EOC Application Packet

U.S. Department of Education

OFFICE OF POSTSECONDARY EDUCATION

Washington, DC 20006

www.ed.gov/about/offices/list/ope/trio/index.html

FY 2011

APPLICATION FOR GRANTS

UNDER THE

EDUCATIONAL OPPORTUNITY CENTERS PROGRAM

CFDA NUMBER: 84.066A

FORM APPROVED

OMB No. 1840-XXX, Expiration Date: Month/Date/20XX

DATED MATERIAL – OPEN IMMEDIATELY

CLOSING DATE: MONTH/DATE/2010

TABLE OF CONTENTS

Dear Applicant Letter……………………………………………………………………………….

Competition Highlights……………………………………………………………………………..

Introduction………………………………………………………………………………………….

Grants.gov Submission Procedures And Tips for Applicants……………………………….

Application Transmittal Instructions………………………………………………………………

Notice Inviting Applications for New Awards…………………………………………………….

Authorizing Legislation……………………………………………………………………………..

Educational Opportunity Centers Program Regulations……………………………………….

Annual Low-Income Levels……………………………………………………………………….

Intergovernmental Review of Federal Programs………………………………………………

Supplemental Information…………………………………………………………………………

EOC Program Profile Form………………………………………………………………………

Part IV—Educational Opportunity Centers Program Assurances……………………………..

Part V—Prior Experience…………………………………………………………………………..

INSTRUCTIONS

Instructions for Completing the Application Package ……………………………………………

Instructions for Project Narrative…………………………………………………………………..

Competitive Preference Priority……………………………………………………………………..

Invitational Priorities…………………………………………………………………………………

Instructions for Standard Forms……………………………………………………………………

Instructions for Department of Education Suppemental Information for SF-424………………

Definitions for Department of Education Supplemental Information For SF 424………………

Instructions for ED 524………………………………………………………………………………

Instructions for Budget Summary Form & Itemized Budget……………………………………..

Instructions for Completion of SF-LLL, Disclosure Of Lobbying Activities…………………….

Survey Instructions On Ensuring Equal Opportunity For Applicants…………………………

General Education Provisions Act (GEPA)……………………………………………………..

Government Performance And Results Act (GPRA)………………………………………….

Application Checklist…………………………………………………………………………

Paperwork Burden Statement……………………………………………………………………

Dear Applicant:

Thank you for your interest in applying for a grant under the Educational Opportunity Centers (EOC) Program. The EOC Program provides grants to institutions of higher education, public and private agencies and organizations, community-based organizations with experience in serving disadvantaged youth, combinations of such institutions, agencies and organizations, and secondary schools to operate projects that serve qualified individuals from disadvantaged backgrounds. The EOC projects provide information regarding financial and academic assistance available for individuals who desire to pursue a program of postsecondary education, provide assistance to individuals in applying for admission to institutions that offer programs of postsecondary education, including assistance in preparing necessary applications for use by admissions and financial aid officers, and improve the financial and economic literacy of students, including basic personal income, household money management and financial planning skills, and basic economic decision making skills.

This letter highlights a few items in the fiscal year (FY) 2011 application package that will be important to you in applying for a grant under this program. You should review the entire application package carefully before preparing and submitting your application. Information on the EOC Program is accessible at the U.S. Department of Education (Department) website at:

http://www2.ed.gov/programs/trioeoc/index.html

In the FY 2011 competition, there is one competitive preference priority and two invitational priorities. Please note that under the invitational priorities, an application that meets a priority will not receive a competitive or absolute preference over the other applicants. Under the competitive preference priority, an applicant is eligible to receive up to an additional two points based on the degree to which the applicant proposes to meet the priority. The Department strongly encourages applicants to address any or all of these priorities. For additional information about the competitive preference and invitational priorities, refer to the Federal Register Notice Inviting Applications for New Awards (Notice) for FY 2011 and the application.

We are requiring that applications for FY 2011 grants under the EOC Program be submitted electronically using the Grants.gov system. An applicant who is unable to submit an application through the Grants.gov system must submit a written request for a waiver of the electronic submission requirement at least two weeks before the deadline date. Additional information about Grants.gov submission requirements can be found in the Competition Highlights, the Notice, published in the Federal Register, and in the transmittal instructions, which are included in this package. Grants.gov is accessible through its portal page at http://www.Grants.gov.

As a result of the enactment of the Higher Education Opportunity Act (HEOA) of 2008, which amended the Higher Education Act of 1965, the Department conducted a negotiated rulemaking process to develop regulations to implement the changes required by the HEOA. The final regulations for the EOC and other Federal TRIO Programs were published in the Federal Register on October 26, 2010. The changes to the EOC Program regulations are highlighted in this application package.

Also, we would like to share with you the importance of ensuring that your application includes a strong evaluation plan. The peer reviewers will be instructed to look closely at the potential of EOC Program applicants to successfully reach their individual project goals, which are driven by the performance indicators for the EOC Program. The evaluation plan should not only include formative and summative measures, but also address the use of appropriate controls and techniques that provide for independent evaluation. The evaluation plan should shape the development of the project from the beginning of the grant period and provide benchmarks for the monitoring of progress and measurement of that progress throughout the grant award period. You should pay close attention to the information provided in the Instructions for the Program Narrative section of this application regarding the development of your evaluation activity.

For information (including dates and times) about how to submit your application electronically please refer to the official Notice published in the Federal Register.

You are reminded that the document published in the Federal Register (the Closing Date 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.

Thank you for your interest in the EOC Program. We look forward to receiving your application.

Sincerely,

/signed/

Lynn B. Mahaffie

Acting Deputy Assistant Secretary

for Higher Education Programs

COMPETITION HIGHLIGHTS

1. Educational Opportunity Center (EOC) Program applications for FY 2011 must be submitted electronically using Grants.gov. You are urged to acquaint yourself with the requirements of Grants.gov early as the registration procedures may require 5 or more days to complete. A more thorough discussion is included later in this application package. Grants.gov is accessible through its portal page at:

http://www.Grants.gov. The requirements for obtaining an exception to the electronic submission have changed and are included in the Notice Inviting Applications for New Awards (Notice) for FY 2011. If you think you may need an exception, you are urged to review the requirements promptly.

2. It is important to know that the Grants.gov site works differently than the Department’s e-Application system, used in past competitions. Grants.gov does not allow applicants to “un-submit” applications. Therefore, if you discover that changes or additions are needed once your application has been accepted and validated by the Department, you must “re-submit” the application. You should know that if the Department receives duplicate applications, we will accept and process the application with the latest “date/time received” validation.

3. Please note that you must submit your application by 4:30:00 p.m. (Washington, D.C. time) on or before the application deadline date. 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.

4. Electronic submission of applications is required; therefore, you must submit an electronic application unless you follow the procedures outlined in the Federal Register Notice for FY 2011 and qualify for one of the exceptions to the electronic submission requirement.

5. Applicants are required to adhere to the page limit in the Application Narrative Instruction portion of the application. The “Notice Inviting Applications” for new awards for FY 2011, published in the Federal Register, contains specific information governing page limits for each grant type and formatting instructions. The total page limit for the project narrative portion (includes invitational priorities) of the application for the FY 2011 EOC competition is 50 pages. However, those addressing the competitive preference priority may include up to five additional pages in a separate section of the application submission to discuss how the application meets the competitive preference priority.

6. All attachments must be in .PDF format. Other types of files will not be accepted.

Please note, once you download an application from Grants.gov, you will be working offline and saving data on your computer. It is important to note where you are saving the Grants.gov file on your computer. You will need to log on to Grants.gov to upload and submit the application. (This is different from e- Application, where you are working online and saving data to the Department’s database.) You must provide the DUNS number that was used when your organization registered with the Central Contractor Registry (CCR).

For Grants.gov-related questions and assistance, please contact:

Support Desk e-Mail: [email protected]

Support Desk Telephone: (800) 518-4726

Contact Telephone Hours: 24 hours, 7 days a week, except Federal holidays

Online Web Site: http://www.Grants.gov

Also, refer to the “Submission Procedures and Tips for Applicants” section found in this application booklet.

