U.S. DEPARTMENT OF EDUCATION

OFFICE OF VOCATIONAL AND ADULT EDUCATION

WASHINGTON, D.C.

**APPLICATION FOR GRANTS**

**UNDER THE**

**GRANTS TO STATES FOR WORKPLACE AND COMMUNITY TRANSITION TRAINING FOR
INCARCERATED INDIVIDUALS PROGRAM**

**(CFDA 84.331)**

0

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OMB Control Number 1830-0563

2009 Application Package

##  

**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 **[1830-0563]{.underline}**.
The time required to complete this information collection is estimated
to average **25** hours per response, including the time to review
instructions, search existing data resources, gather the data needed,
and complete and review the information collection. **If you have any
comments concerning the accuracy of the time estimate(s) or suggestions
for improving this form, please write to:** U.S. Department of
Education, Washington, D.C. 20202‑4651. **If you have comments or
concerns regarding the status of your individual submission of this
form, write directly to:** Office of Vocational and Adult Education,
U.S. Department of Education, 400 Maryland Ave., S.W., Washington, D.C.
20202-7100.

The Higher Education Opportunity Act (Public Law 110-315) (HEOA),
enacted on August 14, 2008, amended section 821 of the Higher Education
Amendments of 1998 (the statute), which authorizes grants to States for
workplace and community transition training for incarcerated individuals
(Incarcerated Individuals program). Section 821 of the statute continues
to require State correctional education agencies (SCEAs) to submit to
the Secretary an application in order to receive a grant. This package
incorporates the new statutory requirements for State applications.

The State application is an important document that serves to provide
---

1.  the basis on which the State, through its SCEA, will qualify to
    participate in the Incarcerated Individuals program and to receive
    Federal allocations;

2.  a comprehensive statement of the SCEA's goals, objectives,
    priorities, and methods under which the agency will administer the
    Incarcerated Individuals program;

3.  a basis for common understanding among the SCEA, the U.S. Department
    of Education, and auditors; and

4.  a basis for planning and evaluation.

Before preparing an application, the SCEA should carefully read this
application package in its entirety; section 821 of the statute, and any
relevant regulations.

**SECTION I: PROGRAM DESCRIPTION**

The Incarcerated Individuals program provides grants to SCEAs for
activities that assist and encourage incarcerated individuals who have
obtained a secondary school diploma or its recognized equivalent to
acquire educational and job skills, through: (1) coursework in
preparation for postsecondary education; (2) the pursuit of a
postsecondary education certificate, an associate's degree, or a
bachelor's degree while in prison; and (3) employment counseling and
other related services that start during incarceration and end not later
than two years after release from incarceration.

An eligible student under the program is an incarcerated individual who
has obtained a secondary school diploma or its recognized equivalent, is
35 years of age or younger, is incarcerated in a State prison (which may
be a pre-release facility), is eligible for parole or release within
seven years, and has not been convicted of a "criminal offense against a
victim who is a minor" or a "sexually violent offense," as such terms
are defined in the Jacob Wetterling Crimes Against Children and Sexually
Violent Offender Registration Act (42 U.S.C. 14071 et seq.); or murder,
as described in section 1111 of title 18, United States Code.

While previously the Department has requested three-year applications
for the predecessor to this program, the Department is requesting that
SCEAs submit one-year applications for FY 2009 funds as we begin
implementation of the new statute. A new provision in section
821(c)(4)(B) of the statute requires, among other things, that SCEAs
describe the evaluation methods they will use to measure incarcerated
individual outcomes consistent with the data elements and definitions
provided by the Secretary. However, as the HEOA was not enacted until
August 2008, the Department, the Department will not determine these
data elements and definitions prior to the submission of applications
for FY 2009. Consequently the Department is requesting that SCEAs submit
one-year applications for 2009 funds only. The Department will provide
SCEAs with additional guidance when the Secretary makes a fuller
determination as to the data elements and definitions for this program.
The Department will then invite SCEAs to submit three-year applications
for FYs 2010 -- 2012 based on such determinations and guidance.

