Application to Participate in the LEAP and SLEAP

Instructions to State Agency
For Completing Application to Participate In the
Leveraging Educational Assistance Partnership (LEAP) and
Special Leveraging Educational Assistance Partnership (SLEAP) Programs
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 1845-0028. The time
required to complete this information collection is estimated to average two hours (or minutes) 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. If you have comments or concerns regarding the status of your individual
submission of this form, write directly to: Financial Partner Services, Federal Student Aid, U.S. Department of Education, 830 First
Street, N.E., Floor 11, Washington, D.C. 20202.

Section A
Item 1

Self-explanatory.

Item 2

Enter the applicant's DUNS (Data Universal Numbering Scheme). The DUNS is a randomly
selected number that is assigned by the Duns and Bradstreet Corporation.

Item 3

Self-explanatory.

Item 4

Please include complete contact information by entering the names of the persons responsible for
the administration of your state agency's LEAP Program, and if participating in the SLEAP
Program, the name of the person responsible for its administration. Please distinguish which
program the person is responsible for. The same person may be responsible for both programs.

Item 5

Enter the E-mail addresses for the persons entered in item 4.

Item 6

Enter the telephone numbers for the persons entered in item 4.

Item 7

Enter the fax number for the primary program(s) contact person entered in item 4.

Section B
Item 8

Enter the TOTAL FEDERAL FUNDS you request for your state from the fiscal year 2007
appropriation to provide awards to students under the LEAP Program in award year 2007-2008.
Include the amount of your state's basic allotment as well as the additional (reallotted) funds your
state will be able to match and use for LEAP awards. Should reallotted funds become available for
awards, your request for additional funds will then be reviewed, and you will be advised after April
1, 2008, as to the amount of reallotted funds to be made available to your state. Basic allotments
and reallotments are contingent upon the adequacy of available matching funds and maintenanceof-effort expenditures.

Item 9

Indicate whether your state is applying to participate in the SLEAP Program. If you choose to apply
for funding, enter the TOTAL FEDERAL FUNDS you request for your state from the fiscal year
2007 appropriation to provide awards to students under the SLEAP Program in award year 20072008. Include the amount your state's basic allotment as well as the additional (reallotted) funds
your state will be able to match and use for SLEAP awards. Should realloted funds become
available for awards, your request for additional funds will then be reviewed, and you will be
advised after April 1, 2008, as to the amount of reallotted funds to be made available to your state.
Basic allotments and reallotments are contingent upon the adequacy of available matching funds
(two-to-one), maintenance-of-effort expenditures, and meeting the SLEAP special rule in section
415E(f) of the HEA.

Section C
NOTE:

Amounts entered in this section signify the state's commitment to provide the state
matching funds required by section 415C(b)(6) & (10) and 415E(b) of the program statutes.

Item 10

Section 415C(b)(10)) requires that state funds for the LEAP and SLEAP programs be used for
matching federal LEAP and SLEAP allotments. Item 10(a) must include the total state funds
(appropriated or from other sources) for need-based (undergraduate and graduate) awards and
must at a minimum equal the federal 2009 basic allotment for the 2009-2010 award year. Item
10(b) must include total state funds (appropriated or from other sources) for non-need-based
(undergraduate and graduate) awards.
The total of item 10(a) and (b) includes all state expenditures, (appropriated funds and funds from
other sources) for grants and work-study jobs for students projected for the 2009-2010 award year
(need-based and non-need-based awards, both to undergraduates and graduates), but does not
include the LEAP and SLEAP federal share you anticipate.

For a state to receive the full amount it requests in item 8 for the LEAP Program, the total of item
10 must be at least as large as the sum of: (1) the state's base-year amount, (2) its award year
2009-2010 basic allotment, and (3) the amount of reallotment funds requested (if any).
For a state to receive the full amount it requests in item 9 for the SLEAP Program, the total of items
10a and 10b must be at least as large as the sum of: (1) the state's total expenditures for needbased grants, scholarships, and work-study assistance for the 1999-2000 award year, (2) double its
award year 2009-2010 basic allotment, and (3) double the amount of reallotment funds requested
(if any).

