Safe Schools/Healthy Students (1890-0001)

SSHS Instructions FY08FINAL_TRACKED CHANGES

Safe Schools/Healthy Students (1890-0001)

OMB: 1865-0004

⚠️ Notice: This form may be outdated. More recent filings and information on OMB 1865-0004 can be found here:

2007-12-27 - No material or nonsubstantive change to a currently approved collection

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V. General Application Instructions
and Information

Preparing the Application

A completed application for assistance under this competition consists of two parts: (1) a detailed narrative description of the proposed project and budget and (2) all forms and assurances that must be submitted in order to receive a grant. An application under this program should address the specific needs of the applicant and propose activities specifically designed to meet those needs. We strongly discourage applicants from using “form” applications or proposals that address general rather than specific local needs. Identical or substantially similar applications are not responsive to the scoring criteria.

A panel of non-Federal readers with experience in one or more fields (ATOD abuse prevention; violence prevention; mental health; early childhood development; and evaluation) will review each eligible application submitted by the deadline. The panel will award points ranging from 0 to 100 to each application, depending on how well the selection criteria are addressed. Be sure you provide a comprehensive response to each selection criterion. Applications that fail to do so will be read, but our experience suggests they may not score well enough to be funded.

After external readers score the application on a scale of 0 to 100, Federal staff will assign the additional five points to those novice applicants that are eligible for competitive preference.

If you apply via Grants.gov, you will use the following Grants.gov narrative forms:

ED Abstract Form
Project Narrative Attachment Form
Other Attachments Form
Budget Narrative Attachment Form

The ED Abstract Form is where you will attach your program abstract.

The Project Narrative Attachment Form is where you will attach the narrative sections portion addressing the selection criteria that will be used to evaluate applications submitted for this grant competition.

The Other Attachments Form is where you will attach proposal appendixes, including the preliminary MOA, logic model, and program-specific assurances. The Grants.gov system will allow applicants to attach as many as 10 separate appendixes in this section.

The Budget Narrative Attachment Form is where you will attach the detailed (itemized) line item budgets for Elements 1, 2, and 3 and Elements 4 and 5 (four budgets representing each of the four 12-month budget periods, for a total of eight detailed budgets). You will also attach the ED Form 524.

The Budget Narrative Attachment Form is where you will attach a detailed line item budget and any supplemental budget information.

If you submit your proposal via Grants.gov, you will use your own word-processing software to complete the application for this grant competition.

D-U-N-S Number Instructions

All applicants must obtain and use a D-U-N-S number, and all applicants applying through Grants.gov must register with Grants.gov. The D-U-N-S number used on the application must be the same number that the applicant’s organization used to register with Grants.gov. If the numbers are not the same, Grants.gov will reject the application.

The D-U-N-S number is a unique nine-digit number that does not convey any information about the recipient. A built-in check digit helps to ensure the accuracy of the D-U-N-S number. The ninth digit of each number is the check digit, which is mathematically related to the other digits. It lets computer systems determine if a D-U-N-S number has been entered correctly.

You can obtain a D-U-N-S number at no charge by calling 1–800–333–0505 or by completing the D-U-N-S Number Request Form available online at www.dnb.com/US/duns_update/index.html. Dun & Bradstreet, a global information provider, has assigned D-U-N-S numbers to more than 43 million companies worldwide. Customer service is available Monday through Friday from 8:00 a.m. to 6:00 p.m. (Washington, DC time) at 1–888–814–1435.

Organizing the Application

Supplemental Instructions for Standard Form 424

1. Application for Federal Assistance (Standard Form 424): Use the Application for Federal Assistance and the Department of Education Supplemental Information for Standard Form 424. This is the title page of your application. Be sure that Item 10 identifies the CFDA number for this grant competition: 84.184L and the Title: Safe Schools/Healthy Students.

Under Item 3 in the ED Supplemental Information, indicate whether the proposed project includes human subjects research activities, and if so, whether any or all of the proposed activities are exempt. For additional guidance, see instructions for ED Supplemental Information in the required forms section of this application package or call ED’s protection of human subjects coordinator at 202–245–6153.

If you submit your proposal for this grant competition via Grants.gov, please complete the Standard Form 424 (Application for Federal Assistance) first. Grants.gov will insert the correct CFDA and program name automatically where needed.

If you submit your proposal in paper format by mail or hand delivery, you will need to insert the correct CFDA number and program name where requested.

2. Abstract: Include a concise, one-page, single-spaced abstract following the table of contents. This is a key element and should include a brief narrative summary of the project goals and objectives and the intended outcomes of the project. Clearly mark this page with the applicant’s name as shown in Item 1 of Standard Form 424. If you submit your application via Grants.gov, attach this document to the ED Abstract Attachment Form.

