#### U.S. Department of Education

#### Office of Educational Research and Improvement

Washington, DC 20208

Application for the Cognition and Student Learning Research Grant
Program

## CFDA Number 84.305H

Deadline for [Transmittal]{.underline} of Applications: April 15, 2002

Approved OMB Number 1850-0778

Expiration Date: 6/30/02

## 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 1850-0778. The time required
to complete this information collection is estimated to average 15 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: Elizabeth Payer, U.S.
Department of Education, 555 New Jersey Avenue, NW, Washington, D.C.
20208.

Contents

> Federal Register Notice Inviting
> Applications......\.......................................\...1
>
> Instructions for Submitting a Letter of Intent
> (optional)...................................21
>
> Title Page Form -- Application for Federal Education Assistance (ED
> 424) and Instructions (see page 27)
>
> Application
> Abstract......................................................\......................22
>
> Research
> Narrative............................................................\..................23
>
> Literature
> Cited..................................................................................24
>
> Curriculum
> Vitae................................................................................25
>
> Budget Information Form Non-Construction Programs (ED 524)
>
> and Instructions (see page 27)
>
> Appendix.........................................................................................26
>
> Availability of
> Forms........................................................................\...27
>
> Instructions for Transmitting
> Applications..................................................28
>
> Parity Guidelines Between Paper and Electronic
> Applications...........................32
>
> General Education Provisions Act (GEPA) Section 427 Statement
> ..................\...34
>
> Certifications and Assurances (see page 27)
>
> Applicants selected for funding will be required to submit the
> following before a grant is issued:

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

-   Certification Regarding Lobbying; Debarment, Suspension, and Other
    Responsibility Matters; and Drug-Free Work-Place Requirements (ED
    Form 80-0013)

-   Disclosure of Lobbying Activities (Standard Form LLL), if applicable

-   Certification Regarding Debarment, Suspension, Ineligibility and
    Voluntary Exclusion--Lower Tier Covered Transactions (ED Form
    80-0014) Note: ED form GCS-0014 is intended for the use of primary
    participants and should not be transmitted to the Department)

> Application
> Checklist..........................................................................35

4000-01-U

DEPARTMENT OF EDUCATION

(CFDA No. 84.305H)

Office of Educational Research and Improvement (OERI)

Cognition and Student Learning (CASL) Research Grant Program

Notice inviting applications for new awards for fiscal year (FY) 2002.

[PURPOSE OF PROGRAM]{.underline}: The purpose of this program is to
improve student learning by supporting a new program of research that
brings recent advances in cognitive science and neuroscience to bear on
significant educational problems. The overarching goal of this program
of research is to establish a scientific foundation for educational
practice by supporting research on key processes of attention, memory,
and reasoning that are essential for learning and that are likely to
produce substantial gains in academic achievement.

[ELIGIBLE APPLICANTS]{.underline}: Public and private agencies,
institutions, and organizations, including for-profit and non-profit
organizations; institutions of higher education; State and local
educational agencies; and regional educational laboratories.

[DEADLINE FOR RECEIPT OF LETTER OF INTENT]{.underline}: February 5,
2002.

A Letter of Intent is [optional]{.underline}, but encouraged, for each
application. The Letter of Intent is for OERI planning purposes and will
not be used in the evaluation of the application.

[APPLICATIONS AVAILABLE]{.underline}: December 21, 2001.

[DEADLINE FOR TRANSMITTAL OF APPLICATIONS]{.underline}: April 15, 2002.

[ESTIMATED AVAILABLE FUNDS]{.underline}: Up to \$3,000,000 for the first
year of this program.

The estimated amount of funds available for new awards is based on the
Administration's request for this program for FY 2002. The actual level
of funding, if any, depends on final congressional action. However, we
are inviting applications to allow enough time to complete the grant
process if Congress appropriates funds for this program.

[ESTIMATED RANGE OF AWARDS]{.underline}: \$75,000 to \$500,000.

