BIE Grant Application

Application for Grants under the Business and International Education Program (BIE) 1894-0001

Att_2011_EDICS_BIE_07-07-10

Application for Grants under the Business and International Education Program

OMB: 1840-0794

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U.S. DEPARTMENT OF EDUCATION

Office of Postsecondary Education

Washington, DC 20006-8510



Fiscal Year 2011


APPLICATION FOR GRANTS

UNDER THE

BUSINESS AND INTERNATIONAL EDUCATION (BIE) PROGRAM

(CFDA NUMBER: 84.153A)


CLOSING DATE: XXXXXXXX


Form Approved

OMB No. 1840 -0794, Exp. Date: 09/30/20XX

Table of Contents

PROGRAM SPECIFIC INSTRUCTIONS AND FORMS


Dear Applicant Letter 3

Competition Highlights 5

Supplemental Information 7

Federal Register Notice Inviting Applications for

New Awards for Fiscal Year (FY) 2011 10

Authorizing Legislation 32

Code of Federal Regulations 36

Section 611 & 613 39

Government Performance and Results Act (GPRA) and

Performance Indicator for the BIE Program 42

BIE Program Profile 43

Instructions for Program Narrative 44

Instructions for Budget Summary Form & Itemized Line Item Budget 48

Application Checklist 51

Burden Statement 52


STANDARD INSTRUCTIONS AND FORMS

e-Application Submission Procedures and Tips for Applicants 53

Application Transmittal Instructions 57

Intergovernmental Review, State Single Point of Contact 60

Instructions for Standard Forms 61

Instructions for the SF-424 62

Instructions for Department of Education Supplemental Information for SF 424 64

Definitions for Department of Education Supplemental Information for SF 424 65

Instructions for ED 524 68

Instructions for Completion of SF-LLL: Disclosure of Lobbying Activities 70

Instructions for Survey on Ensuring Equal Opportunity 72




Dear Applicant:


Thank you for your interest in applying for a grant under the Business and International Education (BIE) program. This letter highlights a few items in the Fiscal Year (FY) 2011 application package that will be important to you in applying for grants under this program and additional information you may be required to provide. Please review the entire application package carefully before preparing and submitting your application.


The BIE program provides grants to institutions of higher education that enter into an agreement with a trade association to improve the academic teaching of the business curriculum and to conduct outreach activities that will assist the local business community to compete in the global arena.


For the (FY) 2011 competition, there is one competitive preference priority, and one invitational priority for this program. The U.S. Department of Education (Department) strongly encourages all applicants to give consideration to these priorities. Each such application shall also include an assurance that, where applicable, the activities funded by the grant will reflect diverse perspectives and a wide range of views on world regions and international affairs. For additional information about the competitive preference priority and one invitational priority, refer to the Federal Register Notice Inviting Applications for New Awards for FY 2011. Information on the BIE Program is accessible at Department’s Web site at:


http://www.ed.gov/programs/iegpsbie/index.html


Please be sure to thoroughly review the entire application booklet for information concerning the BIE Program. Applicants should pay particular attention to the section entitled “Competition Highlights” that outlines invitational and competitive priorities as well as other program and competition details.


For this FY2011 grant competition, applications for grants under the BIE Program must be submitted electronically using e-Application. The U.S. Department of Education requires applicants to use the Department’s Internet-based system, e-Grants, for submitting applications. A detailed description of this Internet-based system is included in this application package. You are urged to acquaint yourself with the requirements of this system early. You may access e-Grants through its portal page at:


http://e-grants.ed.gov


After you electronically submit your application, you will receive an e-mail with your PR award number, which is the identifying number for a discretionary grant award, confirming that your application was received.


You are reminded that the Federal Register notice is the official document, and that you should not rely upon any information that is inconsistent with the guidance contained within the official document. For information (including dates and times) about how to submit your application electronically, please refer to this document.


If you have any question or require additional information, please contact Tanyelle Richardson at [email protected] or by phone at (202) 502-7626.


We look forward to receiving your application and appreciate your efforts to promote excellence in international education.


Sincerely,


Andre Lewis

Deputy Assistant Secretary

Foreign Language Learning and International Education


Business and International Education

Competition Highlights


  1. e-Application and Electronic Submission: BIE applications submitted for FY2011 must be submitted electronically using e-Application, accessible through the Department’s e-Grants web site at http://e-grants.ed.gov. You are urged to acquaint yourself with the requirements of e-Grants early. A more thorough discussion is included later in this application package. For technical support regarding e-Application, please call 1-888-336-8930. Also, refer to “Submission Procedures and Tips for Applicants” found in this application booklet.


  1. Page Limitation: All applicants are required to adhere to the 40-page limit for the Project Narrative portion of the application.


  1. Project Abstracts: Applicants are required to submit a Project Abstract. It is limited to a one page single-spaced document and should include the name of the applicant institution, title of the project, name and contact information for the Project Director, and a brief overview of the proposed project. The abstract must be uploaded into the “ED Abstract Narrative Form” in the e-Application.


4. Assurances: BIE applications submitted for FY 2011 must certify that where applicable, the activities funded in their grant application will reflect diverse perspectives and a wide range of views on world regions and international affairs.


  1. Deadline Information: The application must be received on or before the deadline date and time. Please note that U.S. Department of Education grant application deadlines fall at 4:30:00 p.m. EST. Late applications will not be accepted. We suggest that you submit your application several days before the deadline. The Department is required to enforce the established deadline to ensure fairness to all applicants. No changes or additions to an application will be accepted after the deadline date and time.


  1. Applicant Eligibility: Please pay special attention to the Additional Eligibility Information in the Supplemental Information section to ensure that your application will be found eligible. An eligibility checklist has been included as well for your use.


  1. Proposed Grant Dates & Project Activities: Proposed start and end dates for FY 2011 twelve month grants should be July 1, 2011 – June 30, 2012. Applicants requesting 24 months of funding proposed start and end dates will be July 1, 2011 – June 30, 2013. These should be entered in Form SF-424 under Item 17.




  1. Program Priorities: Please note the following program priorities for FY 2011:


Competitive Preference Priority: An additional five (5) points will be awarded to an application that meets this priority. This priority is: The development of programs at undergraduate and graduate schools of business to serve the needs of the business community, including integrating international education with local, regional and global initiatives, especially focusing on non-traditional, mid-career, or part-time students.


Invitational Preference Priority (1): For FY 2011 there are two invitational priorities for this program. Under 34 CFR 75.105(c)(1), we do not give an application that meets this invitational priority a competitive or absolute preference over other applications.


Invitational Priority I: Programs that promote sustainable economic growth through export education that will inform the public of increasing international economic interdependence and the role of American business within the international economic system.

Invitational Priority II: Programs that focus on language instruction in one of the following seventy-eight (78) priority languages selected from the U.S. Department of Education’s list of Less Commonly Taught Languages (LCTLs):

Akan (Twi-Fante), Albanian, Amharic, Arabic (all dialects), Armenian, Azeri (Azerbaijani), Balochi, Bamanakan (Bamana, Bambara, Mandikan, Mandingo, Maninka, Dyula), Belarusian, Bengali (Bangla), Berber (all languages), Bosnian, Bulgarian, Burmese, Cebuano (Visayan), Chechen, Chinese (Cantonese), Chinese (Gan), Chinese (Mandarin), Chinese (Min), Chinese (Wu), Croatian, Dari, Dinka, Georgian, Gujarati, Hausa, Hebrew (Modern), Hindi, Igbo, Indonesian, Japanese, Javanese, Kannada, Kashmiri, Kazakh, Khmer (Cambodian), Kirghiz, Korean, Kurdish (Kurmanji), Kurdish (Sorani), Lao, Malay (Bahasa Melayu or Malaysian), Malayalam, Marathi, Mongolian, Nepali, Oromo, Panjabi, Pashto, Persian (Farsi), Polish, Portuguese (all varieties), Quechua, Romanian, Russian, Serbian, Sinhala (Sinhalese), Somali, Swahili, Tagalog, Tajik, Tamil, Telugu, Thai, Tibetan, Tigrigna, Turkish, Turkmen, Ukrainian, Urdu, Uyghur/Uigur, Uzbek, Vietnamese, Wolof, Xhosa, Yoruba, and Zulu.


Please note that these priorities are explained in detail in the Federal Register notice contained in this application package. You are urged to fully review this document before preparing your application.



Supplemental Information and Instructions


General Information

The following information supplements the information provided in the “Dear Applicant” letter and the Notice.


A. Eligible Applicants


Institutions of higher education that enter into agreements with business enterprises, trade organizations or associations that are engaged in international economic activity—or a combination of associations—for the purpose of pursuing the activities authorized under this program.

B. BIE Program Profile


All applicants must complete the information requested on this page. Using the profile, the applicant will provide information on Assurances and Priorities. Do not modify, amend or delete any information from this document.


C. BIE Program Assurances


All applicants must comply with the BIE statutory requirements. In accordance with the requirements of the statute, each funded project shall both enhance the international academic program of the institution and provide appropriate assistance to the business community, which will expand its capacity to engage in commerce abroad. All applicants must assure that where applicable, the activities funded by the grant will reflect diverse perspectives and a wide range of views on world regions and international affairs.


D. BIE Agreement


The authorizing statute requires that each application be accompanied by a copy of the “Agreement" entered into by the institution of higher education with a business enterprise, trade organization or association engaged in international economic activity, or a combination or consortium of such enterprises, organizations, or association, for the purposes of establishing, developing, improving, or expanding activities eligible for assistance under Section 613 (b) of the Higher Education Act of 1965, as amended (HEA).


Include a copy of the all "Agreement(s)” for each party in the “Other Attachments Form” section of the application. The content of the "Agreement(s)" should provide sufficient detail to show how the assistance (e.g. technical or monetary assistance) furthers the establishment, improvement or expansion of the eligible activities, and should describe the responsibilities incumbent upon each party to the “Agreement(s)."


E. Criteria for Funding


All applications for grants under the BIE program will be evaluated using the selection criteria listed in the program regulations (34 CFR 664).


  1. Length of New Award


Applicants may apply for a maximum grant performance period up to twenty-four months.


  1. Financial Provisions


We will reject any application that proposes a budget exceeding $95,000 for a single budget period of 12 months.


Applicants are limited to 8% indirect costs. Institutions with a higher negotiated indirect cost can not use the un-recovered indirect cost as a part of their matching.


H. Evaluation of Applications for Awards


A three-member panel of non-federal reviewers reviews each application. Each reviewer will prepare a written evaluation of the application and assign points for each selection criterion.