3. Project Narrative: There is a 40-page limit placed on the program narrative section of the SS/HS application. The program narrative is where you, the applicant, address the selection criteria that reviewers use to evaluate your application. This narrative is also considered to be your SS/HS comprehensive plan. All applicants must adhere to the following formatting guidelines and standards:

A page is 8.5” x 11”, on one side only, with 1” margins at the top, bottom, and on both sides.
Double space (no more than three lines per vertical inch) all text in the application narrative. Titles, headings, footnotes, quotations, references, and captions, as well as text in charts, tables, figures, and graphs, can be single spaced.
Use a font that is either 12 points or larger or no smaller than 10 pitch (characters per inch).
Use one of the following fonts: Times New Roman, Courier, Courier New, or Arial.
Number all pages consecutively using the style 1 of 40, 2 of 40, and so forth.
Include a Table of Contents with page references. The 40-page limit does not apply to the Table of Contents.

Our reviewers will not read any pages of the narrative portion of your application that exceed the page limit.

These requirements are designed to prevent any applicant from gaining an unfair competitive advantage by providing a more extensive discussion than the requirements permit. These requirements also facilitate evaluation of applications by peer reviewers by ensuring that applications are readable.

Do not attach anything to the application that cannot be photocopied using an automatic process, that is, anything stapled, folded, pasted, or in a size other than 8.5 inches by 11 inches on white paper.

If you submit your application via Grants.gov, attach this document to the Project Narrative Attachment Form.

4. Budget: Use the Budget Information Form (ED Form 524) provided in the required forms section of this application package to prepare the budgets for the project. Applicants will need to prepare two sets detailed budgets for each of the four 12-month budget periods to complete the ED Form 524. The first set (one for each of the four 12-month budget period) represents funds needed to support program Elements One, Two, and Three. The second set (one for each of the four 12-month budget period) represents funds needed to support program Elements Four and Five. The detailed budgets should use the same budget categories that are on the ED Form 524 – personnel, fringe benefits, travel, equipment, supplies, contractual, construction, other, indirect, and training.

When completing the ED Standard Form 524, the sum of the two detailed budgets should be entered for the appropriate budget category. For example, if the year total for personnel for Elements 1, 2, and 3 is $500,000 and the year 1 total for personnel for Elements 4 and 5 is $450,00 then $950,000 should be entered for year 1 personnel on the ED Standard Form 524. Failure to complete a Project Year column and provide the supporting detailed budget will result in no funding for those years.

The detailed budgets should provide the basis used to estimate costs for all budget categories and should provide enough detail (for example the cost per unit, per staff, per month) for ED staff to easily understand how costs were determined and if the budget is commensurate with the scope of the project.

All expenditures must be necessary to carry out the goals and objectives of the project, reasonable for the scope and complexity of the project, and allowable under the terms and conditions of the grant and in accordance with government cost principles. At a minimum, the following should be included in each of the four 12-month budgets:

Salary for a full-time project director.
Travel for at least three but no more than five individuals (including the project director and representatives from the required SS/HS partners) to attend an annual national SS/HS conference. Grant funds may be used to pay all expenses associated with attending these meetings.
Travel for the project director to attend two 3-day meetings to be determined by the Federal SS/HS partners. Grant funds may be used to pay all expenses associated with attending these meetings.
At least 7 percent of the total of each grant year for local evaluation. SS/HS projects are unusually complex and require a broad range of evaluation activities, including process, formative, and outcome evaluations in order to supply the information needed for effective management and project improvement.
No more than 10 percent of the total of each grant year allotted for security equipment, security personnel, or minor remodeling related to security. (See page 22 for more instructions on this cap.)

For this grant competition, you may charge indirect costs using the rate negotiated with your cognizant Federal agency (for example, Department of Education, Department of Health and Human Services, or Department of the Interior). Be sure to include evidence of a federally negotiated indirect cost rate. Individuals who apply for any grant competition through ED are not allowed to budget for an indirect cost rate. If you budget for contractual services, please note that indirect costs may be applied only to the first $25,000 of each contract.

You are encouraged to give priority to direct services to students by limiting the indirect costs charged to the project. You will not be penalized for failure to reduce indirect costs nor will you gain competitive advantage if you do.

If you claim indirect costs in the budget for your proposed project and do not have a negotiated rate with the Federal Government, you have 90 days from the time you transmit your application to submit the necessary paperwork to the Department to receive a negotiated indirect cost rate. For more information about indirect cost rates, visit www.ed.gov/about/offices/list/ocfo/intro.html.

If you submit your application via Grants.gov, attach these documents to the Budget Narrative Attachment Form.

Note: There are no requirements for non-Federal matching funds. No matching or in-kind contributions are required under the SS/HS grant program. Applicants who propose to address part (or parts) of their SS/HS comprehensive plan with matching or in-kind contributions must complete a second ED 524Form and InstructionsBudget Information, Non-Construction Programs. Applicants that receive grant awards under this program and proposed matching contributions are expected to provide the funds described in their application.

4. Budget and Budget Narrative: Use the Budget Information Form (ED Standard Form 524) provided in the required forms section of this application package to prepare the budgets for the project. Applicants must submit two (2) copies of the budget ED Standard Form 524 and two (2) copies of the budget narratives for each of the project’s four 12-month periods. The first budget narrative should represent funds needed to support program Elements One, Two, and Three. The second budget narrative should represent funds needed to support program Elements Four and Five. The budget narratives should contain the same budget categories as the ED Standard Form 524 and provide detailed information on how costs were calculated.