[ESTIMATED SIZE OF AWARDS:]{.underline} The size of the awards will be
commensurate with the nature and scope of the work proposed.

[ESTIMATED NUMBER OF AWARDS]{.underline}: 10.

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

[PROJECT PERIOD]{.underline}: Up to 36 months.

[PAGE LIMITS]{.underline}: The application must include the following
sections: title page form (ED 424), one-page abstract, research
narrative, literature cited, curriculum vitae for principal
investigators(s) and other key personnel, budget summary form (ED 524)
with budget narrative, appendix, and statement of equitable access (GEPA
427). The research narrative is where you, the applicant, address the
selection criteria that reviewers use to evaluate your application. You
must limit the research narrative (text plus all figures, charts,
tables, and diagrams) to the equivalent of 25 pages and the appendix to
20 pages, using the following standards:

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

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

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

The page limit does not apply to the title page form, the one-page
abstract, the budget summary form and narrative budget justification,
the curriculum vitae, literature cited, or the assurances and
certifications. Our reviewers will not read any pages of your
application that\--

-   Exceed the page limit if you apply these standards; or

-   Exceed the equivalent of the page limit if you apply other
    standards.

We have found that reviewers are able to conduct the highest quality
review when applications are concise and easy to read, with pages
consecutively numbered.

[APPLICABLE STATUTE AND REGULATIONS]{.underline}: (a) 20 U.S.C. 6031;
(b) The Education Department General Administrative Regulations (EDGAR)
in 34 CFR parts 74, 75 (except as limited in 34 CFR 700.5), 76, 77, 80,
81, 82, 85, 86 (part 86 applies only to Institutions of Higher
Education), 97, 98, and 99; and (c) The regulations in 34 CFR part 700.

[SELECTION CRITERIA]{.underline}: The Secretary selects the following
selection criteria in 34 CFR 700.30(e) to evaluate applications for new
grants under this competition. The criteria below will receive the
following percentage weights.

\(a\) National Significance (.2)

\(b\) Quality of the Project Design (.5)

\(c\) Quality and Potential Contributions of Personnel (.2)

\(d\) Adequacy of Resources (.1)

Strong applications for CASL grants clearly address each of the
applicable selection criteria. They make a well-reasoned and compelling
case for the national significance of the problems or issues that will
be the subject of the proposed research, and present a research design
that is complete, clearly delineated, and incorporates sound research
methods. In addition, the personnel descriptions included in strong
applications make it apparent that the project director, principal
investigator, and other key personnel possess training and experience
commensurate with their duties.

[Collaboration]{.underline}: We encourage collaboration in the conduct
of research. For example, major research universities and institutions
may collaborate with historically underrepresented institutions, such as
Historically Black Colleges and Universities, Hispanic-Serving
Institutions, and Tribal Colleges and Universities.

[PRE-APPLICATION MEETING]{.underline}: We will hold a pre-application
meeting on February 19, 2002 to discuss the funding priority. You are
invited to participate. You will receive technical assistance and
information about the funding priority. Participants are also encouraged
to use this meeting to engage in substantive discussion about prior
empirical research and the nature of high quality research in this new
area. The meeting will be held at the U.S. Department of Education,
Office of Educational Research and Improvement, 555 New Jersey Avenue,
NW., room 101, Washington, DC, between 1:00 p.m. and 4:00 p.m. A summary
of the meeting will be posted on the Internet at:

<http://www.ed.gov/offices/OERI>

[Assistance to Individuals with Disabilities at the Meeting]{.underline}

The meeting site is accessible to individuals with disabilities. If you
will need an auxiliary aid or service to participate in the meeting
(e.g., interpreting service, assistive listening device, or materials in
an alternate format), notify the contact person listed under [FOR
APPLICATIONS AND FURTHER INFORMATION CONTACT]{.underline} at least two
weeks before the scheduled meeting date. Although we will attempt to
meet a request we receive after that date, we may not be able to make
available the requested auxiliary aid or service because of insufficient
time to arrange it.