You are reminded that the document published in the Federal Register is the official document, and that you should not rely upon any information that is inconsistent with the guidelines contained within the official document.

7. In the FY 2011 competition, the Department has established one competitive preference priority and two invitational priorities that are outlined below:

Competitive Preference Priority:

This priority is given to eligible applicants that implement projects designed to meet the needs of military-connected students.

Applicants must address the competitive preference priority in a separate section of the application submission to receive up to an additional two points based on the extent to which applicants provide substantive information regarding the priority.

Invitational Priorities (2):

i. Invitational Priority 1: The Secretary encourages applicants to work with appropriate State agencies to use data from State longitudinal data systems or to obtain data from reliable third-party sources when providing information on the implementation of their EOC projects and their participants’ outcomes.

ii. Invitational Priority 2: The Secretary encourages applicants to coordinate project services with school-level partners and other community resources in order to carry out projects that are cost-effective and best meet the needs of adult learners, including veterans.

The competitive priority along with the two invitational priorities are explained in detail in the Notice Inviting Applications for new awards published in the Federal Register on _____, 2011, as well as in this application package. You are urged to carefully review this information.

8. As you develop your proposal, we ask you to carefully consider the specific content

that you will provide in the Objectives section in Part III of the Program Narrative in the application. This part of the application must address the appropriate standardized objectives as listed on the EOC Program Profile form. All applicants must complete the EOC Program Profile. The EOC Program Profile form, found in the application booklet, contains the standardized objectives for the program, as well as other information that is needed by the Department. All applicants are required to propose the percentage at which each of the standardized objectives will be met as related to the participants’ attainment of a secondary school diploma or its equivalent, postsecondary enrollment, applications for financial aid, and applications for college admissions. Applicants may not modify, amend or delete any of these objectives or otherwise change the language contained in the document. The profile form must be uploaded into the Other Attachments Form in Grants.gov.

9. In accordance with the Higher Education Act (HEA), as amended by the Higher Education Opportunity Act (HEOA) of 2008, all successful applicants funded under the FY 2011 EOC competition will receive five-year (60-month) grant awards that will commence on September 1, 2011.

10. Consistent with the HEA, as amended by the HEOA of 2008, applicants may submit multiple EOC Program applications to serve different target areas.

11. The HEA, as amended by the HEOA of 2008, provides a list of permissible services that applicants may address in the project design to the extent that they are viable and serve the needs identified for the population to be served by the project.

12. All applicants must provide a one-page abstract. The abstract should briefly describe the target area to be served, the services that will be provided and the activities to be conducted during the 5-year performance period. Complete instructions for submitting the abstract are included in the “Instructions for Completing the Application Package” of this application. The abstract must be uploaded into the ED Abstract Form in Grants.gov.

13. Information on the EOC Program is accessible at the Department’s website at:

http://www2.ed.gov/programs/trioeoc/index.html.

INTRODUCTION

EDUCATIONAL OPPORTUNITY CENTERS PROGRAM

AUTHORIZATION

Title IV, Part A, Subpart 2, Section 402F of the Higher Education Act of 1965, as amended (HEA) by the Higher Education Opportunity Act of 2008 (HEOA)

PROGRAM REGULATIONS

34 CFR part 644 Educational Opportunity Centers Program

PURPOSE

The Educational Opportunity Centers (EOC) program: the Secretary shall carry out a program to be known as Educational Opportunities Centers which shall be designed:

1. to provide information with respect to financial and academic assistance available for individuals desiring to pursue a program of postsecondary education;

2. to provide assistance to such persons in applying for admission to institutions at which a program of postsecondary education is offered, including preparing necessary applications for use by admissions and financial aid officers; and

3. to improve the financial literacy and economic literacy of students, including –

   1. basic personal income, household money management, and financial planning skills; and

   2. basic economic decisionmaking skills.

ELIGIBLE APPLICANTS

The following are eligible to apply for a grant to carry out an EOC Program project:

1. Institutions of higher education

2. Public or private agency or organization, including a community-based organization with experience in serving disadvantaged youth.

3. Secondary schools

4. Combinations of institutions, agencies, and organizations, and secondary schools.

ACTIVITIES FUNDED UNDER THIS PROGRAM

Permissible Services.--Any project assisted under this section

may provide services such as—

(1) Public information campaigns designed to inform the community regarding

opportunities for postsecondary education and training;

(2) Academic advice and assistance in course selection;

(3) Assistance in completing college admission and financial aid applications;

(4) Assistance in preparing for college entrance examinations;

(5) Education or counseling services designed to improve the financial literacy and economic literacy of students;

(6) Guidance on secondary school reentry or entry to a general educational development (GED) program or other alternative education programs for secondary school dropouts;

(7) Individualized personal, career, and academic counseling;

(8) Tutorial services;

(9) Career workshops and counseling;

(10) Mentoring programs involving elementary or secondary school teachers, faculty members at institutions of higher education, students, or any combination of such persons; and

(11) Programs and activities as described in paragraphs (1) through (10) that are specially designed for students who are limited English proficient, students from groups that are traditionally underrepresented in postsecondary education, students with disabilities, students who are homeless children and youths, students who are in foster care or are aging out of the foster care system, or other disconnected students.

IMPORTANT – PLEASE READ FIRST

U.S. Department of Education

Grants.gov Submission Procedures and Tips for Applicants

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

ATTENTION – Adobe Forms and PDF Files Required

Applications submitted to Grants.gov for the Department of Education will be posted using Adobe forms. Therefore, applicants will need to download the latest version of Adobe reader (at least Adobe Reader 8.1.2). Information on computer and operating system compatibility with Adobe and links to download the latest version is available on Grants.gov. We strongly recommend that you review these details on www.Grants.gov before completing and submitting your application. In addition, applicants should submit their application a day or two in advance of the closing date as detailed below. Also, applicants are required to upload their attachments in .pdf format only. (See details below under “Attaching Files – Additional Tips.”) If you have any questions regarding this matter please email the Grants.gov Contact Center at [email protected] or call 1-800-518-4726.

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

2. SUBMIT EARLY – We strongly recommend that you do not wait until the last day to submit your application. Grants.gov will put a date/time stamp on your application and then process it after it is fully uploaded. The time it takes to upload an application will vary depending on a number of factors including the size of the application and the speed of your Internet connection, and the time it takes Grants.gov to process the application will vary as well. If Grants.gov rejects your application (see step three below), you will need to resubmit successfully before 4:30:00 p.m. Washington, DC time on the deadline date.

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

3. VERIFY SUBMISSION IS OK – You will want to verify that Grants.gov and the Department of Education receive your Grants.gov submission timely and that it was validated successfully. To see the date/time your application was received, login to Grants.gov and click on the Track My Application link. For a successful submission, the date/time received should be earlier than 4:30:00 p.m. Washington, DC time, on the deadline date, AND the application status should be: Validated, Received by Agency, or Agency Tracking Number Assigned.

If the date/time received is later than 4:30:00 p.m. Washington, D.C. time, on the deadline date, your application is late. If your application has a status of “Received” it is still awaiting validation by Grants.gov. Once validation is complete, the status will either change to “Validated” or “Rejected with Errors.” If the status is “Rejected with Errors,” your application has not been received successfully. Some of the reasons Grants.gov may reject an application can be found on the Grants.gov site: http://www.grants.gov/applicants/applicant_faqs.jsp#54. For more detailed information on troubleshooting Adobe errors, you can review the Adobe Reader Error Messages document at http://www.grants.gov/assets/AdobeReaderErrorMessages.pdf. If you discover your application is late or has been rejected, please see the instructions below. Note: You will receive a series of confirmations both online and via e-mail about the status of your application. Please do not rely solely on e-mail to confirm whether your application has been received timely and validated successfully.

Submission Problems – What should you do?

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

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.)