**SECTION II: APPLICATION REQUIREMENTS, CERTIFICATIONS, AND ASSURANCES**

The application must:

1.  Identify the scope of the problem, including the number of eligible
    incarcerated individuals in need of postsecondary education and
    career and technical training.

2.  List the accredited public or private educational institution or
    institutions that will provide postsecondary educational services.

3.  List the cooperating agencies, public and private, or businesses
    that will provide related services, such as counseling in the areas
    of career development, substance abuse, health, and parenting
    skills, and describe the services to be provided.

4.  Describe performance objectives and evaluation methods that the SCEA
    will use in carrying out its program. ([See]{.underline} SECTION
    III: PERFORMANCE OBJECTIVES AND EVALUATION METHODS for additional
    information and guidance regarding this requirement.)

5.  Describe how the proposed program will be integrated with existing
    State correctional education programs (such as adult education,
    graduate education degree programs, and career and technical
    education programs) and State industry programs.

6.  Describe how the proposed program will deliver services and will use
    technology in doing so.

7.  Describe how incarcerated individuals will be selected so that only
    eligible students will be provided services through the State's
    program. As described in Section I, in order to be eligible, an
    incarcerated individual must---

    a.  have obtained a secondary school diploma or its recognized
        equivalent,

    b.  be eligible for release within seven years (including eligible
        for parole in this time),

    c.  be 35 years of age or younger, and

    d.  not have been convicted of a 'criminal offense against a victim
        who is a minor' or a 'sexually violent offense' as such terms
        are defined in the Jacob Wetterling Crimes Against Children and
        Sexually Violent Offender Registration Act (42 U.S.C. 14071 et
        seq.) or murder, as described in section 1111 of title 18,
        United States Code.

8.  Include a budget and budget narrative, with estimates of the amounts
    of grant funds the SCEA would allocate to each of the following:

    a.  State administration

    b.  Coursework in preparation for postsecondary education

    c.  Postsecondary education

    d.  Career and technical training

    e.  Related services

    f.  Performance measurement and evaluation

9.  Include a written and signed certification, as required by EDGAR at
    34 CFR 76.104, that the following conditions are met by the State:

    a.  The application is submitted by the State agency that is
        eligible to submit the application. \[34 CFR 76.104(a)(1)\] The
        State agency has authority under State law to perform the
        functions of the State under the program. \[34 CFR
        76.104(a)(2)\]

    b.  The State legally may carry out each provision of the
        application. \[34 CFR 76.104(a)(3)\]

    c.  All provisions of the application are consistent with State law.
        \[34 CFR 76.104(a)(4)\]

    d.  A State officer, specified by title in the certification, has
        authority under State law to receive, hold, and disburse Federal
        funds made available under the application. \[34 CFR
        76.104(a)(5)\]

    e.  The State officer who submits the application, specified by
        title in the certification, has authority to submit the
        application. \[34 CFR 76.104(a)(6)\]

    f.  The agency that submits the application has adopted or otherwise
        formally approved the application. \[34 CFR 76.104(a)(7)\]

    g.  The application is the basis for State operation and
        administration of the program. \[34 CFR 76.104(a)(8)\]

10. Provide a complete and signed ED Form 80-0013 for certifications
    regarding lobbying and the Disclosure of Lobbying Activities Form SF
    LLL. Forms may be downloaded at the following:
    <http://www.ed.gov/fund/grant/apply/appforms/appforms.html>\]

11. Provide a complete and signed Assurance for Non-Construction
    Programs Form. \[See
    <http://www.ed.gov/fund/grant/apply/appforms/appforms.html>\]

12. [Intergovernmental Review.]{.underline} This program is subject to
    the requirements of Executive Order 12372 and the regulations in 34
    CFR Part 79. One of the objectives of the Executive Order is to
    foster an intergovernmental partnership and a strengthened
    federalism. The Executive Order relies on processes developed by
    State and local governments for coordination and review of proposed
    federal financial assistance.