[SUPPLEMENTARY INFORMATION]{.underline}:

Cognitive science and neuroscience have been dynamic areas of research
over the past fifteen years, producing breakthroughs in our basic
understanding of the brain and behavior. Although this research has
identified key processes of attention, memory, and reasoning that are
essential for learning, it has yet to be systematically applied to
significant educational problems. Therefore, OERI is interested in
funding research that builds on these advances and meaningfully connects
them to profound and pervasive problems in learning or academic
achievement. In this competition, we focus on cognitive psychology
rather than linguistics, artificial intelligence, or other areas of
cognitive science. We seek research proposals on both basic information
processing (problems in encoding, processing information in working
memory, storage, and retrieval of knowledge) and higher order cognition
(problems in executive function and monitoring, inferential and critical
thinking, and verbal and quantitative reasoning). Ranging from basic to
higher order cognition, the following topics are illustrative foci for
research:

[Attention]{.underline}: Research has identified complex attentional
mechanisms at the neural and behavioral level that govern information
encoding. Little is known, however, about the encoding of information
presented to students, notably, how much information is encoded, how
attentional mechanisms are implicated in failures to encode, and the
degree to which encoding failure explains academic failure, particularly
among students who would not be characterized as having attention
deficit disorder. Clearly, the effectiveness of teaching and learning
interventions depend on whether students process those interventions,
and it may well be that effectiveness can be improved by increasing the
quality and degree of student attention. Furthermore, attentional and
related information-processing systems undergo significant development
with age and experience, and such development interacts with task and
contextual variables to affect cognitive performance. Research is needed
that bridges the gap between detailed, rigorous models of attention (and
its development) and successful academic performance.

[Memory]{.underline}: Recent research suggests that memory can be
conceived of as a property of brain systems and as an outcome of the
brain's processing, rather than as a distinct item stored in a specific
brain location. Thus, memory is both a part and a product of
information-processing activities that are crucial for learning. For
example, in working memory, presented information is both stored and
operated on, as when students add a series of numbers in their head
(i.e., mental arithmetic). Indeed, thinking, problem solving,
comprehension, judgment, and long-term retention are related to
operations in working memory; all but the simplest tasks also recruit
executive control in managing working memory. Although research has
related working memory to individual differences in test performance,
few process analyses have been done to either isolate sources of
difficulties in school-related tasks or to design process-based
interventions to reduce those difficulties. Most recently, research on
memory has focused on multiple memory systems and processes in long-term
memory, which would be tapped to different degrees in different academic
tasks. Although theorists differ about the exact nature of these
multiple memories, research has demonstrated that learners harbor
memories for presented material that are elicited with varying success
in different testing environments. Thus, research might profitably focus
on how to improve retrieval of these implicit memories for learned
material, how memory systems differ in their support for reasoning and
problem solving, and how representations in memory can more accurately
reflect what has been taught.

[Reasoning]{.underline}: Although the seeds of reasoning competence
appear to be planted early in development, logical and other forms of
reasoning continue to develop significantly into late adolescence.
Rudimentary reasoning is required for students to comprehend textbooks,
follow class lectures and discussions, and to write and think
effectively on their own. Research has distinguished different kinds of
reasoning errors in laboratory tasks, which can be ameliorated in
different ways. Furthermore, research has shown that students are not
trapped in cognitive stages until they are \"ready to learn,\" but,
rather, they can learn to improve their reasoning at each stage of
development. Research is needed that links this work on reasoning
development and performance to the amelioration of reasoning problems in
important academic contexts, such as high-stakes testing. Students who
fail to master these higher-order reasoning skills are unlikely to
compete effectively in a fast-moving economy in which new learning and
problem solving are routinely required.