Two budgets must be submitted for each year in which funds are requested (4 years). Failure to supply any of the two budgets and supporting narrative for each of the 4 years of the project will result in no funding for those years.

You must include a detailed budget narrative that supports and explains the information provided in ED Standard Form 524. Use the same budget categories as the ED Standard Form 524 and explain the basis used to estimate costs for all budget categories and how the cost items relate to the proposed project’s goals, objectives, and activities. All expenditures must be necessary to carry out the goals and objectives of the project, reasonable for the scope and complexity of the project, and allowable under the terms and conditions of the grant and in accordance with government cost principles.

The Budget Information Form and accompanying narrative should provide enough detail for ED staff to easily understand how costs were determined and if the budget is commensurate with the scope of the project. Applicants must submit separate detailed budgets for each year as shown on the Budget Information Form. At a minimum, the following should be included in each of the four 12-month budgets:

Salary for a full-time project director.

Travel for at least three but no more than five individuals (including the project director and representatives from the required SS/HS partners) to attend an annual national SS/HS conference. Grant funds may be used to pay all expenses associated with attending these meetings.

Travel for the project director to attend two 3-day meetings to be determined by the Federal SS/HS partners. Grant funds may be used to pay all expenses associated with attending these meetings.

At least 7 percent of the total of each grant year for local evaluation. SS/HS projects are unusually complex and require a broad range of evaluation activities, including process, formative, and outcome evaluations in order to supply the information needed for effective management and project improvement.

No more than 10 percent of the total of each grant year allotted for security equipment, security personnel, or minor remodeling related to security. (See page 22 for more instructions on this cap.)

If you submit your application via Grants.gov, attach this document to the Budget Narrative Attachment Form.

5. Appendixes: Below is a list and order of required appendixes. If you submit your application via Grants.gov, the Other Attachments Form is where you will attach required forms and supplemental documents for the program. The Grants.gov system allows for only 10 separate attachments. Therefore, you may combine some of the supplemental documents into a single document to attach to this section. If you submit your application in paper format via mail or hand delivery, you must submit the completed and signed forms with your application.

The following items are part of the appendixes and should be included:

Attachment A—Preliminary MOA with the attached logic model
Attachment B—Program-Specific Assurance for Competitive Preference or Program-Specific Assurance for Eligibility for Former SS/HS Grant Recipients
Attachment C—NCES District Information Page
Attachment D—Budget Information
Attachment E—Position Descriptions/Resumes/Timelines
Attachment F—Department of Education and Other Federal Administrative Requirements

Department of Education Supplemental Form for the Standard Form 424
GEPA 427, Equitable Access to and Participation in Federally Assisted Programs
Equitable Participation of Private Schools Statement
Maintenance of Effort Statement
Letter of Transmittal to State Single Point of Contact (if your State participates)
Proof of Federal Negotiated Indirect Cost Rate (if you are claiming Indirect Costs)
Assurance, Non-Construction Programs (Standard Form 424B)
Grants.gov Lobbying Form (formerly ED Form 80-0013)

Note: If Item 2 of the Grants.gov Lobbing Form applies because of lobbying activities related to a previous grant, or are anticipated to occur with this project, if funded, you must submit Standard Form LLL. If your organization does not engage in lobbying, please submit Standard Form LLL and indicate “Not Applicable.”

Disclosure of Lobbying Activities (Standard Form LLL)
Statement Regarding Confidentiality and Participant Protection (DHHS)

If you are submitting an electronic application, in addition to the above stated required attachments, you must attach the Application for Federal Assistance —Standard Form 424. All forms that require a signature must be completed, signed, and faxed to the Office of Safe and Drug-Free Schools at 202-260-7767 within 3 working days of submitting your electronic application.

The following items are not part of the appendixes and must not be included in the appendixes:

Budget or program narrative information that the applicant wishes to have reviewed as part of its response to one or more scoring criteria. All such information must be included in the narrative portion of the application.
Videotapes, CD-ROMs, photographs, or floppy disks. These items will not be reviewed or returned to the applicant.

Application Preparation Checklist for Paper Format

Application for Federal Assistance (Standard Form 424) is completed according to the instructions and includes the nine-digit D-U-N-S number and tax identification number.

All required forms are signed in black or blue ink and dated by an authorized official, and the signed original is included with your submission.

One signed original and two copies of the application, including all required forms and appendixes plus one voluntarily submitted additional copy, are included. All copies are unbound, and each page is consecutively numbered.

Deadline Date: June 19, 2007. See sections I and IV of this application package for complete application transmittal instructions and general application instructions and information.