> Applicants must contact the appropriate State Single Point of Contact
> to find out about, and to comply with, the State's process under
> Executive Order 12372. Applicants proposing to perform activities in
> more than one State should immediately contact the Single Point of
> Contact for each of those States and follow the procedures established
> in each State under the Executive Order. Note: A copy of the
> applicant's letter to the State Single Point of Contact must be
> included with the SCEA's application.
>
> To view a list of States that participate in the intergovernmental
> review process, visit
> [[http://www.whitehouse.gov/omb/grants/spoc.html]{.underline}](http://www.whitehouse.gov/omb/grants/spoc.html).
> States that are not listed have chosen not to participate in the
> intergovernmental review process and, therefore, do not have a State
> Single Point of Contact. If you are located within one of these
> States, you are exempt from this requirement.
>
> In States that have not established a process or chosen a program for
> review, State, area-wide, regional, and local entities may submit
> comments directly to the Department.
>
> Any State process recommendation and other comments submitted by a
> State Single Point of Contact and any comments from State, area-wide,
> regional, and local entities must be received by **June 5, 2009** at
> the following address:
>
> The Secretary
>
> EO 12372-CFDA #84.331
>
> U.S. Department of Education
>
> 400 Maryland Avenue, SW
>
> Room 7W300
>
> Washington, DC 20202-0124
>
> Recommendations or comments may be hand-delivered until 4:30 p.m.
> (Washington, DC Time) on June 5, 2009. Please do not send applications
> to this address.

**SECTION III: PERFORMANCE OBJECTIVES AND EVALUATION METHODS**

As noted in SECTION II, item 4, above, the statute at section 821(c)(4)
requires that the application describe performance objectives and
evaluation methods that the SCEA will use in carrying out its
proposal*.* Performance measures should measure specific and
quantifiable student outcomes that are referenced to outcomes for
non-program participants with similar demographic characteristics.
[See]{.underline} section 821(c)(4)(A) of the statute. The SCEA should
describe at least two student outcome measures in its State application
that are referenced to the outcomes for non-program participants.

We anticipate that the measures selected by the SCEA to meet this
requirement will be consistent with the measurement areas included in
the statute at section 821(c)(4)(B) and described below. However, the
SCEA may, after reviewing the available data within its State, identify
other specific and quantified outcome measures that allow for the
meaningful comparison of groups. For example, a comparison group might
be established to evaluate student outcomes in employment or recidivism.
Alternatively, an outcome rate from a carefully selected study might be
identified and used as a reference benchmark, or the grantee might be
able to identify an appropriate benchmark established and used by the
research arm of the State criminal justice agency. The SCEA must
describe in its application the outcome measures it will use for
comparing student outcomes of program participants with those for
non-program participants with similar demographic characteristics, and
the methods the SCEA will use to evaluate the effectiveness of its
program.

Additionally, section 821(c)(4)(B) of the statute requires the SCEA to
include in its application the performance measures that the State will
employ (and the evaluation methods that it will use in measuring
progress against those measures) in the following areas:

a.  Program completion, including an explicit definition of what
    constitutes a program completion.

b.  Knowledge and skill attainment, including specification of the
    instruments that will be used to measure knowledge and skill
    attainment.

c.  Attainment of employment both prior to and subsequent to release.

d.  Success in employment as indicated by job retention and advancement.

e.  Recidivism, including such sub-indicators as time before subsequent
    offense and severity of offense.

Further, the SCEA's performance measures must be consistent with data
elements and definitions provided by the Secretary for the use of SCEAs.
[See]{.underline} section 821(c)(4)(B) of the statute. The SCEA must
include in its one-year application a description of the performance
objectives and evaluation methods that it would use to evaluate the
State's progress against the proposed elements and definitions and any
additional comments the SCEA may like to make regarding these proposed
definitions. The Department will consider the SCEAs' submissions in this
area when making final decisions on data elements and definitions.