Applicants must focus on research that has the potential to produce
substantial gains in academic achievement. Dependent variables may
include: measures of cognitive processes, such as conceptual
understanding; performance on problems from textbooks, homework
exercises, and other ordinarily and widely assigned school tasks; items
such as those customarily given on standardized tests (e.g., SATs,
NAEP); and other measures of learning or cognition that are demonstrably
relevant to academic achievement.

> [PRIORITY]{.underline}

This competition focuses on projects designed to meet the following
absolute priority. Under 34 CFR 75.105(c)(3) we consider only
applications that meet the priority.

[Absolute Priority]{.underline}

Despite their relevance to learning, recent advances in cognitive
science and neuroscience have remained virtually untapped in education.
This program of research on Cognition and Student Learning seeks to
establish a scientific foundation for educational practice by building
on these theoretical and empirical advances and applying them to
significant problems in learning or academic achievement. Specifically,
proposals are solicited that address either 1 or 2 below.

1.  Mechanisms of basic information processing, such as the following,
    and their relation to significant problems in learning or academic
    achievement.

> a\. Attention.
>
> b\. Working memory.
>
> c\. Learning processes: Acquisition and retention.
>
> d\. Storage in and retrieval from long-term memory.

e.  Interference and inhibition.

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2.  Mechanisms of higher order cognition, such as the following, and
    their relation to significant problems in learning or academic
    achievement.

> a\. Executive function and monitoring.
>
> b\. Metamemory/memory strategies.

c.  Meaning extraction (literal and figurative) for words, sentences,
    discourse, and complex events.

d.  Inference and critical thinking: derivation of semantic, logical,
    and pragmatic inferences, situation models, and other mental
    representations.

e.  Similarity, categorization, and analogical reasoning.

f.  Non-verbal reasoning (e.g., spatial, scientific, quantitative
    reasoning).

g.  Conceptual development (e.g., biology, music, calculus).

h.  Judgment and decision-making.

Proposed research must be motivated by a specific conceptual framework
and relevant prior empirical evidence, both of which must be clearly
articulated. The research must have the potential to advance fundamental
knowledge that bears on solving important problems in learning or
academic achievement. The proposal must indicate method and why the
approach taken optimally addresses the research question. Any approach
must incorporate a valid process that allows for generalization beyond
the study participants. Proposals must indicate which of the following
approaches is to be used:

> 1\. Experiment (control group; randomized assignment\--both required).
>
> 2\. Quasi-experiment (comparison group, stratified random assignment,
> groups comparable at pretest, statistical adjustment for
> comparability).
>
> 3\. Correlational study (simple, multiple/logistic regression,
> structural equation modeling, hierarchical linear modeling).

4\. Other quantitative (e.g., simulation).

> 5\. Descriptive study using qualitative techniques (e.g., ethnographic
> methods; focus groups; classroom observations; case studies; single
> subject designs).

The design of studies should be clear: Independent and dependent, or
predictor and criterion, variables should be distinguished. Proposed
research is expected to employ the most sophisticated level of design
and analysis that is appropriate to the research question. For research
questions that cannot be answered using a randomized assignment
experimental design, the proposal should spell out the reasons why such
a design is not applicable and why it would not represent a superior
approach (compared to the selected design).

[Waiver of Proposed Rulemaking]{.underline}

Under the Administrative Procedure Act (5 U.S.C. 553) the Department
generally offers interested parties the opportunity to comment on
proposed regulations. However, in order to make timely grant awards in
FY 2002, the Secretary has decided to issue this application notice
without first publishing a proposed priority for public comment. These
regulations will apply to the FY 2002 grant competition only. The
Secretary takes this action under section 437(d)(1) of the General
Education Provisions Act.

OERI is conducting this grant competition under the national research
institutes authority for the purpose of funding projects that will
establish a new stream of research bridging basic cognitive science and
educational application. Cognitive science, including studies of
learning, memory, decision making, language acquisition, higher order
thinking skills, as well as the brain mechanisms underlying these
abilities, has shown explosive growth in the last 25 years. Indeed,
along with genomic science, many believe that the cognitive and brain
sciences have generated the greatest scientific progress of the late
20th century. Basic research within the disciplines of psychology,
linguistics, and neuroscience has generated new and important
fundamental knowledge on how people learn. However, most of this
research has been conducted in laboratory settings, with samples of
convenience, and with tasks that are artificial. Translations of this
research into educational practice have either not occurred or have not
gotten further than abstract statements of principles.