EACH PAPER FORMAT COPY OF THE APPLICATION MUST INCLUDE THE FOLLOWING:

Application for Federal Assistance (Standard Form 424)
Department of Education Supplemental Information Form for the Standard Form 424
Project Abstract (one single-spaced page maximum)
Project Narrative (up to 40 pages using formatting guidelines and standards on page 98)
Application Attachments

Attachment A—Preliminary MOA with the attached logic model

Attachment B—Program-Specific Assurance for Competitive Preference or Program-Specific Assurance for Eligibility for Former SS/HS Grant Recipients

Attachment C—NCES District Information Page

Attachment D—Budget Information

Attachment E—Position Descriptions/Resumes/Timelines

Attachment F—Department of Education and Other Federal Administrative Requirements

GEPA 427, Equitable Access to and Participation in Federally Assisted Programs
Equitable Participation of Private Schools Statement
Maintenance of Effort Statement
Letter of Transmittal to State Single Point of Contact (if your State participates)
Proof of Federal Negotiated Indirect Cost Rate (if you are claiming Indirect Costs)
Assurance, Non-Construction Programs (Standard form 424B)
Grants.gov Lobbying Form (formerly ED Form 80-0013)

Note: If Item 2 of the Grants.gov Lobbing Form applies because of lobbying activities related to a previous grant, or are anticipated to occur with this project, if funded, you must submit Standard Form LLL. If your organization does not engage in lobbying, please submit Standard Form LLL and indicate “Not Applicable.”

Disclosure of Lobbying Activities (Standard Form LLL)
Statement Regarding Confidentiality and Participant Protection (DHHS)

Application Preparation Checklist for Electronic Format

Application for Federal Assistance (Standard Form 424) is completed according to the instructions and includes the nine-digit D-U-N-S number and tax identification number.

All required forms are signed in black or blue ink and dated by the required authorized representative. You can either upload the signed forms to the Other Attachment Form in Grants.gov or fax them to the Office of Safe and Drug-Free Schools at 202-260-7767 within 3 working days of submitting your electronic application. All forms must be faxed by June 19, 2007. If funded, all documents with original signatures must be presented to the Department within 3 working days of award.

Deadline Date: June 19, 2007. See Sections I and IV of this application package for complete application transmittal instructions and general instructions and information.

EACH ELECTRONIC COPY OF THE APPLICATION MUST INCLUDE THE FOLLOWING:

A one page, single-spaced abstract—Attached to the ED Abstract Form

Project Narrative, up to 40 pages using the formatting guidelines and standards on page 98—Attached to the ED Project Narrative Attachment Form

SS/HS Project Attachments—Attached to the Other Attachments Form

Attachment A—Preliminary MOA with the attached logic model

Attachment B—Program-Specific Assurance for Competitive Preference or Program-Specific Assurance for Eligibility for Former SS/HS Grant Recipients

Attachment C—NCES District Information Page

Attachment D—Budget Information

Attachment E—Department of Education and Other Federal Administrative Requirements

Application for Federal Assistance (Standard Form 424)
Department of Education Supplemental Form for the Standard Form 424
GEPA 427, Equitable Access to and Participation in Federally Assisted Programs
Equitable Participation of Private Schools Statement
Maintenance of Effort Statement
Letter of Transmittal to State Single Point of Contact (if your State participates)
Proof of Federal Negotiated Indirect Cost Rate (if you are claiming Indirect Costs)
Assurance, Non-Construction Programs (Standard Form 424B)
Grants.gov Lobbying Form (formerly ED Form 80-0013)

Disclosure of Lobbying Activities (Standard Form LLL)
Statement Regarding Confidentiality and Participant Protection (DHHS)

Reminder: The Grants.gov system will allow applicants to attach only 10 separate appendixes to this attachment form. You may combine some of the attachments in a single document.

ED Form 524 and Budget Narrative—Attached to the Budget Narrative Attachment Form

Standard Forms and Instructions

Application for Federal Assistance SF-424
Department of Education Supplemental Form for the SF-424
Assurance Non-Construction Programs - Standard Form 424B
Disclosure of Lobbying Activities (Standard Form LLL)
U.S. Department of Education Budget Information Non-Construction Programs ED 524

OMB Number: 4040-0004

SUPPLEMENTAL INFORMATION

REQUIRED FOR

DEPARTMENT OF EDUCATION

1. Project Director:

Prefix: *First Name: Middle Name: *Last Name: Suffix:

Address:

Street1:

treet2:

City:

ounty:

State * Zip Code: * Country:

* Phone Number (give area code) Fax Number (give area code)

Email Address:

2. Applicant Experience:

Novice Applicant Yes No Not applicable to this program

3. Human Subjects Research:

Are any research activities involving human subjects planned at any time during the

proposed project Period?

Yes No

Are ALL the research activities proposed designated to be exempt from the regulations?

Yes Provide Exemption(s) #:

No Provide Assurance #, if available:

Please attach an explanation Narrative:

Add Attachment

Delete Attachment

View Attachment

DEFINITIONS FOR

DEPARTMENT OF EDUCATION SUPPLEMENTAL INFORMATION FOR SF 424

(Attachment to Instructions for Supplemental Information for SF 424)

Definitions:

Novice Applicant (See 34 CFR 75.225). For discretionary grant programs under which the Secretary gives special consideration to novice applications, a novice applicant means any applicant for a grant from ED that—

Has never received a grant or subgrant under the program from which it seeks funding;

Has never been a member of a group application, submitted in accordance with 34 CFR 75.127-75.129, that received a grant under the program from which it seeks funding; and

Has not had an active discretionary grant from the Federal government in the five years before the deadline date for applications under the program. For the purposes of this requirement, a grant is active until the end of the grant’s project or funding period, including any extensions of those periods that extend the grantee’s authority to obligate funds.

