U.S. DEPARTMENT OF EDUCATION

**INSTITUTE OF EDUCATION SCIENCES**

**WASHINGTON, D.C. 20208**

FY 2009 APPLICATION PACKAGE FOR NEW GRANTS

NATIONAL CENTER FOR EDUCATION RESEARCH

##### **Education Research Grants**

**CFDA NUMBER: 84.305**

**Competition ID: 84-305A2009-1**

**Funding Opportunity Number: CFDA 84.305A-1-ED-GRANTS-030308-001**

![](media/image1.png){width="2.3006944444444444in"
height="2.2194444444444446in"}

DATED MATERIAL - OPEN IMMEDIATELY

**CLOSING DATE: June 26, 2008**

**TABLE OF CONTENTS**

SECTION PAGE

[A - DEAR APPLICANT LETTER 1](#a---dear-applicant-letter)

[B - NOTICE INVITING APPLICATIONS FOR NEW AWARDS
2](#b---notice-inviting-applications-for-new-awards)

[C - MANDATORY SUBMISSION OF ELECTRONIC APPLICATIONS
15](#c---mandatory-submission-of-electronic-applications)

[D - REQUEST FOR APPLICATIONS 18](#d---request-for-applications)

[E - FISCAL YEAR 2009 APPLICATION PACKAGE HIGHLIGHTS
19](#e---fiscal-year-2009-application-package-highlights)

[**Key Dates - Fiscal Year 2009 Competitions**
19](#key-dates---fiscal-year-2009-competitions)

[Table 1a - Key Dates for FY 2009 IES Competitions/Summer
19](#table-1a---key-dates-for-fy-2009-ies-competitionssummer)

[Table 1b - Key Dates for FY 2009 IES Competitions/Fall
20](#table-1b---key-dates-for-fy-2009-ies-competitionsfall)

[**Application Content Requirements**
21](#application-content-requirements)

[Table 2a - Research & Related (R&R) Application Forms
22](#table-2a---research-related-rr-application-forms)

[Table 2b - Research & Related (R&R) Application Attachments
22](#table-2b---research-related-rr-application-attachments)

[Summary Descriptions of Required R&R Forms
23](#summary-descriptions-of-required-rr-forms)

[Additional Forms 24](#additional-forms)

[Summary Descriptions of PDF Attachments to R&R Forms
24](#summary-descriptions-of-pdf-attachments-to-rr-forms)

[**Application Format Requirements**
31](#application-format-requirements)

[Reminders about Format 31](#reminders-about-format)

[Reminders about Page Limits 32](#reminders-about-page-limits)

[F - Application Checklist 33](#f---application-checklist)

[G - Grants.gov Submission Procedures and Tips for Applicants
35](#g---grants.gov-submission-procedures-and-tips-for-applicants)

[ATTENTION -- Microsoft Vista and Word 2007 Users
35](#attention-microsoft-vista-and-word-2007-users)

[Submission Problems -- What should you do?
36](#submission-problems-what-should-you-do)

[Helpful Hints When Working with Grants.gov
36](#helpful-hints-when-working-with-grants.gov)

[Dial-Up Internet Connections 36](#dial-up-internet-connections)

[MAC Users 36](#mac-users)

[Attaching Files -- Additional Tips
37](#attaching-files-additional-tips)

[H - INSTRUCTIONS FOR RESEARCH & RELATED (R & R) FORMS
38](#h---instructions-for-research-related-r-r-forms)

[SF 424 Application for Federal Assistance
39](#sf-424-application-for-federal-assistance)

[*Item 11* 41](#item-11)

[R&R Project/Performance Site Locations
44](#rr-projectperformance-site-locations)

[R&R Other Project Information 44](#rr-other-project-information)

[R&R Senior/Key Person Profile 48](#rr-seniorkey-person-profile)

[R&R Total Federal and Non-Federal Budget
48](#rr-total-federal-and-non-federal-budget)

[I - AUTHORIZING LEGISLATION 53](#i---authorizing-legislation)

[J - PROTECTION OF HUMAN SUBJECTS IN RESEARCH
54](#j---protection-of-human-subjects-in-research)

# 

# 

# [A - DEAR APPLICANT LETTER]{.underline}

April 28, 2008

Dear Applicant:

Thank you for your interest in applying to the Institute of Education
Sciences' fiscal year (FY) 2009 Education Research program competition
for new grants. The Institute\'s over-arching priority is to support
research that contributes to improved academic achievement for all
students, and particularly for those whose education prospects are
hindered by inadequate education services and conditions associated with
poverty, race/ethnicity, limited English proficiency, disability, and
family circumstance.

Under this competition (Competition ID: 84-305A2009-1, Funding
Opportunity Number ED-GRANTS-030308-001), the Institute invites
applications for research projects that will contribute to its Education
Research program under the following topics: (1) Reading and Writing;
(2) Mathematics and Science Education; (3) Cognition and Student
Learning; (4) Teacher Quality -- Reading and Writing; (5) Teacher
Quality -- Mathematics and Science Education; (6) Social and Behavioral
Context for Academic Learning; (7) Education Leadership; (8) Education
Policy, Finance, and Systems; (9) Early Childhood Programs and Policies;
(10) Middle and High School Reform; (11) Interventions for Struggling
Adolescent and Adult Readers and Writers; (12) Postsecondary Education;
and (13) Education Technology.

For the FY 2009 competition, the Institute will consider only
applications that meet the requirements outlined in the [February 29,
2008 Request for
Applications](http://ies.ed.gov/funding/pdf/2009_84305A.pdf) under Part
II Research Grant Topics and Part III Requirements of the Proposed
Research. Applications are due on June 26, 2008 at 4:30 PM, Washington,
D.C. time.

To submit an application to the National Center for Education Research's
*Research Grant* competition with the [June 26, 2008
deadline]{.underline}, you *[must]{.underline}* use the application
package associated with:

CFDA 84.305 (Education Research) and

Competition ID: 84-305A2009-1 and

Funding Opportunity Number ED-GRANTS-030308-001

If you do not use this package, specifically associated with this
competition ID and funding opportunity number, then you will be
submitting your application to the wrong competition. To verify that you
are using the correct application package for the research topics listed
above, check the application package you have downloaded and intend to
submit to ensure that the Competition ID indicates 84-305A2009-1 and the
Funding Opportunity Number indicates ED-GRANTS-030308-001.

To ensure that your application is appropriately assigned for review,
you *[must]{.underline}* indicate the research topic and research goal
addressed by your application on Item 11, "Descriptive Title of the
Applicant's Project", of the SF 424 (R&R) Application for Federal
Assistance. You must include the topic and goal information on Item 11
immediately preceding the application title. Also, you must include the
topic and goal information in the abstract for your application.
Specific instructions about how to complete Item 11 and how to identify
the topic and goal your application will address can be found on page 41
of this package.

We appreciate your interest in the Education Research program and look
forward to receiving your application.

Institute of Education Sciences

# [B - NOTICE INVITING APPLICATIONS FOR NEW AWARDS]{.underline}

4000-01-U

DEPARTMENT OF EDUCATION

Institute of Education Sciences

Overview Information

Education Research and Special Education Research Grant Programs

Notice inviting applications for new awards for fiscal year (FY) 2009.

Catalog of Federal Domestic Assistance (CFDA) Numbers: 84.305A, 84.305B,
305C, 305D, 305E, 84.324A, and 84.324B.

SUMMARY: The Director of the Institute of Education Sciences (Institute)
announces the Institute's FY 2009 competitions for grants to support
education research and special education research. The Director takes
this action under the Education Sciences Reform Act of 2002, title I of
Public Law 107-279. The intent of these grants is to provide national
leadership in expanding fundamental knowledge and understanding of
education from early childhood education through postsecondary and adult
education.

Full Text of Announcement

I. Funding Opportunity Description

[Purpose of Program]{.underline}: The central purpose of the Institute's
research grant programs is to provide parents, educators, students,
researchers, policymakers, and the general public with reliable and
valid information about education practices that support learning and
improve academic achievement and access to education opportunities for
all students. In carrying out its grant programs, the Institute provides
support for programs of research in areas of demonstrated national need.

[Competitions in this notice]{.underline}: The Institute will conduct
nine research competitions in FY 2009 through two of its National
Education Centers.

The National Center for Education Research (NCER) will hold six
competitions: two competitions for education research; one competition
for education research training; one competition for education research
and development centers; one competition for research on statistical and
research methodology in education; and one competition for evaluation of
State and district education programs and policies.

The National Center for Special Education Research (NCSER) will hold
three competitions: two competitions for special education research and
one competition for special education research training.

[National Center for Education Research Competitions]{.underline}

[Education Research]{.underline}. Under the two education research
competitions, NCER will consider only applications that address one of
the following education research topics:

-   Reading and Writing

-   Mathematics and Science Education

-   Cognition and Student Learning

-   Teacher Quality - Reading and Writing

-   Teacher Quality - Mathematics and Science Education

-   Social and Behavioral Context for Academic Learning

-   Education Leadership

-   Education Policy, Finance, and Systems

-   Early Childhood Programs and Policies

-   Middle and High School Reform

-   Interventions for Struggling Adolescent and Adult Readers and
    Writers

-   Postsecondary Education

-   Education Technology

[Education Research Training]{.underline}. Under the education research
training competition, NCER will consider only applications for:

-   Postdoctoral Research Training

-   Predoctoral Research Training

[Education Research and Development Centers]{.underline}. Under the
education research and development centers competition, NCER will
consider only applications that address one of the following education
research topics:

-   Teacher Effectiveness

-   Rural Education

-   Turning Around Chronically Low Achieving Schools

[Research on Statistical and Research Methodology in
Education]{.underline}. Under this competition, NCER will consider only
applications that address research on statistical and research
methodology in education.

[Evaluation of State and District Education Programs and
Policies]{.underline}. Under this competition, NCER will consider only
applications that address the evaluation of State and district education
programs and policies.

[National Center for Special Education Research
Competitions]{.underline}

[Special Education Research]{.underline}. Under the two special
education research competitions, NCSER will consider only applications
that address one of the following special education research topics:

-   Early Intervention and Early Childhood Special Education

-   Reading, Writing, and Language Development

-   Mathematics and Science Education

-   Social and Behavioral Outcomes to Support Learning

-   Transition Outcomes for Special Education Secondary Students

-   Cognition and Student Learning in Special Education

-   Teacher Quality

-   Related Services

-   Systemic Interventions and Policies for Special Education

-   Autism Spectrum Disorders

[Special Education Research Training]{.underline}. Under the special
education research training competition, NCSER will consider only
applications for Postdoctoral Research Training.

[PROGRAM AUTHORITY]{.underline}: 20 U.S.C. 9501 [et]{.underline}
[seq]{.underline}.

[Applicable Regulations]{.underline}: The Education Department General
Administrative Regulations (EDGAR) in 34 CFR parts 74, 77, 80, 81, 82,
84, 85, 86, 97, 98, and 99. In addition, 34 CFR part 75 is applicable,
except for the provisions in 34 CFR 75.100, 75.101(b), 75.102, 75.103,
75.105, 75.109(a), 75.200, 75.201, 75.209, 75.210, 75.211, 75.217,
75.219, 75.220, 75.221, 75.222, and 75.230.

[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 and cooperative
agreements.

[Fiscal Information]{.underline}: Although Congress has not enacted a
final appropriation for FY 2009, the Institute is inviting applications
for these competitions now so that it may be prepared to make awards
following final action on the Department's appropriations bill. The
President's FY 2009 Budget for the Institute includes sufficient funding
for all of the competitions included in this notice. The actual award of
grants will depend on the availability of funds. The number of awards
made under each competition will depend on the quality of the
applications received for that competition. The size of the awards will
depend on the scope of the projects proposed.

III\. Eligibility Information

1\. [Eligible Applicants]{.underline}: Applicants that have the ability
and capacity to conduct scientifically valid research are eligible to
apply. Eligible applicants include, but are not limited to, non-profit
and for-profit organizations and public and private agencies and
institutions, such as colleges and universities.

2\. [Cost Sharing or Matching]{.underline}: These programs do not
require cost sharing or matching.

IV\. Application and Submission Information

1\. [Request for Applications and Other Information]{.underline}:
Information regarding program and application requirements for the
competitions will be contained in the NCER and NCSER Request for
Applications (RFA) packages, which will be available at the following
Web sites:

<http://ies.ed.gov/funding/>

http://www.ed.gov/about/offices/list/ies/programs.html

2\. [Applications Available]{.underline}: The RFAs for the education
research, special education research, research on statistical and
research methodology in education, and evaluation of State and district
education programs and policies competitions will be available at the
Web sites listed above on or before March 3, 2008. The dates on which
applications for these competitions will be available are also indicated
in the chart at the end of this notice.

The RFAs for the education research training, special education research
training, and education research and development centers competitions
will be available at the Web sites listed above on or before March 20,
2008.

Interested potential applicants should periodically check the
Institute's Web site.

Information regarding selection criteria and review procedures for the
competitions will be provided in the RFA packages.

3\. [Deadline for Transmittal of Applications]{.underline}: The deadline
dates for transmittal of applications invited under this notice are
indicated in the chart at the end of this notice and in the RFAs for the
competitions.

4\. []{#SubmissReqs .anchor} [Submission Requirements]{.underline}:
Applications for grants under these competitions must be submitted
electronically using the Grants.gov Apply site (Grants.gov). Information
(including dates and times) about how to submit your application
electronically, or in paper format by mail or hand delivery if you
qualify for an exception to this requirement, please refer to section V.
a. [Submission of Applications]{.underline} in this notice.

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

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

V. [Submission of Applications]{.underline}

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

Applications for grants under the Education Research, Education Research
Training, Education Research and Development Centers, Research on
Statistical and Research Methodology in Education, and Evaluation of
State and District Education Programs and Policies competitions, CFDA
Numbers 84.305A, 84.305B, 84.305C, 84.305D, and 84.305E, and for grants
under the Special Education Research and Special Education Research
Training competitions***,*** CFDA Numbers 84.324A and 84.324B, must be
submitted electronically using the Governmentwide Grants.gov Apply site
at http://www.Grants.gov. Through this site, you will be able to
download a copy of the application package, complete it offline, and
then upload and submit your application. You may not e-mail an
electronic copy of a grant application to us.

We will reject your application if you submit it in paper format unless,
as described elsewhere in this section, you qualify for one of the
exceptions to the electronic submission requirement [and]{.underline}
submit, no later than two weeks before the application deadline date, a
written statement to the Department that you qualify for one of these
exceptions. Further information regarding calculation of the date that
is two weeks before the application deadline date is provided later in
this section under [Exception to Electronic Submission
Requirement]{.underline}.