Section D
Section 415C(b)(8) provides that state LEAP expenditures shall not be less than the average annual aggregate
expenditures for the proceeding three award years or the average annual expenditures per full-time equivalent
student for such years.
In this section show your state's LEAP expenditures used to match the federal LEAP allotment. Include only those
state funds which the state uses to match the federal allotment and which are awarded in accordance with all the
LEAP Program statutory and regulatory requirements. Do not include federal funds or other expenditures for state
grants that are not considered part of your federal LEAP Program.
Item 11

Use actual state LEAP expenditures (directly appropriated state funds only). These figures should
equal the total amount of state LEAP expenditures reported on your performance report for the
corresponding award years.

Item 12

Use best available state LEAP figures (directly appropriated state funds only).

Item 13

Use best available state LEAP figures for the projected (application) award year (directly
appropriated state funds only).

Items14-16

If information is required for items 14 through 16, enter the total full-time equivalent enrollment of all
institutions of higher education in the state that are eligible to participate in the state's LEAP
Program.

Section E
This section is designated to enable the Secretary to review and approve your state's criteria for the selection of
recipients under the LEAP and SLEAP programs on the basis of substantial financial need as provided by section
415C(b)(4). Use a separate sheet of paper, if you need additional space to explain your answers to the questions in
this section or explain in attached printed materials. Mail this along with your Assurance and Signature page to our
office.
Item 17

to

Item 18

The methodology used by your state to determine student financial need, if not the
Federal Needs Analysis Methodology, must be explained in sufficient detail to
allow the Secretary to determine its adequacy. Please attach a copy of all descriptive materials
produced by your state regarding your need analysis methodology, including the
application used by your students (other than the FAFSA).
If your answer to 17(e) is no, you must provide the reason(s) why the state wishes
use a variant "independent student" definition in sufficient detail to allow the Secretary to
determine whether its approvable. Also, provide a detailed description of your state's
"independent student" definition. You must check "No" for item 17(e) if your state does
not allow a financial aid administrator's professional judgement to document a student's
independent status.
The criteria used for determining whether a student's need is substantial must be
explained in sufficient detail to allow the Secretary to determine their adequacy. The
following are examples of how a state may define substantial need:
- A minimum level of relative need as measured by the difference between a student's
cost of attendance and the resources available to meet that cost.
- A measure of a family's ability to pay for a student's educational expenses, such as a
maximum expected family contribution.
- A process of selecting recipients on the basis of a ranking of eligible applicants
according to their financial need.

Section F

Section 415C(b)(5) requires that all public and nonprofit institutions in a state must be eligible to participate unless
excluded by the state's constitution or a statute before October 1, 1978.
Item 19

SELF-EXPLANATORY.

Item 20

SELF-EXPLANATORY.

Section G
Item 21

Enter the name of the state program(s) that makeup the LEAP Program in your state. Also, if
participating in SLEAP, enter the name of the state program(s) that makeup this component.

Item 22

Enter the maximum grant amount for the program(s) listed in item 21.

Section H
Item 23

Section 415E(f) requires states, for purposes of determining its share of the cost for SLEAP, to
consider only those expenditures from nonfederal sources that exceed its total expenditures for
need-based grants, scholarships, and work-study assistance for award year 1999-2000.

Item 24

The SLEAP Maintenance-of-Effort (MOE) for the 2009-2010 award year requires that a state’s
expenditures from non-federal funds for the SLEAP authorized postsecondary activities, in the
aggregate or per student, in the 2008-2009 award year must not be less than its expenditures for
those same authorized postsecondary activities, in the aggregate or per student, in the 2007-2008
award year.

(a)

The data you enter for Item 24(a) must represent your 2007-2008 award year total non-federal
expenditures for the three SLEAP authorized postsecondary activities. Further, the data you enter
for Item 24(a) of this application must equal the data you provided in Part III, Section A Item 1 on
the Performance Report for the 2007-2008 award year. If the data provided on the 2007-2008
Performance Report is incorrect, you must amend that report.

(b)

The data you enter for Item 24(b) must represent your reasonable projected 2008-2009 award year
total non-federal expenditures for the three SLEAP authorized postsecondary activities.