In the case of a group application submitted in accordance with 34 CFR 75.127-75.129, a group includes only parties that meet the requirements listed above.

PROTECTION OF HUMAN SUBJECTS IN RESEARCH

I. Definitions and Exemptions

A. Definitions.

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

—Research

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

—Human Subject

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

B. Exemptions.

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

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

(2) Research involving the use of educational tests (cognitive, diagnostic, aptitude, achievement), survey procedures, interview procedures or observation of public behavior, unless: (a) information obtained is recorded in such a manner that human subjects can be identified, directly or through identifiers linked to the subjects; and (b) any disclosure of the human subjects’ responses outside the research could reasonably place the subjects at risk of criminal or civil liability or be damaging to the subjects’ financial standing, employability, or reputation. If the subjects are children, exemption 2 applies only to research involving educational tests and observations of public behavior when the investigator(s) do not participate in the activities being observed.

Exemption 2 does not apply if children are surveyed or interviewed or if the research involves observation of public behavior and the investigator(s) participate in the activities being observed. [Children are defined as persons who have not attained the legal age for consent to treatments or procedures involved in the research, under the applicable law or jurisdiction in which the research will be conducted.]

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

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

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

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

II. Instructions for Exempt and Nonexempt Human Subjects Research Narratives

If the applicant marked “Yes” for Item 3 of Department of Education Supplemental Information for SF 424, the applicant must provide a human subjects “exempt research” or “nonexempt research” narrative. Insert the narrative(s) in the space provided. If you have multiple projects and need to provide more than one narrative, be sure to label each set of responses as to the project they address.

A. Exempt Research Narrative.

If you marked “Yes” for item 3 a. and designated exemption numbers(s), provide the “exempt research” narrative. The narrative must contain sufficient information about the involvement of human subjects in the proposed research to allow a determination by ED that the designated exemption(s) are appropriate. The narrative must be succinct.

B. Nonexempt Research Narrative.

If you marked “No” for item 3 a. you must provide the “nonexempt research” narrative. The narrative must address the following seven points. Although no specific page limitation applies to this section of the application, be succinct.

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

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

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

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

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

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

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

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

NOTE: The State Applicant Identifier on the SF 424 is for State Use only. Please complete it on the OMB Standard 424 in the upper right corner of the form (if applicable).

OMB Approval No. 0348-0040

ASSURANCES - NON-CONSTRUCTION PROGRAMS

Public reporting burden for this collection of information is estimated to average 15 minutes per response, including time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to the Office of Management and Budget, Paperwork Reduction Project (0348-0040), Washington, DC 20503

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

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

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

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

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

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

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

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

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

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

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

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

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

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

SIGNATURE OF AUTHORIZED CERTIFYING OFFICIAL

TITLE

APPLICANT ORGANIZATION

DATE SUBMITTED

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

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

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

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

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

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

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

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

CERTIFICATION REGARDING LOBBYING

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

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

(a) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the making of any Federal grant, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal grant or cooperative agreement;

(b) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal grant or cooperative agreement, the undersigned shall complete and submit Standard Form - LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions;

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

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

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

PRINTED NAME AND TITLE OF AUTHORIZED REPRESENTATIVE

SIGNATURE DATE

06/04

Approved by OMB

0348-0046

Disclosure of Lobbying Activities

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

(See reverse for public burden disclosure)

Type of Federal Action:

a. contract

____ b. grant

c. cooperative agreement

d. loan

e. loan guarantee

f. loan insurance

Status of Federal Action:

a. bid/offer/application

_____ b. initial award

c. post-award

Report Type:

a. initial filing

_____ b. material change

For material change only:

Year _______ quarter _______

Date of last report___________

Name and Address of Reporting Entity:

____ Prime _____ Subawardee

Tier______, if Known:

Congressional District, if known:

If Reporting Entity in No. 4 is Subawardee, Enter Name and Address of Prime:

Congressional District, if known:

Federal Department/Agency:

7. Federal Program Name/Description:

CFDA Number, if applicable: __________________

Federal Action Number, if known:

9. Award Amount, if known:

10. a. Name and Address of Lobbying Registrant

(if individual, last name, first name, MI):

b. Individuals Performing Services (including address if different from No. 10a)

(last name, first name, MI):

11. Information requested through this form is authorized by title 31 U.S.C. section 1352. This disclosure of lobbying activities is a material representation of fact upon which reliance was placed by the tier above when this transaction was made or entered into. This disclosure is required pursuant to 31 U.S.C. 1352. This information will be reported to the Congress semi-annually and will be available for public inspection. Any person who fails to file the required disclosure shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.

Signature: __________________________________

Print Name: _____

Title: _____

Telephone No.: ____________ Date: _______

Federal Use Only

Authorized for Local Reproduction

Standard Form - LLL (Rev. 7-97)

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

This disclosure form shall be completed by the reporting entity, whether subawardee or prime Federal recipient, at the initiation or receipt of a covered Federal action, or a material change to a previous filing, pursuant to title 31 U.S.C. section 1352. The filing of a form is required for each payment or agreement to make payment to any lobbying entity for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with a covered Federal action. Complete all items that apply for both the initial filing and material change report. Refer to the implementing guidance published by the Office of Management and Budget for additional information.