Helpful Hints When Working with Grants.gov

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

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

Dial-Up Internet Connections

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

MAC Users

For MAC compatibility information, review the Operating System Platform Compatibility Table at the following Grants.gov link: http://www.grants.gov/help/download_software.jsp. If electronic submission is required and you are concerned about your ability to submit electronically as a non-windows user, please follow instructions in the Federal Register notice to obtain an exception to the electronic submission requirement no later than two weeks before the application deadline date. (See the Federal Register notice for detailed instructions.)

Attaching Files – Additional Tips

Please note the following tips related to attaching files to your application, especially the requirement that applicants only include .pdf files in their application:

1. Ensure that you attach .pdf files for any narrative attachments. PDF files are the only Education approved file type accepted as detailed in the Federal Register application notice. Also, do not upload any password protected files to your application. Any attachments uploaded that are not .pdf files or are password protected files will not be read. If you need assistance converting your files to a .pdf format, please refer to this Grants.gov webpage with links to conversion programs: http://www.grants.gov/help/download_software.jsp#pdf_conversion_programs

2. Grants.gov cannot process an application that includes two or more files that have the same name within a grant submission. Therefore, each file uploaded to your application package should have a unique file name.

3. 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 60 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.

4. 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. For reference, the average discretionary grant application package totals 1 to 2 MB. Therefore, you may want to check the total size of your package before submission.

Grants.gov Organization Registration Instructions

The following instructions provide registration guidance for a company, academic or research institution, state, local or tribal government, not-for-profit, or other type of organization. Registration is a one-time process that is required before representatives of an organization can submit grant application packages electronically through Grants.gov. The registration process can take up to four weeks depending on your organization and whether all steps are taken in a timely manner. For more information, visit http://www07.grants.gov/applicants/get_registered.jsp.

Note: If you are an individual applying for a grant on your own behalf and not on behalf of a company, academic or research institution, state, local or tribal government, not-for-profit, or other type of organization, visit http://www.grants.gov/applicants/individual_registration.jsp. If you apply as an individual to a grant designated for organizations, your application will be rejected.

STEP 1: OBTAIN DATA UNIVERSAL NUMBER SYSTEM (DUNS) NUMBER

WHY?

• The federal government has adopted the use of DUNS numbers to track how federal grant money is allocated. DUNS numbers identify your organization.

HOW?

• Ask the grant administrator, chief financial officer, or authorizing official of your organization to identify your DUNS number.

• If your organization does not know its DUNS number or needs to register for one, visit Dun & Bradstreet at http://fedgov.dnb.com/webform/displayHomePage.do.

TIME REQUIRED?

• Same day. You will receive DUNS number information online.

STEP 2: REGISTER WITH CENTRAL CONTRACTOR REGISTRATION (CCR)

WHY?

• Registering with the CCR is required for organizations to use Grants.gov.

HOW?

• Ask the grant administrator, chief financial officer, or authorizing official of your organization if your organization has registered with the CCR.

• If your organization is not registered, apply online at http://www.ccr.gov.

• When your organization registers with CCR, you must designate an E-Business Point of Contact (E-Biz POC). This person will identify a special password called an MPIN.

• This MPIN gives the E-Biz POC authority to designate which staff members from your organization are allowed to submit applications electronically through Grants.gov. These designated staff members are called Authorized Organization Representatives (AORs).

TIME REQUIRED?

• If your organization already has an Employment Identification Number (EIN) or Taxpayer Identification Number (TIN), allow one to three business days to complete the entire CCR registration.

• If your organization does not have an EIN or TIN, allow two weeks for obtaining the EIN or TIN from the Internal Revenue Service (IRS) if requested via phone or Internet.

• Your organization needs to renew its CCR registration once a year, which may take up to five business days. You will not be able to move on to Step 3 until this step is completed.

STEP 3: CREATE GRANTS.GOV USERNAME & PASSWORD

WHY?

• An AOR username and password serves as an "electronic signature" when submitting a Grants.gov application.

HOW?

• To create a username and password, AORs must complete a profile on Grants.gov (using their organization’s DUNS number) at https://apply07.grants.gov/apply/OrcRegister.

• AORs must wait one business day after their organization registers with the CCR before creating a profile.

TIME REQUIRED?

• Same day. After the AOR has completed their profile they will be prompted to create a username and password that will allow the user to log in and check their approval status immediately.

STEP 4: AOR AUTHORIZATION

WHY?

• Only the E-Biz POC can approve AORs, who then have the ability to submit applications on behalf of the organization.

HOW?

• When an AOR registers with Grants.gov, that organization's E-Biz POC is notified by email.

• The E-Biz POC must then log in to Grants.gov (using the organization’s DUNS number for the username and the MPIN password obtained in Step 2) and approve the AOR, thereby giving him or her permission to submit applications.

• When an E-Biz POC approves an AOR, Grants.gov will send the AOR a confirmation email.

TIME REQUIRED?

• This depends on how long it takes the E-Biz POC to log in and approve the AOR. Once the approval is completed, the AOR can immediately submit an application.

STEP 5: TRACK AOR STATUS

WHY?

• To verify that the organization’s E-Biz POC has approved the AOR.

HOW?

• AORs can log in using their username and password (obtained in Step 3) to check if they have been approved by the E-Biz POC.

TIME REQUIRED?

• Logging in as an applicant is instantaneous. The approval process depends on how long it takes the E-Biz POC to log in and approve the AOR

D-U-N-S Number Instructions

To successfully submit an application using Grants.gov, you must provide your organization’s D-U-N-S Number. A D-U-N-S Number is a unique nine-digit number issued by D&B, a global information services provider, that identifies your organization and is used by the Federal government to track how Federal money is distributed. Most large organizations, libraries, colleges, and research universities already have D-U-N-S numbers. Ask your grant administrator or chief financial officer to provide your organization’s D-U-N-S Number.

If your organization does not have a D-U-N-S Number, you can obtain one at no charge by calling 1-866-705-5711 or by completing a D-U-N-S Number Request Form: http://www.dnb.com/US/duns_update/index.html You will need to provide the following information:

• Legal name

• Trade style, doing business as (DBA), or other name by which your organization is commonly recognized

• Physical address, city, state and zip code

• Mailing address (if separate)

• Telephone number

• Contact name

• SIC code (Line of Business)

• Number of employees at your location

• Headquarters name and address (if there is a reporting relationship to a parent corporate entity)

• Is this a home-based business?

Obtaining a DUNS Number places your organization on D&B’s marketing list, which is sold to other companies. You can request not to be added to this list during your application.

Live help from D&B is available Monday-Friday, 8 a.m. – 5 p.m. (EST) at 1-888-814-1435.

Central Contractor Registration (CCR) Instructions

The Central Contractor Registration (CCR) is a web-enabled government-wide application that collects, validates, stores, and disseminates business information about the Federal government's trading partners in support of the contract award, grants, and electronic payment processes. Check to see if your organization is already registered at the CCR website: https://www.bpn.gov/CCRSearch/Search.aspx

If your organization is already registered, take note of who is listed as your E-Business Point of Contact (E-Business POC). This person will be responsible for authorizing who within your organization is able to submit applications using Grants.gov.

If your organization is not already registered, you can register using the CCR website: http://www.ccr.gov/Start.aspx or by phone (1-888-227-2423). When your organization registers with CCR, you will need to designate an E-Business Point of Contact (POC). This designee authorizes individuals to submit grant applications on behalf of the organization. A special Marketing Partner ID Number (MPIN) is established as a password to verify the E-Business POC.

The E-Business POC will be notified by e-mail when individuals from their organization register with Grants.gov. This registration is a request to be designated as an Authorized Organization Representative (AOR). To assign AOR rights, E-Business POCs need to log into Grants.gov: http://www.grants.gov/applicants/e_biz.jsp using the organization’s D-U-N-S Number and MPIN. Grants.gov will send the AOR a confirmation e-mail when this process has been completed.

Please note that your CCR registration must be renewed once a year. You can check your registration status using the CCR search page: https://www.bpn.gov/CCRSearch/Search.aspx

If you have further questions about creating, updating or renewing your CCR registration, please visit the CCR Frequently Asked Questions page: http://www.ccr.gov/FAQ.aspx or contact the CCR Help Desk at 1-888-227-2423.