Compare your state’s projected 2008-2009 award year total non-federal expenditures for the three SLEAP authorized
postsecondary activities reported in Item 24(b) with your state’s final 2007-2008 award year non-federal expenditures
for the same SLEAP postsecondary activities reported in Item 24(a). The 2008-2009 award year figures, when
finalized must equal or exceed the final data for the 2007-2008 award year for the same three authorized
postsecondary activities. If not, you must complete Item 25.
Item 25

If information is required in this item for the SLEAP MOE, enter the total number of students who
received assistance for the three SLEAP authorized postsecondary activities for the 2007-2008
award year in Item 25(a) and for the 2008-2009 award year in Item 25(b).

Item 26

The SLEAP Program for the 2009-2010 award year includes three authorized activities to assist
states in providing financial assistance to eligible postsecondary students who demonstrate
financial need. Under the SLEAP Program for the 2009-2010 award year a state may do the
following:

1)

LEAP Grant Awards Supplement: Supplement its LEAP Program by increasing LEAP Program grant award
amounts for students, or by increasing the number of LEAP grant recipients. This grant supplement may consist
of federal SLEAP funds or SLEAP matching funds, or both, and is accounted for and reported under SLEAP and
not LEAP.

2)

LEAP Community Service Work-Study Awards Supplement: Supplement its LEAP Program by increasing LEAP
Program community service work-study award amounts for students, or by increasing the number of LEAP
Program community service work-study recipients. Also, the 20% cap on using Federal LEAP funds for
community service work-study awards does not apply to the SLEAP funds spent for this purpose. This
community service work-study award supplement may consist of federal SLEAP funds or SLEAP matching
funds, or both, and is accounted for and reported under SLEAP and not LEAP.

3)

Merit and Academic Achievement, or Critical Careers Scholarships: Award scholarships to eligible students for
merit and academic achievement, or for critical careers. Scholarships for merit and academic achievement can
be awarded to eligible students pursuing any field of study. Critical career scholarships can be awarded to
eligible students who desire to enter careers in information technology; mathematics, computer science, or
engineering; teaching; or other fields determined by the state to be critical to the state's workforce needs.

O.M.B. No 1845-0028

Application to Participate in the
Leveraging Educational Assistance
Partnership (LEAP) and Special
Leveraging Educational Assistance
Partnership (SLEAP) Programs
Award Year

2009-2010

Section A: State Agency and Contact Information
1. State:

4. LEAP and SLEAP Program contact(s):
a) Agency Director
b) Primary Pogram(s) Contact
c) Fiscal Contact

2. Data Universal Numbering Scheme (DUNS):

5. Contact(s) E-mail address(es):
a) Agency Director
b) Primary Pogram(s) Contact
c) Fiscal Contact

3. State agency's name and mailing address:

6. Contact(s) phone number(s):

a) Agency Name

a) Agency Director

b) No. Street

b) Primary Pogram(s) Contact

c) City, Zip

c) Fiscal Contact

7. Contact(s) fax number:
Primary Contact's FAX No.

Section B: State Request for Federal Funds

(Section 415C(a))

8. Total federal funds requested under LEAP for student awards (include the basic state allotment plus any available reallotted funds):

LEAP $
9. Does your state also choose to participate in SLEAP?
YES
If yes, total federal funds requested under SLEAP for student awards (include the basic state allotment plus any available reallotted funds):

SLEAP $
Section C: State Matching Funds Available

(Sections 415C(b)(6)&(10) and 415E(e)&(f))

For the year for which funds are requested, indicate the expected amount of:
$

10. (a) Total state funds available for need-based awards:
(b) Total state funds available for non-need based awards:

$

TOTAL

$

$0.00

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Section D: LEAP State Maintenance-of-Effort (MOE)

(Section 415C(b)(8))

11. Total LEAP expenditures (not including federal funds) for previous three (3) award years:
Expenditures - Previous Three (3) Award Years:
(a) 2005-2006: $