You may access the electronic grant applications for the Education
Research, Education Research Training, Education Research and
Development Centers, Research on Statistical and Research Methodology in
Education, Evaluation of State and District Education Programs and
Policies, Special Education Research, and Special Education Research
Training competitions at http://www.Grants.gov. You must search for the
downloadable application package for each competition by the CFDA
number. Do not include the CFDA number's alpha suffix in your search
(e.g., search for 84.324, not 84.324A).

Please note the following:

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

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

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

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

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

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

• You must submit all documents electronically, including all
information you typically provide on the following forms: Application
for Federal Assistance (SF 424 (R&R)) and the other R&R forms including,
Project Performance Site Locations, Other Project Information,
Senior/Key Person Profile, Research and Related Budget (Total Federal +
Non-federal) and all necessary assurances and certifications.

• You must attach any narrative sections of your application as files in
a .PDF (Portable Document) format. If you upload a file type other than
the file type specified in this paragraph or submit a password-protected
file, the Institute may choose not to review that material.

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

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

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

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

If you are prevented from electronically submitting your application on
the application deadline date because of technical problems with the
Grants.gov system, we will grant you an extension until 4:30 p.m.,
Washington, DC time, the following business day to enable you to
transmit your application electronically or by hand delivery. You also
may mail your application by following the mailing instructions
described elsewhere in this notice.

If you submit an application after 4:30 p.m., Washington, DC time, on
the application deadline date, please contact the person listed under
[For Further Information Contact]{.underline} in section VII in this
notice and provide an explanation of the technical problem you
experienced with Grants.gov, along with the Grants.gov Support Desk Case
Number. We will accept your application if we can confirm that a
technical problem occurred with the Grants.gov system and that that
problem affected your ability to submit your application by 4:30 p.m.,
Washington, DC time, on the application deadline date. The Department
will contact you after a determination is made on whether your
application will be accepted.

[Note]{.underline}: The extensions to which we refer in this section
apply only to the unavailability of, or technical problems with, the
Grants.gov system. We will not grant you an extension if you failed to
fully register to submit your application to Grants.gov before the
application deadline date and time or if the technical problem you
experienced is unrelated to the Grants.gov system.

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

• You do not have access to the Internet; or

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

[and]{.underline}

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

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

Address and mail or fax your statement to: Elizabeth Payer, U.S.
Department of Education, 555 New Jersey Avenue, NW., room 602C,
Washington, DC 20208. FAX: (202) 219-1466.

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

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

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

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

> U.S. Department of Education

#### Application Control Center

#### Attention: (CFDA Number: \[Identify the CFDA number for the competition under which you are submitting an application.\])

400 Maryland Avenue, SW.

Washington, DC 20202-4260

Or

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

> U.S. Department of Education
>
> Application Control Center, Stop 4260
>
> Attention: (CFDA Number: [\[Identify the CFDA number for the
> competition under which you are submitting an
> application.\]]{.underline})
>
> 7100 Old Landover Road
>
> Landover, MD 20785-1506

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

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

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

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

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

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

\(1\) A private metered postmark.

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

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

[Note]{.underline}: The U.S. Postal Service does not uniformly provide a
dated postmark. Before relying on this method, you should check with
your local post office.

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

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

> U.S. Department of Education
>
> Application Control Center
>
> Attention: (CFDA Number: [\[Identify the CFDA number for the
> competition under which you are submitting an
> application.\]]{.underline})
>
> 550 12th Street, SW.
>
> Room 7041, Potomac Center Plaza
>
> Washington, DC 20202-4260

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

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

\(1\) You must indicate on the envelope\--if not provided by the
Department\--in Item 10 of the SF 424 (R&R) the CFDA number, including
suffix letter, if any, of the competition under which you are submitting
your application; and

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

VI\. Award Administration Information

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

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

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

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

3\. [Grant Administration]{.underline}: Applicants should budget for a
three-day meeting for project directors to be held in Washington, DC.

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

5**.** P[erformance Measures]{.underline}:

To evaluate the overall success of its education research program, the
Institute annually assesses the quality and relevance of newly funded
research projects, as well as the quality of research publications that
result from its funded research projects. External panels of qualified
scientists review the quality of new research applications, and the
percentage of newly funded projects that receive an average panel score
of excellent or higher is determined. A panel of experienced education
practitioners and administrators reviews descriptions of a randomly
selected sample of newly funded projects and rates the degree to which
the projects are relevant to educational practice. An external panel of
eminent scientists reviews the quality of a randomly selected sample of
new publications, and the percentage of new publications that are deemed
to be of high quality is determined.

VII\. Agency Contact

[For Further Information Contact]{.underline}: The contact person
associated with a particular research competition is listed in the chart
at the end of this notice and in the RFA. The date on which applications
will be available, the deadline for transmittal of applications, the
estimated range of awards, and the project period are also listed in the
chart and in the RFA that will be posted at the following Web sites:

<http://ies.ed.gov/funding/>

http://www.ed.gov/about/offices/list/ies/programs.html

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

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

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

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

Dated: February 26, 2008

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

Grover J. Whitehurst,

> [Director, Institute of Education Sciences]{.underline}.

INSTITUTE OF EDUCATION SCIENCES

FY2009 Grant Competitions to Support Education Research and Special
Education Research

+-----------------+-------+--------+-----------+-------+-------------+
| **CFDA NUMBER   | **APP | **DE   | **        | **PR  | **FOR       |
| AND NAME**      | LICAT | ADLINE | ESTIMATED | OJECT | FURTHER     |
|                 | ION** | FOR    | RANGE OF  | PER   | INFORMATION |
|                 |       | TRANS  | A         | IOD** | CONTACT**   |
|                 | **A   | MITTAL | WARDS\*** |       |             |
|                 | VAILA | OF     |           |       |             |
|                 | BLE** | AP     |           |       |             |
|                 |       | PLICAT |           |       |             |
|                 |       | IONS** |           |       |             |
+=================+=======+========+===========+=======+=============+
| **National      |       |        |           |       |             |
| Center for      |       |        |           |       |             |
| Education       |       |        |           |       |             |
| Research        |       |        |           |       |             |
| (NCER)**        |       |        |           |       |             |
+-----------------+-------+--------+-----------+-------+-------------+
| **[84.305A      | March | June   | \$100,000 | Up to | Katina      |
| -1]{.underline} | 3,    | 26,    | to        | 5     | Stapleton   |
| Education       | 2008  | 2008   | \$        | years |             |
| Research**      |       |        | 1,200,000 |       | K           |
|                 |       |        |           |       | atina.Stapl |
| -   Reading and |       |        |           |       | eton@ed.gov |
|     Writing     |       |        |           |       |             |
|                 |       |        |           |       |             |
| -   Mathematics |       |        |           |       |             |
|     and Science |       |        |           |       |             |
|     Education   |       |        |           |       |             |
|                 |       |        |           |       |             |
| -   Cognition   |       |        |           |       |             |
|     and Student |       |        |           |       |             |
|     Learning    |       |        |           |       |             |
|                 |       |        |           |       |             |
| -   Teacher     |       |        |           |       |             |
|     Quality --  |       |        |           |       |             |
|     Reading and |       |        |           |       |             |
|     Writing     |       |        |           |       |             |
|                 |       |        |           |       |             |
| -   Teacher     |       |        |           |       |             |
|     Quality --  |       |        |           |       |             |
|     Mathematics |       |        |           |       |             |
|     and Science |       |        |           |       |             |
|     Education   |       |        |           |       |             |
|                 |       |        |           |       |             |
| -   Social and  |       |        |           |       |             |
|     Behavioral  |       |        |           |       |             |
|     Context for |       |        |           |       |             |
|     Academic    |       |        |           |       |             |
|     Learning    |       |        |           |       |             |
|                 |       |        |           |       |             |
| -   Education   |       |        |           |       |             |
|     Leadership  |       |        |           |       |             |
|                 |       |        |           |       |             |
| -   Education   |       |        |           |       |             |
|     Policy,     |       |        |           |       |             |
|     Finance,    |       |        |           |       |             |
|     and Systems |       |        |           |       |             |
|                 |       |        |           |       |             |
| -   Early       |       |        |           |       |             |
|     Childhood   |       |        |           |       |             |
|     Programs    |       |        |           |       |             |
|     and         |       |        |           |       |             |
|     Policies    |       |        |           |       |             |
|                 |       |        |           |       |             |
| -   Middle and  |       |        |           |       |             |
|     High School |       |        |           |       |             |
|     Reform      |       |        |           |       |             |
|                 |       |        |           |       |             |
| -               |       |        |           |       |             |
|   Interventions |       |        |           |       |             |
|     for         |       |        |           |       |             |
|     Struggling  |       |        |           |       |             |
|     Adolescent  |       |        |           |       |             |
|     and Adult   |       |        |           |       |             |
|     Readers and |       |        |           |       |             |
|     Writers     |       |        |           |       |             |
|                 |       |        |           |       |             |
| -               |       |        |           |       |             |
|   Postsecondary |       |        |           |       |             |
|     Education   |       |        |           |       |             |
|                 |       |        |           |       |             |
| -   Education   |       |        |           |       |             |
|     Technology  |       |        |           |       |             |
+-----------------+-------+--------+-----------+-------+-------------+
| **[84.30        | March | June   | \$75,000  | Up to | Allen Ruby  |
| 5D]{.underline} | 3,    | 26,    | to        | 3     |             |
| Research on     | 2008  | 2008   | \$400,000 | years | Allen.      |
| Statistical and |       |        |           |       | Ruby@ed.gov |
| Research        |       |        |           |       |             |
| Methodology in  |       |        |           |       |             |
| Education**     |       |        |           |       |             |
+-----------------+-------+--------+-----------+-------+-------------+
| **[84.305A      | March | O      | \$100,000 | Up to | Katina      |
| -2]{.underline} | 3,    | ctober | to        | 5     | Stapleton   |
| Education       | 2008  | 2,     | \$        | years |             |
| Research**      |       | 2008   | 1,200,000 |       | Katin       |
|                 |       |        |           |       | a.Stapleton |
| -   Reading and |       |        |           |       | \@ed.gov    |
|     Writing     |       |        |           |       |             |
|                 |       |        |           |       |             |
| -   Mathematics |       |        |           |       |             |
|     and Science |       |        |           |       |             |
|     Education   |       |        |           |       |             |
|                 |       |        |           |       |             |
| -   Cognition   |       |        |           |       |             |
|     and Student |       |        |           |       |             |
|     Learning    |       |        |           |       |             |
|                 |       |        |           |       |             |
| -   Teacher     |       |        |           |       |             |
|     Quality --  |       |        |           |       |             |
|     Reading and |       |        |           |       |             |
|     Writing     |       |        |           |       |             |
|                 |       |        |           |       |             |
| -   Teacher     |       |        |           |       |             |
|     Quality --  |       |        |           |       |             |
|     Mathematics |       |        |           |       |             |
|     and Science |       |        |           |       |             |
|     Education   |       |        |           |       |             |
|                 |       |        |           |       |             |
| -   Social and  |       |        |           |       |             |
|     Behavioral  |       |        |           |       |             |
|     Context for |       |        |           |       |             |
|     Academic    |       |        |           |       |             |
|     Learning    |       |        |           |       |             |
|                 |       |        |           |       |             |
| -   Education   |       |        |           |       |             |
|     Leadership  |       |        |           |       |             |
|                 |       |        |           |       |             |
| -   Education   |       |        |           |       |             |
|     Policy,     |       |        |           |       |             |
|     Finance,    |       |        |           |       |             |
|     and Systems |       |        |           |       |             |
|                 |       |        |           |       |             |
| -   Early       |       |        |           |       |             |
|     Childhood   |       |        |           |       |             |
|     Programs    |       |        |           |       |             |
|     and         |       |        |           |       |             |
|     Policies    |       |        |           |       |             |
|                 |       |        |           |       |             |
| -   Middle and  |       |        |           |       |             |
|     High School |       |        |           |       |             |
|     Reform      |       |        |           |       |             |
|                 |       |        |           |       |             |
| -               |       |        |           |       |             |
|   Interventions |       |        |           |       |             |
|     for         |       |        |           |       |             |
|     Struggling  |       |        |           |       |             |
|     Adolescent  |       |        |           |       |             |
|     and Adult   |       |        |           |       |             |
|     Readers and |       |        |           |       |             |
|     Writers     |       |        |           |       |             |
|                 |       |        |           |       |             |
| -               |       |        |           |       |             |
|   Postsecondary |       |        |           |       |             |
|     Education   |       |        |           |       |             |
|                 |       |        |           |       |             |
| ```{=html}      |       |        |           |       |             |
| <!-- -->        |       |        |           |       |             |
| ```             |       |        |           |       |             |
| -   Education   |       |        |           |       |             |
|     Technology  |       |        |           |       |             |
+-----------------+-------+--------+-----------+-------+-------------+

\*These estimates are annual amounts.

