Form CFDA 84.144F CFDA 84.144F FY 2008 Consortium Incentive Grant Application
Migrant Education Program (MEP) Consortium Incentive Grants
Att_CIG application package FY2008
FY 2008 Migrant Education Program (MEP) Consortium Incentive Grants
OMB: 1810-0649
U.S. Department of Education
Office of Elementary and Secondary Education
Washington, D.C.
Fiscal Year
Consortium Incentive Grant Application
CFDA 84.144F
Approved OMB Number: 1810-0649
Expiration Date: 02/28/2009
Title I, Part C
Migrant Education Program
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: 1810-0649 . The time required to complete this information collection is estimated to average 50.67 hours per response, including the time to review instructions, search existing data resources, gather the data needed, and complete and review the information collection.
If you have any comments concerning the accuracy of the time estimate(s) or suggestions for improving this form, please write to: U.S. Department of Education, Washington, D.C. 20202-4651.
If you have comments or concerns regarding the status of your individual submission of this form, write directly to: Alejandra Vélez-Paschke, Office of Elementary and Secondary Education, Office of Migrant Education, U.S. Department of Education, 400 Maryland Avenue, SW, 3E249, Washington D.C. Error: Reference source not found.
UNITED
STATES DEPARTMENT OF EDUCATION
OFFICE OF ELEMENTARY AND SECONDARY EDUCATION
OFFICE OF MIGRANT EDUCATION
Dear Colleague:
Thank you for your interest in the Migrant Education Program (MEP) Consortium Incentive Grant (CIG) program. The program is authorized by section 1308(d) of the Elementary and Secondary Education Act of 1965, as amended by the No Child Left Behind Act of 2001. This program provides competitive incentive grants to State Educational Agencies (SEAs) receiving MEP formula grant awards that participate in high-quality consortium arrangements with another State or appropriate entity to improve the delivery of services to migratory children whose education is interrupted.
The enclosed application package contains all the information, instructions, and forms that applicants will need to apply for a Fiscal Year (FY) 2008 MEP Consortium Incentive Grant. Please review the enclosed materials carefully. The Department has included an additional absolute priority, published in the Federal Register (73 FR 13217) on March 12, 2008, to those established for the prior competition and established in the notice of final requirements published in the Federal Register (69 FR 10110) on March 3, 2004. In addition, the selection criteria used for prior MEP CIG competitions have changed.
Please note that only SEAs that currently administer MEP programs are eligible to apply for these incentive grants.
If you or your colleagues have any questions about the FY 2008 MEP Consortium Incentive Grant Program or the enclosed application package, please contact Alejandra Vélez-Paschke at (202) 260-2834 or via email [email protected].
Sincerely,
Lisa Ramírez
Acting Director
Office of Migrant Education
Enclosure
TABLE OF CONTENTS
Reporting and Accountability 9
Application Instructions and Forms 10
Instructions for Transmitting Applications 12
Legal and Regulatory Information 14
ASSURANCES - NON-CONSTRUCTION PROGRAMS 23
CERTIFICATION REGARDING LOBBYING 25
Certification Regarding Debarment, Suspension, Ineligibility and 26
Voluntary Exclusion -- Lower Tier Covered Transactions 26
Disclosure of Lobbying Activities 27
INSTRUCTIONS FOR COMPLETION OF SF-LLL, DISCLOSURE OF LOBBYING ACTIVITIES 28
Application for Federal Assistance SF-424 29
Intergovernmental Review of Federal Programs 37
STATE SINGLE POINTS OF CONTACT (SPOCs) 38
Instructions for Meeting the General Education Provisions Act (GEPA) Section 427 Requirements 43
Title I, Part C
Migrant Education Program (MEP)
FY 2008 Consortium Incentive Grant Application
Introduction
The Migrant Education Program (MEP), authorized under Title I, Part C of the Elementary and Secondary Education Act of 1965 (ESEA), as amended by the No Child Left Behind Act of 2001, is a State-administered and State-operated formula grant program.
This package describes what a State must do in order to apply for a Fiscal Year (FY) 2008 MEP Consortium Incentive Grant under section 1308(d) of the MEP. It also contains the forms a State must complete as part of the application process.
The MEP provides assistance to State educational agencies (SEAs) to support high quality and comprehensive educational programs that provide migratory children appropriate educational and supportive services that address their special needs in a coordinated and efficient manner, and give migratory children the opportunity to meet the same challenging State academic content and student academic achievement standards that all children are expected to meet.
ESEA section 1308(d) authorizes the Secretary to “reserve not more than $3 million to award competitive grants of not more than $250,000 [each] on a competitive basis to SEAs that propose a consortium arrangement with another State or other appropriate entity that the Secretary determines, pursuant to criteria that the Secretary shall establish, will improve the delivery of services to migratory children whose education is interrupted.”
Under this program, the Department will award competitive incentive grants to SEAs in high-quality consortia that improve the intrastate and interstate coordination of migrant education programs by addressing any of eight key needs of migratory children who have their education interrupted. For FY 2008, the Department will make available $3 million for consortium incentive grant awards. These awards will be made based on the requirements established in the Notice of Final Requirements published on March 3, 2004 in the Federal Register (69 FR 10110) and in the Notice for Final Priority published on [INSERT DATE OF PUBLICATION IN THE FEDERAL REGISTER]in the Federal Register (XX FR XXXXX) (enclosed). Through the latter Notice, the Department added to the seven absolute priorities already established for this program an eighth priority designed to improve the educational attainment of out-of-school migratory youth whose education is interrupted. Applicants may propose projects that focus on one or more of these eight priorities.
In addition, the criteria for the FY 2008 competition are different from those the Department has used in prior years.
Application Deadline
The deadline for the receipt of Fiscal Year (FY) 2008 MEP Consortium Incentive Grant applications is May 7, 2008. Funds may be awarded on or after September 15, 2008, if the SEA application has been approved.
Who May Apply
Please note that SEAs with MEP programs are the only eligible applicants for these incentive grants. As noted in the instructions, SEAs proposing to participate in a proposed consortia should identify a “lead SEA” for the consortium, and through that lead SEA, provide the information requested in this application.
Amount and Use of Awards
For the FY 2008 competition, SEAs may propose a consortium for a performance period of up to two years. The Department will award $3 million in FY 2008, and intends to award another $3 million (depending on availability) in FY 2009 to those SEAs that received incentive awards in FY 2008 and have demonstrated substantial progress toward meeting the objectives described in an approved consortium’s application.
An SEA that participates in a high-quality consortium, as determined by the selection criteria outlined in this application package, will receive only one incentive grant award per year regardless of the number of high-quality consortia in which it participates. (See Selection Criteria section). The amount of an SEA’s incentive grant award will be calculated on the basis of the following two-tiered formula: SEAs whose MEP allocations are $1 million or less will, in general, receive a grant award that is twice the amount of the award provided to SEAs whose MEP allocations are greater than $1 million. Within each tier, awards will be of equal size. However, no SEA will receive an incentive grant award that exceeds the amount of its Title I, Part C, MEP formula grant or $250,000, whichever is less.
The Department estimates that awards will vary between $60,000 (if all 50 eligible SEAs received grants under this competition) to $250,000 (the statutory maximum) per year. Based on the number of States (23) that received Consortium Incentive Grants in FY 2006, the size of an FY 2008 award would be $86,623 for SEAs whose MEP allocations are greater than $1 million and $173,246 for SEAs whose MEP allocations are $1 million or less. The actual size of an SEA’s award will depend on the number of successful SEA applications and the size of the SEA’s MEP formula grant allocation.