(b) 2006-2007: $

12. Projected LEAP expenditures for award year 2008-2009:

(c) 2007-2008: $

13. Projected LEAP expenditures for award year 2009-2010:

$

$

14. If item 13 is more than the item 11 average, check here
and go to item 17. If item 13 is less than the average for item 11, show fulltime equivalent enrollment as a basis for calculating average annual expenditures per full-time equivalent student.
Full-time Equivalent (FTE) Students - Previous Three (3) Award Years:
(a) 2005-2006:

(b) 2006-2007:

15. Projected FTEs for award year 2008-2009:

(c) 2007-2008:
16. Projected FTEs for award year 2009-2010:

Section E: State Determination of Substantial Financial Need of Students

(Section 415C(b)(4))

17. (a) Does your state use the "Free Application for Federal Student Aid (FAFSA)" or "Renewal FAFSA" for students to apply for state grant
and work-study aid in your state?

YES

NO

(b) If your state uses any application forms in addition to the FAFSA or Renewal FAFSA, or if your answer to 17(a) was "No," provide a copy of
each form used by the state. Include each form's instructions, including any instructions concerning the payment of fees by students for
processing application forms.

(c) Does your state use the Federal Need Analysis Methodology to determine financial need for your LEAP and SLEAP programs?
YES

NO

(d) If your answer to 17(c) was "No," provide a detailed description of the methodology used by your state including all of the descriptive
materials produced by your state or other entity to explain your state's methodology.

(e) Does your state use in its need analysis methodology the definition of "independent student" in section 480(d) of the Higher Education Act of
1965, as amended (HEA) (P.L. 102-325)?

YES

NO

(f) If your answer to 17(e) was "No," you must provide a detailed explanation as to why the Secretary should approve a definition of "independent
student" that varies from that term as defined in section 480(d) of the HEA. Also, you must provide a detailed description of your state's
"independent student" definition used in your LEAP and SLEAP programs.

18. Provide a description of the criteria (standards) used by your state to determine whether a student's financial need is substantial. Clearly
relate these criteria (standards) to the need analysis methodology used by your state. Also, include any state policies with respect to packaging
LEAP and/or SLEAP awards with other assistance and preventing overawards. Please provide our office with updated materials.

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Section F : Institutional Eligibility Within State
19. Please indicate each type of postsecondary educational institution that students may attend in 2009-2010 as recipients of assistance
under the LEAP and SLEAP program(s):
(a)

Public 2-year

(c)

Private 2-year

(e)

Other Nonprofit Institutions

(b)

Public 4-year

(d)

Private 4-year

(f)

Private Proprietary (for profit)

20. If 19(a), (b), (c), (d), or (e) were left blank, please indicate the reason and type of institution(s) for which the reason applies:
(a) State Constitution
(b) State Law enacted before October 1, 1978
(c) Type of institution does not exist in my State

Section G : State Program Names and Maximums
21. Name of state program(s)

22. Maximum award amount(s) for the program(s) listed in Item 21:

(a) included in your LEAP Program:

(a) LEAP Program:

(b) included in your SLEAP Program:

(b) SLEAP Program:

Section H: SLEAP Specific Information
If State is also participating in SLEAP, please complete Section H.
SLEAP Base Year Special Rule
(Section 415E(f))
23. Total state expenditures for need-based grants, scholarships, and work-study
assistance for the 1999-2000 Award Year:

SLEAP State Maintenance-of-Effort (MOE)

$

(Section 415E(d))

24. Total state expenditures for SLEAP authorized activities for the following award years:
a) 2007-2008 final award year expenditures:

b) 2008-2009 projected award year expenditures:

$

$

25. If Item 24(b) is equal to or higher than Item 24(a), check here
and go to item 26. If item 24(b) is less than item 24(a), show the
number of students who received assistance under the SLEAP authorized activities for the following award years:
(a) 2007-2008 final award year
(b) 2008-2009 projected award year

SLEAP Activities

(Section 415E(c))

26. Please indicate each activity your state plans to fund using its SLEAP allotment for the 2009-2010 award year.
Please check all that apply.
(a) LEAP Grant Awards Supplement
(b) LEAP Community Service Work-Study Awards Supplement
(c) Merit and Academic Achievement, or Critical Careers Scholarships