The new program of research sponsored by OERI is intended to move
research in the cognitive and brain sciences into schools, expanding the
knowledge base to school settings, and to develop new programs and
interventions that take advantage of that knowledge base.

Thus for the first time OERI is soliciting applications that will
address the lack of substantial interplay between the applied problems
of schools and learners, and the cognitive and brain sciences.

In a separate [Federal Register]{.underline} notice to be published in
the near future, the Assistant Secretary will ask for public comment on
this priority for the purpose of designing and conducting future grant
competitions for this research.

# [Pilot Project for Electronic Submission of Applications]{.underline}

In FY 2002, the U.S. Department of Education is continuing to expand its
pilot project of electronic submission of applications to include
additional formula grant programs and additional discretionary grant
competitions. The Cognition and Student Learning Research Grant Program
(CFDA 84.305H) is one of the programs included in the pilot project. If
you are an applicant under the CASL program, 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, formerly e-GAPS) portion of the Grant
Administration and Payment System (GAPS). We request your participation
in this pilot project. We shall continue to evaluate its success and
solicit suggestions for improvement.

If you participate in this e-APPLICATION pilot, please note the
following:

-   Your participation is voluntary.

-   You will not receive any additional point value or penalty because
    you submit a grant application in electronic or paper format.

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

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

> 1\. Print ED 424 from the e-APPLICATION system.
>
> 2\. Make sure that the institution's Authorizing Representative signs
> this form.
>
> 3\. Before faxing this form, submit your electronic application via
> the e-APPLICATION system. You will receive an automatic
> acknowledgement, which will include a PR/Award number (an identifying
> number unique to your application).
>
> 4\. Place the PR/Award number in the upper right hand corner of ED
> 424.
>
> 5\. Fax ED 424 to the Application Control Center at (202) 260-1349.

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

You may access the electronic grant application for the CASL Program at:

[http://e-grants.ed.gov](http://e-grants.ed.gov/)

Due to software upgrades, it is anticipated that the e-Application
software will be unavailable for several days in mid-January. The
tentative dates for this system down time are January 11-21, 2002.
Please check this site for future updates on system availability.

We have included additional information about the e-APPLICATION pilot
project (see Parity Guidelines between Paper and Electronic
Applications) in the application package.

[FOR APPLICATIONS AND FURTHER INFORMATION CONTACT]{.underline}: Valerie
Reyna, Office of Educational Research and Improvement, U.S. Department
of Education, 555 New Jersey Avenue, room 600, Washington, DC 20208.
Telephone: (202) 219-1385 or via Internet:

<Valerie.Reyna@ed.gov>

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

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 under [FOR APPLICATIONS AND
FURTHER INFORMATION CONTACT]{.underline}.

Individuals with disabilities may obtain a copy of the application
package in an alternative format by contacting Valerie Reyna. However,
the Department is not able to reproduce in an alternative format the
standard forms included in the application package.

[Electronic Access To This Document]{.underline}

You may view this document, as well as all other Department of Education
documents published in the [Federal Register]{.underline}, in text or
Adobe Portable Document Format (PDF) on the Internet at the following
site:

<http://www.ed.gov/legislation/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, D.C. 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:

http://www.access.gpo.gov/nara/index.html

[PROGRAM AUTHORITY]{.underline}: 20 U.S.C. 6031

Dated: December 18, 2001

[(signed)]{.underline}\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Grover J. Whitehurst,

> [Assistant Secretary for Educational]{.underline}
>
> [Research and Improvement]{.underline}.

