological disorders (including stroke

and epilepsy), paraplegia, quadriplegia and other spinal cord

conditions, sickle-cell anemia, specific learning disabilities, end-

stage renal disease, or another disability or combination of

disabilities determined on the basis of an assessment for determining

eligibility and vocational rehabilitation needs to cause comparable

substantial functional limitation.

(Authority: 29 U.S.C. 705(21)(A))

Rehabilitation services means services provided to an individual

with a disability in preparing for, securing, retaining, or regaining

an employment outcome that is consistent with the strengths, resources,

priorities, concerns, abilities, capabilities, interests, and informed

choice of the individual. Rehabilitation services for an individual

with a disability may include\--

\(a\) An assessment for determining eligibility and vocational

rehabilitation needs by qualified personnel, including, if appropriate,

an assessment by personnel skilled in rehabilitation technology;

\(b\) Counseling and guidance, including information and support

services to assist an individual in exercising informed choice;

\(c\) Referral and other services to secure needed services from

other agencies;

\(d\) Job-related services, including job search and placement

assistance, job retention services, follow-up services, and follow-

along services;

\(e\) Vocational and other training services, including the provision

of personal and vocational adjustment services, books, tools, and other

training materials;

\(f\) Diagnosis and treatment of physical and mental impairments;

\(g\) Maintenance for additional costs incurred while the individual

is receiving services;

\(h\) Transportation;

\(i\) On-the-job or other related personal assistance services;

\(j\) Interpreter and reader services;

\(k\) Rehabilitation teaching services, and orientation and mobility

services;

\(l\) Occupational licenses, tools, equipment, and initial stocks and

supplies;

\(m\) Technical assistance and other consultation services to conduct

market analysis, develop business plans, and otherwise provide

resources to eligible individuals who are pursuing self-employment or

telecommuting or establishing a small business operation as an

employment outcome;

\(n\) Rehabilitation technology, including telecommunications,

sensory, and other technological aids and devices;

\(o\) Transition services for individuals with disabilities that

facilitate the achievement of employment outcomes;

\(p\) Supported employment services;

\(q\) Services to the family of an individual with a disability

necessary to assist the individual to achieve an employment outcome;

\(r\) Post-employment services necessary to assist an individual with

a disability to retain, regain, or advance in employment; and

\(s\) Expansion of employment opportunities for individuals with

disabilities, which includes, but is not limited to\--

\(1\) Self-employment, business ownership, and entreprenuership;

\(2\) Non-traditional jobs, professional employment, and work

settings;

\(3\) Collaborating with employers, Economic Development Councils,

and others in creating new jobs and career advancement options in local

job markets through the use of job restructuring and other methods; and

\(4\) Other services as identified by the Secretary and published in

the Federal Register.

(Authority: 29 U.S.C. 711(c) and 723(a))

Substantial impediment to employment means that a physical or

mental impairment (in light of attendant medical, psychological,

vocational, educational, and other related factors) hinders an

individual from preparing for, entering into, engaging in, or retaining

employment consistent with the individual\'s capacities and abilities.

(Authority: 29 U.S.C. 705(20)(A))

Youth or Young adult with disabilities means individuals with

disabilities who are between the ages of 16 and 26 inclusive when

entering the program.

(Authority: 29 U.S.C. 711(c) and 723(a))

Sec. 373.5 Who is eligible to receive services and to benefit from

activities conducted by eligible entities?

(a)(1) For projects that provide rehabilitation services or

activities to expand and improve the provision of rehabilitation

services and other services authorized under Titles I, III, and VI of

the Act, individuals are eligible who meet the definition in paragraph

\(a\) of an \`\`individual with a disability\'\' as stated in Sec.
373.4.

\(2\) For projects that provide independent living services or

activities,

\[\[Page 39256\]\]

individuals are eligible who meet the definition in paragraph (b) of an

\`\`individual with a disability\'\' as stated in Sec. 373.4.

\(3\) For projects that provide other services or activities that

further the purposes of the Act, individuals are eligible who meet the

definition in paragraph (b) of an \`\`individual with a disability\'\'
as

stated in Sec. 373.4.

\(b\) By publishing a notice in the Federal Register, the Secretary

may identify individuals determined to be eligible under one or more of

the provisions in paragraph (a) of this section.

(Authority: 29 U.S.C. 711(c) and 723(a))

Sec. 373.6 What are the priorities and other factors and requirements

for competitions?

(a)(1) In making an award, the Secretary may limit competitions to,

or otherwise give priority to, one or more of the priority projects

listed in paragraph (b) of this section that are identified by the

Secretary and published in a notice in the Federal Register.

\(2\) The Secretary also will identify in the notice the following:

\(i\) Specific required priority project activities authorized under

section 303 of the Act that the applicant must conduct for the priority

project to be approved for funding.

\(ii\) Any of the additional factors listed in paragraph (c) of this

section that the Secretary may consider in making an award.

\(b\) Priority projects are as follows:

\(1\) Special projects of service delivery.

\(2\) Model demonstration.

\(3\) Technical assistance.

\(4\) Systems change.

\(5\) Special studies, research, or evaluations.

\(6\) Dissemination and utilization.

\(7\) Replication.

\(8\) Special projects and demonstration of service delivery for

adults who are low-functioning and deaf or low-functioning and hard of

hearing.

\(9\) Supported employment.

\(10\) Model transitional rehabilitation services for youth and young

adults with disabilities.

\(11\) Expansion of employment opportunities for individuals with

disab1ilities, as authorized in paragraph (s) of the definition of

\`\`rehabilitation services\'\' as stated in Sec. 373.4.

\(12\) Projects to promote meaningful access of individuals with

disabilities to employment-related services under Title I of the

Workforce Investment Act of 1998 and under other Federal laws.

\(13\) Innovative methods of promoting achievement of high-quality

employment outcomes.

\(14\) The demonstration of the effectiveness of early intervention

activities in improving employment outcomes.

\(15\) Projects to find alternative methods of providing affordable

transportation services to individuals with disabilities.

\(16\) Other projects that will expand and improve the provision,

extent, availability, scope, and quality of rehabilitation and other

services under the Act or that further the purpose and policy of the

Act as stated in section 2(b) and (c) of the Act.

\(c\) The Secretary may identify and publish in the Federal Register

for specific projects listed in paragraph (b) of this section one or

more of the following factors, including any specific elements defining

any factor (e.g., the Secretary may identify ages 16 through 21 to be

the specific age range for a particular competition):

\(1\) Specific stages of the rehabilitation process.

\(2\) Unserved and underserved populations.

\(3\) Unserved and underserved geographical areas.

\(4\) Individuals with significant disabilities.

\(5\) Low-incidence disability populations.

\(6\) Individuals residing in federally designated Empowerment Zones

and Enterprise Communities.

\(7\) Types of disabilities.

\(8\) Specific age ranges.

\(9\) Other specific populations and geographical areas.

\(d\) The Secretary may require that an applicant certify that the

project does not include building upon or expanding activities that

have previously been conducted or funded, for that applicant or in that

service area.

\(e\) The Secretary may require that the project widely disseminate

the methods of rehabilitation service delivery or model proven to be

effective, so that they may be adapted, replicated, or purchased under

fee-for-service arrangements by State vocational rehabilitation

agencies and other disability organizations in the project\'s targeted

service area or other locations.

(Authority: 29 U.S.C. 711(c) and 773(b)(4) and (5))

Subpart B\--How Does the Secretary Make a Grant?

Sec. 373.10 What selection criteria does the Secretary use?

The Secretary publishes in the Federal Register or includes in the

application package the selection criteria for each competition under

this program. To evaluate the applications for new grants under this

program, the Secretary may use the following:

\(a\) Selection criteria established under 34 CFR 75.209.

\(b\) Selection criteria in 34 CFR 75.210.

\(c\) Any combination of selection criteria from paragraphs (a) and

\(b\) of this section.

(Authority: 29 U.S.C. 711(c) and 723(a))

Sec. 373.11 What other factors does the Secretary consider when making

a grant?

\(a\) The Secretary funds only those applications submitted in

response to competitions announced in the Federal Register.

\(b\) The Secretary may consider the past performance of the

applicant in carrying out activities under previously awarded grants.

\(c\) The Secretary awards bonus points if identified and published

in the Federal Register for specific competitions.

(Authority: 29 U.S.C. 711(c) and 723(a))

Subpart C\--What Conditions Must Be Met By a Grantee?

Sec. 373.20 What are the matching requirements?

The Secretary may make grants to pay all or part of the cost of

activities covered under this program. If the Secretary determines that

the grantee is required to pay part of the costs, the amount of grantee

participation is specified in the application notice, and the Secretary

will not require grantee participation to be more than 10 percent of

the total cost of the project.

(Authority: 29 U.S.C. 711(c) and 723(a))

Sec. 373.21 What are the reporting requirements?

\(a\) In addition to the program and fiscal reporting requirements in

EDGAR that are applicable to projects funded under this program, the

Secretary may require that recipients of grants under this part submit

information determined by the Secretary to be necessary to measure

project outcomes and performance, including any data needed to comply

with the Government Performance and Results Act.

\(b\) Specific reporting requirements for competitions will be

identified by the Secretary and published in the Federal Register.

(Authority: 29 U.S.C. 711(c) and 776)

Sec. 373.22 What are the limitations on indirect costs?