Consortium Incentive Grant awards are treated as additional funds available to the SEA under the MEP State formula grant program. Awarded funds may be used to implement the approved consortium activities, or to carry out any other activities authorized under the MEP.
Absolute Priorities
In the Notice of final requirements published on March 3, 2004 in the Federal Register (69 FR 10110) and in the Notice for Final Priority published on [INSERT DATE OF PUBLICATION IN THE FEDERAL REGISTER] in the Federal Register (XX FR XXXXX) and included in this application package, the Department has established eight absolute priorities that promote key national objectives of the MEP under the Consortium Incentive Grant program. In order for SEAs to be considered for incentive grants under the FY 2008 competition, a proposed application must address one or more of these eight absolute priorities, which are as follows:
Services designed to improve the proper and timely identification and recruitment of eligible migratory children whose education is interrupted;
Services designed (based on review of scientifically based research) to improve the school readiness of pre-school age migratory children whose education is interrupted;
Services designed (based on review of scientifically based research) to improve the reading proficiency of migratory children whose education is interrupted;
Services designed (based on review of scientifically based research) to improve the mathematics proficiency of migratory children whose education is interrupted;
Services designed (based on review of scientifically based research) to decrease the dropout rate of migratory students whose education is interrupted and improve high school completion rates;
Services designed (based on review of scientifically based research) to strengthen the involvement of migratory parents in the education of migratory students whose education is interrupted;
Services designed (based on review of scientifically based research) to expand access to innovative educational technologies intended to increase the academic achievement of migratory students whose education is interrupted; and
Services designed (based on review of scientifically based research) to improve the educational attainment of out-of-school migratory youth whose education is interrupted.
Selection Criteria
Consortium applications will be reviewed and ranked on the basis of how well the information provided responds to the following selection criteria:
Need for the Project;
Significance;
Quality of Project Design;
Quality of Project Services;
Quality of the Management Plan; and
Quality of Project Evaluation.
Therefore, applicants should describe the absolute priority(ies) on which their consortium will focus in terms of these selection criteria.
The Department will select only those consortia of the highest quality. In determining which applications are of the highest quality, reviewers will rate each application using the following selection criteria and assign up to a total of 100 points. The maximum score for each criterion and subcriterion is indicated in parenthesis. These selection criteria are drawn from the general criteria for competitive grants contained in section 75.210 of the Education Department General Administrative Regulations (EDGAR).
Please note that instances where the word project appears in the selection criteria, the reference is to the consortium project being proposed.
Need for the Project (0-5)
In determining the need for the proposed project, we consider:
The extent to which specific gaps or weaknesses in services, infrastructure, or opportunities have been identified and will be addressed by the proposed project, including the nature and magnitude of those gaps or weaknesses. (0-5)
2. Significance (0-10)
In determining the significance of the proposed project, we consider:
The extent to which the proposed project involves the development or
demonstration of promising new strategies that build on, or are alternatives to, existing strategies. (0-5)
The likely utility of the products (such as information, materials, processes, or
techniques) that will result from the proposed project, including the potential for their being used effectively in a variety of other settings. (0-5)
3. Quality of the Project Design (0-45)
In determining the quality of the design of the proposed project, we consider:
The extent to which the design of the proposed project includes a thorough, high-quality review of the relevant literature, a high-quality plan for project implementation, and the use of appropriate methodological tools to ensure successful achievement of project objectives. (0-25)
The extent to which the goals, objectives, and outcomes to be achieved by the proposed project are clearly specified and measurable. (0-10)
The extent to which the proposed project is designed to build capacity and yield results that will extend beyond the period of Federal financial assistance. (0-5)
The extent to which the proposed project will be coordinated with similar or related efforts, and with other appropriate community, State and federal resources. (0-5)
4. Quality of Project Services (0-15)
In determining the quality of the services to be provided by the proposed project, we consider:
The quality and sufficiency of strategies for ensuring equal access and treatment for eligible project participants who are members of groups that have traditionally been underrepresented on race, color, national origin, gender, age or disability. (0-5)
The likely impact of the services to be provided by the proposed project on the intended recipients of those services. (0-5)
The extent to which the training or professional development services to be provided by the proposed project are of sufficient quality, intensity, and duration to lead to improvements in practice among the recipients of those services. (0-5)
5. Quality of the Management Plan (0-10)
In determining the quality of the management plan for the proposed project, we consider:
The adequacy of the management plan to achieve the objectives of the proposed project on time and within budget, including clearly defined responsibilities, timelines, and milestones for accomplishing project tasks. (0-10)
6. Quality of the Project Evaluation (0-15)
In determining the quality of the evaluation, we consider:
The extent to which the methods of evaluation include the use of objective performance measures that are clearly related to the intended outcomes of the project and will produce quantitative and qualitative data to the extent possible. (0-10)
The extent to which the methods of evaluation will provide performance feedback and permit periodic assessment of progress toward achieving intended outcomes. (0-5)
Duration Of Funding Period
The Department expects to make initial awards under the MEP Consortium Incentive Grant program on/around September 15, 2008. The initial award period will run through September 30, 2009. Because the Department awards Consortium Incentive Grant funds as additional funds available under the Migrant Education Program State formula grant program, SEAs have an additional twelve months as permitted by the “Tydings Amendment” (Section 421(b) of the General Education Provisions Act, as amended) to obligate these awards. Thus, any FY 2008 State Consortium Incentive Grant funds that are not obligated by September 30, 2009, remain available for obligation until September 30, 2010. Similarly, second project year funding (to be awarded in FY 2009) will be available for obligation until September 30, 2011.
Election for Direct Deposit Sign Up
Funds awarded to an SEA under a FY 2008 MEP Consortium Incentive Grant will automatically be deposited in the financial institution identified in the SEA’s Consolidated State Application as the designated entity to receive FY 2008 Basic State MEP funds. Should the SEA choose to elect another financial institution, the SEA will need to identify the new financial institution and submit pertinent information to the Department using the Direct Deposit Sign Up Form 1199.
Reporting and Accountability
In order to receive a second-year award in FY 2009, recipients of an FY 2008 MEP consortium incentive award must submit to the Department, through the lead SEA, a performance report prior to the end of the consortium’s initial project year. (See sections 75.118 and 75.590 of EDGAR.) In addition, under section 75.590 of EDGAR, grantees must submit, through the lead SEA, a final evaluation report no more than 90 days after the end of the continuation year. These reports must address the SEA’s performance of activities and objectives of the approved consortium, whether or not the SEA supports the activities with Consortium Incentive Grant funds. These reports will need to address (1) the recipient’s progress in achieving the objectives [of the consortium] in its approved application; (2) the effectiveness of the [consortium] in meeting the purposes of the [consortium]; and (3) the effect of the [consortium] on participants being served by the [consortium]. In providing this information, recipients must use the generic performance report (U.S. Department of Education Form ED 524B) (enclosed).
An SEA receiving an incentive grant must also submit the financial reports required under section 76.720 (and section 80.41) of EDGAR. The SEA does not need to submit a performance report on the use of the incentive grant funds otherwise required under section of 80.40(b) of EDGAR.