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

INSTITUTE OF EDUCATION SCIENCES

FY2009 Grant Competitions to Support Education Research and Special
Education Research

+-----------------+-------+-------+-----------+-------+-------------+
| **[84.30        | March | Oc    | \$160,000 | Up to | Robin.      |
| 5B]{.underline} | 20,   | tober | to        | 5     | Harwood     |
| Education       | 2008  | 2,    | \$        | years |             |
| Research        |       | 2008  | 1,000,000 |       | Robin.Har   |
| Training**      |       |       |           |       | wood@ed.gov |
|                 |       |       |           |       |             |
| -               |       |       |           |       |             |
|    Postdoctoral |       |       |           |       |             |
|     Research    |       |       |           |       |             |
|     Training    |       |       |           |       |             |
|                 |       |       |           |       |             |
| -   Predoctoral |       |       |           |       |             |
|     Research    |       |       |           |       |             |
|     Training    |       |       |           |       |             |
+-----------------+-------+-------+-----------+-------+-------------+
| **[84.30        | March | Oc    | \$        | Up to | David Sweet |
| 5C]{.underline} | 20,   | tober | 1,000,000 | 5     |             |
| Education       | 2008  | 2,    | to        | years | David.S     |
| Research &      |       | 2008  | \$        |       | weet@ed.gov |
| Development     |       |       | 2,000,000 |       |             |
| Centers**       |       | []{.  |           |       |             |
|                 |       | mark} |           |       |             |
| -   Center on   |       |       |           |       |             |
|     Teacher     |       |       |           |       |             |
|                 |       |       |           |       |             |
|   Effectiveness |       |       |           |       |             |
|                 |       |       |           |       |             |
| -   Center on   |       |       |           |       |             |
|     Rural       |       |       |           |       |             |
|     Education   |       |       |           |       |             |
|                 |       |       |           |       |             |
| -   Center on   |       |       |           |       |             |
|     Turning     |       |       |           |       |             |
|     Around      |       |       |           |       |             |
|     Chronically |       |       |           |       |             |
|     Low         |       |       |           |       |             |
|     Performing  |       |       |           |       |             |
|     Schools     |       |       |           |       |             |
+-----------------+-------+-------+-----------+-------+-------------+
| **[84.30        | March | Oc    | \$300,000 | Up to | Allen Ruby  |
| 5E]{.underline} | 3,    | tober | to        | 5     |             |
| Evaluation of   | 2008  | 2,    | \$        | years | Allen.      |
| State and       |       | 2008  | 1,200,000 |       | Ruby@ed.gov |
| District        |       |       |           |       |             |
| Education       |       |       |           |       |             |
| Programs and    |       |       |           |       |             |
| Policies**      |       |       |           |       |             |
+-----------------+-------+-------+-----------+-------+-------------+
| **National      |       |       |           |       |             |
| Center for      |       |       |           |       |             |
| Special         |       |       |           |       |             |
| Education       |       |       |           |       |             |
| Research        |       |       |           |       |             |
| (NCSER)**       |       |       |           |       |             |
+-----------------+-------+-------+-----------+-------+-------------+
| **[84.324A      | March | June  | \$100,000 | Up to | Kristen     |
| -1]{.underline} | 3,    | 26,   | to        | 5     | Lauer       |
| Special         | 2008  | 2008  | \$        | years |             |
| Education       |       |       | 1,200,000 |       | Kristen.L   |
| Research**      |       |       |           |       | auer@ed.gov |
|                 |       |       |           |       |             |
| -   Early       |       |       |           |       |             |
|                 |       |       |           |       |             |
|    Intervention |       |       |           |       |             |
|     and Early   |       |       |           |       |             |
|     Childhood   |       |       |           |       |             |
|     Special     |       |       |           |       |             |
|     Education   |       |       |           |       |             |
|                 |       |       |           |       |             |
| -   Reading,    |       |       |           |       |             |
|     Writing,    |       |       |           |       |             |
|     and         |       |       |           |       |             |
|     Language    |       |       |           |       |             |
|     Development |       |       |           |       |             |
|                 |       |       |           |       |             |
| -   Mathematics |       |       |           |       |             |
|     and Science |       |       |           |       |             |
|     Education   |       |       |           |       |             |
|                 |       |       |           |       |             |
| -   Social and  |       |       |           |       |             |
|     Behavioral  |       |       |           |       |             |
|     Outcomes to |       |       |           |       |             |
|     Support     |       |       |           |       |             |
|     Learning    |       |       |           |       |             |
|                 |       |       |           |       |             |
| -   Transition  |       |       |           |       |             |
|     Outcomes    |       |       |           |       |             |
|     for Special |       |       |           |       |             |
|     Education   |       |       |           |       |             |
|     Secondary   |       |       |           |       |             |
|     Students    |       |       |           |       |             |
|                 |       |       |           |       |             |
| -   Cognition   |       |       |           |       |             |
|     and Student |       |       |           |       |             |
|     Learning in |       |       |           |       |             |
|     Special     |       |       |           |       |             |
|     Education   |       |       |           |       |             |
|                 |       |       |           |       |             |
| -   Teacher     |       |       |           |       |             |
|     Quality     |       |       |           |       |             |
|                 |       |       |           |       |             |
| -   Related     |       |       |           |       |             |
|     Services    |       |       |           |       |             |
|                 |       |       |           |       |             |
| -   Systemic    |       |       |           |       |             |
|                 |       |       |           |       |             |
|   Interventions |       |       |           |       |             |
|     and         |       |       |           |       |             |
|     Policies    |       |       |           |       |             |
|     for Special |       |       |           |       |             |
|     Education   |       |       |           |       |             |
|                 |       |       |           |       |             |
| -   Autism      |       |       |           |       |             |
|     Spectrum    |       |       |           |       |             |
|     Disorders   |       |       |           |       |             |
+-----------------+-------+-------+-----------+-------+-------------+
| **[84.324A      | March | Oc    | []{.mark} | Up to | Kristen     |
| -2]{.underline} | 3,    | tober |           | 5     | Lauer       |
| Special         | 2008  | 2,    | \$100,000 | years |             |
| Education       |       | 2008  | to        |       | Kristen.L   |
| Research**      |       |       | \$        |       | auer@ed.gov |
|                 |       | []{.  | 1,200,000 |       |             |
| -   Early       |       | mark} |           |       |             |
|                 |       |       |           |       |             |
|    Intervention |       |       |           |       |             |
|     and Early   |       |       |           |       |             |
|     Childhood   |       |       |           |       |             |
|     Special     |       |       |           |       |             |
|     Education   |       |       |           |       |             |
|                 |       |       |           |       |             |
| -   Reading,    |       |       |           |       |             |
|     Writing,    |       |       |           |       |             |
|     and         |       |       |           |       |             |
|     Language    |       |       |           |       |             |
|     Development |       |       |           |       |             |
|                 |       |       |           |       |             |
| -   Mathematics |       |       |           |       |             |
|     and Science |       |       |           |       |             |
|     Education   |       |       |           |       |             |
|                 |       |       |           |       |             |
| -   Social and  |       |       |           |       |             |
|     Behavioral  |       |       |           |       |             |
|     Outcomes to |       |       |           |       |             |
|     Support     |       |       |           |       |             |
|     Learning    |       |       |           |       |             |
|                 |       |       |           |       |             |
| -   Transition  |       |       |           |       |             |
|     Outcomes    |       |       |           |       |             |
|     for Special |       |       |           |       |             |
|     Education   |       |       |           |       |             |
|     Secondary   |       |       |           |       |             |
|     Students    |       |       |           |       |             |
|                 |       |       |           |       |             |
| -   Cognition   |       |       |           |       |             |
|     and Student |       |       |           |       |             |
|     Learning in |       |       |           |       |             |
|     Special     |       |       |           |       |             |
|     Education   |       |       |           |       |             |
|                 |       |       |           |       |             |
| -   Teacher     |       |       |           |       |             |
|     Quality     |       |       |           |       |             |
|                 |       |       |           |       |             |
| -   Related     |       |       |           |       |             |
|     Services    |       |       |           |       |             |
|                 |       |       |           |       |             |
| -   Systemic    |       |       |           |       |             |
|                 |       |       |           |       |             |
|   Interventions |       |       |           |       |             |
|     and         |       |       |           |       |             |
|     Policies    |       |       |           |       |             |
|     for Special |       |       |           |       |             |
|     Education   |       |       |           |       |             |
|                 |       |       |           |       |             |
| ```{=html}      |       |       |           |       |             |
| <!-- -->        |       |       |           |       |             |
| ```             |       |       |           |       |             |
| -   Autism      |       |       |           |       |             |
|     Spectrum    |       |       |           |       |             |
|     Disorders   |       |       |           |       |             |
+-----------------+-------+-------+-----------+-------+-------------+
| **[84.32        | March | Oc    | \$160,000 | Up to | Jacquelyn   |
| 4B]{.underline} | 20,   | tober | to        | 4     | Buckley     |
| Special         | 2008  | 2,    | \$200,000 | years |             |
| Education       |       | 2008  |           |       | Ja          |
| Research        |       |       |           |       | cquelyn.Buc |
| Training**      |       |       |           |       | kley@ed.gov |
|                 |       |       |           |       |             |
| -               |       |       |           |       |             |
|    Postdoctoral |       |       |           |       |             |
|     Research    |       |       |           |       |             |
|     Training    |       |       |           |       |             |
+-----------------+-------+-------+-----------+-------+-------------+

# C - [MANDATORY SUBMISSION OF ELECTRONIC APPLICATIONS]{.underline}

Grant applications to the Education Research Program competition must be
submitted electronically. You must follow the application procedures and
[submission requirements](#SubmissReqs) as described in the FY 2009
*Federal Register* Notice Inviting Applications for New Awards. Please
see the complete notice in Section B of this application package. The
notice was published in the *Federal Register* on March 3, 2008.

We will reject your application if you submit it in paper format unless,
as described in the notice, you qualify for one of the [exceptions to
the electronic submission requirement](#ExcSubReqs) and submit, no later
than two weeks before the application deadline date, a written statement
to the Department that you qualify for one of these exceptions.

Content requirements and technical instructions for the application
forms and attaching the required .PDF files can be found in Section 25
"Application Content and Formatting Requirements" of the FY 2009
Education Research Grants (CFDA Number 84.305A) Request for
Applications; and in Section E - Fiscal Year 2009 Application Package
Highlights and Section H - Instructions for Research & Related (R & R)
Forms of this package. ***Your application must be fully uploaded and
submitted, and must be date/time stamped by the Grants.gov system no
later than 4:30 p.m., Washington, DC time, on the application deadline
date.***

[Applications Submitted Electronically]{.underline}

You must submit your grant application through the Internet using the
software provided on the Grants.gov Web site: <http://www.grants.gov/>
Within two days of submitting a grant application to Grants.gov, you
will receive two email messages from Grants.gov:

The first email message will confirm receipt of your application by the
Grants.gov system and will provide you with an application tracking
number beginning with the word "GRANT", for example GRANT00234567.

 The second email message will indicate that your application EITHER
has been successfully validated by the system prior to transmission to
the U. S. Department of Education OR has been rejected due to errors.

Once Grants.gov validates your application and transmits it to the
Department, you will receive an email from the Department. The
Department's email will indicate that your application has been assigned
a PR/Award number unique to your application. If your application was
received after the closing date/time, the email will also indicate that
your application is late and will not be given further consideration. We
strongly recommend that you submit your application a day or two in
advance of the closing date to allow time to correct a rejected
application and resubmit before the closing date and time.

Also, please note that this application package is using Grants.gov
PureEdge forms. When you upload narrative files to this application
package, you cannot use Word 2007 (.docx) files as these files are not
compatible with PureEdge. You must either use an earlier version of Word
to create your file attachment or save your file with a .doc file
extension. Please note that Grants.gov will reject your application if
you upload a Word 2007 (.docx) file to your application package. The
Department will not receive any applications using PureEdge forms with
attachments having .docx extensions.

For more information on using Grants.gov, please visit the Grants.gov
web site. Also, in this package please refer to:

Section B - Notice Inviting Applications for New Awards

Section G - Grants.gov Submission Procedures and Tips for Applicants

[Applications Sent by Mail]{.underline}

[]{.mark}

According to the *Federal Register* notice instructions, if you request
and qualify for an exception to the electronic submission requirement,
you may submit an application via mail, commercial carrier or hand
delivery.

[]{.mark}

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

Please mail applications to:

U.S. Department of Education

Application Control Center Attention: CFDA# (84.305A)

400 Maryland Avenue, S.W.

Washington, DC 20202 -- 4260

You must show [one of the following]{.underline} 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 Services.

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

[Applications Delivered by Commercial Carrier]{.underline}

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

U.S. Department of Education

Application Control Center -- Stop 4260

Attention: CFDA# (84.305A)

7100 Old Landover Road

Landover, MD 20785 -- 1506

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

[Applications Delivered by Hand]{.underline}

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

Please hand deliver applications to:

U.S. Department of Education

Application Control Center

Attention: CFDA# (84.305A)

550 12th Street, S.W.

PCP - Room 7041

Washington, DC 20202 -- 4260

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

# D - [REQUEST FOR APPLICATIONS]{.underline}

##### **Education Research Grants**

CFDA NUMBER: 84.305A

RELEASE DATE: February 29, 2008

DEADLINE DATE: June 26, 2008

Grants.gov \--

Competition ID: 84-305A2009-1

Funding Opportunity Number: CFDA 84.305A-1-ED-GRANTS-030308-001

For FY2009, the Institute invites applications for research projects
that will contribute to its education research programs in Reading and
Writing; Mathematics and Science Education; Cognition and Student
Learning; Teacher Quality -- Reading and Writing; Teacher Quality --
Mathematics and Science Education; Social and Behavioral Context for
Academic Learning; Education Leadership; Education Policy, Finance, and
Systems; Early Childhood Programs and Policies; Middle and High School
Reform; Interventions for Struggling Adolescent and Adult Readers and
Writers; Postsecondary Education; and Education Technology.

Download, view and print the full RFA as a PDF file: (587 KB)

[FY 2009 Education Research Request for
Applications](http://ies.ed.gov/funding/pdf/2009_84305A.pdf)

# E - [FISCAL YEAR 2009 APPLICATION PACKAGE HIGHLIGHTS]{.underline}

**APPLICATION INSTRUCTIONS AND INFORMATION**

**Institute of Education Sciences Competitions**

**Education Research Programs**

## **Key Dates - Fiscal Year 2009 Competitions**

The Institute of Education Sciences requires that applicants to IES
grant competitions electronically submit their FY 2009 applications **by
4:30 p.m**. **Washington, DC time on the deadline date.** Applicants
must use the Grants.gov site:
[http://www.grants.gov](http://www.grants.gov/) The software to be used
in submitting applications is available at the same Web site.