\(a\) Indirect cost reimbursement for grants under this program is

limited to the recipient\'s actual indirect costs, as

\[\[Page 39257\]\]

determined by its negotiated indirect cost rate agreement, or 10

percent of the total direct cost base, whichever amount is less.

\(b\) Indirect costs in excess of the 10 percent limit may be used to

satisfy matching or cost-sharing requirements.

\(c\) The 10 percent limit does not apply to federally recognized

Indian tribal governments and their tribal representatives.

(Authority: 29 U.S.C. 711(c))

Sec. 373.23 What additional requirements must be met?

\(a\) Each grantee must do the following:

\(1\) Ensure equal access and treatment for eligible project

participants who are members of groups that have traditionally been

underrepresented based on race, color, national origin, gender, age, or

disabilities.

\(2\) Encourage applications for employment from persons who are

members of groups that have traditionally been underrepresented based

on race, color, national origin, gender, age, or disabilities.

\(3\) Advise individuals with disabilities who are applicants for or

recipients of the services, or the applicants\' representatives or the

individuals\' representatives, of the availability and purposes of the

Client Assistance Program, including information on means of seeking

assistance under that program.

\(4\) Provide, through a careful appraisal and study, an assessment

and evaluation of the project that indicates the significance or worth

of processes, methodologies, and practices implemented by the project.

\(b\) A grantee may not make a subgrant under this part. However, a

grantee may contract for supplies, equipment, and other services, in

accordance with 34 CFR part 74, subpart C\--Post-Award Requirements,

Procurement Standards.

(Authority: 29 U.S.C. 711(c) and 717)

Sec. 373.24 What are the special requirements pertaining to the

protection, use, and release of personal information?

\(a\) All personal information about individuals served by any

project under this part, including lists of names, addresses,

photographs, and records of evaluation, must be confidential.

\(b\) The use of information and records concerning individuals must

be limited only to purposes directly connected with the project,

including project reporting and evaluation activities. This information

may not be disclosed, directly or indirectly, other than in the

administration of the project unless the consent of the agency

providing the information and the individual to whom the information

applies, or his or her representative, has been obtained in writing.

The Secretary or other Federal officials responsible for enforcing

legal requirements have access to this information without written

consent being obtained. The final products of the project may not

reveal any personal identifying information without written consent of

the individual or his or her representative.

(Authority: 29 U.S.C. 711(c))

\[FR Doc. 00-15863 Filed 6-22-00; 8:45 am\]

BILLING CODE 4000-01-P

SECTION C

SELECTION CRITERIA

SPECIAL DEMONSTRATION PROGRAMS---MODEL TRANSITIONAL REHABILITATION
SERVICES FOR YOUTH AND YOUNG ADULTS WITH DISABILITIES (84.235S)

SELECTION CRITERIA FOR APPLICATIONS

(34CFR 75.209(iii) and 75.210)

The Secretary uses the following selection criteria to evaluate
applications for new grants under this competition. The total maximum
score for these criteria is 100 points. The maximum score for each
criterion is indicated in parentheses. The Secretary evaluates each
factor within each criterion equally.

The criteria are---

> The Secretary considers the following application requirements for the
> proposal:

**(1)** **Need for project. ([5 points)]{.underline}**

The Secretary considers the need for the proposed project.

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

\(i\) The magnitude or severity of the problem to be addressed by the

proposed project.

\(ii\) The magnitude of the need for the services to be provided or

the activities to be carried out by the proposed project.

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

**(2) Significance ([10 points)]{.underline}**

The Secretary considers the significance for the proposed project.

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

\(i\) The significance of the problem or issue to be addressed by the

proposed project.

\(ii\) The potential contribution of the proposed project to increased
knowledge or understanding of rehabilitation problems, issues, or
effective strategies.

**(3) Quality of project design. ([25 points)]{.underline}**

The Secretary considers the design for the proposed project.

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

\(i\) The extent to which the design of the proposed project is

appropriate to, and will successfully address, the needs of the target

population or other identified needs.

\(ii\) The extent to which the proposed project is based upon a

specific research design, and the quality and appropriateness of that

design, including the scientific rigor of the studies involved.

\(iii\) The extent to which program goals, intended program outcomes are
well-defined with operational guidelines that will support these goals.

\(iv\) The quality of the proposed demonstration design and procedures

for documenting project activities and results.

\(v\) The extent to which the design for implementing and evaluating

the proposed project will result in information to guide possible

replication of project activities or strategies, including information

about the effectiveness of the approach or strategies employed by the

project.

**(4) Quality of project services**. **([25 points)]{.underline}**

The Secretary considers the services for the proposed project.

In determining the quality of the services to be provided by the
proposed project, the Secretary considers the following factors:

\(i\) The quality and sufficiency of strategies for ensuring equal
access and treatment for eligible project participants who are members
of groups that have traditionally been underrepresented based on race,
color, national origin, gender, age, or disability.

\(ii\) The extent to which the services to be provided by the

proposed project reflect up-to-date knowledge from research and

effective practice.

\(iii\) The likely impact of the services to be provided by the

proposed project on the intended recipients of those services.

\(iv\) The likelihood that the services to be provided by the

proposed project will lead to improvements in the achievement of

students as measured against rigorous academic standards.

\(v\) The likelihood that the services to be provided by the

proposed project will lead to improvements in the skills necessary to

gain employment or build capacity for independent living.

**(5) Quality of project personnel. ([10 points)]{.underline}**

The Secretary considers the quality of the personnel who will carry out
the proposed project.

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

In addition, the Secretary considers the following factors:

\(i\) The qualifications, including relevant training and experience, of
the project director or principal investigator.

\(ii\) The qualifications, including relevant training and experience,
of key project personnel.

**(6)** **Adequacy of resources**. (**[10 points)]{.underline}**

The Secretary considers the adequacy of resources for the proposed
project.

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

\(i\) The extent to which the budget is adequate to support the proposed
project.

\(ii\) The extent to which the costs are reasonable in relation to the
objectives, design, and potential significance of the proposed project.

\(iii\) The extent to which the costs are reasonable in relation to the
number of persons to be served and to the anticipated results and
benefits.

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

**(7) Project Evaluation. ([15 points)]{.underline}**

The Secretary considers the quality of the evaluation to be conducted of
the proposed project. In determining the quality of the evaluation, the
Secretary considers the following factors:

\(i\) The extent to which the methods of evaluation are thorough,
feasible, and appropriate to the goals, objectives, and outcomes of the
project.

\(ii\) The extent to which the methods of evaluation include the use of
objective performance measures that are clearly related to the intended
outcomes of the project and will produce quantitative and qualitative
data to the extent possible.

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

\(iv\) The extent to which the methods of evaluation provide for
examining the effectiveness of project implementation strategies.

SECTION D

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.** 

An original and two copies of an application for an award must be mailed
or hand-delivered by the application deadline date unless it is
submitted electronically.

### Applications Submitted Electronically

You must submit your grant application through the Internet using the
software provided on the e-Grants Web site
([http://e-grants.ed.gov](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 website 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 Wednesday 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 Delivered by Mail]{.underline}

Applications sent by mail must be addressed to:

> **U.S. Department of Education**
>
> **Application Control Center**

# **[Attention: CFDA 84.235S]{.underline}**

# **400 Maryland Avenue, SW.**

#### Washington, D.C. 20202

Applicants must show proof of mailing consisting of one of the
following:

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

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

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

\(4\) Any other proof of mailing acceptable to the U.S. Secretary of
Education

If an application is sent through the U.S. Postal Service, the Secretary
does not accept either of the following as proof of mailing:

\(1\) A private metered postmark, or

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

Applicants 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.

If you send your application by mail or if you or your courier deliver
it by hand, the Application Control Center will mail a Grant Application
Receipt Acknowledgment to you. If you do not receive the notification of
application receipt within 15 days from the mailing of the application,
you should call the U.S. Department of Education Application Control
Center at (202) 245-6288.

You must indicate on the envelope and---if not provided by the
Department---in Item 4 of the Application for Federal Education
Assistance (ED 424 (exp. 11/30/2004)) the CFDA number -- and suffix
letter, if any -- of the competition under which you are submitting your
application.

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

### [Applications Delivered by Hand/Courier Service]{.underline}

An application that is hand-delivered must be taken to:

> **U.S. Department of Education**
>
> **Application Control Center**
>
> **Room 7067**
>
> **Potomac Center Plaza**
>
> **550 12^th^ Street S.W.**
>
> **Washington, D.C. 20202**

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

Application deliveries must use the D Street entrance only. A person
delivering an application must show identification to enter the
building.