APPLICATION TRANSMITTAL INSTRUCTIONS

ATTENTION ELECTRONIC APPLICANTS: Please note that you must follow the Application Procedures as described in the Federal Register notice announcing the grant competition.

This program requires the electronic submission of applications; specific requirements and waiver instructions can be found in the Federal Register notice.

According to the instructions found in the Federal Register notice, those requesting and qualifying for an exception to the electronic submission requirement may submit an application by mail, commercial carrier or by hand delivery.

If you want to apply for a grant and be considered for funding, you must meet the following deadline requirements:

Applications Submitted Electronically

You must submit your grant application through the Internet using the software provided on the Grants.gov Web site (http://www.grants.gov) by 4:30:00 p.m. (Washington, D.C. time) on or before the deadline date.

If you submit your application through the Internet via the Grants.gov Web site, you will receive an automatic acknowledgement when we receive your application.

For more information on using Grants.gov, please refer to the “Notice Inviting Applications” that was published in the Federal Register or visit http://www.grants.gov.

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 84.066A

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.

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

Special Note: Due to potential disruption to normal mail delivery, the Department encourages you to consider using an alternative delivery method (for example, a commercial carrier, such as Federal Express or United Postal Service; U.S. Postal Service Express Mail; or a courier service to transmit your application for this competition to the Department. If you use an alternative delivery method, please obtain the appropriate proof of mailing under “Applications Delivered by Mail”, and then follow the instructions for “Applications Delivered by Hand”.

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 84.066A

550 12th Street, SW.

Room 7041, Potomac Center Plaza

Washington, DC 20202-4260

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.

Application Control Center Hours of Operation

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

Grant Application Receipt from the Application Control Center

If you send your application by mail or if you or your courier delivers it by hand, the Application Control Center will mail a Grant Application Receipt Acknowledgement to you.

If you do not receive the notification of application receipt within 15 days from the mailing of the application, you should call the U.S. Department of Education Application Control Center at (202) 245-6288.

Late Applications

If your application is late, we will notify you that we will not consider the application.

Notice Inviting Applications for New Awards

4000-01-U

DEPARTMENT OF EDUCATION

Office of Postsecondary Education

Overview Information

Educational Opportunity Centers (EOC) Program

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

Catalog of Federal Domestic Assistance (CFDA) Number: 84.066A.

Dates:

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

Deadline for Transmittal of Applications: [INSERT DATE 45 DAYS AFTER DATE OF PUBLICATION IN THE FEDERAL REGISTER].

Deadline for Intergovernmental Review: [INSERT DATE 105 DAYS AFTER DATE OF PUBLICATION IN THE FEDERAL REGISTER].

Full Text of Announcement

I. Funding Opportunity Description

Purpose of Program: The purpose of the EOC Program is to provide information regarding financial and academic assistance available for individuals who desire to pursue a program of postsecondary education; to provide assistance to these individuals in applying for admission to institutions at which a program of postsecondary education is offered, including assistance in preparing necessary applications for use by admissions and financial aid officers; and to improve the financial and economic literacy of participants.

Priorities: This notice includes one competitive preference priority and two invitational priorities. The competitive preference priority is from the notice of final supplemental priorities and definitions for discretionary grant programs, published in the Federal Register on December 15, 2010 (75 FR 78486).

Competitive Preference Priority: For FY 2011 and any subsequent year in which we make awards from the list of unfunded applicants from this competition, this priority is a competitive preference priority. Under 34 CFR 75.105(c)(2)(i) we award up to an additional two points to an application, depending on how well the application meets this priority.

This priority is:

Projects that are designed to address the needs of military-connected students (as defined in this notice).

Note: For purposes of this notice, military-connected student means (a) a child participating in an early learning program, a student in preschool through grade 12, or a student enrolled in postsecondary education or training who has a parent or guardian on active duty in the uniformed services (as defined by 37 U.S.C. 101, in the Army, Navy, Air Force, Marine Corps, Coast Guard, National Guard, or the reserve component of any of the aforementioned services) or (b) a student who is a veteran of the uniformed services, who is on active duty, or who is the spouse of an active-duty service member.

Invitational Priorities: For FY 2011 and any subsequent year in which we make awards from the list of unfunded applicants from this competition, these priorities are invitational priorities. Under 34 CFR 75.105(c)(1), we do not give an application that meets one or more of these invitational priorities a competitive or absolute preference over other applications.

These priorities are:

Invitational Priority 1: The Secretary encourages applicants to propose projects in which they would work with appropriate State agencies to use data from State longitudinal data systems or obtain data from reliable third-party sources when providing information on the implementation of their EOC projects and their participants’ outcomes.

Invitational Priority 2: The Secretary encourages applicants to propose projects in which they would coordinate project services with school-level partners and other community resources in order to carry out projects that are cost-effective and best meet the needs of adult learners, including veterans.

Program Authority: 20 U.S.C. 1070a-11 and 20 U.S.C. 1070a-16.

Applicable Regulations: (a) The Education Department General Administrative Regulations (EDGAR) in 34 CFR parts 74, 75 (except for 75.215 through 75.221), 77, 79, 80, 82, 84, 85, 86, 97, 98 and 99. (b) The regulations for this program in 34 CFR part 644, as revised by the notice of final regulations, published in the Federal Register on October 26, 2010, 75 FR 65712. (c) The notice of final supplemental priorities and definitions for discretionary grant programs, published in the Federal Register on December 15, 2010 (75 FR 78486).

Note: The regulations in 34 CFR part 79 apply to all applicants except federally recognized Indian tribes.

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

II. Award Information

Type of Award: Discretionary grants.

Estimated Available Funds: The Administration has requested $853.1 million for the Federal TRIO Programs for FY 2011, of which we intend to use an estimated $46,830,000 for the EOC Program competition. 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.

Contingent upon the availability of funds and the quality of applications, we may make additional awards in FY 2012 from the list of unfunded applicants from this competition.

Estimated Range of Awards: $230,000-$1,172,000.

Estimated Average Size of Awards: $377,661.

Maximum Award:

 For an applicant who is not currently receiving an EOC Program grant and proposes to serve a minimum of 1,000 eligible participants at a cost that does not exceed $230 per participant, the maximum award amount is $230,000.

 For an applicant who is currently receiving an EOC Program grant and proposes to serve a minimum of 1000 eligible participants at a cost that does not exceed $300 per participant, the maximum award amount is the greater of: (a) $230,000 or (b) an amount equal to 103 percent of the applicant’s grant award amount for FY 2009 or FY 2010, whichever is greater.

For example, an applicant who is eligible for a $300,300 grant (103 percent of the applicant’s current funding level) and is applying for the full $300,300 must propose to serve at least 1001 participants. The applicant would be proposing to serve at least 1001 participants at $300 per participant, which would equal $300,300 in grant funding. This applicant would meet the requirement to serve a minimum of 1000 participants and the requirement not to exceed $300 per participant.

Note: For an applicant who is currently receiving an EOC program grant that is serving more than 1000 participants, the applicant is encouraged to continue to serve its current number of participants. However, if the applicant proposes to reduce the number of participants to be served, the applicant must propose to serve at least 1000 participants at a cost that does not exceed $300 per participant.

For an applicant who is currently receiving an EOC program grant that is serving 1,000 participants, but at a cost per participant exceeding $300, the applicant must either: 1) propose to continue to serve 1,000 participants, but at a reduced award amount that is based on a $300 cost per participant (i.e. $300,000); or 2) request an award amount equal to 103% of the applicant’s grant award amount for FY 2009 or 2010, whichever is greater, but increase the number of participants proposed to be served, such that the per participant cost does not exceed $300.

The Department may choose to fund successful applicants who are currently receiving an EOC grant and serving more than 1000 participants at a level equal to the greater of the award amount for FY 2009 or FY 2010, instead of an amount equal to 103 percent of the greater of the award amount for FY 2009 or FY 2010. However, in that situation, the Department will adjust the number of participants that the applicant will be required to serve accordingly. For example, an applicant that is eligible to receive a $480,000 grant would be required to serve at least 1,600 participants.