Application Instructions and Forms
This application provides the information necessary for SEAs to apply for award of FY 2008 MEP Consortium Incentive Grant funds. The Department intends to use the information provided by the SEA(s) to review and approve consortia, and to determine the amount of the incentive grant awards to be made under the authority of section 1308(d). Carefully read the entire application package before beginning to prepare an application. The application package clearly identifies who is eligible to apply under this competition, what applicants must propose to do, what must be contained in an application, and what criteria will be used to evaluate applications. Applications must be submitted no later than May 7, 2008.
In applying for a MEP Consortium Incentive Grant award, your application must be organized according to, and include, the parts below. Copies of all forms discussed in the following section are provided in this document.
To receive an award under this program, a complete application, submitted by the lead SEA of a consortium, must include the following parts:
Part I: Coversheet for the MEP Consortium Incentive Grant Program.
The first page of the application consists of a cover page indicating the title of the proposed consortium, and the identity and address of the lead SEA for the consortium and of each other SEA or entity participating in the consortium.
Part II: Table of Contents
This table should include the page number or numbers in which reviewers will be able to locate the information in the narrative that corresponds to each aspect of the required application content and the selection criteria.
Part III: Project Abstract
The abstract should be 1-2 page(s) in length and include a summary of the goals, outcomes, and activities of the proposed consortium.
Part IV: Project Narrative (limited to 30 pages)
This part of the application should describe the proposed consortium and its activities in light of the selection criteria. It also must address the following application requirements:
The goals and measurable outcomes of the consortium, and the activities that each participating SEA or entity in the consortium will conduct during each project year to attain the project goals and outcomes and in doing so improve the delivery of services to migratory children whose education is interrupted;
A concise and cogent explanation of the need for and value of the proposed consortium to each participating SEA, and how the proposed consortium will improve interstate or intrastate coordination of migrant education programs; and
A description of the process each participating SEA will use for evaluating its progress in achieving the measurable outcomes of the consortium.
Reminder: The application narrative must clearly address one or more of the absolute priorities identified on page 5 of this application package. It also must include, though need not be limited to, the information identified in Part IV, above.
You must limit the narrative no more than 30 pages, using the following standards:
A page is 8.5” x 11”, on one side only, with 1” margins at the top, bottom and both sides.
Double space (no more than three lines per vertical inch) all text in the application narrative, including titles, headings, footnotes, quotations, references, and captions, as well as all text in charts, tables, figures, and graphs.
Use a font that is either 12-point or larger or no smaller than 10 pitch (characters per inch).
Use one of the following fonts: Times New Roman, Courier, Courier New, or Arial. An application submitted in any other font (including Times Roman or Arial Narrow) will not be accepted.
For charts, tables, and graphs, also use a font that is either 12-point or larger or no smaller than 10 pitch.
Reviewers will not read any pages of applications that exceed the page limit.
Note that the 30-page limit only applies to Section IV of the application.
Part V: Signed Statement
A signed statement from the Chief State School Officer (or his/her authorized representative) of each SEA that is participating in the proposed consortium arrangement of his/her SEA’s commitment to implement its activities as described in the application.
Part VI: Response to Section 427 of GEPA Guidance
Include a description of how the application will comply with Section 427 of the Department’s General Education Provisions Act (GEPA) for each participating SEA– equitable access to and participation in federally assisted programs for students, teachers, and other program beneficiaries with special needs– unless the applicant has chosen to embed this description into the body of the application narrative. (For further information, see section “NOTICE TO ALL APPLICANTS.)
Part VII: Assurances and Certifications
Each SEA applying under the proposed consortium must complete and submit each of the following forms and assurances:
Assurances--Non-Construction Programs
Certifications Regarding Lobbying; Debarment; Suspension, and other Responsibility Matters; and Drug-Free Workplace Requirements
Certification Regarding Debarment; Suspension; Ineligibility; and Voluntary Exclusion- Lower Tier Covered Transactions
Disclosure of Lobbying Activity
Be certain to include all assurances and certifications with the application, and sign each form in the appropriate place.
Note that the Secretary considers only information contained in the application in ranking applications for funding consideration. Letters of support sent separately from the formal application package are not considered in the review by the peer review panels.
Instructions for Transmitting Applications
If you want to apply for a grant and be considered for funding, you must meet the following deadline requirements:
DEADLINE DATE: May 7, 2008
Applications Sent by Mail
You must mail the original and two copies of the application on or before the deadline date.
Applications that are sent by U. S. Postal Service should be mailed to:
Alejandra Vélez-Paschke
U.S. Department of Education
OESE/Office of Migrant Education
400 Maryland Avenue, S.W., Room 3E249
Washington, D.C. 20202-6135
Applications that are delivered by commercial carrier, such as Federal Express, United Parcel Service, etc. should be mailed to:
U.S. Department of Education
ATTN: Alejandra Vélez-Paschke, OESE
7100 Old Landover Road
Landover, MD 20785-1506
You must show one of the following as proof of mailing:
A legibly dated U. S. Postal Service Postmark.
A legible mail receipt with the date of mailing stamped by the U. S. Postal Service.
A dated shipping label, invoice, or receipt from a commercial carrier.
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.
An applicant should note that the U.S. Postal Service does not uniformly provide a dated postmark. Before relying on this method, an applicant should check with its local post office.
Applications Delivered by Hand
You or your courier must hand deliver the original and 2 copies of the application by 4:30 p.m. (Washington, DC time) on or before the deadline date. A person delivering an application must show identification to enter the building. Deliver to:
Alejandra Vélez-Paschke
U.S. Department of Education
OESE/Office of Migrant Education
400 Maryland Avenue, S.W., Room 3E249
Washington, D.C. 20202-6135
Contact Person
If you have any questions or need assistance on preparing this application, please contact Alejandra Vélez-Paschke at the address provided above, or at the following:
Alejandra Vélez-Paschke
Phone: (202) 260-2834
Fax: (202) 205-0089
Email: [email protected]
Legal and Regulatory Information
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).
12 Will comply with the Wild and Scenic Rivers Act of 1968 (16 U.S.C. 1721 et seq.) related to protecting components or potential components of the national wild and scenic rivers system.
13. Will assist the awarding agency in assuring compliance with Section 106 of the National Historic Preservation Act of 1966, as amended (16 U.S.C. 470), EO 11593 (identification and protection of historic properties), and the Archaeological and Historic Preservation Act of 1974 (16 U.S.C. 469a-1 et seq.).
14. Will comply with P.L. 93-348 regarding the protection of human subjects involved in research, development, and related activities supported by this award of assistance.
15. Will comply with the Laboratory Animal Welfare Act of 1966 (P.L. 89-544, as amended, 7 U.S.C. 2131 et seq.) pertaining to the care, handling, and treatment of warm blooded animals held for research, teaching, or other activities supported by this award of assistance.
16. Will comply with the Lead-Based Paint Poisoning Prevention Act (42 U.S.C. 4801 et seq.) which prohibits the use of lead- based paint in construction or rehabilitation of residence structures.
17. Will cause to be performed the required financial and compliance audits in accordance with the Single Audit Act Amendments of 1996 and OMB Circular No. A-133, Audits of States, Local Governments, and Non-Profit Organizations.
18. Will comply with all applicable requirements of all other Federal laws, executive orders, regulations and policies governing this program.