1. Identify the type of covered Federal action for which lobbying activity is and/or has been secured to influence the outcome of a covered Federal action.

2. Identify the status of the covered Federal action.

3. Identify the appropriate classification of this report. If this is a followup report caused by a material change to the information previously reported, enter the year and quarter in which the change occurred. Enter the date of the last previously submitted report by this reporting entity for this covered Federal action.

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

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

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

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

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

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

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

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

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

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

U.S. DEPARTMENT OF EDUCATION

BUDGET INFORMATION

NON-CONSTRUCTION PROGRAMS

OMB Control Number: 1890-0004

Expiration Date: 10-31-2007

Name of Institution/Organization

Applicants requesting funding for only one year should complete the column under "Project Year 1." Applicants requesting funding for multi-year grants should complete all applicable columns. Please read all instructions before completing form.

SECTION A - BUDGET SUMMARY

U.S. DEPARTMENT OF EDUCATION FUNDS

Budget Categories

Project Year 1

(a)

Project Year 2

(b)

Project Year 3

(c)

Project Year 4

(d)

Project Year 5

(e)

Total

(f)

1. Personnel

2. Fringe Benefits

3. Travel

4. Equipment

5. Supplies

6. Contractual

7. Construction

8. Other

9. Total Direct Costs (lines 1-8)

10. Indirect Costs*

11. Training Stipends

12. Total Costs (lines 9-11)

*Indirect Cost Information (To Be Completed by Your Business Office):

If you are requesting reimbursement for indirect costs on line 10, please answer the following questions:

Do you have an Indirect Cost Rate Agreement approved by the Federal government? ____Yes ____ No
If yes, please provide the following information:

Period Covered by the Indirect Cost Rate Agreement: From: ___/___/______ To: ___/___/______ (mm/dd/yyyy)

Approving Federal agency: ____ ED ____ Other (please specify): __________________________

For Restricted Rate Programs (check one) -- Are you using a restricted indirect cost rate that:

___ Is included in your approved Indirect Cost Rate Agreement? or ___ Complies with 34 CFR 76.564(c)(2)?

Name of Institution/Organization

Applicants requesting funding for only one year should complete the column under
"Project Year 1." Applicants requesting funding for multi-year grants should complete all applicable columns. Please read all instructions before completing form.

SECTION B - BUDGET SUMMARY

NON-FEDERAL FUNDS

Budget Categories

Project Year 1

(a)

Project Year 2

(b)

Project Year 3

(c)

Project Year 4

(d)

Project Year 5

(e)

Total

(f)

1. Personnel

2. Fringe Benefits

3. Travel

4. Equipment

5. Supplies

6. Contractual

7. Construction

8. Other

9. Total Direct Costs

(Lines 1-8)

10. Indirect Costs

11. Training Stipends

12. Total Costs

(Lines 9-11)

SECTION C – BUDGET NARRATIVE (see instructions)

Instructions for ED 524

General Instructions

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

Section A - Budget Summary

U.S. Department of Education Funds

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

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

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

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

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

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

Section B - Budget Summary

Non-Federal Funds

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

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

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

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

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

Section C - Budget Narrative [Attach separate sheet(s)]

Pay attention to applicable program specific instructions,
if attached.

Provide an itemized budget breakdown, and justification by project year, for each budget category listed in Sections A and B. For grant projects that will be divided into two or more separately budgeted major activities or sub-projects, show for each budget category of a project year the breakdown of the specific expenses attributable to each sub-project or activity.
If applicable to this program, provide the rate and base on which fringe benefits are calculated.
If you are requesting reimbursement for indirect costs on line 10, this information is to be completed by your Business Office. Specify the estimated amount of the base to which the indirect cost rate is applied and the total indirect expense. Depending on the grant program to which you are applying and/or your approved Indirect Cost Rate Agreement, some direct cost budget categories in your grant application budget may not be included in the base and multiplied by your indirect cost rate. For example, you must multiply the indirect cost rates of “Training grants" (34 CFR 75.562) and grants under programs with “Supplement not Supplant” requirements ("Restricted Rate" programs) by a “modified total direct cost” (MTDC) base (34 CFR 75.563 or 76.563). Please indicate which costs are included and which costs are excluded from the base to which the indirect cost rate is applied.

When calculating indirect costs (line 10) for "Training grants" or grants under "Restricted Rate" programs, you must refer to the information and examples on ED’s website at: http://www.ed.gov/fund/grant/apply/appforms/appforms.html.

You may also contact (202) 377-3838 for additional information regarding calculating indirect cost rates or general indirect cost rate information.

Provide other explanations or comments you deem necessary.

Paperwork Burden Statement

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

Intergovernmental Review of Federal Programs

This grant competition is subject to the requirements of Executive Order 12372 and the regulations in 34 CFR Part 79. One of the objectives of the Executive Order is to foster an intergovernmental partnership and a strengthened federalism. The Executive Order relies on processes developed by state and local governments for coordination and review of proposed federal financial assistance.