I. Selection of Grantees


The Secretary will select an application for funding in rank order, based on the application’s total score for the selection criteria and competitive preference priority points. If there are insufficient funds to fund all applications with the same total score, the Secretary will choose among the tied applications.


J. Applicant Funding


The Department is often unable to award the full amount of funds requested. Applicants should pay close attention to the “Maximum Award” section of the Notice. The Department will not fund any application at an amount exceeding the applicable maximum award level.


K. Notice to Successful Applicants


The Department's Office of Legislation and Congressional Affairs will inform the Congress regarding applicants approved for new BIE grants. Successful applicants will receive award notices by mail shortly after the Congress is notified. No funding information will be released before the Congress is notified. Notification generally occurs in the month of April.


L. Notice to Unsuccessful Applicants


Unsuccessful applicants will be notified in writing following the notice to successful applicants.


M. Performance Reports


All BIE grantees must submit project performance reports using the International Resource Information System (IRIS) electronic reporting system. If you wish to view the performance report currently required, visit the IEPS-IRIS Web site at http://www.ieps-iris.org/iris/pdfs/BIE.pdf. Please be advised that the report is for informational purposes only, and does not reflect the actual reporting instrument that you will use, should you receive a FY 2011 grant award. The performance report will assist IEPS staff in determining whether or not the BIE project is making substantial progress toward meeting the approved project objectives and whether or not a continuation award (if applicable) is in the best interest of the federal government. Project Directors will be responsible for overall project reports as well as entering project participant information into the system and ensuring that participants complete and submit individual reports.


The IRIS reporting instrument includes sections for grantees to input data and information that respond to the Government Performance and Results Act (GPRA) to assess overall program performance.

CONTACT PERSON


For program-related questions and assistance, please contact:

Program Officer: Susanna Easton

Address: International Education Programs Service (IEPS)

U.S. Department of Education

1990 K Street, N.W., Room 6017

Washington, DC 20006-8521

Telephone: (202) 502-7628

Fax: (202) 502-7859

E-mail Address: [email protected]


For technical and e-Grants-related questions and assistance, please contact:

e-Grants Help Desk – Telephone 1-888-336-8930

4000-01-U

DEPARTMENT OF EDUCATION

Office of Postsecondary Education

Overview Information

Business and International Education Program

Notice inviting applications for new awards for fiscal year (FY) 2011.

Catalog of Federal Domestic Assistance (CFDA) Number: 84.153A.

Dates:

Applications Available: [INSERT DATE OF PUBLICATION IN THE FEDERAL REGISTER].

Deadline for Transmittal of Applications: November 30, 2010.

Deadline for Intergovernmental Review: January 30, 2011.

Full Text of Announcement

I. Funding Opportunity Description

Purpose of Program: The Business and International Education Program provides grants to enhance international business education programs and to expand the capacity of the business community to engage in international economic activities.

Priorities: This competition includes one competitive preference priority and two invitational priorities that are explained in the following paragraphs.

Competitive Preference Priority: In accordance with 34 CFR 75.105(b)(2)(ii), this priority is from the regulations for this program (34 CFR 661.32). For FY 2011, this priority is a competitive preference priority. Under 34 CFR 75.105(c)(2)(i), we will award an additional five points to an application that meets this priority.

This priority is:

The development of programs at undergraduate and graduate schools of business to serve the needs of the business community, including integrating international education with local, regional and global initiatives, especially focusing on non-traditional, mid-career, or part-time students.

Invitational Priority: For FY 2011 there are two invitational priorities for this program. Under 34 CFR 75.105(c)(1), we do not give an application that meets this invitational priority a competitive or absolute preference over other applications.

These priorities are:

Invitational Priority I:

Programs that promote sustainable economic growth through export education that will inform the public of increasing international economic interdependence and the role of American business within the international economic system.

Invitational Priority II:

Applications that focus on language instruction in of the following seventy-eight (78) languages selected from the U.S. Department of Education’s list of Less Commonly Taught Languages (LCTLs):

Akan (Twi-Fante), Albanian, Amharic, Arabic (all dialects), Armenian, Azeri (Azerbaijani), Balochi, Bamanakan (Bamana, Bambara, Mandikan, Mandingo, Maninka, Dyula), Belarusian, Bengali (Bangla), Berber (all languages), Bosnian, Bulgarian, Burmese, Cebuano (Visayan), Chechen, Chinese (Cantonese), Chinese (Gan), Chinese (Mandarin), Chinese (Min), Chinese (Wu), Croatian, Dari, Dinka, Georgian, Gujarati, Hausa, Hebrew (Modern), Hindi, Igbo, Indonesian, Japanese, Javanese, Kannada, Kashmiri, Kazakh, Khmer (Cambodian), Kirghiz, Korean, Kurdish (Kurmanji), Kurdish (Sorani), Lao, Malay (Bahasa Melayu or Malaysian), Malayalam, Marathi, Mongolian, Nepali, Oromo, Panjabi, Pashto, Persian (Farsi), Polish, Portuguese (all varieties), Quechua, Romanian, Russian, Serbian, Sinhala (Sinhalese), Somali, Swahili, Tagalog, Tajik, Tamil, Telugu, Thai, Tibetan, Tigrigna, Turkish, Turkmen, Ukrainian, Urdu, Uyghur/Uigur, Uzbek, Vietnamese, Wolof, Xhosa, Yoruba, and Zulu.

Program Authority: 20 U.S.C. 1130–1130b.

Applicable Regulations: (a) The Education Department General Administrative Regulations (EDGAR) in 34 CFR parts 74, 75, 77, 79, 80, 81, 82, 84, 85, 86, 97, 98, and 99. (b) The regulations in 34 CFR parts 655 and 661.

Note: The regulations in 34 CFR part 86 apply to institutions of higher education only.

Areas of National Need:

In accordance with section 601(c) of the Higher Education Act of 1965, as amended (HEA), 20 U.S.C. 1121 (c), the Secretary has consulted with and received recommendations regarding the national need for expertise in foreign languages and world regions from the head officials of a wide range of Federal agencies. These recommendations have been taken into account in developing the request for applications for funding during this grant cycle. A list of foreign languages and world regions identified as areas of national need may be found on the following web sites:

http://www.ed.gov/about/offices/list/ope/policy.html

http://www.ed.gov/programs/iegpsbie/legislation.html

Also included on these web sites are the specific recommendations the Secretary received from Federal agencies.

Program Assurances: Each application must include an assurance that, where applicable, the activities funded by this grant will reflect diverse perspectives and a wide range of views on world regions and international affairs. (20 U.S.C. 1130a(c)).

II. Award Information

Type of Award: Discretionary grants.

Estimated Available Funds: We propose to allocate $2,619,500 for new awards for this program for FY 2011. The actual level of funding, if any, depends on final congressional action. However, we are inviting applications to allow enough time to complete the grant process if Congress appropriates funds for this program.

Estimated Range of Awards: $50,000-$95,000.

Estimated Average Size of Awards: $79,379.

Maximum Award: We will reject any application that proposes a budget exceeding $95,000 for a single budget period of 12 months. The Assistant Secretary for Postsecondary Education may change the maximum amount through a notice published in the Federal Register.

Estimated Number of Awards: 33.

Note: The Department is not bound by any estimates in this notice.

Project Period: Up to 24 months.

III. Eligibility Information

1. Eligible Applicants: Institutions of higher education that have entered into agreements with business enterprises, trade organizations, or associations that are engaged in international economic activity--or a combination or consortium of these enterprises, organizations, or associations--for the purposes of pursuing the activities authorized under this program.

2. Cost Sharing or Matching: The matching requirement is described in section 613(d) of the HEA, (20 U.S.C. 1130a(d)). The HEA provides that the applicant’s share of the total cost of carrying out a program supported by a grant under the Business and International Education Program must be no less than 50 percent of the total cost of the project in each fiscal year. The non-Federal share of the cost may be provided either in-kind or in cash.

IV. Application and Submission Information

1. Address to Request Application Package: Susanna Easton, International Education Programs Service, U.S. Department of Education, 1990 K Street, NW., room 6093, Washington, DC 20006-8521. FAX: (202) 502-7860.

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

Individuals with disabilities can obtain a copy of the application package in an accessible format (e.g., braille, large print, audiotape, or computer diskette) by contacting the program contact person listed in this section.

2. Content and Form of Application Submission: Requirements concerning the content of an application, together with the forms you must submit, are in the application package for this program.

Page Limit: The application narrative is where you,

the applicant, address the selection criteria that reviewers use to evaluate your application. You must limit the application narrative [Part III] to no more than 40 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. Page

numbers and an identifier may be outside of the 1” margin.

  • Double space (no more than three lines per vertical

inch) all text in the application narrative, except titles, headings, footnotes, quotations, references, captions, and all text in charts, tables, figures, and graphs. These items may be single-spaced. Charts, tables, figures, and graphs in the application narrative count toward the page limit.

  • Use a font that is either 12 point or larger or no smaller than 10 pitch (characters per inch). However, you may use a 10 point font in charts, tables, figures, and graphs.

  • Use one of the following fonts: Times New Roman,

Courier, Courier New, or Arial. An application submitted in any other font (including Times Roman and Arial Narrow) will not be accepted.

The page limit does not apply to Part I, the

Application for Federal Assistance face sheet (SF 424); the supplemental information form required by the Department of Education; Part II, the budget information summary form (ED Form 524); and Part IV, the assurances and certifications. The page limit also does not apply to a table of contents. However, the page limit does apply to all of the application narrative section [Part III]. If you include any attachments or appendices not specifically requested, these items will be counted as part of the application narrative [Part III] for purposes of the page limit requirement. You must include your complete response to the selection criteria in the application narrative.

We will reject your application if you exceed the page limit.

3. Submission Dates and Times:

Applications Available: [INSERT DATE OF PUBLICATION IN THE FEDERAL REGISTER].

Applications for grants under this program must be submitted electronically using the Electronic Grant Application site (e-Application) accessible through the Department’s e-Grants system. For information (including dates and times) about how to submit your application electronically, or in paper format by mail or hand delivery if you qualify for an exception to the electronic submission requirement, please refer to section IV. 6. Other Submission Requirements of this notice.

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

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

Deadline for Intergovernmental Review: January30, 2011.

4. Intergovernmental Review: This program is subject to Executive Order 12372 and the regulations in 34 CFR part 79. Information about Intergovernmental Review of Federal Programs under Executive Order 12372 is in the application package for this program.

5. Funding Restrictions: We reference regulations outlining funding restrictions in the Applicable Regulations section of this notice.