### 

### Table 1a - Key Dates for FY 2009 IES Competitions/Summer

+---------------------------------+-----------------+------------------+
| **FY 2009 Competitions**        | **Deadline for  | **Application    |
|                                 | Transmittal of  | Deadline Date**  |
| **Summer 2008**                 | Letter of       |                  |
|                                 | Intent**        |                  |
+---------------------------------+-----------------+------------------+
| **Education Research Grant      | **April 28,     | **June 26,       |
| Topics (84.305A**)              | 2008**          | 2008**           |
+---------------------------------+-----------------+------------------+
| Reading and Writing             | []{.mark}       | []{.mark}        |
+---------------------------------+-----------------+------------------+
| Mathematics and Science         | []{.mark}       | []{.mark}        |
| Education                       |                 |                  |
+---------------------------------+-----------------+------------------+
| Cognition and Student Learning  | []{.mark}       | []{.mark}        |
+---------------------------------+-----------------+------------------+
| Teacher Quality -- Reading and  | []{.mark}       | []{.mark}        |
| Writing                         |                 |                  |
+---------------------------------+-----------------+------------------+
| Teacher Quality -- Mathematics  | []{.mark}       | []{.mark}        |
| and Science Education           |                 |                  |
+---------------------------------+-----------------+------------------+
| Social and Behavioral Context   | []{.mark}       | []{.mark}        |
| for Academic Learning           |                 |                  |
+---------------------------------+-----------------+------------------+
| Education Leadership            | []{.mark}       | []{.mark}        |
+---------------------------------+-----------------+------------------+
| Education Policy, Finance, and  | []{.mark}       | []{.mark}        |
| Systems                         |                 |                  |
+---------------------------------+-----------------+------------------+
| Early Childhood Programs and    | []{.mark}       | []{.mark}        |
| Policies                        |                 |                  |
+---------------------------------+-----------------+------------------+
| Middle and High School Reform   | []{.mark}       | []{.mark}        |
+---------------------------------+-----------------+------------------+
| Interventions for Struggling    | []{.mark}       | []{.mark}        |
| Adolescent and Adult Readers    |                 |                  |
| and Writers                     |                 |                  |
+---------------------------------+-----------------+------------------+
| Postsecondary Education         | []{.mark}       | []{.mark}        |
+---------------------------------+-----------------+------------------+
| Education Technology            | []{.mark}       | []{.mark}        |
+---------------------------------+-----------------+------------------+
| **Research on Statistical and   | **April 28,     | **June 26,       |
| Research Methodology in         | 2008**          | 2008**           |
| Education (84.305D)**           |                 |                  |
+---------------------------------+-----------------+------------------+
| **Special Education Research    | **April 28,     | **June 26,       |
| Grant Topics (84.324A)**        | 2008**          | 2008**           |
+---------------------------------+-----------------+------------------+
| Early Intervention and Early    | []{.mark}       | []{.mark}        |
| Childhood Special Education     |                 |                  |
+---------------------------------+-----------------+------------------+
| Reading, Writing, and Language  | []{.mark}       | []{.mark}        |
| Development                     |                 |                  |
+---------------------------------+-----------------+------------------+
| Mathematics and Science         | []{.mark}       | []{.mark}        |
| Education                       |                 |                  |
+---------------------------------+-----------------+------------------+
| Social and Behavioral Outcomes  | []{.mark}       | []{.mark}        |
| to Support Learning             |                 |                  |
+---------------------------------+-----------------+------------------+
| Transition Outcomes for Special | []{.mark}       | []{.mark}        |
| Education Secondary Students    |                 |                  |
+---------------------------------+-----------------+------------------+
| Cognition and Student Learning  | []{.mark}       | []{.mark}        |
| in Special Education            |                 |                  |
+---------------------------------+-----------------+------------------+
| Teacher Quality                 | []{.mark}       | []{.mark}        |
+---------------------------------+-----------------+------------------+
| Related Services                | []{.mark}       | []{.mark}        |
+---------------------------------+-----------------+------------------+
| Systemic Interventions and      | []{.mark}       | []{.mark}        |
| Policies for Special Education  |                 |                  |
+---------------------------------+-----------------+------------------+
| Autism Spectrum Disorders       | []{.mark}       | []{.mark}        |
+---------------------------------+-----------------+------------------+

### Table 1b - Key Dates for FY 2009 IES Competitions/Fall

+--------------------------------+------------------+-----------------+
| **FY 2009 Competitions**       | **Deadline for   | **Application   |
|                                | Transmittal of   | Deadline Date** |
| **Fall 2008**                  | Letter of        |                 |
|                                | Intent**         |                 |
+--------------------------------+------------------+-----------------+
| **Education Research Grant     | **July 10,       | **October 2,    |
| Topics (84.305A)**             | 2008**           | 2008**          |
+--------------------------------+------------------+-----------------+
| Reading and Writing            | []{.mark}        | []{.mark}       |
+--------------------------------+------------------+-----------------+
| Mathematics and Science        | []{.mark}        | []{.mark}       |
| Education                      |                  |                 |
+--------------------------------+------------------+-----------------+
| Cognition and Student Learning | []{.mark}        | []{.mark}       |
+--------------------------------+------------------+-----------------+
| Teacher Quality -- Reading and | []{.mark}        | []{.mark}       |
| Writing                        |                  |                 |
+--------------------------------+------------------+-----------------+
| Teacher Quality -- Mathematics | []{.mark}        | []{.mark}       |
| and Science Education          |                  |                 |
+--------------------------------+------------------+-----------------+
| Social and Behavioral Context  | []{.mark}        | []{.mark}       |
| for Academic Learning          |                  |                 |
+--------------------------------+------------------+-----------------+
| Education Leadership           | []{.mark}        | []{.mark}       |
+--------------------------------+------------------+-----------------+
| Education Policy, Finance, and | []{.mark}        | []{.mark}       |
| Systems                        |                  |                 |
+--------------------------------+------------------+-----------------+
| Early Childhood Programs and   | []{.mark}        | []{.mark}       |
| Policies                       |                  |                 |
+--------------------------------+------------------+-----------------+
| Middle and High School Reform  | []{.mark}        | []{.mark}       |
+--------------------------------+------------------+-----------------+
| Interventions for Struggling   | []{.mark}        | []{.mark}       |
| Adolescent and Adult Readers   |                  |                 |
| and Writers                    |                  |                 |
+--------------------------------+------------------+-----------------+
| Postsecondary Education        | []{.mark}        | []{.mark}       |
+--------------------------------+------------------+-----------------+
| Education Technology           | []{.mark}        | []{.mark}       |
+--------------------------------+------------------+-----------------+
| **Education Research Training  | **July 10,       | **October 2,    |
| (84.305B)**                    | 2008**           | 2008**          |
+--------------------------------+------------------+-----------------+
| Postdoctoral Research Training | []{.mark}        | []{.mark}       |
+--------------------------------+------------------+-----------------+
| Predoctoral Research Training  | []{.mark}        | []{.mark}       |
+--------------------------------+------------------+-----------------+
| **Education Research &         | **July 10,       | **October 2,    |
| Development Centers (84.305C   | 2008**           | 2008**          |
| )**                            |                  |                 |
+--------------------------------+------------------+-----------------+
| Center on Teacher              | []{.mark}        | []{.mark}       |
| Effectiveness                  |                  |                 |
+--------------------------------+------------------+-----------------+
| Center on Rural Education      | []{.mark}        | []{.mark}       |
+--------------------------------+------------------+-----------------+
| Center on Turning Around       | []{.mark}        | []{.mark}       |
| Chronically Low-Performing     |                  |                 |
| Schools                        |                  |                 |
+--------------------------------+------------------+-----------------+
| []{.mark}                      | **July 10,       | **October 2,    |
|                                | 2008**           | 2008**          |
| **Evaluation of State and      |                  |                 |
| District Education Programs    |                  |                 |
| and Policies (84.305E)**       |                  |                 |
+--------------------------------+------------------+-----------------+
| **Special Education Research   | **July 10,       | **October 2,    |
| Grant Topics (84.324A)**       | 2008**           | 2008**          |
+--------------------------------+------------------+-----------------+
| Early Intervention and Early   | []{.mark}        | []{.mark}       |
| Childhood Special Education    |                  |                 |
+--------------------------------+------------------+-----------------+
| Reading, Writing, and Language | []{.mark}        | []{.mark}       |
| Development                    |                  |                 |
+--------------------------------+------------------+-----------------+
| Mathematics and Science        | []{.mark}        | []{.mark}       |
| Education                      |                  |                 |
+--------------------------------+------------------+-----------------+
| Social and Behavioral Outcomes | []{.mark}        | []{.mark}       |
| to Support Learning            |                  |                 |
+--------------------------------+------------------+-----------------+
| Transition Outcomes for        | []{.mark}        | []{.mark}       |
| Special Education Secondary    |                  |                 |
| Students                       |                  |                 |
+--------------------------------+------------------+-----------------+
| Cognition and Student Learning | []{.mark}        | []{.mark}       |
| in Special Education           |                  |                 |
+--------------------------------+------------------+-----------------+
| Teacher Quality                | []{.mark}        | []{.mark}       |
+--------------------------------+------------------+-----------------+
| Related Services               | []{.mark}        | []{.mark}       |
+--------------------------------+------------------+-----------------+
| Systemic Interventions and     | []{.mark}        | []{.mark}       |
| Policies for Special Education |                  |                 |
+--------------------------------+------------------+-----------------+
| Autism Spectrum Disorders      | []{.mark}        | []{.mark}       |
+--------------------------------+------------------+-----------------+
| []{.mark}                      | []{.mark}        | []{.mark}       |
+--------------------------------+------------------+-----------------+
| **Special Education Research   | **July 10,       | **October 2,    |
| Training (84.324B)**           | 2008**           | 2008**          |
+--------------------------------+------------------+-----------------+
| > Postdoctoral Research        | []{.mark}        | []{.mark}       |
| > Training                     |                  |                 |
|                                |                  |                 |
| []{.mark}                      |                  |                 |
+--------------------------------+------------------+-----------------+

##### 

##### **Letter of Intent**

A letter indicating a potential applicant's intent to submit an
application is optional, but encouraged, for each application. The
letter of intent form must be submitted electronically by the date
listed in Tables 1a and 1b above, using the instructions provided at the
following web site:

[*https://ies.constellagroup.com/*](https://ies.constellagroup.com/)

The letter of intent should include a descriptive title, the [topic and
goal](#CodesTopandGoal) that the application will address, and a brief
description of the research project (about 3,500 characters including
spaces, which is approximately one page, single-spaced); the name,
institutional affiliation, address, telephone number and e-mail address
of the principal investigator(s); and the name and institutional
affiliation of any key collaborators and contractors. The letter of
intent should indicate the duration of the proposed project and provide
an estimated budget request by year, and a total budget request.
Although the letter of intent is not binding, the information that it
contains allows Institute staff to estimate the potential workload to
plan the review.

##### **Submitting an Application**

Applications must be submitted **electronically by 4:30 p.m**.
**Washington, DC time** on the application deadline date specified in
the NCER FY 2009 [Education Research Grants
RFA](http://ies.ed.gov/funding/pdf/2009_84305A.pdf) and repeated in
Table 1 above, using the standard forms and the instructions provided at
the following web site: [http://www.grants.gov](http://www.grants.gov/)

Potential applicants should check this site for information about the
electronic submission procedures to be followed and the software
required. Applicants should set aside time well in advance of the
application deadline date for reviewing the procedures to ensure
transmittal of applications in a timely manner to Grants.gov. See:
<http://e-Grants.ed.gov/help/GrantsgovSubmissionProcedures.pdf>

## **Application Content Requirements**

The Institute requires that applicants use the Research & Related (R&R)
standard forms to prepare and submit applications. These forms are
covered by OMB number 4040-0001 and are listed below under Table 2a.

The application contents -- forms and attachments -- described below,
and summarized in [Table 2](#Table2), represent the body of a proposal
submitted to the Institute. All applications for Institute funding must
be self-contained within the specified page limits as indicated in Table
2b and described below. Applicants may not use Internet Web site
addresses (URLs) to provide application information because reviewers
are under no obligation to view the Internet sites.

[]{#Table2 .anchor}**Table 2 - Application Content Requirements**

### Table 2a - Research & Related (R&R) Application Forms

+------------------------------+----------+----------------------------+
| **R&R Forms**                | **Page   | **Form Provided in         |
|                              | Limit**  | Grants.gov Application**   |
|                              |          |                            |
|                              |          | **Package**                |
+------------------------------+----------+----------------------------+
| A. SF 424 Application for    | n/a      | Yes                        |
| Federal Assistance           |          |                            |
+------------------------------+----------+----------------------------+
| B. Senior/Key Person Profile | n/a      | Yes                        |
+------------------------------+----------+----------------------------+
| C. Project Performance Site  | n/a      | Yes                        |
| Locations                    |          |                            |
+------------------------------+----------+----------------------------+
| D. Other Project Information | n/a      | Yes                        |
+------------------------------+----------+----------------------------+
| E. Budget Total Federal +    | n/a      | Yes                        |
| Non-Federal:                 |          |                            |
|                              |          |                            |
| Sections A & B               |          |                            |
|                              |          |                            |
| Sections C, D, & E           |          |                            |
|                              |          |                            |
| Sections F -- K              |          |                            |
+------------------------------+----------+----------------------------+
|                              |          |                            |
+------------------------------+----------+----------------------------+

### Table 2b - Research & Related (R&R) Application Attachments

+------------------------------+----------+----------------------------+
| **PDF Attachments to (R&R)   | **Page   | **Additional Information** |
| Forms**                      | Limit**  |                            |
+------------------------------+----------+----------------------------+
| 1\. [Project                 | 1 page   | Add as an Attachment (.PDF |
| Summary/Abstract](#AttSUM)   |          | file) using                |
|                              | singl    |                            |
|                              | e-spaced | **#6** of the "Other       |
|                              |          | Project Information" form. |
+------------------------------+----------+----------------------------+
| 2\. [Project Narrative and   | 25 pages | Add as an Attachment (.PDF |
| Appendices](#AttNARR)        |          | file) using                |
|                              | singl    |                            |
| --. Narrative                | e-spaced | **#7** of the "Other       |
|                              |          | Project Information" form. |
+------------------------------+----------+----------------------------+
| --. [Appendix                | 15 pages | **[Note]{.underline}**:    |
| A](#appendix-a)              |          | The Project Narrative,     |
|                              | 10 pages | Appendix A,                |
| See restrictions described   |          |                            |
| below                        |          | and Appendix B should      |
|                              |          | **ALL** be included        |
| --. [Appendix B](#AppB)      |          |                            |
| (optional)                   |          | together in one .PDF file  |
|                              |          | and attached               |
| See restrictions described   |          |                            |
| below                        |          | at **#7** of the "Other    |
|                              |          | Project Information" form. |
+------------------------------+----------+----------------------------+
| 3\. [Research on Human       | No page  | Add as an Attachment (.PDF |
| Subjects](#AttRHS)           | limit    | file) using                |
| information, if human        |          |                            |
| subjects are involved        |          | **#11** of the "Other      |
|                              |          | Project Information" form. |
+------------------------------+----------+----------------------------+
| 4\. [Bibliography and        | No page  | Add as an Attachment (.PDF |
| References                   | limit    | file) using                |
| Cited](#AttBIBLIO)           |          |                            |
|                              |          | **#8** of the "Other       |
|                              |          | Project Information" form. |
+------------------------------+----------+----------------------------+
| 5\. [Biographical            | 5 pages  | Add as Attachments (.PDF   |
| Sketches](#AttBIO) of        | per      | files) using the           |
| Senior/Key Personnel         | sketch   |                            |
|                              |          | Senior/Key Person Profile" |
|                              |          | form; **fifth page**       |
|                              |          |                            |
|                              |          | indicates current and      |
|                              |          | pending support            |
+------------------------------+----------+----------------------------+
| 6\. [Narrative Budget        | No page  | Add as Attachment (.PDF    |
| Justification](#AttBUDGJUS)  | limit    | file) using                |
|                              |          |                            |
|                              |          | **Section K -- Budget      |
|                              |          | Period 1** of the          |
|                              |          |                            |
|                              |          | "Budget Total Federal +    |
|                              |          | Non-Federal" form.         |
+------------------------------+----------+----------------------------+
| 7\. [R&R Sub award           | No page  | Add Attachment (.PDF file) |
| Budget](#AttSABUDGET)        | limit    | using **#11** of           |
|                              |          |                            |
|                              |          | the "Other Project         |
|                              |          | Information" form.         |
|                              |          |                            |
|                              |          | A link to an EXCEL         |
|                              |          | spreadsheet template is    |
|                              |          | provided below in the R&R  |
|                              |          | Sub award                  |
|                              |          |                            |
|                              |          | Budget Section.            |
+------------------------------+----------+----------------------------+

### 

### Summary Descriptions of Required R&R Forms

**[Note:]{.underline}** The package of forms for this competition -- SF
424 Research and Related (R&R) forms -- uses PureEdge software. This
software is [not compatible]{.underline} with [Microsoft
Vista](#attention-microsoft-vista-and-word-2007-users). Applicants must
complete and submit the following R&R forms.