SECTION E

INSTRUCTIONS FOR APPLICATIONS FOR FEDERAL ASSISTANCE

FORMS AND INSTRUCTIONS

![](media/image2.wmf)Application for Federal **U.S. Department of
Education**

# **Education Assistance (ED 424)**

**Applicant Information** Organizational Unit

**1.** Name and Address

Legal
Name:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Address:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

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

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_ \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_\_\_\_ - \_\_\_\_\_\_\_\_

City State County ZIP Code + 4

**2.** Applicant's D-U-N-S Number
\|\_\_\_\|\_\_\_\|\_\_\_\|\_\_\_\|\_\_\_\|\_\_\_\|\_\_\_\|\_\_\_\|\_\_\_\|
**6.** Novice Applicant \_\_\_Yes \_\_\_No

**3.** Applicant's T-I-N \|\_\_\_\|\_\_\_\| -
\|\_\_\_\|\_\_\_\|\_\_\_\|\_\_\_\|\_\_\_\|\_\_\_\|\_\_\_\| **7.** Is the
applicant delinquent on any Federal debt? ­\_\_\_Yes \_\_\_No

*(If "Yes," attach an explanation.)*

**4.** Catalog of Federal Domestic Assistance #:
**84.\_\_\_\_\|\_\_\_\_\|\_\_\_\_\|\_\_\_\_\|**

Title:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
**8.** Type of Applicant *(Enter appropriate letter in the box.)
\|\_\_\_\_\|*

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

**5.** Project
Director:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Address:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

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

City State Zip code + 4

Tel. #: ( ) \_\_\_\_\_\_\_-\_\_\_\_\_\_\_\_ Fax #: (
)\_\_\_\_\_\_\_-\_\_\_\_\_\_\_\_

E-Mail Address:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**Application Information**

**9.** Type of Submission: **12.** Are any research activities involving
human subjects planned at

*-PreApplication -Application* any time during the proposed project
period?

\_\_\_ Construction \_\_\_ Construction ­­\_\_\_ Yes (Go to 12a.) \_\_\_
No (Go to item 13.)

\_\_\_ Non-Construction \_\_\_ Non-Construction

**12a.** Are **all** the research activities proposed designated to be

**10.** Is application subject to review by Executive Order 12372
process? exempt from the regulations?

\_\_\_ Yes (*Date made available to the Executive Order 12372* \_\_\_
Yes (Provide Exemption(s) #):
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

*process for review):* \_\_\_\_/\_\_\_\_/\_\_\_\_\_\_\_\_\_

**\_\_\_** No (Provide Assurance #):
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_ No *(If "No," check appropriate box below.)*

\_\_\_ Program is not covered by E.O. 12372. **13.** Descriptive Title
of Applicant's Project:

\_\_\_ Program has not been selected by State for review.

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

**11.** Proposed Project Dates: \_\_\_\_/\_\_\_\_/\_\_\_\_\_\_\_\_
\_\_\_\_/\_\_\_\_/\_\_\_\_\_\_\_\_\_

**Start Date: End Date:**
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

###### Estimated Funding Authorized Representative Information

**15.** To the best of my knowledge and belief, all data in this
preapplication/application are true

**14a.** Federal **\$ \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_. 00** and
correct. The document has been duly authorized by the governing body of
thea pplicant

**b.** Applicant **\$ \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_. 00** and the
applicant will comply with the attached assurances if the assistance is
awarded.

**c.** State **\$ \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_. 00 a.** Authorized
Representative (*Please type or print name clearly*.)

**d.** Local **\$ \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_. 00
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**e.** Other **\$ \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_. 00 b.** Title:
**\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**f.** Program Income **\$ \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_. 00 c.**
Tel. #: ( ) \_\_\_\_\_\_\_\_-\_\_\_\_\_\_\_\_\_\_\_\_ Fax #: ( )
\_\_\_\_\_\_\_\_-\_\_\_\_\_\_\_\_\_\_\_\_

**d.** E-Mail Address:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**g. TOTAL \$ \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_. 00 e. Signature of
Authorized Representative**

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Date:\_\_\_/\_\_\_\_/\_\_\_\_\_\_

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

> **10.** **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
> (e.g., 12/12/2001). Otherwise, check **"No."**

**11. Proposed Project Dates.** Please enter the month, day, and four
(4) digit year (e.g., 12/12/2001).

**12. 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.")

**12a. 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.

**12a. 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.

**12a. 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.

**13. 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.

**14. 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 14.

**15. 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 (e.g., 12/12/2001)
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. 20202-4651. 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, 7th and D Streets, S.W. ROB-3, Room 3671, Washington, D.C. 20202-4725

##  {#section .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
www.cfda.gov/public/eo12372.htm.

**PROTECTION OF HUMAN SUBJECTS IN RESEARCH**

**I. Definitions and Exemptions**

**A. Definitions.**

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

---**Research**

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

**---Human Subject**

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

**B. Exemptions.**

Research activities in which the **only** 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 12 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 12 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 12 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.
20202-4248, telephone: (202) 708-8263, 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***

PART II

BUDGET INFORMATION -- NON-CONSTRUCTION PROGRAMS AND

INSTRUCTIONS -- (ED Form 524)

<table>
<colgroup>
<col style="width: 13%" />
<col style="width: 1%" />
<col style="width: 14%" />
<col style="width: 14%" />
<col style="width: 7%" />
<col style="width: 7%" />
<col style="width: 13%" />
<col style="width: 0%" />
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</colgroup>
<tbody>
<tr class="odd">
<td rowspan="2"><img src="media/image3.png"
style="width:1.15in;height:1.125in" /></td>
<td colspan="6" rowspan="2"><p><strong>U.S. DEPARTMENT OF
EDUCATION</strong></p>
<p><strong>BUDGET INFORMATION</strong></p>
<p><strong>NON-CONSTRUCTION PROGRAMS</strong></p></td>
<td colspan="3">OMB Control Number: 1890-0004</td>
</tr>
<tr class="even">
<td colspan="3">Expiration Date: OMB APPROVED</td>
</tr>
<tr class="odd">
<td colspan="5">Name of Institution/Organization</td>
<td colspan="5">Applicants requesting funding for only one year should
complete the column under "Project Year 1." Applicants requesting
funding for multi-year grants should complete all applicable columns.
Please read all instructions before completing form.</td>
</tr>
<tr class="even">
<td colspan="10"><p><strong>SECTION A - BUDGET SUMMARY</strong></p>
<p><strong>U.S. DEPARTMENT OF EDUCATION FUNDS</strong></p></td>
</tr>
<tr class="odd">
<td colspan="2">Budget Categories</td>
<td><p>Project Year 1</p>
<p>(a)</p></td>
<td><p>Project Year 2</p>
<p>(b)</p></td>
<td colspan="2"><p>Project Year 3</p>
<p>(c)</p></td>
<td colspan="2"><p>Project Year 4</p>
<p>(d)</p></td>
<td><p>Project Year 5</p>
<p>(e)</p></td>
<td><p>Total</p>
<p>(f)</p></td>
</tr>
<tr class="even">
<td colspan="2">1. Personnel</td>
<td></td>
<td></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="2">2. Fringe Benefits</td>
<td></td>
<td></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td colspan="2">3. Travel</td>
<td></td>
<td></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="2">4. Equipment</td>
<td></td>
<td></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td colspan="2">5. Supplies</td>
<td></td>
<td></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="2">6. Contractual</td>
<td></td>
<td></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td colspan="2">7. Construction</td>
<td></td>
<td></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="2">8. Other</td>
<td></td>
<td></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td colspan="2"><p>9. Total Direct Costs</p>
<p>(lines 1-8)</p></td>
<td></td>
<td></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="2">10. Indirect Costs</td>
<td></td>
<td></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td colspan="2">11. Training Stipends</td>
<td></td>
<td></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="2"><p>12. Total Costs</p>
<p>(lines 9-11)</p></td>
<td></td>
<td></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td></td>
<td></td>
</tr>
</tbody>
</table>