Applicants must contact the appropriate State Single Point of Contact to find out about, and to comply with, the state’s process under Executive Order 12372. Applicants proposing to perform activities in more than one state should immediately contact the Single Point of Contact for each of those states and follow the procedure established in each state under the Executive Order. The name and address of each State Single Point of Contact is listed below. Note: A copy of the applicant’s letter to the State Single Point of Contact must be included with the application.

To view a list of states that participate in the intergovernmental review process, visit www.whitehouse.gov/omb/grants/spoc.html.

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

Any state process recommendation and other comments submitted by a State Single Point of Contact and any comments from state, area-wide, regional, and local entities must be received by July 24, 2007, at the following address: The Secretary, EO 12372—CFDA #84.184E, U.S. Department of Education, 400 Maryland Avenue, SW, Room 7W300, Washington, DC 20202-0124. Recommendations or comments may be hand-delivered until 4:30 p.m. (Eastern Time) on July 24, 2007. Please do not send applications to this address.

States that are not listed have chosen not to participate in the intergovernmental review process, and therefore do not have a State Single Point of Contact. If you are located within one of these states, you are exempt from this requirement.

General Education Provisions Act (GEPA) Section 427

Section 427 of GEPA affects applicants for new discretionary grant awards under this program. All applicants for new awards must include information in their applications to address this provision, summarized below, in order to receive funding under this program.

Section 427 requires each applicant for funds (other than an individual person) to include in its application a description of the steps the applicant proposes to take to ensure equitable access to, and participation in, its federally-assisted program for students, teachers, and other program beneficiaries with special needs.

This section allows applicants discretion in developing the required description. The statute highlights six types of barriers that can impede equitable access or participation that you may address: gender, race, national origin, color, disability, or age. Based on local circumstances, you can determine whether these or other barriers may prevent your students, teachers, or others from equitable access or participation. Your description need not be lengthy; you may provide a clear and succinct description of how you plan to address those barriers that are applicable to your circumstances. In addition, the information may be provided in a single narrative, or, if appropriate, may be discussed in connection with related topics in the application.

NOTE: A general statement of an applicant’s nondiscriminatory hiring policy is not sufficient to meet this requirement. Applicants must identify potential barriers and explain steps they will take to overcome these barriers.

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

Examples

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

An applicant that proposes to carry out an adult literacy project serving, among others, adults with limited English proficiency, might describe in its application how it intends to distribute a brochure about the proposed project to such potential participants in their native language.

An applicant that proposes to develop instructional materials for classroom use might describe how it will make the materials available on audiotape or in Braille for students who are blind.

An applicant that proposes to carry out a model science program for secondary students and is concerned that girls may be less likely than boys to enroll in the course might indicate how it tends to conduct “outreach” efforts to girls to encourage their enrollment.

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

Estimated Public Reporting 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 the GEPA 427 is OMB No. 1890-0007. The time required to complete GEPA 427 is estimated to average 1.5 hours per response, including the time to review instructions, search existing data sources, gather and maintain the data needed, and complete and review the information collection. If you have any comments concerning the accuracy of the time estimate or suggestions for improving this form, please write to: U.S. Department of Education, Washington, DC 20202-4651. If you have comments or concerns regarding the status of your individual submission of this form, write directly to: U.S. Department of Education, Office of Safe and Drug-Free Schools, 400 Maryland Avenue, SW, Washington, DC 20202-6450.

Confidentiality and Participant Protection

All applicants must address the seven items below. If some are not applicable or relevant to the proposed project, simply state that they are not applicable and indicate why. While we encourage you to keep your responses brief, there is no page limit for this section and no points will be assigned by the peer reviewers.

1. Protect Clients and Staff from Potential Risks

Identify and describe any foreseeable physical, medical, psychological, social, and legal risks or potential adverse effects as a result of the project itself or any data collection activity.
Describe the procedures you will follow to minimize or protect participants against potential risks, including risks to confidentiality.
Identify plans to provide guidance and assistance in the event there are adverse effects to participants.
Where appropriate, describe alternative treatments and procedures that may be beneficial to the participants. If you choose not to use these other beneficial treatments, provide the reasons for not using them.

2. Fair Selection of Participants

Describe the target population(s) for the proposed project. Include age, gender, and racial/ethnic background and note if the population includes homeless youth, foster children, children of substance abusers, pregnant women, or other targeted groups.
Explain the reasons for including groups of pregnant women, children, people with mental disabilities, people in institutions, prisoners, and individuals who are likely to be particularly vulnerable to HIV/AIDS.
Explain the reasons for including or excluding participants.
Explain how you will recruit and select participants. Identify who will select participants.

3. Absence of Coercion

Explain if participation in the project is voluntary or required. Identify possible reasons why participation is required, for example, court orders requiring people to participate in a program.
If you plan to compensate participants, state how participants will be awarded incentives (e.g., money, gifts, etc.).
State how volunteer participants will be told that they may receive services intervention even if they do not participate in or complete the data collection component of the project.

4. Data Collection

 Identify from whom you will collect data (e.g., from participants themselves, family members, teachers, others). Describe the data collection procedures and specify the sources for obtaining data (e.g., school records, interviews, psychological assessments, questionnaires, observation, or other sources). Where data are to be collected through observational techniques, questionnaires, interviews, or other direct means, describe the data collection setting.