**1. Form: SF 424 (R&R) Application for Federal Assistance**

This form asks applicants to provide general information about the
applicant, including but not limited to: contact information, an
Employer Identification Number (EIN), a DUNS number, a descriptive title
for the project, an indication of the project topic and goal, Principal
Investigator contact information, areas affected by the project, start
and ending dates for the project, congressional district, total
estimated project funding, and Authorized Representative contact
information. *Because information on this form populates selected fields
of some of the forms below, [applicants should complete this form
first]{.underline}*.

**2. Form: Research & Related Senior/Key Person Profile**

This form asks applicants to: identify the project director/principal
investigator and other senior and/or key persons involved in the
project; specify the role key staff will serve; and provide contact
information for each senior/key person identified. This form will allow
for the attachment of a total of eight (8) biographical sketches: one
(1) for the project director/principal investigator and up to seven (7)
additional for senior/key staff. *Because information on the Senior/Key
Person Profile form populates selected fields of Section A of the R&R
Budget form (#5 below), [applicants should complete this form
next]{.underline}.*

This form provides the location for uploading/attaching the biographical
sketches of senior/key personnel as .PDF files.

## 

**3. Form: Research & Related Project Performance Site Locations**

This form asks applicants to indicate the primary site where project
work will be performed. If a portion of the project will be performed at
any other site(s), the form also asks the applicant to identify and
provide information about the additional site(s).

**4. Form:** **Research & Related Other Project Information**

This form asks applicants to provide information about any research that
will be conducted involving Human Subjects, including: whether human
subjects are involved; if human subjects are involved, whether or not
the project is exempt from the human subjects regulations; if the
project is exempt from the regulations, an indication of the exemption
number(s); and, if the project is not exempt from the regulations,
whether an [Institutional Review Board review](#NOTERHSAPPROVAL) is
pending; and if IRB approval has been given, the date on which the
project was approved and the Human Subject Assurance number. This form
also asks applicants if there is proprietary information included in the
application; and, if the project involves activities outside the U. S.,
to identify the countries involved.

This form provides the location for uploading/attaching a number of
documents (.PDF files) including the project summary/abstract, the
project narrative and appendices, research on human subjects
information, bibliography and references, and sub award budget
information.

**5. Form: Research & Related Budget (Total Federal + Non-Federal)
---Sections A & B; C, D, & E; and F-K**

This form asks applicants to provide detailed budget information for
each year of support requested. The form also asks applicants to
indicate the non-federal funds supporting the project. Applicants should
provide this budget information for each project year using all sections
of the R&R Budget form. Applicants should note that the budget form has
multiple sections for each budget year: A & B; C, D, & E; and F-K.

### Additional Forms

[]{#AddForms .anchor}

Please note that applicants selected for funding will be required to
submit the following certifications and assurances [before]{.underline}
a grant is issued:

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

(2) ED 80-0013 -- Combined Assurance

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

> []{.mark}

These forms are available in the electronic application package. Please
submit them with the other pieces of the application as instructed.

> []{.mark}

**[Note:]{.underline}** The Institute will also require a Protection of
Human Research Subjects assurance and/or Institutional Review Board
certification, as appropriate. This documentation need not be submitted
with this application package.

### 

### Summary Descriptions of PDF Attachments to R&R Forms

**[Note:]{.underline}** Applicants must submit all of the following
attachments to the R&R forms in Adobe Portable Document Format (.PDF).
There are seven attachments as listed above in [Table
2b](#table-2b---research-related-rr-application-attachments).

**1.** []{#AttSUM .anchor}**Attachment: Project Summary/Abstract for
Education Research Application**

The Project Summary/Abstract must be submitted as a .PDF attachment, is
limited to [1 single-spaced page,]{.underline} and must adhere to the
margin, format, and font size requirements described below under [III.
Application Format Requirements](#application-format-requirements).

The Project Summary/Abstract, as indicated in [Table
2b](#table-2b---research-related-rr-application-attachments) above,
should be attached at **Item 6 of the "Other Project Information"**
form.

The Project Abstract should include: (1) the title of the project; (2)
the **RFA topic** (e.g., Teacher Quality-Reading and Writing) and the
**goal** (e.g., Goal 2 - Development) under which the applicant is
applying; and brief descriptions of (3) the purpose of the research
(e.g., to develop and document the feasibility of an intervention); (4)
the setting in which the research will be conducted (e.g., rural school
districts in Alabama); (5) the population(s) from which the participants
of the study(ies) will be sampled (age groups, race/ethnicity, SES); (6)
if applicable, the intervention or assessment to be developed or
evaluated or validated; (7) if applicable, the control or comparison
condition (e.g., what will participants in the control condition
experience); (8) the primary research method; (9) if applicable,
measures and key outcomes; and (10) if applicable, data analytic
strategy.

[]{.mark}

Please note: It is critical that applicants include in the abstract the
research topic and goal (as described in the RFA) to which the
application is being submitted, and that these agree with the topic and
goal also indicated in Item 11 of the SF 424 (R&R) Application for
Federal Assistance. Indicating the correct topic and goal will
facilitate the appropriate processing of your application. Failure to do
so may result in delays to processing. A table indicating the codes for
the [**topics and goals**](#CodesTopandGoal) is included below on page
41 of these application instructions.

**2.** []{#AttNARR .anchor}**Attachment: Project Narrative, Appendix A,
and Appendix B\
(All in one attachment \-- .PDF file)**

The Project Narrative must be submitted as a .PDF attachment, is limited
to [25 single-spaced pages]{.underline}, and must adhere to the margin,
format, and font size requirements described below under [III.
Application Format Requirements](#application-format-requirements).

The .PDF file that contains the Project Narrative, Appendix A, and
Appendix B (if needed), as indicated in [Table
2b](#table-2b---research-related-rr-application-attachments) above,
should be attached as a single .PDF file at **Item 7 of the "Other
Project Information"** form.

Reviewers are able to conduct the highest quality review when
applications are concise, easy to read, and pages are numbered
consecutively. To ensure that the text is easy for reviewers to read and
that all applicants have the same amount of available space in which to
describe their projects, applicants must adhere to the type (font) size
and format specifications for the entire research narrative including
footnotes. See below [Application Format
Requirements](#application-format-requirements).

######## Project Narrative - Education Research Applications 

In the Project Narrative, the applicant must include **four sections**
that address:

(a) Significance

(b) Methods

(c) Personnel

(d) Resources

The applicant must display these sections in the order listed and as
described in the [FY 2009 Education Research Grants
RFA](http://ies.ed.gov/funding/pdf/2009_84305A.pdf).

Information to be included in each of these sections is detailed in the
RFA under **Part III: Requirements of the Proposed Research** and in the
specific requirements subsection for the relevant research topic under
**Part II: Research Grant Topics**.

Incorporating the requirements outlined under the section on
Requirements of the Proposed Research and the specific requirements
listed under the relevant research topic, the research narrative
(Project Narrative) provides the majority of the information on which
reviewers will evaluate the proposal.

Applicants should use the author-date style of citation (e.g., James,
2004), such as that described in the Publication Manual of the American
Psychological Association, 5th Ed. (American Psychological Association,
2001).

The Project Narrative page limit [does not include]{.underline} any of
the R&R forms, appendices, one-page abstract, research on human subjects
information, bibliography and references cited, biographical sketches of
senior/key personnel, narrative budget justification, sub award budget
information, or certifications and assurances.

See below "[Reminders about Page Limits](#reminders-about-page-limits)"
for the definition of a page.

######## Appendix A

Appendix A is limited to 15 pages. It must adhere to the margin, format,
and font size requirements described below under [III. Application
Format Requirements](#application-format-requirements).

As indicated in [Table
2b](#table-2b---research-related-rr-application-attachments) above,
Appendix A should be included at the end of the Project Narrative and
submitted as part of the same .PDF attachment.

Restrictions: As described in the
[RFA](http://ies.ed.gov/funding/pdf/2009_84305A.pdf), in Appendix A an
applicant may include any figures, charts, or tables that supplement the
research text, examples of measures to be used in the project, and
letters of agreement from partners (e.g., schools) and consultants. In
addition, in the case of a resubmission, the applicant may use ***up to
3 pages*** of the appendix to describe the ways in which the revised
proposal is responsive to prior reviewer feedback. Applicants should
indicate the ***application number*** of the prior year application
submitted to the Institute. These are the ***[only
materials]{.underline}*** that may be included in Appendix A. ***All
other materials will be removed prior to review of the application.***
Narrative text related to any aspect of the project (e.g., descriptions
of the proposed sample, the design of the study, data analysis plans, or
previous research conducted by the applicant) must be included in the
research narrative.

Letters of agreement should include enough information to make it clear
that the author of the letter understands the nature of the commitment
of time, space, and resources to the research project that will be
required if the application is funded. The Institute recognizes that
some applicants may have more letters of agreement than will be
accommodated by the 15-page limit for Appendix A. In such instances,
applicants should include the most important letters of agreement and
may list the letters of agreement that are not included in the
application due to page limitations. Applicants should not reduce the
size of the letters in order to fit two or more letters on a page.

[]{#AppB .anchor}**Appendix B (optional)**

Appendix B is limited to 10 pages. It must adhere to the margin, format,
and font size requirements described below under [III. Application
Format Requirements](#application-format-requirements).

As indicated in [Table
2b](#table-2b---research-related-rr-application-attachments) above,
Appendix B, if needed, should be included at the end of Appendix A and,
along with the Project Narrative, submitted as part of the same .PDF
attachment. Appendix B applies to applications under all topics in this
RFA.

Restrictions: As described in the
[RFA](http://ies.ed.gov/funding/pdf/2009_84305A.pdf), in Appendix B,
applicants who are proposing an to develop, evaluate, or validate an
intervention or assessment, may include examples of curriculum material,
computer screens, test items, or other materials used in the
intervention or assessment. These are the ***[only
materials]{.underline}*** that may be included in Appendix B. ***All
other materials will be removed prior to review of the application.***
Narrative text related to the intervention (e.g., descriptions of
research that supports the use of the intervention/assessment, the
theoretical rationale for the intervention/assessment, or details
regarding the implementation or use of the intervention/assessment) must
be included in the 25-page research narrative.

**3.** []{#AttRHS .anchor}**Attachment: Research on Human Subjects
Information**

If an applicant proposes research activities involving human subjects at
any time during the proposed project period, either at the applicant
organization or at any other performance site or collaborating
institution, then the applicant must provide either a human subjects
\"exempt research narrative\" or a \"nonexempt research narrative" and
upload this narrative as instructed. See the U. S. Department of
Education's web page with detailed information about the [protection of
human subjects in
research](http://www.ed.gov/about/offices/list/ocfo/humansub.html).

The Research on Human Subjects Narrative \-- either the Exempt Research
Narrative or the Non-Exempt Research Narrative, whichever is applicable
-- should be attached at **Item 11 of the "Other Project Information"**
form as indicated above in [Table
2b](#table-2b---research-related-rr-application-attachments).

**Exempt Research Narrative**

This narrative is required when an applicant indicates \-- by providing
an exemption number(s) on the R&R form \-- that there are research
activities planned in which the ***only involvement*** of human subjects
will be in one or more of six categories of exemptions that are [not
covered by]{.underline} (i.e., that are exempt from) the Human Subjects
Regulations. See below, [Section H - Protection of Human Subjects in
Research](#researchhumsubjs), for a discussion of exemption categories
and other definitions. The exempt research narrative should be succinct,
even though no specific page limitation applies to this section of the
application. The exempt research narrative should contain sufficient
information about the involvement of human subjects in the proposed
research to allow a determination by the Department that the designated
exemption(s) are appropriate.

####### Nonexempt Research Narrative

This narrative is required when an applicant indicates that some or all
of the planned research activities [are covered by]{.underline} (i.e.,
not exempt from) the Human Subjects Regulations. The nonexempt research
narrative must address seven points: 1) Human Subjects Involvement and
Characteristics; 2) Sources of Materials; 3) Recruitment and Informed
Consent; 4) Potential Risks; 5) Protection Against Risk; 6) Importance
of the Knowledge to be Gained; and 7) Collaborating Sites. See below,
[Section H - Protection of Human Subjects in
Research](#researchhumsubjs), for a discussion of these seven points.
The nonexempt research narrative should be succinct even though no
specific page limitation applies to this section of the application.

**4.** []{#AttBIBLIO .anchor}**Attachment: Bibliography and References
Cited**

The Bibliography and References Cited, as indicated in [Table
2b](#table-2b---research-related-rr-application-attachments) above,
should be attached at **Item 8 of the "Other Project Information"**
form.

In this attachment applicants should include complete citations,
including the names of all authors (in the same sequence in which they
appear in the publication), titles (e.g., article and journal, chapter
and book, book), page numbers, and year of publication for literature
cited in the research narrative. []{.mark} There is no limitation on the
number of pages for the bibliography.

There is no limitation on the number of pages for the bibliography. The
bibliography must be submitted as a .PDF attachment and must adhere to
the margin, format, and font size requirements described below under
[III. Application Format
Requirements](#application-format-requirements).