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Section I: Assurances and Signature
The state agency designated in Section A hereby assures the U.S. Secretary of Education that it will comply with all provisions of the laws and regulations
applicable to the Leveraging Educational Assistance Partnership (LEAP) and Special Leveraging Educational Assistance Partnership (SLEAP) program(s)
including the following assurances:
That it is the "single state agency" designated to administer the LEAP and SLEAP programs as required by section 415 of the Higher
Education Act of 1965, as amended (HEA).
That LEAP assistance to a full-time student will not exceed the lesser of $12,500 or the student's cost of attendance per academic year.
That the state will use no more than 20 percent of its allotment for each fiscal year for payments to eligible students for community servicelearning jobs as defined in 34 CFR 692.30(d).
That no student or parent shall be required by the state or any institution participating in the state's LEAP or SLEAP programs to pay a fee
payable to an entity other than the state for the collection of any data needed to make a determination of a student's eligibility under the
state's LEAP and SLEAP programs regardless of whether that data may be used for institutional purposes.
That LEAP and SLEAP recipients are selected on the basis of substantial financial need, determined annually according to criteria
established by the state and approved by the Secretary.
That all public and nonprofit institutions of higher education in the state are eligible to participate in the state LEAP and SLEAP programs,
unless such participation is prohibited by the state's constitution or by state law enacted before October 1, 1978.
That the State will provide notice to all eligible students that grants received under the State's grant program funded under LEAP and SLEAP,
are, or may be, Leveraging Educational Assistance Partnership Grants funded by the Federal Government, the State, and, where applicable,
other contributing partners.
That if a state's allocation of LEAP and SLEAP funds is based in part on the financial need demonstrated by independent students as defined
in section 480(d) of the HEA or students attending less-than-full-time, a reasonable proportion of the LEAP and SLEAP funds will be made
available to these students.
That to the extent practicable, state LEAP and SLEAP program funds shall represent the same proportional distribution of the funds awarded
to independent students in the LEAP and SLEAP programs as to the funds awarded to all students in the state program or programs of which
the state's LEAP and SLEAP programs are a part.
That no payment will be made to a student, either directly by the state or indirectly through an institution of higher education under the LEAP
and SLEAP programs, unless the student meets the eligibility requirements of the program regulations (34 CFR 692.40).
That the state will maintain fiscal control and fund accounting procedures that provide for such reports as may be reasonably necessary to
enable the Secretary to perform the Secretary's functions under the LEAP and SLEAP programs.
That the state will provide for annual, independent, non-federal audits of its LEAP and SLEAP programs operations as required by section
7501(8)(A) of the Single Audit Act of 1984 (31 USC).

If your state participates in the SLEAP Program, the state agency further assures the U.S. Secretary of Education of
the following:
That the SLEAP funds will only be used for the authorized activities described under section 415E(c) of the HEA.
That for purposes of determining the state's share of the cost of authorized SLEAP activities, the state will consider only those expenditures
from non-federal sources that exceed its total expenditures for need-based grants, scholarships, and work-study assistance for award year
1999-2000 (including any assistance provided under LEAP).
That the total amount spent per student OR the total amount of funds spent by the state, from non-federal sources, for the authorized
activities described under section 415E(c) of the HEA for the preceding award year was not less than the amount spent per student OR the
total amount of funds spent by the state for the SLEAP activities for the second preceding award year.
That the federal share of the total cost of the authorized activities under the SLEAP Program for any fiscal year shall not be more than 33 1/3
percent and the remaining share of the total cost of the state's SLEAP Program are matching dollars derived from non-federal sources.
THE STATE AGENCY CERTIFIES THAT THE INFORMATION IN THIS APPLICATION IS TRUE AND ACCURATE AND IS BASED UPON INFORMATION
REFLECTED IN THE OFFICIAL ACCOUNTING AND PROGRAM RECORDS OF THIS AGENCY, AND UPON REQUEST, SUCH RECORDS WILL BE
MADE AVAILABLE TO THE SECRETARY OR HIS DELEGATE FOR REVIEW.

Typed Name/Title of Chief Executive Officer

Signature of the Chief Executive Officer of Applicant State Agency

Date

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