ED Form No. 524

+---------+---------+---------+----+----+---------+---------+---------+
| Name of |         |         |    | Ap |         |         |         |
| Ins     |         |         |    | pl |         |         |         |
| titutio |         |         |    | ic |         |         |         |
| n/Organ |         |         |    | an |         |         |         |
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|         |         |         |    | or |         |         |         |
|         |         |         |    | mu |         |         |         |
|         |         |         |    | lt |         |         |         |
|         |         |         |    | i- |         |         |         |
|         |         |         |    | ye |         |         |         |
|         |         |         |    | ar |         |         |         |
|         |         |         |    | gr |         |         |         |
|         |         |         |    | an |         |         |         |
|         |         |         |    | ts |         |         |         |
|         |         |         |    | sh |         |         |         |
|         |         |         |    | ou |         |         |         |
|         |         |         |    | ld |         |         |         |
|         |         |         |    | co |         |         |         |
|         |         |         |    | mp |         |         |         |
|         |         |         |    | le |         |         |         |
|         |         |         |    | te |         |         |         |
|         |         |         |    | a  |         |         |         |
|         |         |         |    | ll |         |         |         |
|         |         |         |    | ap |         |         |         |
|         |         |         |    | pl |         |         |         |
|         |         |         |    | ic |         |         |         |
|         |         |         |    | ab |         |         |         |
|         |         |         |    | le |         |         |         |
|         |         |         |    | co |         |         |         |
|         |         |         |    | lu |         |         |         |
|         |         |         |    | mn |         |         |         |
|         |         |         |    | s. |         |         |         |
|         |         |         |    | Pl |         |         |         |
|         |         |         |    | ea |         |         |         |
|         |         |         |    | se |         |         |         |
|         |         |         |    | re |         |         |         |
|         |         |         |    | ad |         |         |         |
|         |         |         |    | a  |         |         |         |
|         |         |         |    | ll |         |         |         |
|         |         |         |    | in |         |         |         |
|         |         |         |    | st |         |         |         |
|         |         |         |    | ru |         |         |         |
|         |         |         |    | ct |         |         |         |
|         |         |         |    | io |         |         |         |
|         |         |         |    | ns |         |         |         |
|         |         |         |    | be |         |         |         |
|         |         |         |    | fo |         |         |         |
|         |         |         |    | re |         |         |         |
|         |         |         |    | co |         |         |         |
|         |         |         |    | mp |         |         |         |
|         |         |         |    | le |         |         |         |
|         |         |         |    | ti |         |         |         |
|         |         |         |    | ng |         |         |         |
|         |         |         |    | f  |         |         |         |
|         |         |         |    | or |         |         |         |
|         |         |         |    | m. |         |         |         |
+---------+---------+---------+----+----+---------+---------+---------+
| **      |         |         |    |    |         |         |         |
| SECTION |         |         |    |    |         |         |         |
| B -     |         |         |    |    |         |         |         |
| BUDGET  |         |         |    |    |         |         |         |
| SU      |         |         |    |    |         |         |         |
| MMARY** |         |         |    |    |         |         |         |
|         |         |         |    |    |         |         |         |
| **NON-  |         |         |    |    |         |         |         |
| FEDERAL |         |         |    |    |         |         |         |
| FUNDS** |         |         |    |    |         |         |         |
+---------+---------+---------+----+----+---------+---------+---------+
| Budget  | Project | Project | P  |    | Project | Project | Total   |
| Cat     | Year 1  | Year 2  | ro |    | Year 4  | Year 5  |         |
| egories |         |         | je |    |         |         | \(f\)   |
|         | \(a\)   | \(b\)   | ct |    | \(d\)   | \(e\)   |         |
|         |         |         | Ye |    |         |         |         |
|         |         |         | ar |    |         |         |         |
|         |         |         | 3  |    |         |         |         |
|         |         |         |    |    |         |         |         |
|         |         |         | \  |    |         |         |         |
|         |         |         | (c |    |         |         |         |
|         |         |         | \) |    |         |         |         |
+---------+---------+---------+----+----+---------+---------+---------+
| 1\.     |         |         |    |    |         |         |         |
| Pe      |         |         |    |    |         |         |         |
| rsonnel |         |         |    |    |         |         |         |
+---------+---------+---------+----+----+---------+---------+---------+
| 2\.     |         |         |    |    |         |         |         |
| Fringe  |         |         |    |    |         |         |         |
| B       |         |         |    |    |         |         |         |
| enefits |         |         |    |    |         |         |         |
+---------+---------+---------+----+----+---------+---------+---------+
| 3\.     |         |         |    |    |         |         |         |
| Travel  |         |         |    |    |         |         |         |
+---------+---------+---------+----+----+---------+---------+---------+
| 4\.     |         |         |    |    |         |         |         |
| Eq      |         |         |    |    |         |         |         |
| uipment |         |         |    |    |         |         |         |
+---------+---------+---------+----+----+---------+---------+---------+
| 5\.     |         |         |    |    |         |         |         |
| S       |         |         |    |    |         |         |         |
| upplies |         |         |    |    |         |         |         |
+---------+---------+---------+----+----+---------+---------+---------+
| 6\.     |         |         |    |    |         |         |         |
| Cont    |         |         |    |    |         |         |         |
| ractual |         |         |    |    |         |         |         |
+---------+---------+---------+----+----+---------+---------+---------+
| 7\.     |         |         |    |    |         |         |         |
| Const   |         |         |    |    |         |         |         |
| ruction |         |         |    |    |         |         |         |
+---------+---------+---------+----+----+---------+---------+---------+
| 8\.     |         |         |    |    |         |         |         |
| Other   |         |         |    |    |         |         |         |
+---------+---------+---------+----+----+---------+---------+---------+
| 9\.     |         |         |    |    |         |         |         |
| Total   |         |         |    |    |         |         |         |
| Direct  |         |         |    |    |         |         |         |
| Costs   |         |         |    |    |         |         |         |
|         |         |         |    |    |         |         |         |
| (lines  |         |         |    |    |         |         |         |
| 1-8)    |         |         |    |    |         |         |         |
+---------+---------+---------+----+----+---------+---------+---------+
| 10\.    |         |         |    |    |         |         |         |
| I       |         |         |    |    |         |         |         |
| ndirect |         |         |    |    |         |         |         |
| Costs   |         |         |    |    |         |         |         |
+---------+---------+---------+----+----+---------+---------+---------+
| 11\.    |         |         |    |    |         |         |         |
| T       |         |         |    |    |         |         |         |
| raining |         |         |    |    |         |         |         |
| S       |         |         |    |    |         |         |         |
| tipends |         |         |    |    |         |         |         |
+---------+---------+---------+----+----+---------+---------+---------+
| 12\.    |         |         |    |    |         |         |         |
| Total   |         |         |    |    |         |         |         |
| Costs   |         |         |    |    |         |         |         |
|         |         |         |    |    |         |         |         |
| (lines  |         |         |    |    |         |         |         |
| 9-11)   |         |         |    |    |         |         |         |
+---------+---------+---------+----+----+---------+---------+---------+
| **      |         |         |    |    |         |         |         |
| SECTION |         |         |    |    |         |         |         |
| C -     |         |         |    |    |         |         |         |
| OTHER   |         |         |    |    |         |         |         |
| BUDGET  |         |         |    |    |         |         |         |
| INFORM  |         |         |    |    |         |         |         |
| ATION** |         |         |    |    |         |         |         |
| (see    |         |         |    |    |         |         |         |
| instru  |         |         |    |    |         |         |         |
| ctions) |         |         |    |    |         |         |         |
+---------+---------+---------+----+----+---------+---------+---------+

ED Form No. 524

Public reporting burden for this collection of information is estimated
to vary from 13 to 22 hours per response, with an average of 17.5 hours
per response, including the time reviewing instructions, searching
existing data sources, gathering and maintaining the data needed, and
completing and reviewing the collection of information. Send comments
regarding this burden estimate or any other aspect of this collection of
information, including suggestions for reducing this burden, to the U.S.
Department of Education, Information Management and Compliance Division,
Washington, D.C. 20202-4651; and the Office of Management and Budget,
Paperwork Reduction Project 1875-0102, Washington DC 20503.

**INSTRUCTIONS FOR ED FORM 524**

[General Instructions]{.underline}

This form is used to apply to individual U.S. Department of Education
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.

[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.

[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 - Other Budget Information]{.underline}

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

1\. Provide an itemized budget breakdown, by project year, for each
budget category listed in Sections A and B.

2\. If applicable to this program, enter the type of indirect rate
(provisional, predetermined, final or fixed) that will be in effect
during the funding period. In addition, enter the estimated amount of
the base to which the rate is applied, and the total indirect expense.

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

4\. Provide other explanations or comments you deem necessary.

[Section D - BUDGET DETAIL/NARRATIVE]{.underline}

Attach separate sheets to fully explain and justify the following budget
categories in support of the FEDERAL funding request. (Section A) and
the no-Federal Funds (Section B).

Include sufficient detail to facilitate determination as to
allowability, relevance to the project, and cost benefits.

1\. **[Personnel]{.underline}**: Show the salary and wages, title, and
time commitment of [all]{.underline} persons charged to the project.
Consultant fees and expenses must be included in Line 8.

2\. **[Fringe Benefits]{.underline}**: Include contributions for Social
Security, employee insurance, pension plans, etc. Leave blank if fringe
benefits applicable to direct salaries and wages are treated as part of
the indirect cost rate.

> 3\. **[Travel]{.underline}**: Itemize the amount requested for travel
> of employees only. Travel of consultants, trainees, etc. should not go
> on this line, nor should local transportation costs for project staff
> (i.e., where no out-of-town trip is involved); these costs should be
> listed under the category of \"Other.\"
>
> While all travel must be fully justified foreign travel should be
> separately identified and justified. No foreign travel will be
> authorized under the grant unless prior approval is obtained.

4\. **[Equipment]{.underline}**: List nonexpendable personal property
that has a useful life of more than two years and an acquisition cost of
\$500 or more per unit. However, consistent with institutional policy,
lower limits may be established. List items of equipment in the
following format: Item, Number of Units, Cost per Unit, and Total Cost.
Fully justify the need for each item of equipment.

5\. **[Supplies]{.underline}**: Include the cost of consumable supplies
and materials to be used in the project. These should be items, which
cost less than \$300 per unit with a useful life of less than two years.

6\. **[Contractual]{.underline}**: Show all amounts for each of the
Following: (1) procurement contracts (except those which belong on other
lines such as supplies and equipment listed above) and (2) grant
payments to secondary recipient organizations such as delegate agencies,
affiliates, cooperating institutions, political subdivisions, etc.
Indicate the name of the agency, organization, or individual that is
expected to receive each proposed contract. This should be supported in
Part III - Program Narrative.

> **Note**: Whenever the applicant intends to delegate part or all of
> the program to another agency, the applicant must submit, if
> available, a copy of the proposed contract or grant payment and any
> other supporting documentation detailing the activity and required
> budget of each delegate agency. If the proposed contract or grant
> payment has not yet been advertised and/or negotiated, the applicant
> should provide any basis available that was used in developing the
> proposed contract/grant payment costs. Delegate agencies are
> [not]{.underline} required to submit separate budget information for
> their portion of the total contractual budget. The total cost of all
> such agencies will be part of the amount shown on Line 6.

7\. **[Other]{.underline}**: Provide an itemized list of all remaining
direct costs not clearly covered by lines 1-6 above. Examples are
computer use charges, space or equipment rental, consultant costs,
communication costs, rental of space, utilities and custodial services,
printing materials, and local transportation.