SIGNATURE OF AUTHORIZED CERTIFYING OFFICIAL
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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
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PRINTED NAME AND TITLE OF AUTHORIZED REPRESENTATIVE
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SIGNATURE DATE
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ED 80-0013 06/04
Certification
Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion -- Lower Tier Covered Transactions
This certification is required by the Department of Education regulations implementing Executive Order 12549, Debarment and Suspension, 34 CFR Part 85, for all lower tier transactions meeting the threshold and tier requirements stated at Section 85.110.
Instructions for Certification
1. By signing and submitting this proposal, the prospective lower tier participant is providing the certification set out below.
2. The certification in this clause is a material representation of fact upon which reliance was placed when this transaction was entered into. If it is later determined that the prospective lower tier participant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the department or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment.
3. The prospective lower tier participant shall provide immediate written notice to the person to which this proposal is submitted if at any time the prospective lower tier participant learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances.
4. The terms "covered transaction," "debarred," "suspended," "ineligible," "lower tier covered transaction," "participant," " person," "primary covered transaction," " principal," "proposal," and "voluntarily excluded," as used in this clause, have the meanings set out in the Definitions and Coverage sections of rules implementing Executive Order 12549. You may contact the person to which this proposal is submitted for assistance in obtaining a copy of those regulations.
5. The prospective lower tier participant agrees by submitting this proposal that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency with which this transaction originated.
6. The prospective lower tier participant further agrees by submitting this proposal that it will include the clause titled Certification Regarding Debarment, Suspension, Ineligibility, and Voluntary Exclusion-Lower Tier Covered Transactions,without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions.
7. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that it is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant may decide the method and frequency by which it determines the eligibility of its principals. Each participant may but is not required to, check the Nonprocurement List.
8. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of a participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings.
9. Except for transactions authorized under paragraph 5 of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the department or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment.
Certification
(1) The prospective lower tier participant certifies, by submission of this proposal, that neither it nor its principals are presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in this transaction by any Federal department or agency.
(2) Where the prospective lower tier participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal.
NAME OF APPLICANT PR/AWARD NUMBER AND/OR PROJECT NAME
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PRINTED NAME AND TITLE OF AUTHORIZED REPRESENTATIVE
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SIGNATURE DATE
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ED 80-0014, 9/90 (Replaces GCS-009 (REV.12/88), which is obsolete)
Approved by OMB
0348-0046
Disclosure of Lobbying Activities
Complete this form to disclose lobbying activities pursuant to 31 U.S.C. 1352
(See reverse for public burden disclosure)
a. contract ____ b. grant c. cooperative agreement d. loan e. loan guarantee f. loan insurance |
a. bid/offer/application _____ b. initial award c. post-award |
a. initial filing _____ b. material change
For material change only: Year _______ quarter _______ Date of last report___________
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____ Prime _____ Subawardee Tier______, if Known:
Congressional District, if known: |
Congressional District, if known: |
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7. Federal Program Name/Description:
CFDA Number, if applicable: __________________ |
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9. Award Amount, if known:
$ |
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10. a. Name and Address of Lobbying Registrant (if individual, last name, first name, MI):
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b. Individuals Performing Services (including address if different from No. 10a) (last name, first name, MI):
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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: _______ |
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Federal Use Only |
Authorized for Local Reproduction Standard Form - LLL (Rev. 7-97) |
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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
OMB Number: 4040-0004
Expiration Date: 01/31/2009
Application for Federal Assistance SF-424 Version 02 |
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*1. Type of Submission: Preapplication Application Changed/Corrected Application |
*2. Type of Application New Continuation Revision |
* If Revision, select appropriate letter(s)
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*Other (Specify)
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3. Date Received : 4. Applicant Identifier:
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5a. Federal Entity Identifier:
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*5b. Federal Award Identifier:
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OMB Number: 4040-0004 Expiration Date: 01/31/2009 |
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Application for Federal Assistance SF-424 Version 02 |
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*9. Type of Applicant 1: Select Applicant Type:
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Type of Applicant 2: Select Applicant Type: |
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*10 Name of Federal Agency:
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11. Catalog of Federal Domestic Assistance Number:
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*12 Funding Opportunity Number:
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13. Competition Identification Number:
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14. Areas Affected by Project (Cities, Counties, States, etc.):
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*15. Descriptive Title of Applicant’s Project:
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OMB Number: 4040-0004 Expiration Date: 01/31/2009 |
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Application for Federal Assistance SF-424 Version 02 |
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16. Congressional Districts Of: *a. Applicant: *b. Program/Project: |
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17. Proposed Project: *a. Start Date: *b. End Date: |
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*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 |
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*20. Is the Applicant Delinquent On Any Federal Debt? (If “Yes”, provide explanation.) Yes No |
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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 |
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Authorized for Local Reproduction Standard Form 424 (Revised 10/2005)
Prescribed by OMB Circular A-102
OMB Number: 4040-0004 Expiration Date: 01/31/2009 |
Application for Federal Assistance SF-424 Version 02 |
*Applicant Federal Debt Delinquency Explanation The following should contain an explanation if the Applicant organization is delinquent of any Federal Debt.
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Intergovernmental Review of Federal Programs
It is estimated that in 2008 the Federal Government will outlay $449 billion in grants to State and local governments. Executive Order 12372, "Intergovernmental Review of Federal Programs," was issued with the desire to foster the intergovernmental partnership and strengthen federalism by relying on State and local processes for the coordination and review of proposed Federal financial assistance and direct Federal development. The Order allows each State to designate an entity to perform this function.
This program is subject to the requirements of Executive Order 12372 (Intergovernmental Review of Federal Programs) and the regulations in 34 CFR part 79.
Applicants must contact the appropriate State single point of contact to find out about, and to comply with, the State’s process under Executive Order 12372. Applicants proposing to perform activities in more than one State should immediately contact the single point of contact for each of those States and follow the procedures established in each State under the Executive order.
In keeping with the Executive Order, the Office of Management and Budget has established and maintains a list of the States participating in the program. The list below provides the names, addresses, telephone and fax numbers of designated State single points of contact and can be electronically accessed at: http://www.whitehouse.gov/omb/grants/spoc.html
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 mailed or hand-delivered by the date indicated in this notice to the following address:
The
Secretary
EO 12372
U.S. Department of Education
Room
7E200
400 Maryland Avenue SW
Washington, DC 20202
Proof of mailing will be determined on the same basis as applications (see 34 CFR § 75.102). Recommendations or comments may be hand-delivered until 4:30 p.m. (eastern time) on the closing date indicated in this notice.
Important note: The above address is not the same address as the one to which the applicant submits its completed applications. Do not send applications to the above address.
States that are not listed on the following pages have chosen not to participate in the intergovernmental review process, and therefore do not have a SPOC. If you are located within a State that does not have a SPOC, you may send application materials directly to the Department as described in the Federal Register notice announcing the grant competition.
STATE SINGLE POINTS OF CONTACT (SPOCs)
It is estimated that in 2004 the Federal Government will outlay $400 billion in grants to State and local governments. Executive Order 12372, "Intergovernmental Review of Federal Programs," was issued with the desire to foster the intergovernmental partnership and strengthen federalism by relying on State and local processes for the coordination and review of proposed Federal financial assistance and direct Federal development. The Order allows each State to designate an entity to perform this function. Below is the official list of those entities. For those States that have a home page for their designated entity, a direct link has been provided on the official version: http://www.whitehouse.gov/omb/grants/spoc.html.