Pursuant to 34 CFR 644.32(b), we will reject any application that proposes a budget exceeding the maximum amount described in this section for a single budget period of 12 months. We will also reject any application that proposes a budget to serve less than 1000 participants or proposes a budget that exceeds the maximum per participant cost of $300.

Estimated Number of Awards: 124.

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

Project Period: Up to 60 months.

III. Eligibility Information

1. Eligible Applicants: Institutions of higher education; public and private agencies and organizations, including community-based organizations with experience in serving disadvantaged youth; combinations of these institutions, agencies, and organizations; and secondary schools.

2. Cost Sharing or Matching: This program does not require cost sharing or matching.

3. Other: An applicant may submit more than one application for an EOC grant as long as each application describes a project that serves a different target area (34 CFR 644.10(a)). The Secretary is not designating any additional populations for which an applicant may submit a separate application under this competition (34 CFR 644.10(b)).

IV. Application and Submission Information

1. Address to Request Application Package: Rachael Couch, U.S. Department of Education, 1990 K Street, NW., room 7000, Washington, DC 20006-8510. Telephone: (202) 502-7600 or by e-mail: [email protected].

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 total page limit for the project narrative

portion of the application for the FY 2011 EOC competition is 50 pages, including any discussion of how the application meets one or both of the invitational priorities. However, any application addressing the competitive preference priority may include up to five additional pages in a separate section of the application submission to discuss how the application meets the competitive preference priority. The five additional pages cannot be used for or transferred to the project narrative. Partial pages will count as a full page toward the page limit. Please use the following standards for the application narrative:

• 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, figures and graphs.

• Use a font that is 12 point or larger.

• 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); Part II, the budget information summary form (ED Form 524); the EOC Program Profile; the one-page Project Abstract narrative; and the assurances and certifications. The page limit also does not apply to a table of contents. If you include any attachments or appendices, these items will be counted as part of Part III, the application narrative, for purposes of the page-limit requirement. You must include your complete response to the selection criteria, which also includes the budget narrative, in Part III, 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].Deadline for Transmittal of Applications: [INSERT DATE 45 DAYS AFTER DATE OF PUBLICATION IN THE FEDERAL REGISTER].

Applications for grants under this program must be submitted electronically using the Grants.gov Apply site (Grants.gov). 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. 7. 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: [INSERT DATE 105 DAYS AFTER DATE OF PUBLICATION IN THE FEDERAL REGISTER].

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 specify unallowable costs in 34 CFR 644.31. We reference additional 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, you must--

a. Have a Data Universal Numbering System (DUNS) number and a Taxpayer Identification Number (TIN);

b. Register both your DUNS number and TIN with the Central Contractor Registry (CCR), the Government’s primary registrant database;

c. Provide your DUNS number and TIN on your application; and

d. Maintain an active CCR registration with current information while your application is under review by the Department and, if you are awarded a grant, during the project period.

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.

In addition, if you are submitting your application via Grants.gov, you must (1) be designated by your organization as an Authorized Organization Representative (AOR); and (2) register yourself with Grants.gov as an AOR. Details on these steps are outlined in the Grants.gov 3-Step Registration Guide (see www.grants.gov/section910/Grants.govRegistrationBrochure.pdf).

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 EOC Program, CFDA number 84.066A, must be submitted electronically using the Governmentwide Grants.gov Apply site at www.Grants.gov. Through this site, you will be able to download a copy of the application package, complete it offline, and then upload and submit your application. You may not e-mail an electronic copy of a grant application to us.

We will reject your application if you submit it in paper format unless, as described elsewhere in this section, you qualify for one of the exceptions to the electronic submission requirement and 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.

You may access the electronic grant application for the EOC Program at www.Grants.gov. You must search for the downloadable application package for this program by the CFDA number. Do not include the CFDA number’s alpha suffix in your search (e.g., search for 84.066, not 84.066A).

Please note the following:

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

• Applications received by Grants.gov are date and time stamped. Your application must be fully uploaded and submitted and must be date and time stamped by the Grants.gov system no later than 4:30:00 p.m., Washington, DC time, on the application deadline date. Except as otherwise noted in this section, we will not accept your application if it is received--that is, date and time stamped by the Grants.gov system--after 4:30:00 p.m., Washington, DC time, on the application deadline date. We do not consider an application that does not comply with the deadline requirements. When we retrieve your application from Grants.gov, we will notify you if we are rejecting your application because it was date and time stamped by the Grants.gov system after 4:30:00 p.m., Washington, DC time, on the application deadline date.

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

• You should review and follow the Education Submission Procedures for submitting an application through Grants.gov that are included in the application package for this program to ensure that you submit your application in a timely manner to the Grants.gov system. You can also find the Education Submission Procedures pertaining to Grants.gov under News and Events on the Department’s G5 system home page at http://www.G5.gov.

• 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 .PDF (Portable Document) format only. If you upload a file type other than a .PDF 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.

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

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

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

If you are prevented from electronically submitting your application on the application deadline date because of technical problems with the Grants.gov system, we will grant you an extension until 4:30:00 p.m., Washington, DC time, the following business day to enable you to transmit your application electronically or by hand delivery. You also may mail your application by following the mailing instructions described elsewhere in this notice.

If you submit an application after 4:30:00 p.m., Washington, DC time, on the application deadline date, please contact the person listed under For Further Information Contact in section VII of this notice and provide an explanation of the technical problem you experienced with Grants.gov, along with the Grants.gov Support Desk Case Number. We will accept your application if we can confirm that a technical problem occurred with the Grants.gov system and that that problem affected your ability to submit your application by 4:30:00 p.m., Washington, DC time, on the application deadline date. The Department will contact you after a determination is made on whether your application will be accepted.

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

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 the Grants.gov system because––

• You do not have access to the Internet; or

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

and

• 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 prevent 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: Geraldine Smith, U.S. Department of Education, 1990 K Street, NW., room 7000, Washington, DC 20006–8510. FAX: (202) 502-7857.

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 three 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 84.066A)

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 84.066A)

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 competition are from 34 CFR 644.21 and are listed in the application package.

Note: With the changes made to the Higher Education Act of 1965, as amended, by the Higher Education Opportunity Act, the EOC Program objectives have been standardized. Please note that applicants are required to use these objectives to measure performance under the program. Specifically, under the “Objectives” section of the selection criterion, 34 CFR 644.21(b), which is worth eight points, applicants should address the standardized objectives related to secondary school diploma or equivalent, financial aid applications, college admission applications, and postsecondary enrollment.

2. Review and Selection Process: A panel of non-

Federal readers will review each application in accordance with the selection criteria and the competitive preference priority, pursuant to 34 CFR 75.217. The individual scores of the readers will be added and the sum divided by the number of readers to determine the reader score received in the review process. In accordance with 34 CFR 644.22, the Secretary will evaluate the prior experience of applicants that received an EOC Program project grant for project years 2007-08, 2008-09 and 2009-10. Based on that evaluation, the Secretary may add prior experience points to the application’s averaged reader score to determine the total score for each application. The Secretary makes new grants in rank order on the basis of the total scores of the reader scores and prior experience points awarded to each application. Pursuant to 34 CFR 644.20(c), if there are insufficient funds for all applications with the same total scores, the Secretary will choose among the tied applications so as to serve geographical areas that have been underserved by the EOC Program. The Secretary will not make a new grant to an applicant if the applicant’s prior project involved the fraudulent use of program funds.

We remind potential applicants that in reviewing applications in any discretionary grant competition, the Secretary may consider, under 34 CFR 75.217(d)(3), the past performance of the applicant in carrying out a previous award, such as the applicant’s use of funds, and compliance with grant conditions. The Secretary may also consider whether the applicant failed to submit a timely performance report or submitted a report of unacceptable quality.