The Secretary is currently considering the following data elements and
definitions:

-   Program completion is:

> Attainment of a degree or credential by participants, defined as the
> percentage of participants earning an industry-recognized credential,
> postsecondary certificate, or postsecondary degree.

-   Knowledge and skill attainment is:

> For those students in a non-credit occupational program, attainment of
> an employment-related threshold level of knowledge and skills as
> measured using technical skill assessment instruments aligned with
> industry-recognized standards (when available and appropriate.)
>
> For those students enrolled in coursework in preparation for
> postsecondary education in a credit or non-credit occupational
> postsecondary education program, attainment of a threshold level of
> knowledge and skills sufficient for advancement to the postsecondary
> education program.
>
> Note -- the Department is not currently considering providing a data
> element or definition of knowledge and skill attainment for students
> enrolled in credit-bearing postsecondary programs. Grantees could at
> their option provide a measure or measures of knowledge and skill
> attainment for this population. Possible measures might include
> courses completed, grades attained in courses completed, credits
> earned, and performance on skill assessment instruments.

-   Attainment of employment is:

> Before release from prison, employment within the first full calendar
> quarter after program completion.
>
> After release from prison, employment within the first full calendar
> quarter after the quarter of exit from incarceration for those who
> completed the program.

-   Success in employment is:

> After release from incarceration, employment persistence over time for
> program completers, reflected in earnings during each of the first,
> second, and third full calendar quarters after the quarter of release
> from incarceration.
>
> After release from incarceration, employment advancement over time as
> indicated by increases in quarterly earnings through the first three
> full calendar quarters after the quarter of release from prison.

-   Recidivism is:

> Post-release criminal justice system involvement (arrest,
> re-conviction, violation of parole conditions, or return to
> incarceration) by program completers within one year of release.
> (Desired direction is downward.)
>
> Survival time prior to new criminal justice system involvement
> (defined as re-arrest, reconviction, a violation of parole conditions,
> or a return to incarceration) by program completers within the first
> year after release. (Desired direction is upward.)
>
> Seriousness of any post-release criminal activity, as indicated by
> patterns of reduced severity of crime by those released program
> completers who do recidivate. (Desired direction is upward.)

#### SECTION IV: SUBMITTING AN APPLICATION

To receive FY 2009 funds, an SCEA should submit its one-year application
soon after receiving an application package. The Department will process
each application as it is received. **Applications must be postmarked on
or before \[insert date\] or received in the Office of Vocational and
Adult Education by 4:30:00 pm Washington, DC Time on \[insert date\]**.
After that time, any funds that have not been requested may be
reallocated to SCEAs with approved applications.

SCEAs must submit an application with an ink signature of the authorized
official on all forms, certifications, and assurances. No grant may be
awarded unless a completed application has been received.

Your application may be submitted by (1) emailing to
<john.linton@ed.gov>, (2) mailing application to the address listed
below, or (3) hand delivered to the address listed below. Be sure to
indicate, within the completed application, contact information (i.e.
name, address, phone number, email) of a contact person that can answer
any questions concerning this application. An electronic copy of this
application is available on OVAE's Web site at **\[INSERT\]** or you may
send an e-mail request to John Linton at <john.linton@ed.gov>. SCEAs
submitting applications electronically must also submit an original
application with ink signatures on all forms, certifications, and
assurances.

Applications should be mailed to:

####  Mr. John Linton

#### Director of Correctional Education

Office of Vocational and Adult Education

U.S. Department of Education

400 Maryland Ave., SW

Washington, DC 20202-7240

Or hand delivered to:

> Mr. John Linton
>
> Director of Correctional Education

Office of Vocational and Adult Education

> U.S. Department of Education
>
> Potomac Center Plaza, room 11053\
> 550 12th Street, SW\
> Washington, DC 20202-7240