**5.** []{#AttBIO .anchor}**Attachment: Biographical Sketches (Curricula
Vitae) of Senior/Key Personnel**

A Biographical Sketch (e.g., abbreviated Curriculum Vitae) for each
Senior/Key Person, as indicated in [Table
2b](#table-2b---research-related-rr-application-attachments) above,
should be attached at "Attach Biographical Sketch" on the **"Senior/Key
Person Profile"** form.

In these attachments, applicants must provide Biographical Sketches for
the principal investigator(s) and other key personnel. Each Biographical
Sketch is limited to **5 *pages*** and should include information
sufficient to demonstrate that personnel possess training and expertise
commensurate with their duties (e.g., publications, grants, relevant
research experience) and have adequate time devoted to the project to
carry out their duties. The **fifth page** of the curriculum vitae
should list current and pending grants with the proportion of the
individual\'s time allocated to each project.

Pages of the Biographical Sketch (including the information on current
and pending support) that go beyond the 5th page will be removed prior
to review of the application.

A Biographical Sketch must be submitted as a .PDF attachment and must
adhere to the margin, format, and font size requirements described below
under [III. Application Format
Requirements](#application-format-requirements).

If you need to identify more than eight senior/key staff and thus need
to upload the Biographical Sketches for these individuals, then you may
attach that information, i.e., the additional Biographical Sketches, in
a separate .PDF file at Item 11 of the "Other Project Information" form.

### 

**6.** []{#AttBUDGJUS .anchor}**Attachment: Narrative Budget
Justification**

The Narrative Budget Justification, as indicated in [Table
2b](#table-2b---research-related-rr-application-attachments) above,
should be attached as a .PDF file at Section K of the "Budget Total
Federal +Non-Federal" form.

There is no limitation on the number of pages for the Narrative Budget
Justification. It must be submitted as a .PDF attachment and must adhere
to the margin, format, and font size requirements described below under
[III. Application Format
Requirements](#application-format-requirements).

Applicants should submit only **[one narrative budget justification
document]{.underline}**. This narrative should provide a budget
justification for each year of the [entire]{.underline} project and
should be attached at **Section K** of the R&R budget form for the
**FIRST** **BUDGET PERIOD** for which funds are requested.

In this document applicants should provide sufficient detail to allow
reviewers to judge whether reasonable costs have been attributed to the
project. The budget justification should correspond to the itemized
breakdown of project costs that is provided for in the Research &
Related Budget form, Sections A & B; C, D, & E; and F-K. It should
include the time commitments and brief descriptions of the
responsibilities of the principal investigator and other key personnel.
The personnel information included in the Narrative Budget Justification
does not substitute for the required Personnel section of the Project
(Research) Narrative.

The narrative budget justification must include an indication of the
percentage of time to be committed to the project by the Project
Director/Principal Investigator and Co-Project Director/Principal
Investigator. Calculating the percentage of time committed to the
project should take into consideration all time committed \-- whether it
is reflected in terms of calendar months or academic months, or summer
months, or some combination of these.

For consultants, the narrative should include the number of days of
anticipated consultation, the expected rate of compensation, travel, per
diem, and other related costs. Provide a justification for equipment
purchase, supplies, travel and other related project costs for each
project year outlined in the R&R Budget.

For those applications that include a sub award(s) for work conducted at
collaborating institutions, the narrative should also provide the
details about the sub award(s). Include the sub award budgets as a
separate attachment. See below "[Sub award Budget](#AttSABUDGET)".

[]{.mark}

**Note regarding Indirect Costs:** Applicants should use their
institution's federal indirect cost rate and use the off-campus indirect
cost rate where appropriate (see RFA instructions under Section 21
Special Requirements). If less than 75 percent of total indirect costs
are based on application of the off-campus rate, the applicant should
provide a detailed justification.

An indirect cost rate agreement from a cognizant federal agency must be
in place at the time of the award in order for a grantee to claim
indirect costs.

If a grantee does not have an indirect cost rate agreement from a
cognizant federal agency in place, then a temporary indirect cost rate,
recognized by the Federal Government, will be established. Department of
Education final regulations published in the *Federal Register* on
December 7, 2007, provide a temporary indirect cost rate to a grantee
that does not have a federally recognized indirect cost rate on the date
the Department awards its first grant. The temporary rate for such a
grantee will be 10 percent of the direct salaries and wages of the
project. These regulations permit the use of a temporary indirect cost
rate under the grant award for the first 90 days after the date the
Department issues the Grant Award Notification. A grantee may continue
to charge indirect costs at the temporary rate after the first 90 days
if the grantee submits a formal indirect cost proposal to its cognizant
agency within those 90 days. If, after the 90-day period, a grantee has
not submitted an indirect cost proposal to its cognizant agency, it must
stop using the temporary rate. After that period, the grantee will not
be allowed to charge any indirect costs to its grant until it obtains a
federally recognized indirect cost rate from its cognizant agency.

[]{#AttSABUDGET .anchor}**7. Attachment: Sub award Budget**

The Sub award Budget information (Excel spreadsheet), as indicated in
[Table 2b](#table-2b---research-related-rr-application-attachments)
above, should be attached at **Item 11 Other Attachments** of the
**"Other Project Information"** form.

For applications that include a sub award(s) for work conducted at
collaborating institutions, applicants should submit an itemized budget
spreadsheet for each sub award for each project year. As noted above,
the details of the sub award costs should be included in the Narrative
Budget Justification. An [Excel
spreadsheet](http://ies.ed.gov/funding/xls/FY09subaward_budget.xls)
template is provided to allow applicants to enter the sub award budget
information in accordance with the prescribed format. Applicants will
complete the spreadsheet(s), convert this information to a .PDF file,
and then upload it as an attachment.

***[Note]{.underline}: Separate budgets are required only for
subawardee/collaborating organizations that perform a substantial
portion of the project.***

## **Application Format Requirements**

### Reminders about Format

Margin, format, and type size (font size) requirements apply to the
Project Summary/Abstract, Project Narrative, Bibliography and References
Cited, Biographical Sketches (Curricula Vitae) of Senior/Key Personnel,
Narrative Budget Justification, Appendix A, and Appendix B. To ensure
that the text is easy for reviewers to read and that all applicants have
the same amount of available space in which to describe their projects,
applicants must adhere to the type size and format specifications for
the entire narrative including footnotes.

[Page and Margin Specifications]{.underline}: For the purposes of
applications submitted under this RFA, a "page" is 8.5 in. x 11 in., on
one side only, with 1-inch margins at the top, bottom, and both sides.

[Type size (font size) of applications]{.underline}: For the purposes of
applications submitted under this RFA, type must conform to the
following requirements:

-   The height of the letters must not be smaller than 12 point;

-   The type density, including characters and spaces, must be no more
    than15 characters per inch (cpi). For proportional spacing, the
    average for any representative section of text must not exceed 15
    cpi;

-   There must be no more than 6 lines of type within a vertical inch.

[Spacing]{.underline}: For the purposes of applications submitted under
this RFA, text must be single spaced in the narrative.

[Graphs, Diagrams, Tables]{.underline}: Use only black and white in
graphs, diagrams, tables, and charts. The application must contain only
material that reproduces well when photocopied in black and white.

Applicants should check the type size using a standard device for
measuring type size, rather than relying on the font selected for a
particular word processing/printer combination. The type size used must
conform to all three requirements noted above. Small type size makes it
difficult for reviewers to read the application; consequently, the use
of small type will be grounds for the Institute to return the
application without peer review.

Adherence to type size and line spacing requirements is also necessary
so that no applicant will have an unfair advantage, by using small type,
or providing more text in his/her application. ***Note: These
requirements apply to the PDF file as submitted***. As a practical
matter, applicants who use a 12-point Times New Roman font without
compressing, kerning, condensing or other alterations typically meet
these requirements.

Figures, charts, tables, and figure legends may be smaller in size but
must be readily legible.

### Reminders about Page Limits

-   The project summary/abstract for research applications is limited to
    one single-spaced page.

-   The project (research) narrative for research applications is
    limited to 25 single-spaced pages.

-   Appendix A is limited to 15 pages.

-   Appendix B is limited to 10 pages.

-   Each *curriculum vitae* is limited to five single-spaced pages.

**[What Does Not Count Against Project Narrative Page
Limits]{.underline}**

The project narrative page limit does not include the following: any of
the R&R forms, the one-page abstract, the appendices, the research on
human subjects information, the bibliography and references cited, the
biographical sketches of senior/key personnel, the narrative budget
justification, and the sub award budget information.

# F - [Application Checklist]{.underline}

[]{.mark}

**Have you provided the required information for each of the following
forms?**

\[ \] SF 424 Application for Federal Assistance

\[ \] On the SF 424 Application for Federal Assistance, for Item 11,
have you followed the instructions on page 41 and entered the
application topic and goal as indicated?

\[ \] Senior/Key Person Profile

\[ \] Project Performance Site Locations

\[ \] Other Project Information

\[ \] Budget Total Federal + Non-Federal: Sections A & B; Sections C, D,
& E; Sections F -- K

**Have you completed each of the following certifications and
assurances?**

\[ \] SF 424B-Assurances-Non-Construction Programs

\[ \] ED 80-0013 -- Combined Assurance

\[ \] Disclosure of Lobbying Activities -- Standard Form LLL (if
applicable)

**Have you attached the following application pieces as .PDF files?**

\[ \] Project Summary/Abstract: (1-page limit), using #6 of the "Other
Project Information" form.

\[ \] Project Narrative (25-page limit) and Appendix A (15-page limit),
and Appendix B (10 page limit) - if necessary, using #7 of the "Other
Project Information" form.

\[ \] Research on Human Subjects information, if human subjects are
involved, either the Exempt Research Narrative or the Nonexempt Research
Narrative, using #11 of the "Other Project Information" form.

\[ \] Bibliography and References Cited, using #8 of the "Other Project
Information" form.

\[ \] Biographical Sketches of Senior/Key Personnel (5-page limit for
each sketch), using "add attachment" of the Senior/Key Person Profile
form.

\[ \] The Senior/Key Person Profile form will permit adding/uploading
Biographical Sketches for up to 8 Senior/Key Personnel. If you must
upload more than 8 Biographical Sketches, have you combined them in one
.PDF file and uploaded this file at Item 11 of the "Other Project
Information" form?

\[ \] Narrative Budget Justification, using Section K -- Budget Period 1
of the "Budget Total Federal + Non-Federal" form.

\[ \] R&R Sub award Budget, as appropriate, using #11 of the "Other
Project Information" form.

**Finally \--**

\[ \] Did you attach the correct .PDF files to the proper form in the
Grants.gov electronic application forms package?

\[ \] Did you use the "Check Package for Errors" button at the top of
the grant application package to identify errors or required information
that is missing? The Check for Errors button, on the application, finds
errors that prevent your application from being processed.

[]{.mark}

\[ \] Was your upload fully completed and your application processed and
validated successfully by Grants.gov before 4:30 p.m., Washington, D.C.
time on the deadline date?

# G - [Grants.gov Submission Procedures and Tips for Applicants]{.underline} 

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

# []{.mark}

**[IMPORTANT -- PLEASE READ]{.underline}**

To facilitate your use of Grants.gov, this document includes important
submission procedures you need to be aware of to ensure your application
is received in a timely manner and accepted by the Department of
Education.

### ATTENTION -- Microsoft Vista and Word 2007 Users

Please note that Grants.gov does not currently support the new Microsoft
Vista Operating system. The PureEdge software used by Grants.gov for
forms is not compatible with Vista. Grants.gov will be reviewing this
new product to determine if it can be supported in the future.

In addition, the new version of Microsoft Word saves documents with the
extension .DOCX. The Grants.gov system does not process Microsoft Word
documents with the extension .DOCX. When submitting Microsoft Word
attachments to Grants.gov, please use the version of Microsoft Word that
ends in .DOC. If you have any questions regarding this matter please
email the Grants.gov Contact Center at <support@grants.gov> or call
1-800-518-4726.

1)  **REGISTER EARLY** -- Grants.gov registration may take five or more
    business days to complete. You may begin working on your application
    while completing the registration process, but you cannot submit an
    application until all of the Registration steps are complete. For
    detailed information on the Registration Steps, please go to:
    [http://www.grants.gov/applicants/get_registered.jsp](http://www.grants.gov/GetStarted).
    \[Note: Your organization will need to update its Central Contractor
    Registry (CCR) registration annually.\]

2)  **SUBMIT EARLY** -- **We strongly recommend that you do not wait
    until the last day to submit your application. Grants.gov will put a
    date/time stamp on your application and then process it after it is
    fully uploaded.** The time it takes to upload an application will
    vary depending on a number of factors including the size of the
    application and the speed of your Internet connection; and, the time
    it takes Grants.gov to process the application will vary as well. If
    Grants.gov rejects your application (see step three below), you will
    need to resubmit successfully before 4:30 pm on the deadline date.

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

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

> If the date/time received is later than 4:30 p.m., Washington, D.C.
> time, on the closing date, your application is late. If your
> application has a status of "Received" it is still awaiting validation
> by Grants.gov. Once validation is complete, the status will either
> change to "Validated" or "Rejected with Errors." If the status is
> "Rejected with Errors," your application has not been received
> successfully. Some of the reasons Grants.gov may reject an application
> can be found on the Grants.gov site:
> <http://www.grants.gov/applicants/applicant_faqs.jsp#54>. For more
> detailed information on why an application may be rejected, you can
> review Application Error Tips
> <http://www.grants.gov/section910/ApplicationErrorTips.pdf>. If you
> discover your application is late or has been rejected, please see the
> instructions below. Note: You will receive a series of confirmations
> both online and via e-mail about the status of your application.
> Please do not rely solely on e-mail to confirm whether your
> application has been received timely and validated successfully.

### Submission Problems -- What should you do?

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

If electronic submission is [optional]{.underline} and you have problems
that you are unable to resolve before the deadline date and time for
electronic applications, please follow the transmittal instructions for
hard copy applications in the Federal Register notice and get a hard
copy application postmarked by midnight on the deadline date.

If electronic submission is [required]{.underline}, you must submit an
electronic application before 4:30 p.m., unless you follow the
procedures in the Federal Register notice and qualify for one of the
exceptions to the electronic submission requirement [and]{.underline}
submit, no later than two weeks before the application deadline date, a
written statement to the Department that you qualify for one of these
exceptions. (See the Federal Register notice for detailed instructions.)

### Helpful Hints When Working with Grants.gov

Please note, once you download an application from Grants.gov, you will
be working offline and saving data on your computer. Please be sure to
note where you are saving the Grants.gov file on your computer. You will
need to logon to Grants.gov to upload and submit the application. **You
must provide on your application the DUNS number that was used when your
organization registered with the CCR.**

Please go to <http://www.grants.gov/applicants/applicant_help.jsp> for
help with Grants.gov. For additional tips related to submitting grant
applications, please refer to the Grants.gov Submit Application FAQs
found on the Grants.gov
<http://www.grants.gov/help/submit_application_faqs.jsp>.