6. Data Universal Numbering System Number, Taxpayer Identification Number, and Central Contractor Registry: To do business with the Department of Education, (1) you must have a Data Universal Numbering System (DUNS) number and a Taxpayer Identification Number (TIN); (2) you must register both of those numbers with the Central Contractor Registry (CCR), the Government’s primary registrant database; and (3) you must provide those same numbers on your application.

You can obtain a DUNS number from Dun and Bradstreet. A DUNS number can be created within one business day.

If you are a corporate entity, agency, institution, or organization, you can obtain a TIN from the Internal Revenue Service. If you are an individual, you can obtain a TIN from the Internal Revenue Service or the Social Security Administration. If you need a new TIN, please allow 2-5 weeks for your TIN to become active.

The CCR registration process may take five or more business days to complete. If you are currently registered with the CCR, you may not need to make any changes. However, please make certain that the TIN associated with your DUNS number is correct. Also note that you will need to update your CCR registration on an annual basis. This may take three or more business days to complete.

7. Other Submission Requirements: Applications for grants under this program must be submitted electronically unless you qualify for an exception to this requirement in accordance with the instructions in this section.

a. Electronic Submission of Applications.

Applications for grants under the BIE Program--CFDA number 84.153A must be submitted electronically e-Application, accessible through the Department’s e-Grants portal page at: http://e-grants.ed.gov.

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

While completing your electronic application, you will be entering data online that will be saved into a database. You may not e-mail an electronic copy of a grant application to us.

Please note the following:

You must complete the electronic submission of your

grant application by 4:30:00 p.m., Washington, DC time, on the application deadline date. E-Application will not accept an application for this program after 4:30:00 p.m., Washington, DC time, on the application deadline date. Therefore, we strongly recommend that you do not wait until the application deadline date to begin the application process.

The hours of operation of the e-Grants Web site are 6:00 a.m. Monday until 7:00 p.m. Wednesday; and 6:00 a.m. Thursday until 8:00 p.m. Sunday, Washington, DC time. Please note that, because of maintenance, the system is unavailable between 8:00 p.m. on Sundays and 6:00 a.m. on Mondays, and between 7:00 p.m. on Wednesdays and 6:00 a.m. on Thursdays, Washington, DC time. Any modifications to these hours are posted on the e-Grants Web site.

You will not receive additional point value because

you submit your application in electronic format, nor will we penalize you if you qualify for an exception to the electronic submission requirement, as described elsewhere in this section, and submit your application in paper format.

You must submit all documents electronically,

including all information you typically provide on the following forms: the Application for Federal Assistance (SF 424), the Department of Education Supplemental Information for SF 424, Budget Information--Non-Construction Programs (ED 524), and all necessary assurances and certifications. You must attach any narrative sections of your application as files in a .DOC (document), .RTF (rich text), or .PDF (Portable Document) format. If you upload a file type other than the three file types specified in this paragraph or submit a password protected file, we will not review that material.

Your electronic application must comply with any

page limit requirements described in this notice.

Prior to submitting your electronic application, you may wish to print a copy of it for your records.

After you electronically submit your application,

you will receive an automatic acknowledgment that will include a PR/Award number (an identifying number unique to your application).

We may request that you provide us original

signatures on forms at a later date.

Application Deadline Date Extension in Case of e-Application Unavailability: If you are prevented from electronically submitting your application on the application deadline date because e-Application is unavailable, we will grant you an extension of one business day to enable you to transmit your application electronically, by mail, or by hand delivery. We will grant this extension if—

  1. You are a registered user of e-Application and

you have initiated an electronic application for this competition; and

  1. (a) E-Application is unavailable for 60 minutes

or more between the hours of 8:30 a.m. and 3:30 p.m., Washington, DC time, on the application deadline date; or

(b) E-Application is unavailable for any period of time between 3:30 p.m. and 4:30:00 p.m., Washington, DC time, on the application deadline date.

We must acknowledge and confirm these periods of unavailability before granting you an extension. To request this extension or to confirm our acknowledgment of any system unavailability, you may contact either (1) the person listed elsewhere in this notice under For Further Information Contact (see VII. Agency Contact) or (2) the e-Grants help desk at 1-888-336-8930. If e-Application is unavailable due to technical problems with the system and, therefore, the application deadline is extended, an e-mail will be sent to all registered users who have initiated an e-Application. Extensions referred to in this section apply only to the unavailability of e-Application.

Exception to Electronic Submission Requirement: You qualify for an exception to the electronic submission requirement, and may submit your application in paper format, if you are unable to submit an application through e-Application because––

You do not have access to the Internet; or

You do not have the capacity to upload large documents to e-Application;

and

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

Address and mail or fax your statement to: Susanna Easton, International Education Programs Service, U.S. Department of Education, 1990 K Street, NW., room 6093, Washington, DC 20006-8521. FAX: (202) 502-7860 or Tanyelle Richardson, Business and International Education Program, U.S. Department of Education, 1990 K Street, NW., room 6017, Washington, DC 20006-8521. FAX: (202) 502-7860.

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

b. Submission of Paper Applications by Mail.

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

U.S. Department of Education

Application Control Center

Attention: (CFDA Number 84.153A)

LBJ Basement Level 1

400 Maryland Avenue, SW.

Washington, DC 20202-4260


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

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

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

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

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

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

(1) A private metered postmark.

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

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

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

c. Submission of Paper Applications by Hand Delivery.

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

U.S. Department of Education

Application Control Center

Attention: (CFDA Number 84.153A)

550 12th Street, SW.

Room 7041, Potomac Center Plaza

Washington, DC 20202-4260


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

Note for Mail or Hand Delivery of Paper Applications: If you mail or hand deliver your application to the Department--

(1) You must indicate on the envelope and--if not provided by the Department--in Item 11 of the SF 424 the CFDA number, including suffix letter, if any, of the competition under which you are submitting your application; and

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

V. Application Review Information

1. Selection Criteria: The selection criteria for this program are in 34 CFR 661.31 and are as follows: (a) need for the project (25 points); (b) plan of operation (20 points); (c) qualifications of the key personnel (10 points); (d) budget and cost effectiveness (15 points); (e) evaluation plan (25 points); and (f) adequacy of resources (5 points).

2. General: For FY 2011, applications are randomly divided into groupings. International business and outreach experts, organized into panels of three, will review each application. Each panel reviews, scores, and ranks its applications separately from the applications assigned to the other panels. However, ultimately, all applications, without being divided into groups, will be ranked from the highest to the lowest score for funding purposes.

VI. Award Administration Information

1. Award Notices: If your application is successful, we notify your U.S. Representative and U.S. Senators and send you a Grant Award Notification (GAN). We may notify you informally, also.

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

2. Administrative and National Policy Requirements: We identify administrative and national policy requirements in the application package and reference these and other requirements in the Applicable Regulations section of this notice.

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

3. Reporting: At the end of your project period, you must submit a final performance report, including financial information, as directed by the Secretary. If you receive a multi-year award, you must submit an annual performance report that provides the most current performance and financial expenditure information as directed by the Secretary under 34 CFR 75.118. Grantees are required to use the electronic data instrument, International Resource Information System (IRIS), to complete both the annual and final reports. The Secretary may also require more frequent performance reports under 34 CFR 75.720(c). For specific requirements on reporting, please go to www.ed.gov/fund/grant/apply/appforms/appforms.html.

4. Performance Measures: The purpose of the BIE program is to provide funds to institutions of higher education that enter into agreements with trade associations or businesses for one or both of the following purposes: to improve the academic teaching of the business curriculum at institutions of higher education and to conduct outreach activities that expand the capacity of the business community to engage in international economic activities.

The Department will use the following BIE measures to evaluate its success in meeting this objective:

Performance Measure 1: The number of outreach activities that are adopted or disseminated within a year, divided by the total number of BIE outreach activities conducted in the current reporting period.

Performance Measure 2: Percentage of BIE projects judged to be successful by the program officer, based on a review of information provided in annual performance reports.

Efficiency Measure: Cost per high-quality, successfully completed project.

The Department will use information provided by grantees in their performance reports submitted via IRIS as the source of data for these measures. Reporting screens for institutions can be viewed at: http://www.ieps-iris.org/iris/pdfs/BIE.pdf.

VII. Agency Contact

For Further Information Contact: Susanna Easton, International Education Programs Service, U.S. Department of Education, 1990 K Street, NW., room 6093, Washington, DC 20006-8521 or by email: [email protected].

If you use a TDD, call the FRS, toll free, at 1-800-877-8339.

VIII. Other Information

Accessible Format: Individuals with disabilities can obtain this document and a copy of the application package in an accessible format (e.g., braille, large print, audiotape, or computer diskette) on request to the program contact person listed under For Further Information Contact in section VII of this notice.

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

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

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

Delegation of Authority: Assistant Secretary for Postsecondary Education.

Dated:


_____________________________

Eduardo __ Ochoa

Assistant Secretary




Authorizing Legislation and Regulations


TITLE 34—EDUCATION


CHAPTER VI--OFFICE OF POSTSECONDARY EDUCATION, DEPARTMENT OF EDUCATION


PART 655--INTERNATIONAL EDUCATION PROGRAMS--GENERAL PROVISIONS

Table of Contents


Subpart A--General

Sec. 655.1 Which programs do these regulations govern?

 

  The regulations in this part govern the administration of the following programs in international education:

(a) The National Resource Centers Program for Foreign Language and Area Studies or Foreign Language and International Studies (section 602 of the Higher Education Act of 1965, as amended);

(b) The Language Resource Centers Program (section 603);

(c) The Undergraduate International Studies and Foreign Language Program (section 604);

(d) The International Research and Studies Program (section 605); and

(e) The Business and International Education Program (section 613).

 

(Authority: 20 U.S.C. 1121-1130b)

 

[47 FR 14116, Apr. 1, 1982, as amended at 58 FR 32575, June 10, 1993; 64

FR 7739, Feb. 16, 1999]

 

Subpart A--General


Sec. 655.3 What regulations apply to the International Education Programs?

 

The following regulations apply to the International Education Programs:

(a) The Education Department General Administrative Regulations

(EDGAR) as follows:

(1) 34 CFR part 74 (Administration of Grants to Institutions of Higher Education, Hospitals, and Nonprofit Organizations).

(2) 34 CFR part 75 (Direct Grant Programs).

(3) 34 CFR part 77 (Definitions that Apply to Department Regulations).

(4) 34 CFR part 79 (Intergovernmental Review of Department of Education Programs and Activities), except that part 79 does not apply to 34 CFR parts 660, 669, and 671.

(5) 34 CFR part 82 (New Restrictions on Lobbying).