Instructions for Submitting a Letter of Intent

A Letter of Intent is optional, but encouraged, for each application.
The deadline for Receipt of Letters of Intent for the Cognition and
Student Learning Research Grant Program (84.305H) is **[February 5,
2002]{.underline}**. The Letter of Intent should not exceed one page in
length and should include a title and brief description of the research
project; identify the Principal Investigator(s) and any Co-Principal
Investigator(s); indicate the institutional affiliations of the
Principal Investigator(s) and Co-Principal Investigator(s); indicate the
duration of the proposed project; and provide an estimated budget
request by year, and a total budget request.

The Letter of Intent should be sent Dr. Valerie Reyna:

U.S. Department of Education

> 555 New Jersey Avenue
>
> Room 600
>
> Washington, DC 20208

Or via the Internet to Dr. Reyna at:

<Valerie.Reyna@ed.gov>

The Letter of Intent is for OERI planning purposes and will not be used
in the evaluation of the application.

######## Application Abstract

(The abstract must not exceed one page. Please see the "Page Limits"
section of the Federal Register notice inviting applications under this
competition.)

Research Narrative

The research narrative must not exceed 25 double-spaced pages. Please
see the "Page Limits" section of the *Federal Register* notice inviting
applications under this competition.

The research narrative is where you, the applicant, address the
selection criteria that reviewers use to evaluate your application.
Please see the "Selection Criteria" section of the *Federal Register*
notice.

Literature Cited

Please see the "Page Limits" section of the *Federal Register* notice
inviting applications under this competition.

Curriculum Vitae

Please see the "Page Limits" section of the *Federal Register* notice
inviting applications under this competition.

##### Appendix

(The appendix must not exceed 20 pages. Please see the "Page Limits"
section of the Federal Register notice inviting applications under this
competition.)

**Availability of Forms**

**You will need to download the following** [required Federal
forms](http://www.ed.gov/fund/grant/apply/appforms/appforms.html)
**from**

http://www.ed.gov/fund/grant/apply/appforms/appforms.html**:**

-   Title Page Form -- Application for Federal Education Assistance
    (ED 424) and Instructions

-   Budget Information Form Non-Construction Programs (ED 524)

> and Instructions

##### Certifications and Assurances

Applicants selected for funding will be required to submit the following
before a grant is issued:

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

-   Certification Regarding Lobbying; Debarment, Suspension, and Other
    Responsibility Matters; and Drug-Free Work-Place Requirements (ED
    Form 80-0013)

-   Disclosure of Lobbying Activities (Standard Form LLL), if applicable

-   Certification Regarding Debarment, Suspension, Ineligibility and
    Voluntary Exclusion--Lower Tier Covered Transactions (ED Form
    80-0014) Note: ED form GCS-0014 is intended for the use of primary
    participants and should not be transmitted to the Department)

INSTRUCTIONS FOR TRANSMITTING APPLICATIONS

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

(a) [If You Send Your Application by Mail]{.underline}

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

U.S. Department of Education

Application Control Center

Attention: CFDA \# 84.305J

7th & D Streets, SW.

Room 3633

Washington, DC 20202-4725

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

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

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

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

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

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

\(1\) A private metered postmark.

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

(b) [If You Deliver Your Application by Hand]{.underline}

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

U.S. Department of Education

Application Control Center

Attention: CFDA \# 84.305J

7^th^ and D Streets, SW.

Room 3633

Regional Office Building 3

Washington, DC

The Application Control Center accepts application deliveries daily
between 8:00 a.m. and 4:30 p.m. (Washington, DC time), except Saturdays,
Sundays, and Federal holidays. The Center accepts application deliveries
through the D Street entrance only. A person delivering an application
must show identification to enter the building.

(c) [If You Submit Your Application Electronically]{.underline}

You must submit your grant application through the Internet using the
software provided on the e-Grants Web site (http://e-grants.ed.gov) by
4:30 p.m. (Washington, DC time) on the deadline date.