For consultant expenses, give the total number of consultants that will
work on the project and their costs (fees, per diem, and travel).
Provide the basis for the determination of the rate identified for
consultant costs for which Federal funds are requested. The
justification should demonstrate how the consultant costs are
reasonable, customary and consistent with the established
institutional/organizational/agency policy governing consultant costs.

8\. **[Total Direct Costs]{.underline}**: Total lines 1 through 8.

9\. **[Total Indirect Costs]{.underline}**: Indirect costs are those
costs of an organization that are not readily identifiable with a
particular project or activity but are necessary for the general
operation of the organization and the conduct of its activities.

Indicate your indirect cost rate and the amount of indirect costs to be
charged to the project. If no indirect costs are requested, enter
\"none.\" This line should be used only when the applicant (except local
government(s) has an indirect cost rate approved by the Department of
Education (ED) or another Federal agency. Local governments shall enter
the amount of indirect costs determined in accordance with ED
requirements.

**PART III - PROGRAM NARRATIVE AND SCHEDULE OF TRAINEE EXPENSE**

Prepare the Program Narrative in accordance with the following
instructions. Before preparing the Program Narrative, applicants should
carefully review the program regulations contained in this application
package, paying special attention to the selection criteria. The Program
Narrative must respond to the special emphasis of the specific program
for which grant support is being requested and the selection criteria
identified in the program regulations.

In addition, applicants should read the applicable parts of the
Education Department General Administrative Regulations (EDGAR), 34 CFR.
These regulations set forth all general rules affecting application
submittal, review, grant award, and post-award administration for
Department of Education grant programs.

The recent reauthorize version of the Rehabilitation Act of 1973, as
amended, includes three new requirements for all applicants under the
Rehabilitation Long-Term Training program. Each of these must be
addressed in your application. Applications that do not include the
following information will not be funded:

(A) a description of how the designed State unit or units will
    participate in the project to be funded under the grant or contract,
    including, as appropriate, participation on advisory committees, as
    practicum sites, in curriculum development, and in other ways so as
    to build closer relationships between the applicant and the
    designated State unit and to encourage students to pursue careers in
    public vocational rehabilitation programs;

(B) the identification of potential employers that provide employment
    that meets the payback requirements of the Act (see next bullet);
    and

(C) an assurance that data on the employment of graduates or trainees
    who participate in the project is accurate.

**NOTE:** Applicants should refer to the Dear Applicant Letter. It cites
the appropriate sections of the program regulations and the applicable
parts of EDGAR. The texts of all necessary program statutes and
regulations are included in the Rules and Regulations Section of this
application package.

**[Limit the Program Narrative to 35 pages, double-spaced, and number
pages consecutively]{.underline}.** See the Dear Applicant Letter
(Section A) for the format. The narrative should be written concisely.
Only the required information should be submitted. If appendices or
other supplemental materials are included, they must be kept to a
minimum and must substantiate what is proposed in the narrative, e.g.,
the results of a needs survey or letters of commitment from
organizations that will have significant involvement with the project.
Please remember that peer reviewers are instructed that appendix
material is to be considered supplemental material to support or show
evidence-supporting statements made in the narrative. They are neither
requested nor expected to consider appendix material in rating
applications. All vitae should be limited to one page in length showing
the source and date of earned degrees, experience relevant to working
with individuals who are disabled and the person\'s direct relationship
to the project, e.g., how the person will function in the project. Also,
use spring clips or rubber bands to hold the application together. [Do
not use binders, folders, and staples]{.underline} as they must be
removed before duplicating applications.

**NOTE:** Funded projects will be required to report evaluation findings
in the annual progress report (as part of the continuation application)
and in the final report at the conclusion of the project.

**IF APPLICABLE, PROVIDE THE FOLLOWING INFORMATION**:

\(a\) If a rehabilitation project is in its final year of support and
refunding for a new project is being requested, provide a progress
report that includes a discussion of all accomplishments to date in
achieving project objectives and a schedule of accomplishments or
milestones anticipated with the new funding request.

\(b\) A listing showing the Federal Domestic Assistance Catalog number,
status and amount of each project where there is related previous,
pending or anticipated assistance

PART IV

ASSURANCES AND CERTIFICATIONS

Assurances Non-Construction Programs

Certifications Regarding Lobbying; Department, Suspension, and other

Workplace Requirements (ED Form 80-0013)

Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary

Exclusion -- Lower Tier Covered Transactions (ED Form 80-0014)

Disclosure of Lobbying Activities

Department of Education General Education Provisions Act (GEPA)

The Government Performance and Results Act (GPRA)

Survey On Ensuring Equal Opportunity

**ASSURANCES - NON-CONSTRUCTION PROGRAMS**

Public reporting burden for this collection of information is estimated
to average 15 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 (0348-0040), Washington, DC 20503

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

**Note:** Certain of these assurances may not be applicable to your
project or program. If you have questions, please contact the awarding
agency. Further, certain Federal awarding agencies may require
applicants to certify to additional assurances. If such is the case, you
will be notified.

As the duly authorized representative of the applicant I certify that
the applicant:

1\. Has the legal authority to apply for Federal assistance, and the
institutional, managerial and financial capability (including funds
sufficient to pay the non-Federal share of project cost) to ensure
proper planning, management, and completion of the project described in
this application.

2\. Will give the awarding agency, the Comptroller General of the United
States, and if appropriate, the State, through any authorized
representative, access to and the right to examine all records, books,
papers, or documents related to the award; and will establish a proper
accounting system in accordance with generally accepted accounting
standards or agency directives.

3\. Will establish safeguards to prohibit employees from using their
positions for a purpose that constitutes or presents the appearance of
personal or organizational conflict of interest, or personal gain.

4\. Will initiate and complete the work within the applicable time frame
after receipt of approval of the awarding agency.

5\. Will comply with the Intergovernmental Personnel Act of 1970 (42
U.S.C. 4728-4763) relating to prescribed standards for merit systems
for programs funded under one of the 19 statutes or regulations
specified in Appendix A of OPM\'s Standards for a Merit System of
Personnel Administration (5 C.F.R. 900, Subpart F).

6\. Will comply with all Federal statutes relating to nondiscrimination.
These include but are not limited to: (a) Title VI of the Civil Rights
Act of 1964 (P.L. 88-352) which prohibits discrimination on the basis of
race, color or national origin; (b) Title IX of the Education Amendments
of 1972, as amended (20 U.S.C. 1681-1683, and 1685-1686), which
prohibits discrimination on the basis of sex; (c) Section 504 of the
Rehabilitation Act of 1973, as amended (29 U.S.C. 794), which prohibits
discrimination on the basis of handicaps; (d) the Age Discrimination Act
of 1975, as amended (42 U.S.C.  6101-6107), which prohibits
discrimination on the basis of age; (e) the Drug Abuse Office and
Treatment Act of 1972 (P.L. 92-255), as amended, relating to
nondiscrimination on the basis of drug abuse; (f) the Comprehensive
Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation
Act of 1970 (P.L. 91-616), as amended, relating to nondiscrimination on
the basis of alcohol abuse or alcoholism; (g)  523 and 527 of the
Public Health Service Act of 1912 (42 U.S.C.  290 dd-3 and 290 ee 3),
as amended, relating to confidentiality of alcohol and drug abuse
patient records; (h) Title VIII of the Civil Rights Act of 1968 (42
U.S.C.  3601 et seq.), as amended, relating to nondiscrimination in the
sale, rental or financing of housing; (i) any other nondiscrimination
provisions in the specific statute(s) under which application for
Federal assistance is being made; and (j) the requirements of any other
nondiscrimination statute(s) which may apply to the application.

7\. Will comply, or has already complied, with the requirements of
Titles II and III of the uniform Relocation Assistance and Real Property
Acquisition Policies Act of 1970 (P.L. 91-646) which provide for fair
and equitable treatment of persons displaced or whose property is
acquired as a result of Federal or federally assisted programs. These
requirements apply to all interests in real property acquired for
project purposes regardless of Federal participation in purchases.

8\. Will comply, as applicable, with the provisions of the Hatch Act (5
U.S.C. 1501-1508 and 7324-7328), which limit the political activities
of employees whose principal employment activities are funded in whole
or in part with Federal funds.

9\. Will comply, as applicable, with the provisions of the Davis-Bacon
Act (40 U.S.C. 276a to 276a-7), the Copeland Act (40 U.S.C. 276c and
18 U.S.C. 874) and the Contract Work Hours and Safety Standards Act
(40 U.S.C.  327-333), regarding labor standards for federally assisted
construction subagreements.

10\. Will comply, if applicable, with flood insurance purchase
requirements of Section 102(a) of the Flood Disaster Protection Act of
1973 (P.L. 93-234) which requires recipients in a special flood hazard
area to participate in the program and to purchase flood insurance if
the total cost of insurable construction and acquisition is \$10,000 or
more.

11\. Will comply with environmental standards which may be prescribed
pursuant to the following: (a) institution of environmental quality
control measures under the National Environmental Policy Act of 1969
(P.L. 91-190) and Executive Order (EO) 11514; (b) notification of
violating facilities pursuant to EO 11738; (c) protection of wetlands
pursuant to EO 11990; (d) evaluation of flood hazards in floodplains in
accordance with EO 11988; (e) assurance of project consistency with the
approved State management program developed under the Coastal Zone
Management Act of 1972 (16 U.S.C. 1451 et seq.); (f) conformity of
Federal actions to State (Clear Air) Implementation Plans under Section
176(c) of the Clear Air Act of 1955, as amended (42 U.S.C. 7401 et
seq.); (g) protection of underground sources of drinking water under the
Safe Drinking Water Act of 1974, as amended, (P.L. 93-523); and (h)
protection of endangered species under the Endangered Species Act of
1973, as amended, (P.L. 93-205).