(6) 34 CFR part 85 (Governmentwide Debarment and Suspension (Nonprocurement) and Governmentwide Requirements for Drug-Free Workplace (Grants)).

(7) 34 CFR part 86 (Drug-Free Schools and Campuses).

(b) The regulations in this part 655; and

(c) As appropriate, the regulations in--

(1) 34 CFR part 656 (National Resource Centers Program for Foreign Language and Area Studies or Foreign Language and International Studies);

(2) 34 CFR part 657 (Foreign Language and Area Studies Fellowships Program);

(3) 34 CFR part 658 (Undergraduate International Studies and Foreign Language Program);

(4) 34 CFR part 660 (International Research and Studies Program);

(5) 34 CFR part 661 (Business and International Education Program); and

 

(6) 34 CFR part 669 (Language Resource Centers Program).

 

(Authority: 20 U.S.C. 1121-1127; 1221e-3)

 

[47 FR 14116, Apr. 1, 1982, as amended at 58 FR 32575, June 10, 1993; 64

FR 7739, Feb. 16, 1999]

Sec. 655.4 What definitions apply to the International Education Programs?

 

(a) Definitions in EDGAR. The following terms used in this part and 34 CFR parts 656, 657, 658, 660, 661, and 669 are defined in 34 CFR part 77:

 

Acquisition

Applicant

Application

Award

Budget

Contract

EDGAR

Equipment

Facilities

Fiscal year

Grant

Grantee

Grant period

Local educational agency

Nonprofit

Project

Project period

Private

Public

Secretary

State educational agency

Supplies



 

(Authority: 20 U.S.C. 1121-1127)

 

(b) Definitions that apply to these programs: The following definition applies to International Education Programs:

Combination of institutions of higher education means a group of institutions of higher education that have entered into a cooperative arrangement for the purpose of carrying out a common objective, or a

public or private nonprofit agency, organization, or institution designated or created by a group of institutions of higher education for the purpose of carrying out a common objective on their behalf.

Critical languages means each of the languages contained in the list of critical languages designated by the Secretary pursuant to section 212(d) of the Education for Economic Security Act, except that, in the

implementation of this definition, the Secretary may set priorities according to the purposes of title VI of the Higher Education Act of 1965, as amended.

Institution of higher education means, in addition to an institution that meets the definition of section 101(a) of the Higher Education Act of 1965, as amended, an institution that meets the requirements of

section 101(a) except that (1) it is not located in the United States, and (2) it applies for assistance under title VI of the Higher Education Act of 1965, as amended, in consortia with institutions that meet the

definitions in section 101(a).

 

(Authority: 20 U.S.C. 1121-1127, and 1141)

 

[47 FR 14116, Apr. 1, 1982, as amended at 58 FR 32575, June 10, 1993; 64

FR 7739, Feb. 16, 1999]

Subpart B--What Kinds of Projects Does the Secretary Assist?

Sec. 655.10 What kinds of projects does the Secretary assist?

 

Subpart B of 34 CFR parts 656, 657, 658, 660, 661, and 669 describes the kinds of projects that the Secretary assists under the International Education Programs.

 

(Authority: 20 U.S.C. 1021-1027)

 

[47 FR 14116, Apr. 1, 1982, as amended at 58 FR 32575, June 10, 1993, 64

FR 7739, Feb. 16, 1999]

 

Subpart C [Reserved]

 

Subpart D--How Does the Secretary Make a Grant?

Sec. 655.30 How does the Secretary evaluate an application?

 

The Secretary evaluates an applications for International Education Programs on the basis of--

(a) The general criteria in Sec. 655.31; and

(b) The specific criteria in, as applicable, subpart D of 34 CFR parts 658, 660, 661, and 669.

 

(Authority: 20 U.S.C. 1121-1127)

 

[64 FR 7739, Feb. 16, 1999]

 

Sec. 655.31 What general selection criteria does the Secretary use?

 

(a) Plan of operation. (1) The Secretary reviews each application for information that shows the quality of the plan of operation for the project.

(2) The Secretary looks for information that shows--

(i) High quality in the design of the project;

(ii) An effective plan of management that ensures proper and efficient administration of the project;

(iii) A clear description of how the objectives of the project relate to the purpose of the program;

(iv) The way the applicant plans to use its resources and personnel to achieve each objective; and

(v) A clear description of how the applicant will provide equal access and treatment for eligible project participants who are members of groups that have been traditionally underrepresented, such as--

(A) Members of racial or ethnic minority groups;

(B) Women; and

(C) Handicapped persons.

(b) Quality of key personnel. (1) The Secretary reviews each application for information that shows the quality of the key personnel the applicant plans to use on the project.

(2) The Secretary looks for information that shows--

(i) The qualifications of the project director (if one is to be used);

(ii) The qualifications of each of the other key personnel to be used in the project. In the case of faculty, the qualifications of the faculty and the degree to which that faculty is directly involved in the actual teaching and supervision of students; and

(iii) The time that each person referred to in paragraphs (b)(2) (i) and (ii) of this section plans to commit to the project; and

(iv) The extent to which the applicant, as part of its nondiscriminatory employment practices, encourages applications for employment from persons who are members of groups that have been traditionally underrepresented, such as members of racial or ethnic minority groups, women, handicapped persons, and the elderly.

(3) To determine the qualifications of a person, the Secretary

considers evidence of past experience and training, in fields related to the objectives of the project, as well as other information that the applicant provides.

(c) Budget and cost effectiveness. (1) The Secretary reviews each application for information that shows that the project has an adequate budget and is cost effective.

(2) The Secretary looks for information that shows--

(i) The budget for the project is adequate to support the project activities; and

(ii) Costs are reasonable in relation to the objectives of the project.

(d) Evaluation plan. (1) The Secretary reviews each application for information that shows the quality of the evaluation plan for the project.

(2) The Secretary looks for information that shows methods of evaluation that are appropriate for the project and, to the extent possible, are objective and produce data that are quantifiable.

(e) Adequacy of resources. (1) The Secretary reviews each application for information that shows that the applicant plans to devote adequate resources to the project.

(2) The Secretary looks for information that shows--

(i) Other than library, facilities that the applicant plans to use are adequate (language laboratory, museums, etc.); and

(ii) The equipment and supplies that the applicant plans to use are adequate.

 

(Authority: 20 U.S.C. 1121-1127)

 

Sec. 655.32 What additional factors does the Secretary consider in making grant awards?

 

Except for 34 CFR parts 656, 657, and 661, to the extent practicable and consistent with the criterion of excellence, the Secretary seeks to achieve an equitable distribution of funds throughout the Nation.

 

(Authority: 20 U.S.C. 1126(b)).

 

[58 FR 32575, June 10, 1993]

 

[Code of Federal Regulations]

[Title 34, Volume 3]

[Revised as of July 1, 2001]

From the U.S. Government Printing Office via GPO Access

[CITE: 34CFR661.1]

Code of Federal Regulations


U.S. DEPARTMENT OF EDUCATION

GENERAL ADMINISTRATIVE REGULATIONS

(Title 34 Of The Code Of Federal Regulations (CFR) Chapter VI (7-1-09 Edition))

Part 661- Business and International Education (BIE) Program Final Rule


Subpart A--General

Sec. 661.1 What is the Business and International Education Program?



The Business and International Education Program is designed to promote linkages between institutions of higher education and American businesses engaged in international economic activities. The purpose of each project assisted under this part is both to enhance the international academic programs of institutions of higher education, and to provide appropriate services to the business community that will enable it to expand its capacity to sell its goods and services outside the United States.


Sec. 661.2 Who is eligible to apply for a grant under the Business and International Education Program?


Under this program the Secretary considers applications from institutions of higher education that have entered into agreements with business enterprises, trade organizations or associations engaged in

international economic activity--or a combination or consortium of these enterprises, organizations or associations--for the purposes of pursuing the activities authorized under this program.


Sec. 661.3 What regulations apply?


The following regulations apply to this program:

(a) The regulations in 34 CFR part 655.

(b) The regulations in this part 661.


Sec. 661.4 What definitions apply to the Business and International Education Program?


(a) Definitions in EDGAR. The following terms used in this part are defined in 34 CFR part 77:


Award

Applicant

Application

EDGAR

Budget

Contract

Fiscal year

Equipment

Facilities

Nonprofit

Grant

Grantee

Private

Profit

Project period

Supplies

Public

Secretary


(b) Definitions in 34 CFR part 655. The following terms used in this part are defined in 34 CFR part 655.4(b):


Combinations of institutions

Institution of higher education

Subpart B--What Kinds of Activities Does the Secretary Assist Under This Program?

Sec. 661.10 What activities does the Secretary assist under this program?


The activities that the Secretary may assist institutions of higher education to conduct under this program, include but are not limited to--

(a) Innovation and improvement of international education curricula to serve the needs of the business community, including the development of new programs for nontraditional, mid-career, or part-time students;

(b) Development of programs to inform the public of increasing international economic interdependence and the role of American business within the international economic system;

(c) Internationalization of curricula at junior and community colleges, and at undergraduate and graduate schools of business;

(d) Development of area studies programs and interdisciplinary international programs;

(e) Establishment of export education programs through cooperative arrangements with regional and world trade centers and councils, and with bilateral and multilateral trade associations;

(f) Research for and development of teaching materials relating to international education, including language materials, and facilities appropriate to business-oriented students;

(g) Establishment of student and faculty fellowships and internships for training and education in international business activities;

(h) Development of opportunities for business and other professional school junior faculty to acquire or strengthen international skills and perspectives;

(i) Development of research programs on issues of common interest to institutions of higher education and private sector organizations and associations engaged in or promoting international economic activity;

(j) The establishment of internships overseas to enable foreign language students to develop their foreign language skills and their knowledge of foreign cultures and societies;

(k) Establishing linkages overseas with institutions of higher education and organizations that contribute to the educational objectives of this program; and

(l) Summer institutes in international business, foreign area, and other international studies designed to carry out the purposes of this program.


Sec. 661.20 What must an application include?

An institution that applies for a grant under this program shall include the following in its application:

(a)(1) A copy of the agreement between the applicant and the other party or parties described in Sec. 661.2 for the purpose of carrying out the activities for which the applicant seeks assistance.

(2) The agreement must be signed by all parties and it must describe the manner in which the business enterprise, trade association, or organization will assist in carrying out the activities proposed in the

application.

(b) An assurance that the applicant will use the funds to supplement and not to supplant activities conducted by the applicant.

(c) An assurance that, where applicable, the activities funded by the grant will reflect diverse perspectives and a wide range of views on world regions and international affairs.


Sec. 661.30 How does the Secretary evaluate an application?