States that are not listed on this page have chosen not to participate in the intergovernmental review process, and therefore do not have a SPOC. If you are located within one of these States, you may still send application materials directly to a Federal awarding agency.
Contact information for Federal agencies that award grants can be found in Appendix IV of the Catalog of Federal Domestic Assistance. [http://www.cfda.gov/public/cat-app4-index.htm]
ARKANSASTracy L. Copeland Manager, State Clearinghouse Office of Intergovernmental Services Department of Finance and Administration 1515 W. 7th Street, Room 412 Little Rock, Arkansas 72203 Telephone: (501) 682-1074 FAX: (501) 682-5206 |
CALIFORNIA Grants Coordination State Clearinghouse Office of Planning and Research P.O. Box 3044, Room 222 Sacramento, California 95812-3044 Telephone: (916) 445-0613 FAX: (916) 323-3018 |
DELAWARE Jennifer
L. Carlson |
DISTRICT OF COLUMBIADonna
Bexley |
FLORIDA Lauren P. Milligan Florida State Clearinghouse Florida Dept. of Environmental Protection 3900 Commonwealth Boulevard Mall Station 47 Tallahassee, Florida 32399-3000 Telephone: (850) 245-2161 FAX: (850) 245-2190 |
GEORGIA Barbara Jackson Georgia State Clearinghouse 270 Washington Street, SW, 8th Floor Atlanta, Georgia 30334 Telephone: (404) 656-3855 FAX: (404) 656-7901 |
ILLINOIS Roukaya McCaffrey Department of Commerce and Economic Opportunities 620 East Adams, 6th Floor Springfield, Illinois, 62701 Telephone: (217) 524-0188 FAX: (217) 558-0473 |
IOWA Kathy
Mabie |
KENTUCKY Lee
Nalley |
MAINEJoyce Benson State Planning Office 184 State Street 38 State House Station Augusta, Maine 04333 Telephone: (207) 287-3261 (direct): (207) 287-1461 FAX: (207) 287-6489 |
MARYLANDLinda C. Janey, J.D. Director, Capital Planning and Development Review Maryland Department of Planning 301 West Preston Street, Room 1104 Baltimore, Maryland 21201-2305 Telephone: (410) 767-4490 FAX: (410) 767-4480 |
MICHIGANWilliam
Parkus |
MISSISSIPPI |
MISSOURI Sara
VanderFeltz |
NEVADAGosia
Sylwesprzak |
NEW HAMPSHIREAmy
Ignatius, Acting Director |
NEW YORK Office
of Public Security |
NORTH DAKOTA Jim Boyd ND Department of Commerce 1600 East Century Avenue, Suite 2 P.O. Box 2057 Bismarck, North Dakota 58502-2057 Telephone: (701) 328-2676 FAX: (701) 328-2308 |
RHODE ISLANDJoyce Karger Department of Administration One Capitol Hill Providence Rhode Island 02908-5870 Telephone: (401) 222-6181 FAX: (401) 222-2083 |
SOUTH CAROLINAJean
Ricard |
TEXAS Denise S. Francis Director, State Grants Team Governor’s Office of Budget and Planning P.O. Box 12428 Austin, Texas 78711 Telephone: (512) 305-9415 FAX: (512) 936-2681 |
UTAHTenielle
Young |
WEST VIRGINIABobby
Lewis |
WISCONSIN Division
of Intergovernmental Relations |
AMERICAN SAMOA Pat
M. Galea'i
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GUAMRoland
C.P. Villaverde |
NORTH MARIANA ISLANDSAntonio
S. Muna |
PUERTO RICO Ing.
David Rodríguez / Luz H. Olmeda |
VIRGIN ISLANDS Debra
Gottlieb (Acting Director) |
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Changes to this list can be made only after OMB is notified by a State's officially designated representative. E-mail messages can be sent to [email protected]. If you prefer, you may send correspondence to the following postal address:
Attn:
Grants Management
Office of Management and Budget
New
Executive Office Building, Suite 6025
725 17th Street,
NW
Washington, DC 20503
Please note: Inquiries about obtaining a Federal grant should not be sent to the OMB e-mail or postal address shown above. The best source for this information is the Catalog of Federal Domestic Assistance or CFDA http://www.cfda.gov and the Grants.gov website (http://www.grants.gov).
Instructions for Meeting the General Education Provisions Act (GEPA) Section 427 Requirements
All applicants must include information in their applications to address this provision in order to receive funding under this program.
Section 427 requires each applicant 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 barriers that can impede equitable access or participation that you may address: gender, race, national origin, color, disability, or age.
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.
OMB Control No. 1890-0007 (Exp. 11/30/2007)
NOTICE TO ALL APPLICANTS
The purpose of this enclosure is to inform you about a new provision in the Department of Education's General Education Provisions Act (GEPA) that applies to applicants for new grant awards under Department programs. This provision is Section 427 of GEPA, enacted as part of the Improving America's Schools Act of 1994 (Public Law (P.L.) 103-382).
To Whom Does This Provision Apply?
Section 427 of GEPA affects applicants for new grant awards under this program. ALL APPLICANTS FOR NEW AWARDS MUST INCLUDE INFORMATION IN THEIR APPLICATIONS TO ADDRESS THIS NEW PROVISION IN ORDER TO RECEIVE FUNDING UNDER THIS PROGRAM.
(If this program is a State-formula grant program, a State needs to provide this description only for projects or activities that it carries out with funds reserved for State-level uses. In addition, local school districts or other eligible applicants that apply to the State for funding need to provide this description in their applications to the State for funding. The State would be responsible for ensuring that the school district or other local entity has submitted a sufficient section 427 statement as described below.)
What Does This Provision Require?
Section 427 requires each applicant for funds (other than an individual person) to include in its application a description of the steps the applicant proposes to take to ensure equitable access to, and participation in, its Federally-assisted program for students, teachers, and other program beneficiaries with special needs. This provision allows applicants discretion in developing the required description. The statute highlights six types of barriers that can impede equitable access or participation: gender, race, national origin, color, disability, or age. Based on local circumstances, you should determine whether these or other barriers may prevent your students, teachers, etc. from such access or participation in, the Federally-funded project or activity. The description in your application of steps to be taken to overcome these barriers need not be lengthy; you may provide a clear and succinct
description of how you plan to address those barriers that are applicable to your circumstances. In addition, the information may be provided in a single narrative, or, if appropriate, may be discussed in connection with related topics in the application.
Section 427 is not intended to duplicate the requirements of civil rights statutes, but rather to ensure that, in designing their projects, applicants for Federal funds address equity concerns that may affect the ability of certain potential beneficiaries to fully participate in the project and to achieve to high standards. Consistent with program requirements and its approved application, an applicant may use the Federal funds awarded to it to eliminate barriers it identifies.
What are Examples of How an Applicant Might Satisfy the Requirement of This Provision?
The following examples may help illustrate how an applicant may comply with Section 427.
(1) An applicant that proposes to carry out an adult literacy project serving, among others, adults with limited English proficiency, might describe in its application how it intends to distribute a brochure about the proposed project to such potential participants in their native language.
(2) An applicant that proposes to develop instructional materials for classroom use might describe how it will make the materials available on audio tape or in braille for students who are blind.
(3) An applicant that proposes to carry out a model science program for secondary students and is concerned that girls may be less likely than boys to enroll in the course, might indicate how it intends to conduct "outreach" efforts to girls, to encourage their enrollment.