12 Will comply with the Wild and Scenic Rivers Act of 1968 (16 U.S.C.
1721 et seq.) related to protecting components or potential components
of the national wild and scenic rivers system.

13\. Will assist the awarding agency in assuring compliance with Section
106 of the National Historic Preservation Act of 1966, as amended (16
U.S.C. 470), EO 11593 (identification and protection of historic
properties), and the Archaeological and Historic Preservation Act of
1974 (16 U.S.C. 469a-1 et seq.).

14\. Will comply with P.L. 93-348 regarding the protection of human
subjects involved in research, development, and related activities
supported by this award of assistance.

15\. Will comply with the Laboratory Animal Welfare Act of 1966 (P.L.
89-544, as amended, 7 U.S.C. 2131 et seq.) pertaining to the care,
handling, and treatment of warm blooded animals held for research,
teaching, or other activities supported by this award of assistance.

16\. Will comply with the Lead-Based Paint Poisoning Prevention Act (42
U.S.C. 4801 et seq.), which prohibits the use of lead- based paint in
construction or rehabilitation of residence structures.

17\. Will cause to be performed the required financial and compliance
audits in accordance with the Single Audit Act Amendments of 1996 and
OMB Circular No. A-133, Audits of States, Local Governments, and
Non-Profit Organizations.

18\. Will comply with all applicable requirements of all other Federal
laws, executive orders, regulations and policies governing this program.

  ----------------------------------------- -------- ---------------------
  SIGNATURE OF AUTHORIZED CERTIFYING        TITLE    
  OFFICIAL                                           

  APPLICANT ORGANIZATION                             DATE SUBMITTED
  ----------------------------------------- -------- ---------------------

**Standard Form 424B (Rev. 7-97) Back**

# CERTIFICATION REGARDING LOBBYING

Applicants must review the requirements for certification regarding
lobbying included in the regulations cited below before completing this
form. Applicants must sign this form to comply with the certification
requirements under 34 CFR Part 82, \"New Restrictions on Lobbying.\"
This certification is a material representation of fact upon which the
Department of Education relies when it makes a grant or enters into a
cooperative agreement.

As required by Section 1352, Title 31 of the U.S. Code, and implemented
at 34 CFR Part 82, for persons entering into a Federal contract, grant
or cooperative agreement over \$100,000, as defined at 34 CFR Part 82,
Sections 82.105 and 82.110, the applicant certifies that:

\(a\) No Federal appropriated funds have been paid or will be paid, by
or on behalf of the undersigned, to any person 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 the making of any Federal grant,
the entering into of any cooperative agreement, and the extension,
continuation, renewal, amendment, or modification of any Federal grant
or cooperative agreement;

\(b\) If any funds other than Federal appropriated funds have been paid
or will be paid to any person 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 this Federal grant or cooperative agreement, the
undersigned shall complete and submit Standard Form - LLL, \"Disclosure
Form to Report Lobbying,\" in accordance with its instructions;

\(c\) The undersigned shall require that the language of this
certification be included in the award documents for all subawards at
all tiers (including subgrants and contracts under grants and
cooperative agreements) and that all subrecipients shall certify and
disclose accordingly.

As the duly authorized representative of the applicant, I hereby certify
that the applicant will comply with the above certification.

  -----------------------------------------------------------------------
  NAME OF APPLICANT PR/AWARD NUMBER AND / OR PROJECT NAME

  PRINTED NAME AND TITLE OF AUTHORIZED REPRESENTATIVE

  SIGNATURE DATE
  -----------------------------------------------------------------------

ED 80-0013 06/04

**Certification Regarding Debarment, Suspension, Ineligibility and**

**Voluntary Exclusion \-- Lower Tier Covered Transactions**

This certification is required by the Department of Education
regulations implementing Executive Order 12549, Debarment and
Suspension, 34 CFR Part 85, for all lower tier transactions meeting the
threshold and tier requirements stated at Section 85.110.

**Instructions for Certification**

1\. By signing and submitting this proposal, the prospective lower tier
participant is providing the certification set out below.

2\. The certification in this clause is a material representation of
fact upon which reliance was placed when this transaction was entered
into. If it is later determined that the prospective lower tier
participant knowingly rendered an erroneous certification, in addition
to other remedies available to the Federal Government, the department or
agency with which this transaction originated may pursue available
remedies, including suspension and/or debarment.

3\. The prospective lower tier participant shall provide immediate
written notice to the person to whom this proposal is submitted if at
any time the prospective lower tier participant learns that its
certification was erroneous when submitted or has become erroneous by
reason of changed circumstances.

4\. The terms \"covered transaction,\" \"debarred,\" \"suspended,\"
\"ineligible,\" \"lower tier covered transaction,\" \"participant,\" \"
person,\" \"primary covered transaction,\" \" principal,\" \"proposal,\"
and \"voluntarily excluded,\" as used in this clause, have the meanings
set out in the Definitions and Coverage sections of rules implementing
Executive Order 12549. You may contact the person to which this proposal
is submitted for assistance in obtaining a copy of those regulations.

5\. The prospective lower tier participant agrees by submitting this
proposal that, should the proposed covered transaction be entered into,
it shall not knowingly enter into any lower tier covered transaction
with a person who is debarred, suspended, declared ineligible, or
voluntarily excluded from participation in this covered transaction,
unless authorized by the department or agency with which this
transaction originated.

6\. The prospective lower tier participant further agrees by submitting
this proposal that it will include the clause titled Certification
Regarding Debarment, Suspension, Ineligibility, and Voluntary
Exclusion-Lower Tier Covered Transactions,ithout modification, in all
lower tier covered transactions and in all solicitations for lower tier
covered transactions.

7\. A participant in a covered transaction may rely upon a certification
of a prospective participant in a lower tier covered transaction that it
is not debarred, suspended, ineligible, or voluntarily excluded from the
covered transaction, unless it knows that the certification is
erroneous. A participant may decide the method and frequency by which it
determines the eligibility of its principals. Each participant may but
is not required to, check the Nonprocurement List.

8\. Nothing contained in the foregoing shall be construed to require
establishment of a system of records in order to render in good faith
the certification required by this clause. The knowledge and information
of a participant is not required to exceed that which is normally
possessed by a prudent person in the ordinary course of business
dealings.

9\. Except for transactions authorized under paragraph 5 of these
instructions, if a participant in a covered transaction knowingly enters
into a lower tier covered transaction with a person who is suspended,
debarred, ineligible, or voluntarily excluded from participation in this
transaction, in addition to other remedies available to the Federal
Government, the department or agency with which this transaction
originated may pursue available remedies, including suspension and/or
debarment.

**Certification**

\(1\) The prospective lower tier participant certifies, by submission of
this proposal, that neither it nor its principals are presently
debarred, suspended, proposed for debarment, declared ineligible, or
voluntarily excluded from participation in this transaction by any
Federal department or agency.

\(2\) Where the prospective lower tier participant is unable to certify
to any of the statements in this certification, such prospective
participant shall attach an explanation to this proposal.

  -----------------------------------------------------------------------
  NAME OF APPLICANT PR/AWARD NUMBER AND/OR PROJECT NAME

  PRINTED NAME AND TITLE OF AUTHORIZED REPRESENTATIVE

  SIGNATURE DATE
  -----------------------------------------------------------------------

ED 80-0014, 9/90 (Replaces GCS-009 (REV.12/88), which is obsolete)

Approved by OMB

0348-0046

**Disclosure of Lobbying Activities**

Complete this form to disclose lobbying activities pursuant to 31 U.S.C.
1352

(See reverse for public burden disclosure)