 Identify what type of specimens (e.g., urine, blood) will be used, if any. State if the material will be used just for evaluation or if other use(s) will be made. Also, if needed, describe how the material will be monitored to ensure the safety of participants.

 Provide in copies of all available data collection instruments and interview protocols that you plan to use.

5. Privacy and Confidentiality

Explain how you will ensure privacy and confidentiality. Include who will collect data and how it will be collected.
Describe:

How you will use data collection instruments.
Where data will be stored.
Who will or will not have access to information.
How the identity of participants will be kept private, for example, through the use of a coding system on data records, limiting access to records, or storing identifiers separately from data.

NOTE: If applicable, grantees must agree to maintain the confidentiality of alcohol and drug abuse client records according to the provisions of Title 42 of the Code of Federal Regulations, Part II.

6. Adequate Consent Procedures

List what information will be given to people who participate in the project. Include the type and purpose of their participation. Identify the data that will be collected, how the data will be used, and how you will keep the data private.
State:

Whether or not their participation is voluntary.
Their right to leave the project at any time without problems.
Possible risks from participation in the project.
Plans to protect clients from these risks.

Explain how you will get consent for youth, the elderly, people with limited reading skills, and people who do not use English as their first language.

NOTE: If the project poses potential physical, medical, psychological, legal, social or other risks, you must obtain written informed consent.

Indicate if you will obtain informed consent from participants or assent from minors along with consent from their parents or legal guardians. Describe how the consent will be documented. For example: Will you read the consent forms? Will you ask prospective participants questions to be sure they understand the forms? Will you give them copies of what they sign?
Include, as appropriate, sample consent forms that provide for: (1) informed consent for participation in service intervention; (2) informed consent for participation in the data collection component of the project; and (3) informed consent for the exchange (releasing or requesting) of confidential information. The sample forms must be included in of your application. If needed, give English translations.

NOTE: Never imply that the participant waives or appears to waive any legal rights, may not end involvement with the project, or releases your project or its agents from liability for negligence.

Describe if separate consents will be obtained for different stages or parts of the project. For example, will they be needed for both participant protection in treatment intervention and for the collection and use of data?
Additionally, if other consents (e.g., consents to release information to others or gather information from others) will be used in your project, provide a description of the consents. Will individuals who do not consent to having individually identifiable data collected for evaluation purposes be allowed to participate in the project?

7. Risk/Benefit Discussion

Discuss why the risks are reasonable compared to expected benefits and importance of the knowledge from the project.

Information and Application Procedures for Fiscal Year 2007 8

File Type	application/msword
File Title	SAFE SCHOOLS/HEALTHY STUDENTS
Author	corporate
Last Modified By	Karen.dorsey
File Modified	2007-12-12
File Created	2007-12-12

Application for Federal Assistance SF-424 Version 02
*1. Type of Submission: Preapplication Application Changed/Corrected Application	*2. Type of Application New Continuation Revision			* If Revision, select appropriate letter(s)
				*Other (Specify)
3. Date Received : 4. Applicant Identifier:
5a. Federal Entity Identifier:			*5b. Federal Award Identifier:
State Use Only:
6. Date Received by State:		7. State Application Identifier:
8. APPLICANT INFORMATION:
*a. Legal Name:
*b. Employer/Taxpayer Identification Number (EIN/TIN):			*c. Organizational DUNS:
d. Address:
*Street 1:
Street 2:
*City:
County:
*State:
Province:
*Country:
*Zip / Postal Code
e. Organizational Unit:
Department Name:			Division Name:
f. Name and contact information of person to be contacted on matters involving this application:
Prefix: *First Name:
Middle Name:
*Last Name:
Suffix:

*15. Descriptive Title of Applicant’s Project:
16. Congressional Districts Of: a. Applicant: b. Program/Project:
17. Proposed Project: a. Start Date: b. End Date:
18. Estimated Funding ($):
a. Federal b. Applicant c. State d. Local e. Other f. Program Income *g. TOTAL






*19. Is Application Subject to Review By State Under Executive Order 12372 Process? a. This application was made available to the State under the Executive Order 12372 Process for review on b. Program is subject to E.O. 12372 but has not been selected by the State for review. c. Program is not covered by E. O. 12372
*20. Is the Applicant Delinquent On Any Federal Debt? (If “Yes”, provide explanation.) Yes No
21. By signing this application, I certify (1) to the statements contained in the list of certifications* and (2) that the statements herein are true, complete and accurate to the best of my knowledge. I also provide the required assurances and agree to comply with any resulting terms if I accept an award. I am aware that any false, fictitious, or fraudulent statements or claims may subject me to criminal, civil, or administrative penalties. (U. S. Code, Title 218, Section 1001) I AGREE ** The list of certifications and assurances, or an internet site where you may obtain this list, is contained in the announcement or agency specific instructions
Authorized Representative:
Prefix: First Name: Middle Name: Last Name: Suffix:

*Title:
*Telephone Number:	Fax Number:
* Email:
*Signature of Authorized Representative:		*Date Signed:

Safe Schools/Healthy Students (1890-0001)