We recognize that many applicants may already be implementing effective steps to ensure equity of access and participation in their grant programs, and we appreciate your cooperation in responding to the requirements of this provision
Estimated Burden Statement for GEPA Requirements
According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless such collection displays a valid OMB control number. The valid OMB control number for this information collection is 1890-0007. The time required to complete this information collection is estimated to average 1.5 hours per response, including the time to review instructions, search existing data resources, gather the data needed, and complete and review the information collection. If you have any comments concerning the accuracy of the time estimate(s) or suggestions for improving this form, please write to: Director, Grants Policy and Oversight Staff, U.S. Department of Education, 400 Maryland Avenue SW, Washington, DC 20202-4250.
INSTRUCTIONS FOR GRANT PERFORMANCE REPORT (ED 524B)
PURPOSE
Recipients of multi-year discretionary grants must submit an annual performance report for each year funding has been approved in order to receive a continuation award. The annual performance report should demonstrate whether substantial progress has been made toward meeting the project objectives and the program performance measures. The information described in these instructions will provide the U.S. Department of Education (ED) with the information needed to determine whether recipients have demonstrated substantial progress. ED program offices may also require recipients of “forward funded” grants that are awarded funds for their entire multi-year project up-front in a single grant award to submit the Grant Performance Report (ED 524B) on an annual basis. In addition, ED program offices may also require recipients to use the ED 524B to submit their final performance reports. Performance reporting requirements are found in 34 CFR 74.51, 75.118, 75.253, 75.590 and 80.40 of the Education Department General Administrative Regulations (EDGAR).
GENERAL INSTRUCTIONS
Please read the attached “Dear Colleague Letter” from your program office carefully. It contains specific instructions for completing the ED 524B for your program.
You must submit the ED 524B Cover Sheet, Executive Summary, and Project Status Chart. You may reference sections and page numbers of your approved application rather than repeating information.
Please follow the appropriate instructions depending on whether you are submitting an annual performance report or a final performance report.
If you are submitting a paper copy of the ED 524B, please submit one original and one copy. ED program offices will notify grant recipients of the due date for submission of annual performance reports; however, general guidelines are provided below in the instructions for ED 524B Cover Sheet, item 7. Reporting Period. Final performance reports are due 90 days after the expiration of the grant’s project period (performance period).
Note: For the purposes of this report, the term “project period” is used interchangeably with the term “performance period,” which is found on the Grant Award Notification (GAN).
Many programs provide grantees with the option of completing and submitting the ED 524B online through e-Reports. Please follow instructions from your program office regarding the use of e-Reports for submitting your ED 524B.
For those programs that operate under statutes or regulations that require additional or different reporting for performance or monitoring purposes, ED program offices will inform you when this additional or different reporting should be made.
INSTRUCTIONS FOR THE ED 524B COVER SHEET
Complete the ED 524B Cover Sheet with the appropriate information. Instructions for items 1, 3, 4 and 6 are included on the ED 524B Cover Sheet. Instructions for items 2 and 5 and items 7 through 12 are included in this instruction sheet.
2. Grantee NCES ID Number
-- Annual and Final Performance Reports:
Please enter the current National Center for Education Statistics (NCES) ID number of the grantee. Grantees that are State Educational Agencies (SEA) should enter their state's FIPS (Federal Information Processing Standards) code in item 2. Item 2 only applies to grantees that are Institutions of Higher Education (IHE), SEAs, Local Educational Agencies (LEA), public libraries, and public, charter, and private elementary or secondary schools. Leave blank, if this item is not applicable.
Please go to the applicable website listed below to obtain the grantee’s NCES ID number or FIPS code. Depending on your organization type, this number will range from 2 to 12 numeric digits.
IHEs (IPEDS ID); Public Libraries (Library ID); and Public, Charter and Private Schools (NCES School ID): http://nces.ed.gov/globallocator
LEAs (NCES District ID): http://nces.ed.gov/ccd/districtsearch/
SEAs (FIPS code): To obtain your state's FIPS code, please search on any public school district in your state at: http://nces.ed.gov/ccd/districtsearch/. The FIPS code is the first two digits of the NCES District ID number for any public school district in a state.
Note: Newly established organizations that do not have an NCES ID number yet should leave item 2 blank. However, once the organization's NCES ID number has been established, it must be entered on all future submissions of the ED 524B.
5. Grantee Address
Instructions for Submitting Address Changes
-- Annual and Final Performance Reports:
If the address that is listed in Block 1 of your GAN has changed and you are submitting a paper copy of the ED 524B, either submit the new address in Section C (Additional Information) of the Project Status Chart or submit the change through e-Administration (annual performance reports only), the administrative action function of e-Grants.
If you are submitting the ED 524B electronically through e-Reports, you may update your address in e-Reports.
Reporting Period
-- Annual Performance Reports:
Due Date: Annual performance reports are typically due seven to ten months after the start of the grant’s current budget period. Please follow instructions from your program office regarding the specific due date of the annual performance report for your grant.
The reporting period for the annual performance report is from the start of the current budget period through 30 days before the due date of the report. The start date for your current budget period may be found in Block 6 of the GAN. Please note, however, that complete data on performance measures for the current budget period must be submitted to ED, either with this report or as soon as they are available, but no later than the final due date specified by your ED program office. Please see instructions for items 11a. and 11b. of the ED 524B Cover Sheet and Section A (Project Objectives Information and Related Performance Measures Data) of the Project Status Chart for specific reporting requirements for performance measures data.
-- Final Performance Reports:
Due Date: Final performance reports are due 90 days after the expiration of the grant’s project period. If you receive a no-cost time extension from ED for this grant, the final performance report is due 90 days after the revised project period end date. Program offices may also request an annual performance report that covers the original final budget period from grantees that receive no-cost time extensions.
Please enter the start and end date for the final budget period of your grant from Block 6 of the GAN. The reporting period for your final performance report covers the entire final budget period of the project, except for the information in the Executive Summary and Section C (Additional Information) of the Project Status Chart, which covers the entire project period (performance period) of the project.
Budget Expenditures [Also See Section B (Budget Information) of the Project Status Chart]
The budget expenditure information requested in items 8a. – 8c. must be completed by your Business Office.
Note: For the purposes of this report, the term budget expenditures means allowable grant obligations incurred during the periods specified below. (See EDGAR, 34 CFR 74.2; 75.703; 75.707; and 80.3, as applicable.)
For budget expenditures made with Federal grant funds, you must provide an explanation in Section B (Budget Information) of the Project Status Chart, if you have not drawn down funds from the Grant Administration and Payment System (GAPS) to pay for these budget expenditures.
--Annual Performance Reports:
Report your actual budget expenditures for the entire previous budget period in item 8a. Please separate expenditures into Federal grant funds and non-Federal funds (match/cost-share) expended for the project during the entire previous budget period.
Note: If you are reporting on the first budget period of the project, leave item 8a. blank.
Report your actual budget expenditures for the current budget period to date (i.e., through 30 days before the due date of this report) in item 8b. Please separate expenditures into Federal grant funds and non-Federal funds (match/cost-share) expended for the project during the current budget period to date.
--Final Performance Reports:
Report your actual budget expenditures for the entire previous budget period in item 8a. Please separate expenditures into Federal grant funds and non-Federal funds (match/cost-share) expended for the project during the entire previous budget period.