+----------------------+----------+---------+-------------------------+
| 1.  **Type of        | 2.       |         | 3.  **Report Type:**    |
|     Federal          | **Status |         |                         |
|     Action:**        |     of   |         | a\. initial filing      |
|                      |          |         |                         |
| a\. contract         |  Federal |         | \_\_\_\_\_ b. material  |
|                      |     A    |         | change                  |
| \_\_\_\_ b. grant    | ction:** |         |                         |
|                      |          |         | **For material change   |
| c\. cooperative      | a\.      |         | only:**                 |
| agreement            | bid/o    |         |                         |
|                      | ffer/app |         | Year \_\_\_\_\_\_\_     |
| d\. loan             | lication |         | quarter \_\_\_\_\_\_\_  |
|                      |          |         |                         |
| e\. loan guarantee   | \_       |         | Date of last            |
|                      | \_\_\_\_ |         | repor                   |
| f\. loan insurance   | b.       |         | t\_\_\_\_\_\_\_\_\_\_\_ |
|                      | initial  |         |                         |
|                      | award    |         |                         |
|                      |          |         |                         |
|                      | c\.      |         |                         |
|                      | po       |         |                         |
|                      | st-award |         |                         |
+----------------------+----------+---------+-------------------------+
| 4.  **Name and       |          | 5       |                         |
|     Address of       |          | .  **If |                         |
|     Reporting        |          |     Re  |                         |
|     Entity:**        |          | porting |                         |
|                      |          |         |                         |
| \_\_\_\_ Prime       |          |  Entity |                         |
| \_\_\_\_\_           |          |     in  |                         |
| Subawardee           |          |     No. |                         |
|                      |          |     4   |                         |
| > Tier\_\_\_\_\_\_,  |          |     is  |                         |
| > if Known:          |          |         |                         |
|                      |          |  Subawa |                         |
| **Congressional      |          | rdee,** |                         |
| District, if         |          |         |                         |
| known:**             |          |   Enter |                         |
|                      |          |         |                         |
|                      |          |    Name |                         |
|                      |          |     and |                         |
|                      |          |         |                         |
|                      |          | Address |                         |
|                      |          |     of  |                         |
|                      |          |         |                         |
|                      |          |  Prime: |                         |
|                      |          |         |                         |
|                      |          | *       |                         |
|                      |          | *Congre |                         |
|                      |          | ssional |                         |
|                      |          | Di      |                         |
|                      |          | strict, |                         |
|                      |          | if      |                         |
|                      |          | k       |                         |
|                      |          | nown:** |                         |
+----------------------+----------+---------+-------------------------+
| **6. Federal         |          | **7.    |                         |
| Department/Agency:** |          | Federal |                         |
|                      |          | Program |                         |
|                      |          | Nam     |                         |
|                      |          | e/Descr |                         |
|                      |          | iption: |                         |
|                      |          | Federal |                         |
|                      |          | Program |                         |
|                      |          | Name/   |                         |
|                      |          | Descrip |                         |
|                      |          | tion:** |                         |
|                      |          |         |                         |
|                      |          | CFDA    |                         |
|                      |          | Number, |                         |
|                      |          | *if     |                         |
|                      |          | appli   |                         |
|                      |          | cable*: |                         |
|                      |          | \       |                         |
|                      |          | _\_\_\_ |                         |
|                      |          | \_\_\_\ |                         |
|                      |          | _\_\_\_ |                         |
|                      |          | \_\_\_\ |                         |
|                      |          | _\_\_\_ |                         |
+----------------------+----------+---------+-------------------------+
| **8. Federal Action  |          | **9.    |                         |
| Number,** *if        |          | Award   |                         |
| known:*              |          | Am      |                         |
|                      |          | ount**, |                         |
|                      |          | *if     |                         |
|                      |          | known:* |                         |
|                      |          | **Award |                         |
|                      |          | Am      |                         |
|                      |          | ount**, |                         |
|                      |          | *if     |                         |
|                      |          | known:* |                         |
|                      |          |         |                         |
|                      |          | **\$**  |                         |
+----------------------+----------+---------+-------------------------+
| **10. a. Name and    |          | **b.    |                         |
| Address of Lobbying  |          | Indi    |                         |
| Registrant**         |          | viduals |                         |
|                      |          | Per     |                         |
| *(if individual,     |          | forming |                         |
| last name, first     |          | Ser     |                         |
| name, MI):*          |          | vices** |                         |
|                      |          | *(in    |                         |
|                      |          | cluding |                         |
|                      |          | address |                         |
|                      |          | if      |                         |
|                      |          | di      |                         |
|                      |          | fferent |                         |
|                      |          | from    |                         |
|                      |          | No.     |                         |
|                      |          | 10a)*   |                         |
|                      |          |         |                         |
|                      |          | *(last  |                         |
|                      |          | name,   |                         |
|                      |          | first   |                         |
|                      |          | name,   |                         |
|                      |          | MI):*   |                         |
+----------------------+----------+---------+-------------------------+
| **11. Information    |          | **Sig   |                         |
| requested through    |          | nature: |                         |
| this form is         |          | \_\_\_\ |                         |
| authorized by title  |          | _\_\_\_ |                         |
| 31 U.S.C. section    |          | \_\_\_\ |                         |
| 1352. This           |          | _\_\_\_ |                         |
| disclosure of        |          | \_\_\_\ |                         |
| lobbying activities  |          | _\_\_\_ |                         |
| is a material        |          | \_\_\_\ |                         |
| representation of    |          | _\_\_\_ |                         |
| fact upon which      |          | \_\_\_\ |                         |
| reliance was placed  |          | _\_\_** |                         |
| by the tier above    |          |         |                         |
| when this            |          | **Print |                         |
| transaction was made |          | Nam     |                         |
| or entered into.     |          | e:\_\_\ |                         |
| This disclosure is   |          | _\_\_\_ |                         |
| required pursuant to |          | \_\_\_\ |                         |
| 31 U.S.C. 1352. This |          | _\_\_\_ |                         |
| information will be  |          | \_\_\_\ |                         |
| reported to the      |          | _\_\_\_ |                         |
| Congress             |          | \_\_\_\ |                         |
| semi-annually and    |          | _\_\_\_ |                         |
| will be available    |          | \_\_\_\ |                         |
| for public           |          | _\_\_** |                         |
| inspection. Any      |          |         |                         |
| person who fails to  |          | **      |                         |
| file the required    |          | Title:\ |                         |
| disclosure shall be  |          | _\_\_\_ |                         |
| subject to a civil   |          | \_\_\_\ |                         |
| penalty of not less  |          | _\_\_\_ |                         |
| than \$10,000 and    |          | \_\_\_\ |                         |
| not more than        |          | _\_\_\_ |                         |
| \$100,000 for each   |          | \_\_\_\ |                         |
| such failure.**      |          | _\_\_\_ |                         |
|                      |          | \_\_\_\ |                         |
|                      |          | _\_\_\_ |                         |
|                      |          | \_\_\_\ |                         |
|                      |          | _\_\_** |                         |
|                      |          |         |                         |
|                      |          | **Te    |                         |
|                      |          | lephone |                         |
|                      |          | No.:    |                         |
|                      |          | \_\_    |                         |
|                      |          | \_\_\_\ |                         |
|                      |          | _\_\_\_ |                         |
|                      |          | \_\_\_\ |                         |
|                      |          | _\_\_\_ |                         |
|                      |          | Date:   |                         |
|                      |          | \_      |                         |
|                      |          | \_\_\_\ |                         |
|                      |          | _\_\_** |                         |
+----------------------+----------+---------+-------------------------+
| **Federal Use Only** |          | **Aut   |                         |
|                      |          | horized |                         |
|                      |          | for     |                         |
|                      |          | Local   |                         |
|                      |          | Reprodu |                         |
|                      |          | ction** |                         |
|                      |          |         |                         |
|                      |          | **S     |                         |
|                      |          | tandard |                         |
|                      |          | Form -  |                         |
|                      |          | LLL     |                         |
|                      |          | (Rev.   |                         |
|                      |          | 7-97)** |                         |
+----------------------+----------+---------+-------------------------+

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

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

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

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

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

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

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

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

> \(b\) 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

OMB Control No. 1890-0007 (Exp. 09/30/2004)

**NOTICE TO ALL APPLICANTS**

The purpose of this enclosure is to inform you about a new provision in
the Department of Education\'s General Education Provisions Act (GEPA)
that applies to applicants for new grant awards under Department
programs. This provision is Section 427 of GEPA, enacted as part of the
Improving America\'s Schools Act of 1994 (Public Law (P.L.) 103-382).

**To Whom Does This Provision Apply?**

Section 427 of GEPA affects applicants for new grant awards under this
program. **ALL APPLICANTS FOR NEW AWARDS MUST INCLUDE INFORMATION IN
THEIR APPLICATIONS TO ADDRESS THIS NEW PROVISION IN ORDER TO RECEIVE
FUNDING UNDER THIS PROGRAM.**

(If this program is a State-formula grant program, a State needs to
provide this description only for projects or activities that it carries
out with funds reserved for State-level uses. In addition, local school
districts or other eligible applicants that apply to the State for
funding need to provide this description in their applications to the
State for funding. The State would be responsible for ensuring that the
school district or other local entity has submitted a sufficient section
427 statement as described below.)

**What Does This Provision Require?**

Section 427 requires each applicant for funds (other than an individual
person) to include in its application a description of the steps the
applicant proposes to take to ensure equitable access to, and
participation in, its Federally-assisted program for students, teachers,
and other program beneficiaries with special needs. This provision
allows applicants discretion in developing the required description. The
statute highlights six types of barriers that can impede equitable
access or participation: gender, race, national origin, color,
disability, or age. Based on local circumstances, you should determine
whether these or other barriers may prevent your students, teachers,
etc. from such access or participation in, the Federally-funded project
or activity. The description in your application of steps to be taken to
overcome these barriers need not be lengthy; you may provide a clear and
succinct description of how you plan to address those barriers that are
applicable to your circumstances. In addition, the information may be
provided in a single narrative, or, if appropriate, may be discussed in
connection with related topics in the application.

Section 427 is not intended to duplicate the requirements of civil
rights statutes, but rather to ensure that, in designing their projects,
applicants for Federal funds address equity concerns that may affect the
ability of certain potential beneficiaries to fully participate in the
project and to achieve to high standards. Consistent with program
requirements and its approved application, an applicant may use the
Federal funds awarded to it to eliminate barriers it identifies.