### Dial-Up Internet Connections

When using a dial up connection to upload and submit your application,
it can take significantly longer than when you are connected to the
Internet with a high-speed connection, e.g. cable modem/DSL/T1. While
times will vary depending upon the size of your application, it can take
a few minutes to a few hours to complete your grant submission using a
dial up connection. If you do not have access to a high-speed connection
and electronic submission is required, you may want to consider
following the instructions in the Federal Register notice to obtain an
exception to the electronic submission requirement no later than two
weeks before the application deadline date. (See the Federal Register
notice for detailed instructions.)

### MAC Users

If you do not have a Windows operating System, you will need to use the
Citrix solution discussed on Grants.gov or a Windows Emulation program
to submit an application using Grants.gov. For additional information,
review the FAQs for non-windows users
[http://www.grants.gov/help/download_software.jsp -
pureedge](http://www.grants.gov/help/download_software.jsp#pureedge).
Also, to view the white paper for Macintosh users published by PureEdge
go to the following link:
<http://www.grants.gov/section678/PureEdgeSupportforMacintosh.pdf>,
and/or contact Grants.gov Customer Support
(<http://www.grants.gov/contactus/contactus.jsp>) for more information.
**If electronic submission is required and you are concerned about your
ability to submit electronically as a non-windows user, please follow
instructions in the Federal Register notice to obtain an exception to
the electronic submission requirement no later than two weeks before the
application deadline date.** (See the Federal Register notice for
detailed instructions.)

### Attaching Files -- Additional Tips

As described above applicants should not upload a Word 2007 (.docx) file
when attaching narrative files to their application. In addition, please
ensure that you only attach the Education approved file types detailed
in the Federal Register application notice (.doc, .pdf or .rtf).
Grants.gov cannot process an application that includes two or more files
that have the same name within a grant submission. Finally, when
attaching files, applicants should limit the size of their file names.
Lengthy file names could result in difficulties with opening and
processing your application. We recommend you keep your file names to
less than 50 characters.

# H - [INSTRUCTIONS FOR RESEARCH & RELATED (R & R) FORMS]{.underline}

**SF 424 Research and Related (R&R) Application Package**

The Institute requires applicants to use the SF 424 Research & Related
(R&R) forms to provide the necessary application information. OMB form
number 4040-0001 provides for the collection of information requested in
these forms.

> **[SF 424 R&R, Application for Federal Assistance]{.underline}**
>
> **[SF 424 R&R, Senior/Key Person Profile]{.underline}**

-   Biographical Sketches of Senior/Key Personnel [must]{.underline} be
    attached as .PDF files using this form. Please [do not attach a
    separate form]{.underline} for "Current and Pending Support".
    Include the current and pending support information as the **fifth
    page** of the biographical sketch.

> **[SF 424 R&R, Other Project Information]{.underline}**
>
> All of the following application documents [must]{.underline} be
> attached as .PDF files using this form**.**

-   Project Summary/Abstract

-   Project Narrative and Appendix A and, if needed, Appendix B

-   Research on Human Subjects Information

-   Bibliography and References Cited

-   Additional Biographical Sketches of Senior/Key Personnel (if more
    than eight sketches need to be uploaded using the Senior/Key Person
    Profile form)

-   SF 424 R&R Sub award Budget, if applicable

> **[SF 424 R&R, Project Performance Site Locations]{.underline}**
>
> **[SF 424 R&R, Total Federal and Non-Federal Budget (for each budget
> period)]{.underline}**
>
> Sections A & B
>
> Sections C, D & E
>
> Sections F-K

-   The Narrative Budget Justification must be attached as a .PDF file
    using **[Section K of Budget Period 1]{.underline}** of this form.

Prepare the file attachments in a word processing application according
to the format specifications in the **Fiscal Year 2009 Application
Package Highlights** included in Section E of this document. Then, save
each attachment in a separate .PDF file (a separate .PDF file for each
of the seven major attachments) with all required contents. **(Note: If
you are including scanned documents as part of your PDF file, please
scan them at 150 dpi \[using an 8-bit gray scale, if supported, and not
color\] to minimize the file size and thus expedite PDF file transfer
over the Internet.)**

**General Instructions for Completing Each Form**

Please note: An asterisk (\*) indicates [required]{.underline}
information. Complete all items having an asterisk. When you open a
required form, the fields that must be completed (asterisked) are
highlighted in yellow. Optional fields and completed fields are
displayed in white. If you enter invalid or incomplete information in a
field, you will receive an error message.

### [SF 424 Application for Federal Assistance]{.underline}

Please provide the information requested for items 1-20. Use the drop
down menus where they are provided. Guidance for completing selected
items follows. Because information on this form populates some items on
the other forms that follow, applicants should [complete this form
first]{.underline}.

***Item 1***

 ***Type of Submission.*** Enter "application".

***Items 2-4***

Applicants need not complete these items.

***Item 5***

*** Organizational DUNS.*** Enter the DUNS or DUNS+4 number of the
applicant organization. If the applicant does not have a DUNS number,
the applicant can obtain the number by calling: 1-800-333-0505 or by
completing the DUNS Number Request Form. The form can be obtained via
the Internet at the following URL:
[**http://www.dnb.com**](http://www.dnb.com/)

 ***Applicant Information.*** Enter all of the information requested,
including the legal name of the applicant, the name of the primary
organizational unit (e.g., school, department, division, etc.) that will
undertake the activity, and the address, including the county, of the
applicant. Use the drop down menus where they are provided.

 ***Person to Be Contacted on Matters involving this Application.***
Enter all of the information requested, including the name, telephone
and fax numbers, and email address of the person to be contacted on
matters involving this application. The role of this person is primarily
for communication purposes on the scientific and related budgetary
aspects of the project.

Use the drop down menus where they are provided.

***Item 6***

 ***Employer Identification Number (EIN) or Tax Identification Number
(TIN).*** Enter either the EIN or TIN as assigned by the Internal
Revenue Service.

***Item 7***

** *Type of Applicant.*** Use the drop down menu to select the type of
applicant. If other, please specify.

 ***Small Business Organization Type.*** Indicate whether or not the
applicant is a "women-owned" small business *--* a small business that
is at least 51% owned by a woman or women, who also control and operate
it. Indicate whether or not the applicant is a "socially and
economically disadvantaged" small business, as determined by the U.S.
Small Business Administration pursuant to section 8(a) of the Small
Business Act U.S.C. 637(a).

***Item 8***

 ***Type of Application.*** Indicate whether the application is a "new"
application or a "resubmission" of an application submitted under a
previous IES competition.

 ***Submission to other agencies.*** Indicate whether or not this
application is being submitted to another agency or agencies. If yes,
indicate the name of the agency or agencies.

***Item 9***

 N**ame of Federal Agency*.*** Applicants need not complete this item.
The name of the federal agency to which you are applying is already
entered on the form.

***Item 10***

 ***CFDA Number.*** Applicants need not complete this item. The CFDA
number of the program competition under which you are applying is
already be entered on the form. The CFDA number can be found in the
Federal Register Notice and on the face page of the Request for
Applications (RFA).

### *[Item 11]{.underline}*

 ***Descriptive Title of Project (Item 11).*** Enter in Item 11 a
descriptive title for the project and ***precede the descriptive
title*** ***with the*** []{#CodesTopandGoal .anchor}***codes for the
topic and the goal*** the application addresses. The table indicating
the codes for the topics and goals is included here. The maximum number
of characters allowed in this item field is 200.

![](media/image2.wmf)

**[Examples]{.underline}:**

If the application is a Goal 2 -- Development project under the Teacher
Quality-Reading and Writing topic, then precede the title of the
application with the codes "NCER-TQRW" and "G2". If the application is a
Goal 3 -- Efficacy and Replication project under the Social and
Behavioral Context for Academic Learning topic, then precede the title
of the application with the codes "NCER-SocBeh" and "G3".

**[Please note]{.underline}:** It is critical that applicants use the
appropriate codes in item/field 11 and that the topic and goal codes
shown in this field agree with the topic and goal you indicate in the
application abstract. Indicating the correct topic and goal will
facilitate the appropriate processing of your application. Failure to do
so may result in delays to processing.

***Item 12***

 ***Areas Affected by Project.*** List only the largest political
entities affected by the project (e.g., State, counties, cities)***.***

***Item 13***

 ***Proposed Project Start and End Dates.*** Enter the proposed start
date of the project and the proposed end date of the project.

***Item 14***

 ***Congressional District (s) Affected.*** For both the applicant and
the project***,*** enter the Congressional District in this format: 2
character State Abbreviation - 3 character District Number.

**[Examples]{.underline}:** CA-005 for California\'s 5th district,
CA-012 for California\'s 12th district.

If all districts in a state are affected, enter \"all\" for the district
number. Example: MD-all for all congressional districts in Maryland.

If nationwide (all districts in all states), enter US-all. If the
program/project is outside the US, enter 00-000.

***Item 15***

 ***Project Director/Principal Investigator Contact Information.**
Enter* all of the information requested for the Project
Director/Principal Investigator, including the position/title, name,
address (including county), organizational affiliation (e.g.,
organization, department, division, etc.), telephone and fax numbers,
and email address. Use the drop down menus where they are provided.

***Item 16***

***Estimated Project Funding (first budget period)***

 ***Total Estimated Project Funding.*** Enter the total Federal funds
requested for the **[first]{.underline}** funding/budget period.

 ***Total Federal & Non-federal Funds.*** Enter the total estimated
funds for the **[first]{.underline}** funding/budget period, including
both Federal and non-Federal funds.

 ***Estimated Program Income.*** Identify any program income estimated
for the project, if applicable.

***Item 17***

 ***Executive Order 12372.*** IES is not soliciting applications that
are subject to review by Executive Order 12372, therefore applicants may
check "no" on this item.

***Items 18 and 19***

***Authorized Representative Information***

 Enter all information requested for the Authorized Representative
(AR), including the name, title, organizational affiliation (e.g.,
organization, department, division, etc.), address, telephone and fax
numbers, and email address of the Authorized Representative. Use the
drop down menus where they are provided.

The Authorized Representative is the official who has the authority both
to legally commit the applicant to accept federal funding and to execute
the proposed project.

The AR should refer to "Additional Forms" in Section E for information
about the [certifications and assurances](#AddForms) the applicant must
submit.

### [R&R Project/Performance Site Locations]{.underline}

 Enter all information requested for the primary site where the work
will be performed. If a portion of the project will be performed at any
other site(s), enter the additional information for the other site(s) by
using the "next site" button. There is no system limit on the number of
site locations one project may include.

### 

### [R&R Other Project Information]{.underline} 

Please provide the information requested for the following items.

***Item 1***

 ***Are Human Subjects Involved?*** If activities involving human
subjects are planned at any time during the proposed project at any
performance site or collaborating institution, check "yes". Check "yes"
even if the proposed project is exempt from Regulations for the
Protection of Human Subjects. If there are no activities involving human
subjects planned at any time during the proposed project at any
performance site or collaborating institution, check "no" and skip to
the next item.

 ***Is the IRB Pending?*** If you checked "yes" to the question "Are
Human Subjects Involved?", then indicate whether or not the
Institutional Review Board (IRB) review is pending.

 ***IRB Approval Date.*** If the IRB review is pending, check "yes" and
leave the IRB approval date blank. Or, enter the latest IRB approval
date if the date is available.

 ***Exemption Number(s).*** If all human subject activities are exempt
from the Human Subjects regulations, enter the exemption number(s)
corresponding to one or more of the exemption categories. The six
categories of research that qualify for exemption from coverage by the
regulations are explained in [Protection of Human Subjects in
Research](#researchhumsubjs), Section J of this application Instructions
package.

 ***Human Subject 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 Department of Education 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.

***Provide Exempt Research Narrative.*** If you checked "Yes" to the
question "Are Human Subjects Involved?" and designated an exemption
numbers(s), then you must provide "exempt research" narrative. The
narrative must contain sufficient information about the involvement of
human subjects in the proposed research to allow a determination by the
Department that the designated exemption(s) are appropriate. The
narrative must be succinct. If you are including scanned documents as
part of your PDF file, please scan them at the lowest resolution to
minimize the size of the file and expedite the upload process.

Attach the Exempt Research Narrative as a .PDF file at Item 11 of this
form

***Provide Non-Exempt Research Narrative.*** If some or all of the
planned research activities are covered by (not exempt from) the Human
Subjects Regulations, an applicant must provide "nonexempt research"
narrative. The narrative must address seven points: 1) Human Subjects
Involvement and Characteristics; 2) Sources of Materials; 3) Recruitment
and Informed Consent; 4) Potential Risks; 5) Protection Against Risk; 6)
Importance of the Knowledge to be Gained; and 7) Collaborating Sites..
Although no specific page limitation applies to this section of the
application, please be succinct. If you are including scanned documents
as part of your PDF file, please scan them at the lowest resolution to
minimize the size of the file and expedite the upload process.

Attach the Non-exempt Research Narrative as a .PDF file at Item 11 of
this form.

[]{#NOTERHSAPPROVAL .anchor}**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]{.underline}
after the formal request.

See the instructions below under Item 11 for attaching the Exempt
Research Narrative or the Non-Exempt Research Narrative

***Item 2***

[]{.mark}

 ***Are Vertebrate Animals used?*** Please answer this question.

***Item 3***

 ***Is proprietary/privileged information provided in the
application?*** Is proprietary/privileged information included in the
application? Patentable ideas, trade secrets, privileged or confidential
commercial or financial information, disclosure of which may harm the
applicant, should be included in applications only when such information
is necessary to convey an understanding of the proposed project. If the
application includes such information, check "yes" and clearly mark each
line or paragraph on the pages containing the proprietary/privileged
information with a legend similar to: \"The following contains
proprietary/privileged information that (name of applicant) requests not
be released to persons outside the Government, except for purposes of
review and evaluation."

***Item 4***

[]{.mark}

 ***Does this project have an actual or potential impact on the
environment?*** Please answer this question.

***Items 5a and 5b***

 ***Does the project involve activities outside the U.S. or partnership
with international collaborators.*** Indicate whether or not this
project involves activities outside of the United States or partnerships
with international collaborators. If "yes", then identify the countries
with which international cooperative activities are involved.