The Secretary evaluates an application for a grant under this program on the basis of the criteria in Sec. 661.31. The Secretary informs applicants of the maximum possible score for each criterion in the application package or in a notice published in the FEDERAL REGISTER.

Sec. 661.31 What selection criteria does the Secretary use?


The Secretary evaluates an application for a grant under this program on the basis of the criteria in this section.

(a) Plan of operation. (Maximum 20 points) (See 34 CFR 655.31(a).)

(b) Qualifications of the key personnel. (Maximum 10 points) (See 34 CFR 655.31(b).)

(c) Budget and cost effectiveness. (Maximum 15 points) (See 34 CFR 655.31(c).)

(d) Evaluation plan. (Maximum 25 points) (See 34 CFR 655.31(d).)

(e) Adequacy of resources (Maximum 5 points) (See 34 CFR 655.31(e).)

(f) Need for the project. (Maximum 25 points)

The Secretary reviews each application for information that shows the need for the project, and the extent to which the proposed project will promote linkages between institutions of higher education and the

business community involved in international economic activities.


Sec. 661.32 What priorities may the Secretary establish?


(a) The Secretary may each year establish priorities for funding from the activities described in Sec. 661.10.

(b) The Secretary announces any priorities in the application notice published in the FEDERAL REGISTER.


Subpart E--What Conditions Must be Met by a Grantee?


Sec. 661.40 What are the matching requirements?

A grantee shall pay a minimum of 50 percent of the cost of the project for each fiscal year.


(Authority: 20 U.S.C. 1130a)

PART B – BUSINESS AND INTERNATIONAL EDUCATION PROGRAM

TITLE VI OF THE HIGHER EDUCATION ACT

FINDINGS AND PURPOSES


Section 611 (a) The Congress finds that--


(1) the future economic welfare of the United States will depend substantially on increasing international skills in the business community and creating an awareness among the American public of the internationalization of our economy;


(2) concerted efforts are necessary to engage business schools, language and area study programs, public and private sector organizations, and United States business in a mutually productive relationship which benefits the Nation's future economic interest;


(3) few linkages presently exist between the manpower and information needs of United States business and the international education, language training and research capacities of institutions of higher education in the United States, and public and private organizations; and


(4) organizations such as world trade councils, world trade clubs, chambers of commerce and State departments of commerce are not adequately used to link universities and business for joint venture exploration and program development.

(b) It is the purpose of this part-


(1) to enhance the broad objective of this Act by increasing and promoting the Nation's capacity for international understanding and economic enterprise through the provision of suitable international education and training for business personnel in various stages of professional development; and


(2) to promote institutional and noninstitutional educational and training activities that will contribute to the ability of United States business to prosper in an international economy.


SEC. 613 EDUCATION AND TRAINING PROGRAMS


(a) PROGRAM AUTHORIZED.-The Secretary shall make grants to, and enter into contracts with, institutions of higher education to pay the Federal share of the cost of programs designed to promote linkages between such institutions and the American business community engaged in international economic activity. Each program assisted under this part shall both enhance the international academic programs of institutions of higher education and provide appropriate services to the business community which will expand its capacity to engage in commerce abroad.


(b) AUTHORIZED ACTIVITIES.-Eligible activities to be conducted by institutions of higher education under this section shall include,


(1) innovation and improvement in international education curricula to serve the needs of the business community, including development of new programs for nontraditional, mid-career, or part-time students;


(2) development of programs to inform the public of increasing international economic interdependence and the role of American business within the international economic system;

(3) internationalization of curricula at the junior and community college level, and at undergraduate and graduate schools of business;


(4) development of areas studies programs and interdisciplinary international programs;


(5) establishment of export education programs through cooperative arrangements with regional and world trade centers and councils, and with bilateral and multilateral trade associations;


(6) research for and development of specialized teaching materials, including language materials, and facilities appropriate to business-oriented students;


(7) establishment of student and faculty fellowships and internships for training and education in international business activities;


(8) development of opportunities for junior business and other professional school faculty to acquire or strengthen international skills and perspectives;


(9) development of research programs on issues of common interest to institutions of higher education and private sector organizations and associations engaged in or promoting international economic activity;


(10) the establishment of internships overseas to enable foreign language students to develop their foreign language skills and knowledge of foreign cultures and societies.


(11) the establishment of linkages overseas with institutions of higher education and organizations that contribute to the educational objectives of this section; and


(12) summer institutes in international business, foreign area and other international studies designed to carry out the purposes of this section.


(c) APPLICANTS.-No grant may be made and no contact may be entered into under the provisions of this part unless an institution of higher education submits an application at such time and in such manner as the Secretary may reasonably require. Each such application shall be accompanies by a copy of the agreement entered into by the institution of higher education with a business enterprise, trade organization or association engaged in international economic activity, or a combination or consortium of such enterprises, organizations or associations, for the purpose of establishing, developing, improving or expanding activities eligible for assistance under subsection (b) of this section. Each such application shall contain assurances that the institution of higher education will use the assistance provided under this part to supplement and not to supplant activities conducted by institutions of higher education described in subsection (b). Each such application shall include an assurance that, where applicable, the activities funded by the grant will reflect diverse perspectives and a wide range of views on world regions and international affairs.

(d) FEDERAL SHARE.-The Federal share under this part for each fiscal year shall not exceed 50 per centum of the cost of such program.


Government Performance and Results Act (GPRA)

What is GPRA?

The Government Performance and Results Act of 1993 (GPRA) is a straightforward statute that requires all federal agencies to manage their activities with attention to the consequences of those activities. Each agency is to clearly state what it intends to accomplish, identify the resources required, and periodically report their progress to the Congress. In so doing, it is expected that the GPRA will contribute to improvements in accountability for the expenditures of public funds, improve Congressional decision-making through more objective information on the effectiveness of federal programs, and promote a new government focus on results, service delivery, and customer satisfaction.


How has the Department of Education Responded to the GPRA Requirements?


As required by GPRA, the Department of Education has prepared a strategic plan for 2007-2012. This plan reflects the Department’s priorities and integrates them with its mission and program authorities and describes how the Department will work to improve education for all children and adults in the U.S. The Department’s goals, as listed in the plan, are:


Goal 1: Increase student achievement, reward qualified teachers, and renew troubled schools so that every student can read and do math at grade level by 2014, as called for by the No Child Left Behind Act.


Goal 2: Encourage more rigorous and advanced coursework to improve the academic performance of our middle and high school students.


Goal 3: Work with colleges and universities to improve access, affordability, and accountability, so that our higher education system remains the world’s finest.


The performance indicators for the International Education Programs are part of the Department’s plan for meeting Goal 3.

What is the Performance Indicator for the Business and International Education Program?


The objective of the BIE program is to meet the nation’s security and economic needs through the development of a national capacity in foreign languages, and area and international studies. Under the Government Performance and Results Act, the Department will use the following measures to evaluate the success of the program in meeting this objective.

BIE Performance Measures:


a. Number of outreach activities that are adopted or disseminated within a year, divided by the total number of BIE outreach activities conducted in the current reporting period.


b. Percentage of BIE projects judged to be successful by the program officer, based on a review of information provided in annual performance reports.


The information provided by grantees in their performance reports submitted via the electronic International Resource Information System (IRIS) will be the source of data for this measure.

OMB: 1840-0794

Exp. Date: 09/30/2011


Business and International Education

Program Profile


INSTRUCTIONS: ALL applicants must complete and submit this profile. You may copy or recreate this form, but do not amend or modify the required information or format. Please complete all sections of this form. Upon completion, attach this document as a .doc, .rtf or .pdf into Part III of the “Other Attachments Form” of the e-Application package.


1. Name of Institution/Campus Requesting: (Use your institution’s complete name. If your institution is a branch campus, use the parent institution’s name but follow it with the name of the branch campus. For example, you would cite the State University of New York, Brockport Campus.)



DUNS#:

2. Applicant Address: (All applicants must indicate the address where the project will be located)


Project Address:


City: State: Zip:

3. Participating Agreement Partner(s)

3a. Name of Applicant Institution (Lead):

3b. Name of Agreement Partner(s) Location (city/state/country)

1.

2.

4. Program Assurance:


By checking this box, the applicant certifies that where applicable, the activities funded in this grant will reflect diverse perspectives and a wide range of views on world regions and international affairs.


5. Competitive Preference Priority: By checking this box, the applicant certifies that they are applying under the FY 2011 Competitive Priority as announced in the Federal Register Notice.


6. Invitational Priority I: By checking this box, the applicant certifies that they are applying under the FY 2011 Invitational Priority 1 as announced in the Federal Register Notice.


7. Invitational Priority II: By checking this box, the applicant certifies that they are applying under the FY 2011 Invitational Priority 1 as announced in the Federal Register Notice.




Instructions for Program Narrative


Applicants will attach the program narrative to the Project Narrative Attachment Form.


Formatting


A “page” is 8.5" x 11", on one side only, with 1" margins at the top, bottom, and both sides. Page numbers and an identifier may be within the 1” margin. Double space (no more than three lines per vertical inch) all text in the application narrative, except titles, headings, footnotes, quotations, references, captions and all text in charts, tables, and graphs. Use one of the following fonts: Times New Roman, Courier, Courier New, or Arial. Applications submitted in any other font (including Times Roman and Arial Narrow) will not be accepted. Do not use anything smaller than a 12-point font.


Include a Table of Contents. Please note that the Project Narrative Attachment Form is limited to 40 pages. This section will include the discussion of the selection criteria. The abstract, required forms, other narrative attachments, appendices, assurances and certifications will not count against your 40-page limit.


Before preparing the Program Narrative, applicants should review the Dear Applicant Letter, the Federal Register notice (Notice), program statute, and program regulations for specific guidance and requirements. Please note that applications will be evaluated according to the specific selection criteria specified in the Notice and this package.


The Secretary evaluates an application on the basis of the broad criteria in 34 CFR 655 and 661 of the BIE Program regulations as identified in this application (see “Authorizing Legislation and Regulations”). The Program Narrative should provide, in detail, the information that addresses each selection criteria. The maximum possible score for each category of selection criterion is indicated in parenthesis. The BIE selection criteria contain sub-criteria. Applicants MUST specifically address each sub-criterion.


Please limit the Program Narrative to 40 pages, double-spaced in 12-point font, and number the pages consecutively. The narrative should be written concisely. Only the required information should be submitted. Please refer to the Notice in this application for additional application submission requirements.