**What are Examples of How an Applicant Might Satisfy the Requirement of
This Provision?**

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

> \(1\) An applicant that proposes to carry out an adult literacy
> project serving, among others, adults with limited English
> proficiency, might describe in its application how it intends to
> distribute a brochure about the proposed project to such potential
> participants in their native language.
>
> \(2\) An applicant that proposes to develop instructional materials
> for classroom use might describe how it will make the materials
> available on audio tape or in braille for students who are blind.
>
> \(3\) An applicant that proposes to carry out a model science program
> for secondary students and is concerned that girls may be less likely
> than boys to enroll in the course, might indicate how it intends to
> conduct \"outreach\" efforts to girls, to encourage their enrollment.

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

**Estimated Burden Statement for GEPA Requirements**

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 **1890-0007.** The time
required to complete this information collection is estimated to average
1.5 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:** Director, Grants Policy and Oversight Staff,
U.S. Department of Education, 400 Maryland Avenue, SW (Room 3652, GSA
Regional Office Building No. 3), Washington, DC 20202-4248.

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

# What is GPRA?

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

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

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

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

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

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

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

![](media/image4.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, 550
12^th^ Street S.W., Potomac Center Plaza, Room 7067, Washington, DC
20202.

PART V

Important Notice to Prospective Participants in the U.S. Department of
Education Grant and Contract Programs

DUNS Number Instructions

Application Check List

Common Questions and Answers

> IMPORTANT NOTICE TO PROSPECTIVE PARTICIPANTS
>
> IN U.S. DEPARTMENT OF EDUCATION

### GRANT AND CONTRACT PROGRAMS

## GRANTS

> ** **
>
> Applicants for grants from the U.S. Department of Education (ED) have
> to compete for limited funds.
>
> Deadlines assure all applicants that they will be treated fairly and
> equally, without last minute haste. For these reasons, ED must set
> strict deadlines for grant applications. Prospective applicants can
> avoid disappointment if they understand that:
>
>  
>
> Failure to meet a deadline will mean that an applicant will be
> rejected without any consideration.
>
>  
>
> The rules, including the deadline, for applying for each grant are
> published, individually, in the Federal Register. Six-month or
> one-year subscriptions to the daily, official Federal Register may be
> ordered from the U. S. Government Printing Office at the following
> url: [bookstore.gpo.gov/regulatory/fed-reg.html]{.underline}. The
> Federal Register Complete Service is also available in microfiche on
> the same web page. In addition, the Federal Register is available
> on-line for free on Government Printing Office (GPO) Access:
> [www.access.gpo.gov/nara]{.underline}. Depository Library location and
> Federal Register services: [www.nara.gov/fedreg]{.underline}.
>
>  
>
> 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. No ED
> employee is authorized to extend any deadline published in the Federal
> Register. Questions regarding submission of applications may be
> addressed to:
>
>  
>
> **U.S. Department of Education**

#### Application Control Center

> **Washington, D.C. 20202-4725**
>
>  

# [CONTRACTS]{.underline}

> Competitive procurement actions undertaken by the ED are governed by
> the Federal Acquisition Regulations and implementing Department of
> Education Acquisition Regulations.
>
>  
>
> Generally, prospective competitive procurement actions are synopsized
> in the Commerce Business Daily (CBD). Prospective offerors are therein
> advised of the nature of the procurement and where to apply for copies
> of the Request for Proposals (RFP). All of End\'s RFP's are now
> available on-line for downloading at the following url:
>
> <http://www.ed.gov/fund/contract/apply/currrfp.html>.
>
>  
>
> 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. Six-month or one-year subscriptions to the
> CBD may be ordered from the U.S. Government Printing Office at the
> following url:
>
> [bookstore.gpo.gov/regulatory/cbd.html]{.underline}.
>
> Information included in the Federal Acquisition Regulation is
> contained in Title 48, Code of Federal Regulations, Chapter 1. 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 addition, the Commerce Business Daily is available on-line for
> free at the following url:
> [http://cbdnet.access.gpo.gov/]{.underline}. The Federal Acquisition
> Regulations are available on-line at**
>
> the following url: [www.arnet.gov/far/]{.underline}.
>
> ED FORM 5348, 10/01

# 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 not 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:

**www.dnb.com/dbis/about/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 number to over 43 million companies worldwide.

APPLICATION CHECKLIST

Does your application include each of the following?

\[ \] Cover page (ED 424)

\[ \] Budget form (ED Form 524)

\[ \] Budget narrative

\[ \] Program narrative, including abstract and responses to the
selection criteria

\[ \] Assurances and Certifications

Did You \--

\[ \] Provide one (1) original plus 2 copies of the application?

\[ \] Include all required forms with original signatures and dates?

\[ \] Submit a copy of the application to the State Single Point of
Contact, if applicable?

\[ \] Mail\* Application To:

SPECIAL DEMONSTRATION

PROGRAMS

ATTN: 84.235S

U.S. Department of Education

Application Control Center

400 Maryland Avenue, SW

Washington, DC 20202-4725

OR Hand-deliver\* Application To:

SPECIAL DEMONSTRATION

PROGRAMS

ATTN: 84.235S

U.S. Department of Education

Application Control Center

Room 7067

Potomac Center Plaza

550 12^th^ Street S.W.

Washington, D.C. 20202

\*Must be received by mail postmarked no later than the closing date
indicated on the cover of this kit or hand-delivered by 4:30 p.m. no
later than the closing date indicated on the cover of this application
kit.

**COMMON QUESTIONS AND ANSWERS**

\[Below are some examples of Q\'s & A\'s that programs may include in
their application booklets. Programs may want to add others. Generally
speaking, Q\'s & A\'s should not repeat information that is given
elsewhere in the application. However, there may be exceptions to this
\"rule of thumb.\" Q\'s & A\'s should not be subregulatory and should
not take the place of instructions.\]

Q. What happens to my application after it is received in the
Department?

A. The Department\'s Application Control Center receives each
application, assigns each an identifying number (PR/Award number),
confirms receipt of applications, and sends the applications to the
appropriate program office, which screens them for eligibility. The
program conducts a peer review of all eligible applications sent to a
program competition, ranks them and recommends the highest ranked
applications for funding with exceptions as provided by law. The
responsible official for the applicable program reviews the program
office\'s recommendations, checks the adequacy of the documentation
supporting the recommendations, and approves a final list, or slate, of
recommended projects and funding amounts. The final slate is forwarded
to Grant and Contract Services, Grants Division, which negotiates the
recommendations with the successful applicants and awards the grants.

Q. What happens to my application if the Department finds it to be
ineligible?

A. The Department immediately returns an application that does not meet
the eligibility criteria for the particular program. A letter from the
Department explaining why it is not being reviewed in the competition
accompanies the application.

Q. How does the Department review an application?

A. Each application is assessed by knowledgeable persons from outside
and sometimes inside the Department who are asked for their judgements
about the quality and significance of the proposed project. These
persons represent a diversity of disciplines and institutional,
regional, and cultural backgrounds. The advice of these experts is
compiled by Departmental staff who comment on matters of fact or on
significant issues that would otherwise be missing from the review. The
results are then presented to the responsible official responsible for
the program who approves the recommendations for funding.

Q. What Criteria do the reviewers use when scoring an application?

A. Reviewers score each application using the selection criteria
published in the [Federal Register]{.underline} as part of the program
regulations, which are given \[specify where they can be found in the
application package\]. Reviewers are instructed to use only the
published criteria.

Q. Is a recommended application guaranteed funding?

A. No. Funding is not final until negotiations have been successfully
concluded and a grant award notification has been signed by the grants
office and mailed to the applicant.

Q. How long does it take the Department to complete the review process?

A. (Describe normal experience with the particular program. Most review
processes take from six to eight months.)

Q. How do the invitational, competitive and absolute priorities differ?

A. **Invitational Priority**

The Secretary may simply invite applicants to meet a priority. However,
an application that addresses invitational priorities receives no
competitive or absolute preference over applications that do not meet
this priority.

**Competitive Priority**

If a program uses weighted selection criteria, the Secretary may award
selection points to an application that meets the priority. These points
are in addition to any points the application earns under the selection
criteria. The notice states the maximum number of additional points that
the Secretary may award to applications that meet the priority in a
particularly effective way. Or the Secretary may simply select
applications that meet the competitive priority over applications of
comparable merit that do not meet the priority.

**Absolute Priority**

Under an absolute priority, the Secretary may select for funding only
those applications that meet the priority.

Q. Can changes in the size of subsequent year awards be made after the
multi-year budget has been negotiated?

A. Yes, a grantee can renegotiate his or her multi-year budget and may
be awarded additional funds if sufficient justification is presented to
the Secretary and funds are available. Also, funds can be decreased if
it is determined that the multi-year budget was overestimated.

Q. How will funding continuation decisions be made if the Department is
phasing out the use of non-competing continuation applications after
fiscal year 1995?

A. Grantees will be required to complete annual performance reports that
describe the projects\' accomplishments, evaluations, and finances.
These performance reports, along with other information, will be used by
the Department to decide whether to continue funding projects.

**GRANT APPLICATION RECEIPT ACKNOWLEDGEMENT\_\_\_\_\_\_\_\_\_\_**

If you fail to receive the notification of application within fifteen
(15) days from the closing date, call:

U.S. Department of Education

Application Control Center

\(202\) 245-6288

**GRANT AND CONTRACT FUNDING INFORMATION**

The Department of Education provides information about grant and
contract opportunities electronically in several ways:

ED Internet Home Page [**http://www.ed.gov/**](http://www.ed.gov/) (WWW
address)