In addition, in making a competitive grant award, the Secretary also requires various assurances including those applicable to Federal civil rights laws that prohibit discrimination in programs or activities receiving Federal financial assistance from the Department of Education (34 CFR 100.4, 104.5, 106.4, 108.8, and 110.23).

3. Special Conditions: Under 34 CFR 74.14 and 80.12, the Secretary may impose special conditions on a grant if the applicant or grantee is not financially stable; has a history of unsatisfactory performance; has a financial or other management system that does not meet the standards in 34 CFR parts 74 or 80, as applicable; has not fulfilled the conditions of a prior grant; or, is otherwise not responsible.

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: (a) If you apply for a grant under this competition, you must ensure that you have in place the necessary processes and systems to comply with the reporting requirements in 2 CFR part 170 should you receive funding under the competition. This does not apply if you have an exception under 2 CFR 170.110(b).

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

4. Performance Measures: The success of the EOC Program will be measured by the EOC Program participants’ success in completing a secondary school diploma or its equivalent, completion of applications for student financial aid, submission of applications for postsecondary admission, and postsecondary enrollment. All EOC Program grantees will be required to submit an annual performance report.

5. Continuation Awards: In making a continuation award, the Secretary may consider, under 34 CFR 75.253, the extent to which a grantee has made “substantial progress toward meeting the objectives in its approved application.” This consideration includes the review of a grantee’s progress in meeting the targets and projected outcomes in its approved application, and whether the grantee has expended funds in a manner that is consistent with its approved application and budget. In making a continuation grant, the Secretary also considers whether the grantee is operating in compliance with the assurances in its approved application, including those applicable to Federal civil rights laws that prohibit discrimination in programs or activities receiving Federal financial assistance from the Department (34 CFR 100.4, 104.5, 106.4, 108.8, and 110.23).

VII. Agency Contacts

For Further Information Contact: Rachael Couch or Geraldine Smith, U.S. Department of Education, 1990 K Street, NW., room 7000, Washington, DC 20006-8510. Telephone: (202) 502-7600 or by e-mail: [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 one of the program contact persons 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.

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.

Dated:

______________________

Eduardo M. Ochoa,

Assistant Secretary for

Postsecondary Education.

AUTHORIZING LEGISLATION

The Educational Opportunity Centers Program is authorized by the Higher Education Act (HEA) of 1965, as amended by the Higher Education Opportunity Act (HEOA) of 2008. The HEOA’s amendments to the HEA may be found at the Department’s website at the following address:

http://www2.ed.gov/policy/highered/leg/hea08/index.html

As an additional reference, a copy of an unofficial compilation of the HEA, as amended by the HEOA, has been posted to the Department’s website. This unofficial compilation was prepared by the House Office of Legislative Counsel for the use and convenience of the House Committee on Education and Labor. Please refer to pages 181-203 for the portion of the document that pertains to the Federal TRIO Programs. This unofficial compilation is available under “Tips and Assistance” at the following address:

http://www2.ed.gov/programs/trioeoc/applicant.html

Please note that the official compilation of Federal law is the United States Code which is available from the Government Printing Office.

EDUCATIONAL OPPORTUNITY CENTERS

PROGRAM REGULATIONS

On October 26, 2010 the final regulations amending the Educational Opportunity Centers Program regulations were published in the Federal Register. These final regulations may be accessed under “What’s New” on the TRIO homepage at the following address:

http://www2.ed.gov/about/offices/list/ope/trio/index.html

An unofficial compilation of the Educational Opportunity Centers regulations with the changes resulting from the final regulations amending 34 CFR Part 644 has been prepared by the Office of Federal TRIO Programs as a convenience for current Educational Opportunity Centers Program directors and entities applying for an Educational Opportunity Centers grant. This unofficial compilation may be accessed under “What’s New” on the TRIO homepage at the following address:

http://www2.ed.gov/about/offices/list/ope/trio/index.html

Please note that the unofficial compilation of the program regulations is provided solely as a convenience, and the final regulations, as published in the Federal Register, should be regarded as the only official version. If there is any conflict between information provided in the unofficial compilation and that in the official version, as published in the Federal Register, the information provided in the Federal Register always takes precedence.

Federal TRIO Programs
2010 Annual Low Income Levels

Congress took action to keep the 2009 poverty guidelines in effect until at least May 31, 2010 and no further action has been taken. Since the Department uses the Health and Human Services (HHS) poverty guidelines to update the TRIO low-income levels, TRIO grantees shall use the TRIO 2009 Low-Income Levels below until further notice.

(Effective January 23, 2009 Until Further Notice)

Size of Family Unit	48 Contiguous States, D.C., and Outlying Jurisdictions	Alaska	Hawaii
1	$16,245	$20,295	$18,690
2	$21,855	$27,315	$25,140
3	$27,465	$34,335	$31,590
4	$33,075	$41,355	$38,040
5	$38,685	$48,375	$44,490
6	$44,295	$55,395	$50,940
7	$49,905	$62,415	$57,390
8	$55,515	$69,435	$63,840

For family units with more than eight members, add the following amount for each additional family member: $5,610 for the 48 contiguous states, the District of Columbia and outlying jurisdictions; $7,020 for Alaska; and $6,450 for Hawaii.

The term "low-income individual" means an individual whose family's taxable income for the preceding year did not exceed 150 percent of the poverty level amount.

The figures shown under family income represent amounts equal to 150 percent of the family income levels established by the Census Bureau for determining poverty status. The poverty guidelines were published by the U.S. Department of Health and Human Services in the Federal Register, Vol. 74, No. 14, January 23, 2009, pp. 4,199-4,201.

INTERGOVERNMENTAL REVIEW OF FEDERAL PROGRAMS EXECUTIVE ORDER 12372

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

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.

SUPPLEMENTAL INFORMATION

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

1. Estimated Funding

• Estimated Available Funds for FY 2011: $46,830,000

• Estimated Range of Awards: $230,000 - $1,172,000 per year

• Estimated Average Size of Awards: $377,661

• Estimated Number of New Awards: 124

• Project Period for New Awards: 60 months

The Department is not bound by these estimates.

2. Intergovernmental Review of Federal Programs

Intergovernmental Review of Federal Programs was issued to foster an intergovernmental partnership and to strengthen federalism by relying on state and local processes for the coordination and review of proposed Federal financial assistance.

Applicants must contact the appropriate State Single Point of Contact to find out about, and to comply with, the State’s process under Executive Order 12372. A listing of the Single Point of Contact for each State may be viewed at: http://www.whitehouse.gov/OMB/grants/spoc.html.

3. Length of New Award

Applicants for new awards may apply for five years (60 months) of funding.

4. EOC Program Assurances

All applications must comply with the EOC Program statutory and regulatory requirements. The assurances are included in the application package and

must be signed by a certifying official and uploaded into the Other Attachments Form in Grants.gov. By submitting an EOC Program application, an applicant certifies that it has read the assurances and will fully comply with the requirements.

5. EOC Program Profile

All applicants must provide the information requested on this form. The EOC Program Profile form contains standardized objectives. Applicants are required to propose the percentage at which each of the standardized objectives will be attained. On the EOC Profile form, you must fill in the blanks indicating the percentage level of achievement for each of the objectives. You may not modify, amend or delete any of these objectives.

Applicants must copy and paste the EOC Program Profile form into a separate document, or otherwise recreate the page exactly as it appears. Complete the form, save it to your computer and attach it to the Other Attachments Form as a .pdf document only. Do not modify or amend the language on the form in any way.

6. Evaluation of Applications for Awards

A panel of three non-federal readers will review each application in accordance with the competitive preference priority and selection criteria. Each reviewer will prepare a written evaluation of the information presented in the project narrative section of the application. Each reviewer will also prepare a written evaluation of the information presented and assign points for the competitive preference priority addressed in a separate section of the application submission.

All applications for grants under the EOC Program will be evaluated as new submissions according to the selection criteria listed in the program regulations (34 CFR 644.21).

7. Selection Criteria

The selection criteria in 34 CFR, Part 644, as amended by the final regulations published on October 26, 2010, are used to evaluate applications.