The regular hours of operation of the e-Grants Web site are 6:00 a.m.
until 12:00 midnight (Washington, DC time) Monday - Friday and 6:00 a.m.
until 7:00 p.m. Saturdays. The system is unavailable on the second
Saturday of every month, Sundays, and Federal holidays. Please note that
on Wednesdays the Web site is closed for maintenance at 7:00 p.m.
(Washington, DC time).

### Notes

(1) 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.

(2) If you send your application by mail or if you or your courier
    delivers it by hand, the Application Control Center will mail a
    Grant Application Receipt Acknowledgment to you. If you do not
    receive the notification of application receipt within 15 days from
    the date of mailing the application, you should call the U.S.
    Department of Education Application Control Center at (202)
    708-9493.

\(3\) If your application is late, we will notify you that we will not
consider the application.

\(4\) 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. November 30, 2004)) the CFDA number\--and
suffix letter, if any\--of the competition under which you are
submitting your application.

\(5\) 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.

\(6\) You may access the electronic grant application for the PCER
Program at:

[http://e-grants.ed.gov](http://e-grants.ed.gov/)

[PLEASE BE AWARE]{.underline}: Due to software upgrades, it is
anticipated that the e-Application software will be unavailable for
several days in mid-January. The tentative dates for this system down
time are January 11-21, 2002. Please check the e-grants Web site for
future updates on system availability.

**Parity Guidelines between Paper and Electronic Applications**

In FY 2002, the U.S. Department of Education is continuing to expand the
pilot project, which began in FY 2000, which allows applicants to use an
Internet-based electronic system for submitting applications. This
competition is among those that have an electronic submission option
available to all applicants. The system, called e-APPLICATION, formerly
e-GAPS (Electronic Grant Application System), allows an applicant to
submit a grant application to us electronically, using a current version
of the applicant's Internet browser. To see e-APPLICATION visit the
following address:

[http://e-grants.ed.gov](http://e-grants.ed.gov/)

Users of e-APPLICATION, a data driven system, will be entering data
on-line while completing their applications. This will be more
interactive than just e-mailing a soft copy of a grant application to
us. If you participate in this voluntary pilot project by submitting an
application electronically, the data you enter on-line will go into a
database and ultimately will be accessible in electronic form to our
reviewers.

This pilot project continues the Department's transition to an
electronic grant award process. In addition to e-APPLICATION, the
Department plans to expand the number of discretionary programs using
the electronic peer review (e-READER) system and to increase the
participation of discretionary programs offering grantees the use of the
electronic annual performance reporting (e-REPORTS) system.

To help ensure parity and a similar look between electronic and paper
copies of grant applications, we are asking each applicant that submits
a paper application to adhere to the following guidelines:

-   Submit your application on 8 ½" by 11" paper.

-   Leave a 1-inch margin on all sides.

```{=html}
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```
-   Use consistent font throughout your document. You may also use
    boldface type, underlining, and italics. However, please do not use
    colored text.

-   Please use black and white, also, for illustrations, including
    charts, tables, graphs and pictures.

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

-   Place a page number at the bottom right of each page beginning with
    1; and number your pages consecutively throughout your document.

> **Guidance for Statement of Equitable Access (GEPA 427)**
>
> See form on page 34 for guidance.

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.

Application Checklist

**Does your application include each of the following?**

**\[ \] Title Page Form (ED 424)**

**\[ \] Abstract**

**\[ \] Research Narrative (respond to selection criteria)**

**\[ \] Literature Cited**

**\[ \] Curriculum Vitae of Principal Investigator (s) and Other Key
Personnel**

**\[ \] Budget Summary Form (ED 524) and Budget Narrative**

**\[ \] Appendix**

**\[ \] Statement of Equitable Access (GEPA 427 Statement)**

**\[ \] Assurances and Certifications**

**Did You \--**

**\[ \] Provide one (1) original plus 2 copies of the application, if
you elected to submit your application as paper copy?**

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