***Item 6. [Project Summary/Abstract](#AttSUM).***

***Attach the Project Summary/Abstract as a .PDF file here.***

***Item 7. [Project Narrative, Appendix A, and Appendix B](#AttNARR)**.*

***Attach the Project Narrative, Appendix A, and Appendix B in the same
.PDF file here.***

***Item 8. [Bibliography and References Cited](#AttBIBLIO).***

***Attach the Bibliography and References Cited as a .PDF file here.***

***Item 9. Facilities and Other Resources***

**[IES does not want an attachment here]{.underline}. However, you may
provide explanatory information about facilities and other resources in
the narrative budget justification. Remember that the RFA requires the
applicant to** address \"Resources\" in the Project Narrative section of
the application. The RFA requirement is:

\"d. Resources. Applicants must include in the research narrative a
brief description of resources available to support the project at the
applicant's institution and in the field settings in which the research
will be conducted to be compliant with the requirements of the Request
for Applications.\"

***Item 10. Equipment***

[IES does not want an attachment here]{.underline}. However, you may
provide explanatory information about equipment the narrative budget
justification.

***Item 11*.** This item allows [multiple]{.underline} attachments.

***Item 11. [Research on Human Subjects Narrative](#AttRHS)*.**

***Attach either the Exempt Research on Human Subjects Narrative or the
Non-Exempt Research on Human Subjects Narrative as a .PDF file here.***

If you are including scanned documents as part of your PDF files, please
scan them at the lowest resolution to minimize the size of the file and
expedite the upload process.

***Item 11. [R&R Sub award
Budget.](http://ies.ed.gov/funding/xls/FY09subaward_budget.xls)***

***Attach the sub award spreadsheet(s) as a .PDF file here.***

***Item 11. Additional Biographical Sketches (if needed)***

As noted below, the Senior/Key Person Profile Form allows for the
attachment of a total of eight (8) biographical sketches. If you need to
identify more than eight senior/key staff and thus need to upload the
biographical sketches for these individuals, then you may attach that
information, i.e., the additional biographical sketches, in a separate
.PDF file here at **Item 11** of the "Other Project Information" form.

### [R&R Senior/Key Person Profile]{.underline}

 ***Senior/Key Person Profile.*** For each senior/key person enter all
of the information requested, including the name, address (including
county), organizational affiliation (e.g., organization, department,
division, etc.), telephone and fax numbers, email address, and project
role(s). Use the drop down menus where they are provided.

For each Senior/Key Person, attach a [***Biographical
Sketch***](#AttBIO) (including information about current and pending
support) as a .PDF file here. Note the specific requirements for
biographical sketches. Each Biographical Sketch/curriculum vitae is
limited to 5 pages and should include information sufficient to
demonstrate that the individuals proposed possess training and expertise
commensurate with their duties. The **fifth page** of the curriculum
vitae should list current and pending grants with the proportion of the
individual\'s time allocated to each project.

This form will allow for the attachment of eight (8) biographical
sketches.

### [R&R Total Federal and Non-Federal Budget]{.underline}

-   ***Sections A & B***

-   ***Sections C, D & E***

-   ***Sections F-K***

The R&R Total Federal and Non-Federal Budget form consists of three
sections: Sections A & B; Sections C, D & E; and Sections F-K.
Applicants must complete each of these sections for as many budget
periods as they are requesting funds and attach the narrative budget
justification at Section K.

Enter the Federal Funds requested for all budget line items as
instructed below. *If any Non-Federal funds will be contributed to the
project, enter the amount of those funds for the relevant budget
categories in the spaces provided*.

***Budget Period Information***

 Enter the start date and the end date for particular budget period.
The system permits data entry for up to five budget periods.

***Budget Section A. Senior/Key Personnel and Section B. Other Personnel
Information***

Senior/key personnel names will be pre-populated here from the
information entered above on the Senior/Key Person Profile Information.

 ***Senior/Key Personnel.*** Enter all of the information requested for
each of the senior/key personnel, including the project role of each and
the number of months each will devote to the project, i.e., calendar,
academic, summer. We request that you enter the annual compensation
(base salary \$) paid by the employer for each senior/key person;
however, you may choose to leave this column blank. Regardless of the
number of months devoted to the project, indicate only the amount of
salary being requested for each budget period for each senior/key
person. Enter applicable fringe benefits, if any, for each senior/key
person. Enter the Federal \$ and, if applicable, the Non-Federal \$.

 ***Other Personnel.*** Enter all of the information requested for each
project role listed -- for example Post Doctoral Associates, Graduate
Students, Undergraduate Students, Secretary/Clerical, etc. -- including,
for each project role, the number of personnel proposed and the number
of months devoted to the project; i.e., calendar, academic, summer.
Regardless of the number of months devoted to the project, indicate only
the amount of salary/wages being requested for each project role. Enter
applicable fringe benefits, if any, for each project role category.
Enter the Federal \$ and, if applicable, the Non-Federal \$.

***Budget Sections A + B. (Total Salary, Wages, and Fringe Benefits.
[This total will auto calculate]{.underline}.)***

***Budget Section C. Equipment, Section D. Travel, and Section E.
Participant/Trainee Costs***

 ***Equipment.*** Enter all of the information requested for Equipment.
Equipment is defined as an item of property that has an acquisition cost
of \$5,000 or more (unless the organization has established lower
levels) and an expected service life of more than one year. List each
item of equipment separately and justify each in the narrative budget
justification section. Allowable items ordinarily will be limited to
research equipment and apparatus not already available for the conduct
of the work. General-purpose equipment, such as a personal computer, is
not eligible for support unless primarily or exclusively used in the
actual conduct of scientific research. Enter the Federal \$ and, if
applicable, the Non-Federal \$.

 ***Travel.*** Enter all of the information requested for Travel.

Enter the total funds requested for domestic travel. Domestic travel
includes Canada, Mexico and US Possessions. In the budget justification
section, include the purpose, destination, dates of travel (if known)
and number of individuals for each trip. If the dates of travel are not
known, specify the estimated length of the trip (e.g., 3 days).

Enter the total funds requested for foreign travel. Foreign travel
includes any travel outside of North America and/or US Possessions. In
the budget justification section, include the purpose, destination,
dates of travel (if known) and number of individuals for each trip. If
the dates of travel are not known, specify the estimated length of the
trip (e.g., 3 days). Enter the Federal \$ and, if applicable, the
Non-Federal \$.

 ***Participant/Trainee Support Costs.*** If applicable to the project
proposed, enter the funds requested for Participant/Trainee Support
Costs, by category.

***Budget Section F Other Direct Costs \-- Section J. Fee***

***Budget Section F Other Direct Costs.*** Enter all of the information
requested under the various cost categories. Enter the Federal \$ and,
if applicable, the Non-Federal \$.

 ***Other Direct Costs -- Materials and Supplies.*** Enter the total
funds requested for materials and supplies. In the budget justification,
indicate the general categories of supplies, including an amount for
each category. Categories less than \$1,000 are not required to be
itemized.

 ***Other Direct Costs -- Publication Costs.*** Enter the total
publication funds requested. The proposal budget may request funds for
the costs of documenting, preparing, publishing or otherwise making
available to others the findings and products of the work conducted
under the award. In the budget justification include supporting
information.

 ***Other Direct Costs -- Consultant Services.*** Enter the total costs
for all consultant services. In the budget justification, identify each
consultant, the services he/she will perform, total number of days,
travel costs, and total estimated costs.

 ***Other Direct Costs -- ADP/Computer Services.*** Enter the total
funds requested for ADP/computer cervices. The cost of computer
services, including computer-based retrieval of scientific, technical,
and education information may be requested. In the budget justification,
include the established computer service rates at the proposing
organization if applicable.

 ***Other Direct Costs -- Sub award/Consortium/Contractual Costs.***
Enter the total funds requested for: 1) all sub award/consortium
organization(s) proposed for the project and 2) any other contractual
costs proposed for the project. Use the [Excel spreadsheet
template](http://ies.ed.gov/funding/xls/FY09subaward_budget.xls) at the
IES web site to provide the detailed cost information for the sub award
budget(s). Convert this information to a .PDF file and attach it at Item
11 of the Other Project Information form.

 ***Other Direct Costs -- Equipment or Facility Rental/User Fees.***
Enter the total funds requested for equipment or facility rental/user
fees. In the budget justification, identify each rental user fee and
justify.

 ***Other Direct Costs -- Alterations and Renovations.*** Enter the
total funds requested for alterations and renovations. In the budget
justification, itemize by category and justify the costs of alterations
and renovations including repairs, painting, removal or installation of
partitions, shielding, or air conditioning. Where applicable, provide
the square footage and costs.

 ***Other Direct Costs -- Other.*** Describe any other direct costs in
the space provided and enter the total funds requested for this "other"
category of direct costs. Use the budget justification to further
itemize and justify.

***Budget Section G. Direct Costs***

***(Total Direct Costs (A thru F). [This total will auto
calculate]{.underline}.)***

***Budget Section H. Indirect Costs***

 ***Indirect Costs.*** Enter all of the information requested for
Indirect Costs. Remember that if you are requesting reimbursement for
indirect costs, this information is to be completed by your Business
Office.

 ***Indirect Cost Type.*** Indicate the type of base; e.g., Salary &
Wages, Modified Total Direct Costs, Other (explain). Also indicate if
Off-site. If more than one rate/base is involved, use separate lines for
each. If you do not have a current indirect rate(s) approved by a
Federal agency, indicate \"None\--will negotiate\" and include the
information for a proposed rate. Use the budget justification if
additional space is needed.

 ***Indirect Cost Rate (%).*** Indicate the most recent Indirect Cost
rate(s) (also known as Facilities & Administrative Costs \[F&A\])
established with the cognizant Federal office, or in the case of
for-profit organizations, the rate(s) established with the appropriate
agency.

If you have a cognizant/oversight agency and are selected for an award,
you must submit your indirect rate proposal to that office for approval.
If you do not have a cognizant/oversight agency,
[contact](http://www.ed.gov/about/offices/list/ocfo/fipao/icgreps.html)
the awarding agency.

 ***Indirect Cost Base.*** Enter the amount of the base (\$) for each
indirect cost type.

 ***Indirect Cost Funds Requested.*** Enter the funds requested
(Federal \$ and, if applicable, the Non-Federal \$) for each indirect
cost type.

 ***Indirect Costs Cognizant Agency.*** Enter the name of the Federal
agency responsible for approving the indirect cost rate(s) for the
applicant. If a Cognizant Agency is not known, enter "None".

 ***Indirect Costs POC Name and Telephone Number.*** Enter the name and
telephone number of the individual responsible for negotiating your
indirect cost rate.

***NOTE:*** Depending on the grant program to which you are applying
and/or your approved Indirect Cost Rate Agreement, some direct cost
budget categories in your grant application budget may not be included
in the base and multiplied by your indirect cost rate. Use the budget
justification to explain which costs are included and which costs are
excluded from the base to which the indirect cost rate is applied. If
you are selected for an award, IES will request a copy of your approved
Indirect Cost Rate Agreement.

When calculating indirect costs for \"Training Grants\" or grants under
\"Restricted Rate\" programs, you must refer to the information and
examples on the Department of Education's website at
<http://www.ed.gov/about/offices/list/ocfo/fipao/icgindex.html> You may
also contact (202) 377-3838 for additional information regarding
calculating indirect cost rates or general indirect cost rate
information.

***Budget Section I. Total Direct and Indirect Costs***

***(Total Direct and Indirect Costs. (G +H) [This total will auto
calculate]{.underline}.)***

***Budget Section J. Fee.***

Generally, a fee is not allowed on a grant or cooperative agreement.

***Budget Section K.***

[***Narrative Budget Justification***](#AttBUDGJUS)

***Attach the Narrative Budget Justification as a .PDF file here***.
Provide the attachment at Section K of the [first budget
period]{.underline}. This narrative should provide a budget
justification for [each year of the entire project]{.underline}.

[]{.mark}

If you are including scanned documents as part of your .PDF file, please
scan them at the lowest resolution to minimize the size of the file and
expedite the upload process.

***(Cumulative Budget. This section will auto calculate all cost
categories for all budget periods included.)***

# I - [AUTHORIZING LEGISLATION]{.underline}

The authority to award grants and cooperative agreements for the
education research competitions published in this package is established
in the following law:

Link to IES authority for NCER competitions:

20 U.S.C. 9501 et seq., [[the "Education Sciences Reform Act of 2002,"
Title I of Public Law 107-279, November 5,
2002.]{.underline}](http://frwebgate.access.gpo.gov/cgi-bin/getdoc.cgi?dbname=107_cong_public_laws&docid=f:publ279.107.pdf)

# [J -]{.underline} [PROTECTION OF HUMAN SUBJECTS IN RESEARCH]{.underline}

**Protection of Human Subjects in Research**

[]{#researchhumsubjs .anchor}**U. S. Department of Education**

**I. Definitions and Exemptions**

**A. Definitions.**

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

---**Research**

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

**---Human Subject**

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

B. Exemptions.

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

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

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

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

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

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

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

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

If an applicant checks "Yes" to the question "Are Human Subjects
Involved?", then the applicant must provide either a human subjects
"exempt research" narrative or a "nonexempt research" narrative.

**A. Exempt Research Narrative**

If an applicant checks "Yes" to the question "Are Human Subjects
Involved?" and designates an exemption numbers(s), then the applicant
must provide "exempt research" narrative. The narrative must contain
sufficient information about the involvement of human subjects in the
proposed research to allow a determination by the Department that the
designated exemption(s) are appropriate. The narrative must be succinct.

**B. Nonexempt Research Narrative**

If some or all of the planned research activities are covered (not
exempt) from the Human Subjects Regulations, an applicant must provide
"nonexempt research" narrative. The narrative must address the following
seven points. Although no specific page limitation applies to this
section of the application, be succinct.

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

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

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

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

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

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

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

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

**Paperwork Burden**

According to the Paperwork Reduction Act of 1995, no persons are
required to respond to a collection of information unless it displays a
valid OMB control number. The valid OMB control number for this
information collection is 4040-0001. The time required to complete this
information collection is estimated to average 40 hours per response,
including the time to review instructions, search existing data
resources, gathering and maintaining the data needed, and completing and
reviewing the collection of information.

Under terms of the Paperwork Reduction Act of 1980, as amended, and the
regulations implementing that Act, the Department of Education invites
comment on the public reporting burden in this collection of
information. You may 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, Institute
of Education Sciences, Attn: Ms. Elizabeth Payer, 555 New Jersey Avenue,
NW, Suite 602, Washington, D.C. 20208 or by email to
<elizabeth.payer@ed.gov>.