7. Applicant Funding

Applicants should pay close attention to the “Maximum Award” section of the Notice. The Department will reject any application that proposes a budget exceeding the maximum amount specified for the specific project type as indicated in the Notice.

7. Prior Experience

In accordance with 34 CFR 644.22, the Secretary will award prior experience points to applicants that have conducted a TRIO EOC Program project during these fiscal years: 2007-08, 2008-09 and 2009-10. Based on the applicant’s documented experience set forth in the annual performance reports, up to 15 prior experience points will be added to the application’s averaged reader score to determine the total score for each application and the total score will be used in funding decisions as described in the Notice.

7. Selection of Grantees

The Secretary will select applications for funding in rank order, based on the applications’ total score for the selection criteria and competitive preference priority plus, if applicable, any points earned for prior experience, pursuant to 34 CFR sections 644.20 through 644.22. If there are insufficient funds for all applications with the same total scores, the Secretary will choose among the tied applications so as to serve geographical areas that have been underserved by the EOC Program.

The Department’s Office of Legislation and Congressional Affairs will inform the Congress regarding applications approved for new EOC Program 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.

7. Expectations of Successful Grantees

Currently funded projects with remaining out years on an expiring grant are required to start implementing their new objectives upon receipt of the grant.

7. Notice to Unsuccessful Applicants

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

13. Second Review Process

To implement the statutory requirements for a second review of unsuccessful applications, the Department has adopted a two-slate process. After the peer review of applications and the awarding of PE points, as applicable, the Department will rank all the applications. The Department then will establish a funding band to determine the percentage of the total funds allotted for the competition that will be set aside for the second review. The determination of the percentage of funds to be reserved for the second review and the applications to be included in the funding band will be based on the distribution of application scores. The funding band will include all of the applications with a rank-order score that is 1) below the lowest score of applications funded after the first review and 2) that would be funded if the Secretary had 150 percent of the funds that were set aside for the second review. 

Only applicants whose applications scored within the funding band will be eligible for the second review. In addition, those applicants deemed eligible for the second review will have to provide evidence demonstrating that the Department, an agent of the Department, or a peer reviewer made an administrative or scoring error (as defined in the regulations) in the review of its application. The guidelines and criteria for the second review process are included in the EOC Regulations (644.24).

14. Annual Performance Report Requirements

If you receive a FY 2011 new grant award, you will be required to submit annual performance reports during the five-year funding cycle using the Education Department’s on-line function. This on-line system collects data about funded projects to enable program specialists to determine if a grantee is making substantial progress toward meeting approved project objectives.

14. Contact Information.

For Educational Opportunity Centers Program-related questions and assistance, please contact:

Program Specialist: Rachael Couch

Address: Student Service

U.S. Department of Education

1990 K Street, N.W., Room 7000

Washington, D.C. 20006-8510

Telephone: (202) 502-7655

Fax: (202) 502-7857

E-mail Address: [email protected]

or

Acting Director, Pre College – Upward Bound and EOC: Geraldine G. Smith

Address: Student Service

U.S. Department of Education

1990 K Street, N.W., Suite 7000

Washington, D.C. 20006-8510

Telephone: (202) 502-7543

Fax: (202) 502-7857

E-mail Address: [email protected]

For Grants.gov-related questions and assistance, please contact:

Support Desk: Grants.gov Support Desk

Telephone: (800) 518-4726

Hours: 24 hours, 7 days a week, except Federal holidays

Email: [email protected]

Educational Opportunity Centers Program Profile

Instructions: All applicants must complete this page. The completed form must be attached to the Other Attachments Form in the application package in Grants.gov (as a .pdf document). DO NOT MODIFY OR AMEND THE CONTENTS OF THIS PAGE.

1. Applicants currently funded under the Educational Opportunity Centers Program (FY 2006-2011) must provide their current grant award number. This can be found in Block 5 of the Grant Award Notification.

New applicants should leave this item blank.

PR/Award Number (Current Grantees Only): P066A (06) (07) (08) (09)____ ____ ____

Application designated to receive prior experience: Yes___ No ___

Application addresses the Competitive Preference Priority:

___Competitive Preference Priority

The Secretary encourages applicants to develop projects that address the needs of military-connected students.

Application addresses Invitational Priorities (check all that apply):

___ Invitational Priority 1

The Secretary encourages applicants to work with appropriate State agencies to use data from State longitudinal data systems or to obtain data from reliable third-party sources when providing information on the implementation of their EOC projects and their participants’ outcomes.

___ Invitational Priority 2

The Secretary encourages applicants to coordinate project services with school-level partners and other community resources in order to carry out projects that are cost-effective and best meet the needs of adult learners, including veterans.

2. Institution/Agency/Organization/School (Legal Name): ___________________________________________________ __

3. All applicants must indicate the address where this project will be physically located.

Project Address: __________________________________________________________

____________________________________________________________________________

Street Address, City, State, Zip Code

4. Multiple applications submitted: No: Yes: How many? _______

5. List the target schools and estimated number of participants to be served at each target school (if applicable):

(1) ______ (6) _______

(2) ______ (7) _______

(3) ______ (8) _______

(4) ______ (9) _______

(5) ______ (10) _______

Note: The project must be located in a setting accessible to the individuals the project proposes to serve. Add additional sheet, if needed.

6. Provide the total number of proposed participants to be served each year: ________

(Note: Projects are expected to serve the same number of participants each year. Two-thirds of the participants served must be low-income, potential first-generation college students.)

7. Program Objectives:

Please fill in the proposed percent for each objective.

Note: These are the same objectives that MUST be stated in Part III -- Program Narrative section of your application when addressing the Objectives and the Evaluation criteria.

(a) Secondary school diploma: ____% of participants served during the project year who did not have a secondary school diploma or its equivalent at time of first service in the project year will receive a secondary school diploma or its equivalent during the project year.

(b) Financial aid applications: ____% of participants served during the project year who at time of first service in the project year were not already enrolled in a postsecondary education program and who: 1) were high school seniors or equivalents in alternative education programs; 2) were high school graduates; or 3) had obtained a high school equivalency certificate will apply for financial aid during the project year.

(c) Postsecondary education admissions: ____% of participants served during the project year who at time of first service in the project year were not already enrolled in a postsecondary education program and who: 1) were high school seniors or equivalents in alternative education programs; 2) were high school graduates; or 3) had obtained a high school equivalency certificate will apply for postsecondary admission during the project year.

(d) Postsecondary education enrollment:____% of secondary school graduates (or equivalents) who were served during the project year, and who were not already enrolled in a postsecondary education school at time of first service in the project year, will enroll in a postsecondary education program during each project year (or by the end of the next fall term), or will have received notification by the fall term of acceptance but deferred enrollment until the next academic term (e.g., spring term).

Please note the following definitions:

Enrolled: a participant who has completed the registration requirements (except for the payment of tuition and fees) at the institution that he or she is attending.

Acceptance but Deferred Enrollment: a participant has received an acceptance letter from the institution that he or she will attend, but cannot enroll in the fall term immediately following

participation in an EOC program for reasons determined by the institution. The institution defers enrollment until the next term.

Equivalent of a Secondary School Diploma: A General Education Development (GED) program of study that meets or exceeds the coursework and performance standards for adult learners who have obtained a high school diploma or high school certificate or diploma issued by a state or high school.

Program of Postsecondary Education: a formal instructional program whose curriculum is designed primarily for students who are beyond the compulsory age for high school. This includes programs whose purpose is academic or career and technical, and excludes secondary career and technical education and adult basic education.

Secondary School Graduate: Recipients of a secondary school diploma or other equivalent degree or certificate, including GEDs.

Military-connected student: A child participating in an early learning program, a student in preschool through grade 12, or a student enrolled in postsecondary education or training who has a parent or guardian on active duty in the uniformed services (as defined by 37 U.S.C. 101, in the Army, Navy, Air Force, Marine Corps, Coast Guard, National Guard, or the reserve component of any of the aforementioned services) or a student who is a veteran of the uniformed services, who is on active duty, or who is the spouse of an active-duty service member.