Selection Criteria


To facilitate the review of the application, provide responses to each of the following selection criteria in the following order:


  1. Extent of Need (25 points)

2. Plan of Operation (20 points)

3. Quality of Key Personnel (10 points)

4. Budget and Cost Effectiveness (15 points)

5. Plan of Evaluation (25 points)

6. Adequacy of Resources ( 5 points)

7. Competitive Preference Priority ( 5 points)

_________

Total Maximum Score for Selection Criteria 105 points


The following guidance may assist you in addressing each of the selection criteria:


1. Extent of Need for the Project (Maximum 25 points)

a. Describe how the needs outlined in Section 611 are addressed by the project.


b. Describe how those needs were identified.


c. Describe how your plans for institutional development and for linkages with the business community meet those needs.


d. Describe the benefits to be gained by meeting those needs.


2. Plan of Operation (Maximum 20 points)


a. Describe how the objectives of the project will be accomplished, and how these activities, and the activities provided for under the "Agreement”, relate to the purposes of Title VI, Part B.


  1. Describe the design of the project, and the activities that will be carried out, on a week-to-week or month-to-month basis for each year for which funding is requested. All activities, including those provided for in the "Agreement”, should be included.


  1. Describe how your plans for management of the project will ensure its proper and efficient administration. Include in the description the provisions for managing the activities which are provided for in the "Agreement."


  1. Describe the ways the resources and personnel will be used to support the objectives of the project, including those which may be provided for in the "Agreement."


  1. Describe how the project will provide equal access and treatment for eligible project participants who are members of racial or ethnic minority groups, women, handicapped persons, and the elderly.


3. Quality of Key Personnel (Maximum 10 points)


  1. Describe the project director's education, experience and other qualifications. Show the percent of full-time effort which will be spent on the project.


  1. Describe the other key personnel's education, experience and other qualifications. Show the percent of full-time effort which will be spent on the project.


c. Show, as part of the institution's non-discriminatory employment practices, how applications for employment from underrepresented groups (e.g., members of racial and ethnic minority groups, women, handicapped persons, and the elderly) will be encouraged.


4. Budget and Cost Effectiveness (Maximum 15 points)


  1. Provide a detailed breakout of all project costs for each year for which Federal funding is requested. Show both the Federal and the required 50 percent non-Federal match. Explain how these costs support the project activities.


b. Discuss the project's cost effectiveness and show the relationship between the cost of the project and the project's objectives.


5. Plan of Evaluation (Maximum 25 points)


  1. Provide a plan for evaluating the effectiveness of the project.


  1. Indicate the criteria to be used to evaluate the results of the project.


  1. Describe the kinds of data to be collected and analyzed. Will this provide an evaluation that is objective and quantifiable?


  1. Explain the methodology that will be used to determine if the needs for which the project is designed are being met.

6. Adequacy of Resources. (Maximum 5 points)


  1. Show that the facilities, equipment, supplies and other resources, including those identified by parties to the "Agreement," are adequate to carry out the activities of the project. Describe the sources and kinds of matching resources which will provide the non-Federal share of the costs for the project.


7. Competitive Program Priority (5 additional points)


        1. Describe how the project meets the competitive program priorities announced in the Notice.





Instructions for Budget Summary Form

& Itemized Line Item Budget


NOTE: Applicants to the BIE program must submit (1) a budget summary form to categorize requested funds (ED Form 524, Sections A & B), AND (2) a detailed line item budget and accompanying budget narrative.


The budget summary is to be included on the “Department of Education Budget Summary Form – (ED Form 524).” The applicant must complete both Sections A & B.


Both the detailed line item budget AND accompanying budget narrative for both years should be included in the “Budget Narrative Attachment Form”.


This section requests information on the applicant’s financial plan for carrying out the project. Show both the Federal and any non-Federal match (not required, but highly encouraged). Explain how these costs support the project activities.


The BIE Program selection criteria provide for an applicant to receive up to fifteen points for its proposed budget. The budget must include all costs that are allowable, reasonable and necessary for carrying out the objectives of the BIE Program. Among the costs that may be supported with grants funds are:


  1. Personnel: On line 1 (ED Form 524), enter only the project personnel salaries and wages. [Fees and expenses for consultants should be included on line 8.] The budget should include the total commitment of time and the total salary to be charged to the project for each key staff member. You should provide a breakdown of project personnel that includes: the position titles; the percent of time and number of months committed to the project for each key staff member; the salary for each key staff member; and the total salary costs to be charged to the grant.


  1. Fringe Benefits: On line 2 (ED Form 524), enter the amount of fringe benefits. The institution’s normal fringe benefit contribution may be charged to the program. Leave this blank if fringe benefits applicable to direct salaries and wages are treated as part of the indirect costs. In the budget, include an explanation and appropriate justification if the institution’s normal fringe benefit contribution exceeds 20 percent of salaries.


  1. Travel: On line 3 (ED Form 524), provide the costs for project personnel and student participants. [Consultants’ travel should be included on line 8.] In the budget, you should detail the proposed travel costs: for each trip explain the purpose and objective of the travel and provide the number of persons traveling. Transportation costs should not exceed tourist class airfare. For automobile mileage, the established institution rate should be used. Reimbursement is allowed for taxicab, bus, train, or limousine transportation. Per diem at the established institution rate is permitted when an individual is away from home overnight on official project business (see OMB Circular A-21, J.48.c - Commercial Air Travel). Foreign travel can be authorized under the grant. Please include in your travel budget funds to travel to our annual project directors’ meeting. You may include cost for up to two people to attend the annual project directors meeting. Allowable expenses regarding this meeting include, airfare and ground transportation, hotels, conference fees, meals and incidentals.


4. Equipment: On line 4 (ED Form 524), indicate the cost of equipment -- non-expendable personal property, which has a usefulness of greater than one year and an acquisition cost of $5,000 or more per unit. [Consistent with an applicant’s policy, a lower dollar amount may be used to define equipment.] In the budget, explain why the requested equipment is necessary to carry out project activities, and include a list of all equipment in the following format: item, quantity, cost per unit, and total cost.


5. Supplies: On line 5 (ED Form 524), include the costs of all tangible personal property that was not included as “equipment” on line 4. In the budget, provide an itemized list of the supplies.


6. Contractual: Not applicable. Leave blank.


7. Construction: Not applicable. Leave blank.


8. Other: On line 8 (ED Form 524), indicate all direct costs not covered on lines 1 through 5. The costs/fees for consultants and consultants’ travel should be included here. Examples of “other” costs are: equipment rental, required fees, communications costs, rental of space, utilities, custodial services, and printing costs. In the budget, provide a breakdown of all direct costs not clearly covered by other budget categories.


Evaluators and Consultants: If the project proposes to use outside evaluators and consultants, identify the consultants who will work on the project, the scope of work to be performed by each consultant, and justify why project personnel cannot perform this work. Also, provide a detailed breakdown of the costs (daily fees to be paid, estimated number of days of services, and all travel expenses, including per diem). Cost allowances for consultant fees, honoraria, per diem, and travel should not exceed amounts permitted by comparable institutional policies.


9. Total Direct Costs: On line 9 (ED Form 524), provide the total direct costs requested – the sum of lines 1 through 8.


  1. Indirect Costs: On line 10 (ED Form 524), provide the amount of indirect costs that you propose to charge against the grant.


Remember: Indirect costs are limited to 8 percent of a modified total direct cost base. To determine the modified total direct cost base, subtract capital expenditures of $5,000 or more. {See EDGAR, 34 CFR 75.562 (c)}


  1. Training Stipends: Not applicable. Leave blank.

  2. Total Cost: On line 12 (ED Form 524), provide total amount that you are requesting – the sum of lines 9 and 10. Note: This amount should also be the same as that shown as 14a on the application face sheet (SF 424).




Business and International Education Program

FY 2011 Application Checklist


Use This Checklist While Preparing Your Application. All items listed on this checklist are required.


Part I: Standard Forms

_ Application for Federal Assistance (SF 424)

_ Standard Budget Sheet (ED 524), Sections A & B

_ SF 424B – Assurances Non-Construction Programs

_ Disclosure of Lobbying Activities

_ ED 80-0013 Certification Regarding Lobbying

_ 427 GEPA

_ Department of Education Supplemental Information Form for SF 424


Part II: Project Narrative

_ Project Abstract Narrative Attachment

_ Project Narrative Attachment

_ Other Narrative Attachment I – Business and International Education (BIE) Program Profile Page

_ Other Narrative Attachment II – CVs of Key Personnel (limited to 3 pages each)

_ Other Narrative Attachment III – Letters of Support

_ Other Narrative Attachment IV – Examples of Evaluation Materials

_ Budget Narrative Attachment


Part III: Survey Form

_ Survey Form on Ensuring Equal Opportunity for Applicants


NOTE: The “ED Abstract Narrative Attachment” is where the applicant will attach the program abstract. The “Project Narrative Attachment Form” should include the narrative sections addressing the program selection criteria that will be used to evaluate applications submitted for this competition – this section has a strict page limit of 40 pages (not including the table of contents). In the “Other Narrative Attachment”, each applicant should include the following appendices: BIE Program Profile Form, curriculum vitae of key personnel (limited to 3 pages each), letters of support, examples of evaluation materials, and other supporting documents, if necessary. The “Budget Narrative Attachment” is where the applicant will attach a detailed line item budget and any supplemental budget information.

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 1840-0794. The time required to complete this information collection is estimated to average 100 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 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: Office of Postsecondary Education/IEPS, U.S. Department of Education, 1990 K Street, N.W., Sixth Floor, Washington, D.C. 20006-8521.


IMPORTANT – PLEASE READ FIRST


U.S. Department of Education

e-Application Submission Procedures and Tips for Applicants

http://e-grants.ed.gov


To facilitate your use of e-Application, this document includes important application preparation and submission procedures you need to be aware of to ensure your application is received in a timely manner and accepted by the Department of Education. Please read and follow these step-by-step directions to create and submit your application.



ATTENTION

Applicants using the Department of Education's e-Application system will need to register first to access an application package. Forms in an application package are completed on line and narratives are uploaded while logged into the system. Therefore, allow sufficient time to complete your application before the closing date. If you have not used e-Application in the past, you may want to walk through the Demo available on the e-Application homepage. If you encounter difficulties, you may also contact the e-Grants help desk on 1-888-336-8930. The following are steps you should follow to successfully complete an application with e-Application.


Step 1 – Determine if your program is accepting electronic applications. The Federal Register Notice of each program will indicate whether the program is accepting e-Applications as part of the Department's e-Application program. Here is a link to the Department's Federal Register notices: http://www.ed.gov/news/fedregister/announce/index.html. Additional information on the Department of Education's grant programs can be found at http://www.ed.gov/about/offices/list/ocfo/grants/grants.html.