Report your actual budget expenditures for the entire final budget period in item 8b. Please separate expenditures into Federal grant funds and non-Federal funds (match/cost-share) expended for the project during the entire final budget period.
Report your actual budget expenditures for the entire project period (performance period) in item 8c. Please separate expenditures into Federal grant funds and non-Federal funds (match/cost-share) expended for the project during the entire project period. Your project period (performance period) start and end dates are found in Block 6 of the GAN.
Indirect Costs
The indirect cost information requested in Items 9a. – 9d. must be completed by your Business Office.
--Annual and Final Performance Reports:
Item 9a -- Please check “yes” or “no” in item 9a. to indicate whether or not you are claiming indirect costs under this grant.
Item 9b. -- If you checked “yes” in item 9a., please indicate in item 9b. whether or not your organization has an Indirect Cost Rate Agreement that was approved by the Federal government.
Item 9c. -- If you checked “yes” in item 9b., please indicate in item 9c. the beginning and ending dates covered by the Indirect Cost Rate Agreement. In addition, please indicate whether ED or another Federal agency (Other) issued the approved agreement. If you check “Other,” please specify the name of the Federal agency that issued the approved agreement. For final performance reports only, check the appropriate box to indicate the type of indirect cost rate that you have – Provisional, Final, or Other. If you check “Other,” please specify the type of indirect cost rate.
Item 9d. – For grants under Restricted Rate Programs (EDGAR, 34 CFR 75.563), please 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 EDGAR, 34 CFR 76.564(c)(2). Check only one response. Leave blank, if this item is not applicable.
10. Annual Institutional Review Board (IRB) Certification
--Annual Performance Reports Only:
Annual certification is required if Attachment HS1, Continuing IRB Reviews, was attached to the GAN.
Attach the IRB certification to the ED 524B as instructed in Attachment HS1.
11. Performance Measures Status
--Annual Performance Reports:
Please check “yes” or “no” in item 11a. to indicate whether complete data on performance measures for the
current budget period are included in this report in Section A of the Project Status Chart. If no, please indicate in item 11b. the date when the information will be available and submitted to ED. Complete data must be submitted for any performance measures established by ED for the grant program (included in the attached “Dear Colleague Letter”) and for any project specific performance measures that were included in your approved application.
If complete data on performance measures for the entire current budget period have not been obtained when
you submit the ED 524B, please submit available data for the budget period to date with this report, unless
instructed otherwise by your program office. Complete performance measures data for the current budget
period should be submitted by the date you indicated in item 11b.
Note: Your program office will inform you of the final date by which performance measures data must be
submitted to the Department for this program.
-- Final Performance Reports:
You must check “yes” in item 11a. Complete data on performance measures for the final budget period must be submitted with the final performance report in Section A of the Project Status Chart. Leave item 11b. blank.
Complete data must be submitted for any performance measures established by ED for the grant program (included in the attached “Dear Colleague Letter”) and for any project-specific performance measures that were included in your approved grant application.
Certification
--Annual and Final Performance Reports:
The grantee’s authorized representative must sign the certification for the ED 524B. If the grantee has any known internal control weaknesses concerning data quality (as disclosed through audits or other reviews), this information must be disclosed under Section C (Additional Information) of the Project Status Chart as well as the remedies taken to ensure the accuracy, reliability, and completeness of the data.
INSTRUCTIONS FOR THE EXECUTIVE SUMMARY
--Annual and Final Performance Reports:
Provide a one to two page Executive Summary for annual performance reports and a two to three page Executive Summary for final performance reports. Provide highlights of the project's goals, the extent to which the expected outcomes and performance measures were achieved, and what contributions the project has made to research, knowledge, practice, and/or policy. Include the population served, if appropriate.
Note: The Executive Summary for final performance reports covers the entire project period.
INSTRUCTIONS FOR THE PROJECT STATUS CHART
General Instructions for Section A -- Project Objectives Information and Related Performance Measures Data
-- Annual and Final Performance Reports:
In your approved grant application, you established project objectives stating what you hope to achieve with your funded grant project. Generally, one or more performance measures were also established for each project objective that serve to demonstrate whether you have met or are making progress towards meeting each project objective. In addition to project-specific performance measures that you may have established in your approved grant application, performance measures may have been established by ED for the grant program [included in the attached “Dear Colleague Letter”] that you are required to report on.
In Section A of the Project Status Chart, you will report on the results to date of your project evaluation as required under EDGAR, 34 CFR 75.590. According to the instructions below, for each project objective included in your approved grant application, provide quantitative and/or qualitative data for each associated performance measure and a description of preliminary findings or outcomes that demonstrate that you have met or are making progress towards meeting the performance measure. You will also explain how your data on your performance measures demonstrate that you have met or are making progress towards meeting each project objective.
Note: Complete data must be submitted for any performance measures established by ED for the grant program (included in the attached “Dear Colleague Letter”) and for any project-specific performance measures that were included in your approved grant application.
For Annual Performance Reports: If complete data on performance measures for the entire current budget period have not been obtained when you submit the ED 524B, please submit available data for the budget period to date with this report, unless instructed otherwise by your program office. Complete performance measures data for the current budget period should be submitted by the date you indicated in item 11b on the ED 524B Cover Sheet.
Your program office will inform you of the final date by which performance measures data must be submitted to the Department for this program.
For Final Performance Reports: Complete data on performance measures for the final budget period must be submitted with the final performance report.
For final performance reports, the information in Section A of the Project Status Chart covers the final budget period of the grant. Additional questions for final performance reports covering the entire project period are found in the instructions for Section C of the Project Status Chart.
Instructions for Section A
Project Objective:
Enter each project objective that is included in your approved grant application. Only one project objective should be entered per row. Project objectives should be numbered sequentially, i.e., 1., 2., 3., etc.
Update Box
If instructed by your program office in the attached “Dear Colleague Letter,” please provide an update on the status of your project objectives for any period of time that you did not report on in your previous annual performance report.
Check the “Update Box” next to each project objective for which you are providing an update. Do not check the “Update Box” if you are reporting on a project objective for the current reporting period. If you are providing a status update on your project objectives for the previous budget period and reporting on those same objectives for the current reporting period, please use separate pages (Section A) to separate previous and current information.
Do not combine information for the previous budget period and for the current reporting period on the same page.
Example: Last year’s annual performance report covered 8 months of the previous budget period. The program office requests that you report on the status of your project objectives for the last 4 months of the previous budget period in this annual performance report.
Performance Measure:
For each project objective, enter each associated performance measure. There may be multiple performance measures associated with each project objective. Enter only one performance measure per row. Each performance measure that is associated with a particular project objective should be labeled using an alpha indicator. Example: The first performance measure associated with project objective “1” should be labeled “1.a.,” the second performance measure for project objective “1” should be labeled “1.b.,” etc.
Measure Type:
For each performance measure you are reporting on, enter the type of performance measure. Enter one (1) of the following measure types: GPRA; PROGRAM; or PROJECT.
The specific measures established by ED for the grant program that you are required to report on are included in the attached “Dear Colleague Letter.” The measure type is also specified.
There are two types of measures that ED may have established for the grant program:
GPRA: Measures established for reporting to Congress under the Government Performance and Results Act; and
PROGRAM: Measures established by the program office for the particular grant competition.