Step 2 – Register in e-Application to access the application package. If you are a new user, you will need to register to use e-Application. From the e-Grants Portal Page http://e-grants.ed.gov/, click on the continue button and click the register button on the right side of the next page. Select the e-Application module and click the next button. Please provide the requested information. Your e-Grants password will be sent to the e-mail address you provide. Once you receive the e-mail, enter your username and password and click the login button.

If you already have a username and password for e-Grants, use them to login. If you have access to more than one e-Grants module, you will be directed to select which module you wish to enter. Keep in mind that this username and password will be used for all e-Grants modules. In order to update your registration for additional e-Grants modules, click the appropriate tab on the top of the screen and provide the requested information.

Note the following browser compatibility problems. The site is viewed best in Internet Explorer 5. We currently support IE 5, Netscape 6.2, and Firefox 2.2 (along with later versions of IE, Netscape and Firefox). Please make sure that you have Cookies and JavaScript enabled in your browser.

Step 3 - Add Application Package to your Start Page. From your Start Page, click on the "Add" button to see the list of application packages. Click on a specific package link on the List of Application Packages to apply. The package will now appear on your Start Page. From this point forward, you will access your unique application from your Start Page (not the Packages Page).

Step 4 - Begin the Application. Click on the underlined Application Package Title on your Start Page. This brings you to a page where you will see all of the application's forms and narratives listed as underlined links.

Step 5 - Fill out Forms. Enter a form by clicking on the underlined form title in order to enter data. Remember to click the "Save" button at the bottom of the form and check the "Form Completed" box for each form as you complete it.

Step 6 - Upload File(s) for Narrative Responses. Click on an underlined narrative form title for the e-Application. Enter the title of the document, and click on the "Browse" button to locate your file. Remember to click the "Save" button after you upload the document and check the "Form Completed" box when you finish uploading your file(s). Please note for file uploads, we accept .doc, .rtf, and .pdf files only. If you are using Word 2007, please save your document in a lower version of Word before uploading into e-Application.

Step 7 - Verify Information/Print Application. Verify your information is complete and correct on all required forms and narratives. You have the option to print each form at any time by clicking on the print/view icon next to the appropriate form. After submission of the forms and narratives, you have the option to print a complete e-Application package in PDF by clicking on the “Request Complete Package in PDF” on the e-Application PR/Award page. A second window will open informing you that your request has been received and that you will be notified via e-mail once it is available. This process can take anywhere from a few minutes to a few hours. Once you receive the e-mail, click on the link in the text of the message and enter your username and password in the new window. This will open the PDF file from which you can view/print the entire package. In addition, a blank complete package in PDF will be accessible from the package page in e-Application.

Step 8 - Submit your Application. Only authorized individuals for your organization can submit an application. Please check with your Authorizing Representative or sponsored research office before submission. Click on the "Ready to submit" button at the bottom of your application. Enter and verify the Authorizing Representative information. Click the "Submit" button. You will receive an e-mail to confirm that your application was received, and it will include a unique application number. Please print and keep this e-mail for your records. [Reminder: applications must be submitted before 4:30:00 p.m., Washington, DC time, on the deadline date for applications. e-Application will not accept your application if you try to submit it after 4:30:00 on the deadline date.]

Step 9 - Fax the signed SF 424 Cover Page (or Program Specific Cover Page). Write your unique application number (received in step 8) on the upper right corner of your printed SF 424 Cover Page (or Program Specific Cover Page), and fax it to the Application Control Center (202) 245-6272 within 3 business days of submitting your e-Application.

NOTE: For more detailed information on submitting an e-Application, please see the User Guide. In addition, please try practicing with our e-Application Demo site by clicking on the Demo button found on the upper left corner of the e-Application Home Page. Both the User Guide and Demo can be found at http://e-grants.ed.gov.

Other Submission Tips


  1. SUBMIT EARLY - We strongly recommend that you do not wait until the last day to submit your application. The time it takes to upload the narratives for your application will vary depending on a number of factors including the size of the files and the speed of your Internet connection. If you try to submit your application after 4:30:00 p.m., Washington, DC time on the deadline date, the e-Application system will not accept it.

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


If electronic submission is required, you must submit an electronic application before 4:30:00 p.m., unless you follow the procedures in the Federal Register notice and qualify for one of the exceptions to the electronic submission requirement and submit, no later than two weeks before the application deadline date, a written statement to the Department that you qualify for one of these exceptions. (See the Federal Register notice for detailed instructions.)

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

Attaching Files – Additional Tips


Please note the following tips related to attaching files to your application:


  1. Ensure that you only attach the Education approved file types detailed in the Federal Register application notice (.doc, .pdf or .rtf). If using Word 2007, save your file to an earlier version of Word before uploading. Also, do not upload any password-protected files to your application.

  1. When attaching files, applicants should limit the size of their file names. Lengthy file names could result in difficulties with opening and processing your application. We recommend you keep your file names to less than 50 characters. In addition, applicants should avoid including special characters in their file names (for example, %, *, /, etc.) Both of these conditions (lengthy file names and/or special characters including in the file names) could result in difficulties opening and processing a submitted application.


  1. Applicants should limit the size of their file attachments. Documents submitted that contain graphics and/or scanned material often greatly increase the size of the file attachments and can result in difficulties opening the files. Please note that each file attachment in e-Application has a file size limitation, which is anywhere from 2 to 8 MB, and the limitation will be indicated on the individual screen when you upload a file. For reference, however, the average discretionary grant application package totals 1 to 2 MB. Therefore, you may want to check the size of your attachments before uploading them into e-Application.



Application Transmittal Instructions


Submission of Paper Applications by Mail:

If you submit your application in paper format by mail (through the U.S. Postal Service or a commercial carrier), you must mail the original and two copies of your application, on or before the application deadline date, to the Department at the following address:


U.S. Department of Education

Application Control Center

Attention: (CFDA Number [84.153A]

LBJ Basement Level 1

400 Maryland Avenue, SW

Washington, DC 20202-4260


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

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

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

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

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


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

(1) A private metered postmark.

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


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


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


Submission of Paper Applications by Hand Delivery:

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


U.S. Department of Education

Application Control Center

Attention: (CFDA Number [84.153A])

550 12th Street, SW.

Room 7041, Potomac Center Plaza

Washington, DC 20202-4260


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

Note for Mail or Hand Delivery of Paper Applications: If you mail or hand deliver your application to the Department--

(1) You must indicate on the envelope and--if not provided by the Department--in Item 11 of the SF 424 the CFDA number, including suffix letter, if any, of the competition under which you are submitting your application; and

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


Executive Order 12372 (Intergovernmental Review of Federal Programs)



This program falls under the rubric of Executive Order 12372 (Intergovernmental Review of Federal Programs) and the regulations in 34 CFR Part 79. One of the objectives of the Executive order is to strengthen federalism--or the distribution of responsibility between localities, States, and the Federal government--by fostering intergovernmental partnerships. This idea includes supporting processes that State or local governments have devised for coordinating and reviewing proposed Federal financial grant applications.

The process for doing this requires grant applicants to contact State Single Points of Contact for information on how this works. Multi-state applicants should follow procedures specific to each state.

Further information about the State Single Point of Contact process and a list of names by State can be found at:



http://www.whitehouse.gov/omb/grants/spoc.pdf



Absent specific State review programs, applicants may submit comments directly to the Department. All recommendations and comments must be mailed or hand-delivered by the date indicated in the actual application notice to the following address: The Secretary, EO 12372--CFDA# [commenter must insert number--including suffix letter, if any], 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.




Instructions for Standard Forms


Application for Federal Assistance (SF 424)


Department of Education Supplemental Form for the SF 424


Department of Education Budget Summary Form (ED 524)


General Education Provisions Act (GEPA) Section 427


Survey Instructions on Ensuring Equal Opportunity for Applicants



INSTRUCTIONS FOR THE SF-424


This is a standard form required for use as a cover sheet for submission of pre-applications and applications and related information under discretionary programs. Some of the items are required and some are optional at the discretion of the applicant or the federal agency (agency). Required fields on the form are identified with an asterisk (*) and are also specified as “Required” in the instructions below. In addition to these instructions, applicants must consult agency instructions to determine other specific requirements.


Item

Entry:

Item:

Entry:

1.

Type of Submission: (Required) Select one type of submission in accordance with agency instructions.

Pre-application

Application

Changed/Corrected Application – Check if this submission is to change or correct a previously submitted application. Unless requested by the agency, applicants may not use this form to submit changes after the closing date.

10.

Name Of Federal Agency: (Required) Enter the name of the federal agency from which assistance is being requested with this application.

11.

Catalog Of Federal Domestic Assistance Number/Title:

Enter the Catalog of Federal Domestic Assistance number and title of the program under which assistance is requested, as found in the program announcement, if applicable.

2.

Type of Application: (Required) Select one type of application in accordance with agency instructions.


New – An application that is being submitted to an agency for the first time.

Continuation - An extension for an additional funding/budget period for a project with a projected completion date. This can include renewals.

Revision - Any change in the federal government’s financial obligation or contingent liability from an existing obligation. If a revision, enter the appropriate letter(s). More than one may be selected. If "Other" is selected, please specify in text box provided.


A. Increase Award D. Decrease Duration

B. Decrease Award E. Other (specify)

C. Increase Duration

12.

Funding Opportunity Number/Title: (Required) Enter the Funding Opportunity Number (FON) and title of the opportunity under which assistance is requested, as found in the program announcement.

13.

Competition Identification Number/Title: Enter the competition identification number and title of the competition under which assistance is requested, if applicable.

14.

Areas Affected By Project: This data element is intended for use only by programs for which the area(s) affected are likely to be different than the place(s) of performance reported on the SF-424 Project/Performance Site Location(s) Form. Add attachment to enter additional areas, if needed.

3.

Date Received: Leave this field blank. This date will be assigned by the Federal agency.

15.

Descriptive Title of Applicant’s Project: (Required) Enter a brief descriptive title of the project. If appropriate, attach a map showing project location (e.g., construction or real property projects). For pre-applications, attach a summary description of the project.

4.

Applicant Identifier: Enter the entity identifier assigned buy the Federal agency, if any, or the applicant’s control number if applicable.



5a.

Federal Entity Identifier: Enter the number assigned to your organization by the federal agency, if any.

16.

Congressional Districts Of: 16a. (Required) Enter the applicant’s congressional district. 16b. Enter all district(s) affected by the program or project. Enter in the format: 2 characters state abbreviation – 3 characters district number, e.g., CA-005 for California 5th district, CA-012 for California 12 district, NC-103 for North Carolina’s 103 district. If all congressional districts in a state are affected, enter “all” for the district number, e.g., MD-all for all congressional districts in Maryland. If nationwide, i.e. all districts within all states are affected, enter US-all. If the program/project is outside the US, enter 00-000. This optional data element is intended for use only by programs for which the area(s) affected are likely to be different than place(s) of performance reported on the SF-424 Project/Performance Site Location(s) Form. Attach an additional list of program/project congressional districts, if needed.

5b.

Federal Award Identifier: For new applications, enter NA. For a continuation or revision to an existing award, enter the previously assigned federal award identifier number. If a changed/corrected application, enter the federal identifier in accordance with agency instructions.

6.

Date Received by State: Leave this field blank. This date will be assigned by the state, if applicable.

7.

State Application Identifier: Leave this field blank. This identifier will be assigned by the state, if applicable.

8.

Applicant Information: Enter the following in accordance with agency instructions:


a. Legal Name: (Required) Enter the legal name of applicant that will undertake the assistance activity. This is the organization that has registered with the Central Contractor Registry (CCR). Information on registering with CCR may be obtained by visiting www.Grants.gov.

17.

Proposed Project Start and End Dates: (Required) Enter the proposed start date and end date of the project.

b. Employer/Taxpayer Number (EIN/TIN): (Required) Enter the employer or taxpayer identification number (EIN or TIN) as assigned by the Internal Revenue Service. If your organization is not in the US, enter 44-4444444.

18.

Estimated Funding: (Required) Enter the amount requested, or to be contributed during the first funding/budget period by each contributor. Value of in-kind contributions should be included on appropriate lines, as applicable. If the action will result in a dollar change to an existing award, indicate only the amount of the change. For decreases, enclose the amounts in parentheses.


c. Organizational DUNS: (Required) Enter the organization’s DUNS or DUNS+4 number received from Dun and Bradstreet. Information on obtaining a DUNS number may be obtained by visiting www.Grants.gov.

19.

Is Application Subject to Review by State Under Executive Order 12372 Process? (Required) Applicants should contact the State Single Point of Contact (SPOC) for Federal Executive Order 12372 to determine whether the application is subject to the State intergovernmental review process. Select the appropriate box. If “a.” is selected, enter the date the application was submitted to the State.

d. Address: Enter address: Street 1 (Required); city (Required); County/Parish, State (Required if country is US), Province, Country (Required), 9-digit zip/postal code (Required if country US).

20.

Is the Applicant Delinquent on any Federal Debt?

(Required) Select the appropriate box. This question applies to the applicant organization, not the person who signs as the authorized representative. Categories of federal debt include; but, may not be limited to: delinquent audit disallowances, loans and taxes. If yes, include an explanation in an attachment.


e. Organizational Unit: Enter the name of the primary organizational unit, department or division that will undertake the assistance activity.

21.

Authorized Representative: To be signed and dated by the authorized representative of the applicant organization. Enter the first and last name (Required); prefix, middle name, suffix. Enter title, telephone number, email (Required); and fax number. A copy of the governing body’s authorization for you to sign this application as the official representative must be on file in the applicant’s office. (Certain federal agencies may require that this authorization be submitted as part of the application.)

f. Name and contact information of person to be contacted on matters involving this application: Enter the first and last name (Required); prefix, middle name, suffix, title. Enter organizational affiliation if affiliated with an organization other than that in 7.a. Telephone number and email (Required); fax number.

9.

Type of Applicant: (Required) Select up to three applicant type(s) in accordance with agency instructions.



A.     State Government

B.     County Government

C.     City or Township Government

D.     Special District Government

E.     Regional Organization

F.     U.S. Territory or Possession

G.    Independent School District

H.     Public/State Controlled Institution of Higher Education

I.      Indian/Native American Tribal Government (Federally Recognized)

J.     Indian/Native American Tribal Government (Other than Federally Recognized)

K.     Indian/Native American Tribally Designated Organization

L.     Public/Indian Housing Authority

M.    Nonprofit

N.     Private Institution of Higher Education

O.    Individual

P.     For-Profit Organization (Other than Small Business)

Q.    Small Business

R.     Hispanic-serving Institution

S.     Historically Black Colleges and Universities (HBCUs)

T.     Tribally Controlled Colleges and Universities (TCCUs)

U.     Alaska Native and Native Hawaiian Serving Institutions

V.     Non-US Entity

W.    Other (specify)







[U.S Department of Education note: As of spring, 2010, the FON discussed in Block 12 of the instructions can be found via the following URL: http://www.grants.gov/applicants/find_grant_opportunities.jsp.]


Instructions for Department of Education Supplemental Information for SF 424



    1. Project Director. Name, address, telephone and fax numbers, and e-mail address of the person to be contacted on matters involving this application.


2. Novice Applicant. Check “Yes” or “No” only if assistance is being requested under a program that gives special consideration to novice applicants. Otherwise, leave blank.


Check “Yes” if you meet the requirements for novice applicants specified in the regulations in 34 CFR 75.225 and included on the attached page entitled “Definitions for Department of Education Supplemental Information for SF 424.” By checking “Yes” the applicant certifies that it meets these novice applicant requirements. Check “No” if you do not meet the requirements for novice applicants.


3. Human Subjects Research. (See I. A. “Definitions” in attached page entitled “Definitions for Department of Education Supplemental Information For SF 424.”)


If Not Human Subjects Research. Check “No” if research activities involving human subjects are not planned at any time during the proposed project period. The remaining parts of Item 3 are then not applicable.


If Human Subjects Research. Check “Yes” if research activities involving human subjects are planned at any time during the proposed project period, either at the applicant organization or at any other performance site or collaborating institution. Check “Yes” even if the research is exempt from the regulations for the protection of human subjects. (See I. B. “Exemptions” in attached page entitled “Definitions for Department of Education Supplemental Information For SF 424.”)


3a. If Human Subjects Research is Exempt from the Human Subjects Regulations. Check “Yes” if all the research activities proposed are designated to be exempt from the regulations. Insert the exemption number(s) corresponding to one or more of the six exemption categories listed in I. B. “Exemptions.” In addition, follow the instructions in II. A. “Exempt Research Narrative” in the attached page entitled “Definitions for Department of Education Supplemental Information For SF 424.”


3a. If Human Subjects Research is Not Exempt from Human Subjects Regulations. Check “No” if some or all of the planned research activities are covered (not exempt). In addition, follow the instructions in II. B. “Nonexempt Research Narrative” in the page entitled “Definitions for Department of Education Supplemental Information For SF 424


3a. Human Subjects Assurance Number. If the applicant has an approved Federal Wide (FWA) on file with the Office for Human Research Protections (OHRP), U.S. Department of Health and Human Services, that covers the specific activity, insert the number in the space provided. If the applicant does not have an approved assurance on file with OHRP, enter “None.” In this case, the applicant, by signature on the SF-424, is declaring that it will comply with 34 CFR 97 and proceed to obtain the human subjects assurance upon request by the designated ED official. If the application is recommended/selected for funding, the designated ED official will request that the applicant obtain the assurance within 30 days after the specific formal request.


Note about Institutional Review Board Approval. ED does not require certification of Institutional Review Board approval with the application. However, if an application that involves non-exempt human subjects research is recommended/selected for funding, the designated ED official will request that the applicant obtain and send the certification to ED within 30 days after the formal request.


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 1890-0017. The time required to complete this information collection is estimated to average between 15 and 45 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 estimate(s) or suggestions for improving this form, please write to: U.S. Department of Education, Washington, D.C. 20202-4700. If you have comments or concerns regarding the status of your individual submission of this form write directly to: Joyce I. Mays, Application Control Center, U.S. Department of Education, Potomac Center Plaza, 550 12th Street, S.W. Room 7076, Washington, D.C. 20202-4260.


Definitions for Department of Education Supplemental Information For SF 424

(Attachment to Instructions for Supplemental Information for SF 424)


Definitions:


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


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


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


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


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


PROTECTION OF HUMAN SUBJECTS IN RESEARCH


I. Definitions and Exemptions


A. Definitions.


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


Research

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


Human Subject

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


B. Exemptions.


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


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


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


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


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


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


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


II. Instructions for Exempt and Nonexempt Human Subjects Research Narratives


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


A. Exempt Research Narrative.

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


B. Nonexempt Research Narrative.


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


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


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


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


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


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


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


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


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


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


Instructions for ED 524


General Instructions


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

Section A - Budget Summary

U.S. Department of Education Funds


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


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


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


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


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


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


Section B - Budget Summary

Non-Federal Funds


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


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


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


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


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


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

Pay attention to applicable program specific instructions,
if attached.


  1. Provide an itemized budget breakdown, and justification by project year, for each budget category listed in Sections A and B. For grant projects that will be divided into two or more separately budgeted major activities or sub-projects, show for each budget category of a project year the breakdown of the specific expenses attributable to each sub-project or activity.

  2. If applicable to this program, provide the rate and base on which fringe benefits are calculated.

  3. If you are requesting reimbursement for indirect costs on line 10, this information is to be completed by your Business Office. Specify the estimated amount of the base to which the indirect cost rate is applied and the total indirect expense. Depending on the grant program to which you are applying and/or your approved Indirect Cost Rate Agreement, some direct cost budget categories in your grant application budget may not be included in the base and multiplied by your indirect cost rate. For example, you must multiply the indirect cost rates of “Training grants" (34 CFR 75.562) and grants under programs with “Supplement not Supplant” requirements ("Restricted Rate" programs) by a “modified total direct cost” (MTDC) base (34 CFR 75.563 or 76.563). Please indicate which costs are included and which costs are excluded from the base to which the indirect cost rate is applied.


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

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


  1. Provide other explanations or comments you deem necessary.

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




Instructions for Survey on Ensuring Equal Opportunity


Provide the applicant’s (organization) name and DUNS number and the grant name and CFDA number.


  1. Self-explanatory.


  1. Self-identify.


  1. Self-identify.


4. 501(c)(3) status is a legal designation provided on application to the Internal Revenue Service by eligible organizations. Some grant programs may require nonprofit applicants to have 501(c)(3) status. Other grant programs do not.


5. Self-explanatory.


6. For example, two part-time employees who each work half-time equal one full-time equivalent employee. If the applicant is a local affiliate of a national organization, the responses to survey questions 2 and 3 should reflect the staff and budget size of the local affiliate.


7. Annual budget means the amount of money your organization spends each year on all of its activities.




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 1890-0014. The time required to complete this information collection is estimated to average five (5) 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: The Agency Contact listed in this grant application package.


OMB No. 1890-0014 Exp. 02/28/10

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