In addition, report on any project-specific performance measures (PROJECT) that you, the grantee, established in your approved grant application to meet your project objectives.
Quantitative Data:
Target and Actual Performance Data
Provide the target you established for meeting each performance measure and provide actual performance data demonstrating progress towards meeting or exceeding this target. Only quantitative (numeric) data should be entered in the Target and Actual Performance Data boxes.
The Target and Actual Performance Data boxes are each divided into three columns: Raw Number; Ratio; and Percentage (%).
For performance measures that are stated in terms of a single number (e.g., the number of workshops that will be conducted or the number of students that will be served), the target and actual performance data should be reported as a single number under the Raw Number column (e.g., 10 workshops or 80 students). Please leave the Ratio and Percentage (%) columns blank.
For performance measures that are stated in terms of a percentage (e.g., percentage of students that attain proficiency), complete both the Ratio column and the Percentage (%) column. Please leave the Raw Number column blank.
In the Ratio column (e.g., 80/100), the numerator represents the numerical target (e.g., the number of students that are expected to attain proficiency) or actual performance data (e.g., the number of students that attained proficiency), and the denominator represents the universe (e.g., all students served). Please enter the corresponding percentage (e.g., 80%) in the Percentage (%) column.
If the collection of quantitative data is not appropriate for a particular performance measure, please leave the Target and Actual Performance Data boxes blank and provide an explanation and any relevant qualitative data for the performance measure in the block entitled, Explanation of Progress.
Note: If you are using weighted data, please indicate how the data are weighted in the block entitled, Explanation of Progress.
Special instructions for grants in their first budget period: If baseline data for a performance measure were not included in your approved application and targets were not set for the first budget period, then enter either the number 999 under the Raw Number column or the ratio 999/999 under the Ratio column of the Target box, depending on how your data will be reported in the future. The 999 or 999/999 indicates that baseline data are being collected on the measure during the first budget period and targets have not yet been set. Unless otherwise instructed by your program office in the attached “Dear Colleague Letter,” report baseline data collected during the first budget period under either the Raw Number column or the Ratio and Percentage (%) columns of the Actual Performance Data box, as appropriate. After baseline data have been collected during the first budget period, grantees are expected to set targets for the second and any subsequent budget periods and report actual performance data in their annual performance reports.
Explanation of Progress (Includes Qualitative Data and Data Collection Information):
For each project objective and associated performance measures, indicate what data (quantitative and/or qualitative) were collected and when they were collected, the evaluation methods that were used, and how the data were analyzed. Clearly identify and explain any deviations from your approved evaluation plan, including changes in design or methodology, or the individual or organization conducting the evaluation.
Based on your data, provide a description of preliminary findings or outcomes, including information to show whether you are making progress towards meeting each performance measure. Further, indicate how your performance measures data show that you have met or are making progress towards meeting the stated project objective. In your discussion, provide a brief description of your activities and accomplishments for the reporting period that are related to each project objective.
If expected data were not attained, expected progress was not made toward meeting a performance measure or project objective, or a planned activity was not conducted as scheduled, provide an explanation. Include a description of the steps and schedules for addressing the problem(s) or issue(s).
Indicate how you used your data and information from your evaluation to monitor the progress of your grant, and if needed, to make improvements to your original project plan (e.g., project activities and milestones) which are consistent with your approved objectives and scope of work.
Instructions for Section B – Budget Information
-- Annual and Final Performance Reports:
Report budget expenditure data in items 8a. – 8c. of the ED 524B Cover Sheet, as applicable. Please follow the instructions for completing items 8a. – 8c. included in this instruction sheet.
For budget expenditures made with Federal grant funds, you must provide an explanation if funds have not been drawn down from GAPS to pay for the budget expenditure amounts reported in items 8a. – 8c of the ED 524B Cover Sheet.
Provide an explanation if you did not expend funds at the expected rate during the reporting period.
Describe any significant changes to your budget resulting from modification of project activities.
Describe any changes to your budget that affected your ability to achieve your approved project activities and/or project objectives.
-- Annual Performance Reports Only:
Do you expect to have any unexpended funds at the end of the current budget period? If you do, explain why, provide an estimate, and indicate how you plan to use the unexpended funds (carryover) in the next budget period.
Describe any anticipated changes in your budget for the next budget period that require prior approval from the Department (see EDGAR, 34 CFR 74.25 and 80.30, as applicable).
Instructions for Section C – Additional Information
-- Annual Performance Reports Only:
If applicable, please provide a list of current partners on your grant and indicate if any partners changed during the reporting period. Please indicate if you anticipate any change in partners during the next budget period. If any of your partners changed during the reporting period, please describe whether this impacted your ability to achieve your approved project objectives and/or project activities.
If instructed by your program office, please report on any statutory reporting requirements for this grant program.
Describe any changes that you wish to make in the grant’s activities for the next budget period that are consistent with the scope and objectives of your approved application.
If you are requesting changes to the approved key personnel listed in Block 4 of your GAN for the next budget period, please indicate the name, title and percentage of time of the requested key personnel. Additionally, please attach a resume or curriculum vitae for the proposed key personnel when you submit your performance report.
Note: Do not report on any key personnel changes made during the current or previous budget period(s). Departmental approval must be requested and received prior to making key personnel changes.
Provide any other appropriate information about the status of your project including any unanticipated outcomes or benefits from your project.
-- Final Performance Reports Only:
(This information covers the entire project period.)
Note: All grantees submitting a final performance report must answer question 1. The attached “Dear Colleague Letter” specifies any additional questions that you must answer from the list below, if any.
Utilizing your evaluation results, draw conclusions about the success of the project and its impact. Describe any unanticipated outcomes or benefits from your project and any barriers that you may have encountered.
What would you recommend as advice to other educators that are interested in your project? How did your original ideas change as a result of conducting the project?
If applicable, describe your plans for continuing the project (sustainability; capacity building) and/or disseminating the project results.
Report on any statutory reporting requirements for this grant program.
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 average 22 hours per response, including the time to review instructions, search existing data resources, gather the data needed, and complete and review the information collection. If you have any comments concerning the accuracy of the time estimate (s) or suggestions for improving this form, please write to: U. S. Department of Education, Washington, D.C. 2020-4651. 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.
Application Checklist
Does your application include each of the following?
[ ] Cover Page
[ ] Table of Contents
[ ] Project Abstract
[ ] Project Narrative
[ ] Signed Statement from Chief State School Officer of each SEA in proposed consortium
[ ] Response to Section 427 of GEPA Guidance
[ ] Assurances and Certifications
[ ] Assurances--Non-Construction Programs
[ ] Certifications Regarding Lobbying; Debarment; Suspension, and Other Responsibility Matters; Drug-Free Workplace Requirements
[ ] Certification Regarding Debarment, Suspension, Ineligibility, and Voluntary Exclusion- Lower Tier Covered Transactions
[ ] Disclosure of Lobbying Activity
Did You –
[ ] If submitting by mail or hand delivery, provide one (1) original plus two (2) copies of the application?
[ ] Include all required forms with original signatures and dates?
[ ] Submit a copy of the application to the State Single Point of Contact (if applicable)?
[ ] Adhere to the 30-page limit?
[ ] Consecutively number all pages in the application package?
| File Type | application/msword |
| Author | DoED User |
| Last Modified By | doritha.ross |
| File Modified | 2008-12-09 |
| File Created | 2008-12-09 |
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