Part IV – Educational Opportunity Centers Program Assurances

Attach this Assurance form to the “Other Attachments Form” in the Grants.gov system. Applicants must copy and paste this page into a separate document or recreate the page exactly as it appears. Then complete the page, save it to your computer and attach it to the “Other Attachments Form” as a .pdf document only. Do not modify or amend the language of this form in any way.

As the duly authorized representative of the applicant, I certify that the applicant will comply with the following statutory requirements:

1. The applicant assures that at least two-thirds (2/3) of the individuals it serves under its proposed Educational Opportunity Centers Program project will be low-income individuals who are potential first-generation college students.

2. The applicant assures that it will collaborate with other Federal TRIO projects, Gaining Early Awareness and Readiness for Undergraduate Programs (GEAR UP) projects, or programs serving similar populations that are serving the same target schools or target area in order to minimize the duplication of services and promote collaboration so that more students can be served.

3. The applicant assures that the project will be located in a setting or settings accessible to the individuals proposed to be served by the project.

4. The applicant assures that if the applicant is an institution of higher education, it will not use the project as a part of its recruitment program.

___________________________________

Authorized Certifying Official’s Signature Printed Name of Authorized Certifying Official

___________________________________

Title of Authorized Certifying Official Name of Applicant Institution/Organization

___________________

Date Signed

Attach this Assurance Form to the “Other Attachments Form” in the Grants.gov application package

Attention Applicants: Applicants must copy and paste this page into a separate document, or recreate the page exactly as it appears. Then, complete the page, save it to your computer and attach it to the “Other Attachments Form” as a

.pdf document only. Do not modify or amend the contents of the form in any way.

Part V -- Prior Experience

Prior Experience Objectives and Calculations for EOC Projects Operating in Project Years 2007-08, 2008-09 and 2009-10

For the FY 2011 EOC grant competition, the PE assessment years are 2007-08, 2008-09 and 2009-10.  Achievement rates for each PE criterion will be based on the project’s approved objectives and the information the grantee provided in the annual performance report (APR) for each project year under consideration.

An entity submitting an application to continue to serve substantially the same target areas that it is serving under its expiring EOC project is eligible to receive PE points based on the PE criteria in 34 CFR 644.22 of the program regulations in effect during the FY 2006 grant competition.

In cases in which an applicant proposes to split a grant funded in FY 2006 into multiple proposals in the FY 2011 competition, the applicant will be eligible to receive PE points for only one proposed new project.  The project for which the applicant is eligible for PE consideration is the one that proposes to serve the greatest number of currently-served target areas. An applicant is responsible for indicating on the EOC Program Profile form, in Item #1, if the application is eligible for PE points. 

If an applicant proposes to split a currently-funded grant evenly by target areas into multiple proposals for the FY 2011 competition, the applicant must decide which one new proposal should be considered for PE points by following the instructions above for marking Item #1 on the Program Profile form.

EOC Prior Experience Criteria (34 CFR 644.22) and point allocations are as follows. An EOC project may earn up to a total of 15 points for each year assessed; the final PE score is the average of the total scores for the three years assessed. A project that fails to serve at least 90 percent of its funded number for the project year will not receive any PE points.

1. Funded Number & 2/3 Requirement (maximum of 3 points)

2. Student Financial Aid Assistance (maximum of 3 points)

3. Postsecondary Education Admission (maximum of 3 points)

4. Postsecondary Education Enrollment (maximum of 6 points)

Total (maximum of 15 points)

1. a. Funded Number (maximum 1.5 points) – Whether the applicant provided services to the number of participants required to be served under the approved application.

Calculation:

• The denominator is the number of participants the project was funded to serve in the project year.

• The numerator is the total number of participants the project actually served during the project year.

b. Two-thirds Requirement (maximum 1.5 points) – Whether two-thirds of all participants served were both low-income individuals and potential first-generation college students.

Calculation:

• The denominator is the greater of the number of participants the project was funded to serve and the number of participants the project actually served during the project year.

• The numerator is the number of participants served during the project year who were both low-income and potential first-generation college students.

2. Student Financial Aid Assistance (maximum 3 points) – The extent to which the applicant met or exceeded its objective regarding student financial aid assistance to participants.

Calculation:

• The denominator is the total number of participants not already enrolled in a postsecondary school at time of first service in the budget period who were high school seniors or equivalent in alternative education programs, high school graduates, recipients of high school equivalency credentials, postsecondary dropouts, and potential postsecondary transfers.

• The numerator is the number of participants in the denominator who applied for student financial aid during the budget period.

3. Postsecondary admissions (maximum 3 points) - The extent to which the applicant met or exceeded its objective regarding the admission of participants to programs of postsecondary education.

Calculation:

• The denominator is the total number of participants not already enrolled in a postsecondary school at time of first service in the budget period who were high school seniors or equivalent in alternative education programs, high school graduates, recipients of high school equivalency credentials, postsecondary dropouts, and potential postsecondary transfers.

• The numerator is the number of participants in the denominator who applied for admission to postsecondary education during the budget period.

4. Postsecondary Enrollment (maximum 6 points) - The extent to which the applicant met or exceeded its objective regarding the enrollment of participants to programs of postsecondary education.

Calculation:

• The denominator is the total number of participants not already enrolled in a postsecondary school at time of first service in the budget period who were high school seniors or equivalent in alternative education programs, high school graduates, recipients of high school equivalency credentials, postsecondary dropouts, and potential postsecondary transfers.

• The numerator is the total number of participants in the denominator who enrolled in a program of postsecondary education during the budget period (or during the next fall term).

The due date for submitting performance reports for these years is now past. No changes or modifications to the information on file with the Department will be accepted.

Prior Experience for Successful Applicants Under the FY 2011 Competition

The prior experience assessment for applicants successful under the FY 2011 competition will be based on the outcome criteria outlined in 402A(f)(3)(A) of the HEA, as amended by section 403(A)(5) of the HEOA. The revised outcome criteria that will be used for successful applicants awarded during the 2011 EOC competition are captured in the standardized objectives included on the EOC Program Profile form in this application package.

INSTRUCTIONS FOR COMPLETING THE APPLICATION PACKAGE

The application consists of the following four parts. These parts are organized in the same manner that the submitted application should be organized. The parts are as follows:

Part I: SF 424 Form

Application for Federal Assistance - (SF424)

Department of Education Supplemental Information for SF424

*Notes:

• Applicants must complete the Standard Form (SF 424) form first because some of the information you provide here is automatically inserted into other sections of the Grants.gov application package.

• Please do not attach any narratives, supporting files, or application components to the SF 424. Although the form accepts attachments, the Department of Education will only review materials/files attached to the forms listed below.

Part II: ED Form 524

Department of Education Budget Summary Form - (ED Form 524)

Sections A & B

(NOTE: Section C – Budget Narrative must be included as part of the Program Narrative Attachment Form, located in Part III.)

Part III: Attachments

ED Abstract Form

Program Narrative Attachment Form – includes a Table of Contents

Other Attachments Form – includes the Program Assurances page and the EOC Program Profile form

The Department of Education Abstract Form is where you attach the one-page EOC project abstract.

The Program Narrative Attachment Form is where you attach the responses addressing the program selection criteria that will be used to evaluate applications submitted for this competition. The total page limit for the project narrative portion of the application for the FY 2011 EOC competition is 50 pages, including the invitational priorities. However, any applicant addressing the competitive preference priority may include up to five additional pages in a separate section of the application submission to discuss how the application meets the competitive preference priority. Please see the Notice for detailed information on page limits and formatting requirements. You should include a Table of Contents for your application as the first page of this section. The Table of Contents will not count against the 50 pages you are allowed for your responses to the selection criteria. You must also include your budget narrative in this section as part of the selection criteria, which is counted as part of the 50-page limit. The budget should demonstrate and justify that all costs are reasonable and necessary to accomplish the proposed project activities.

The Other Attachments Form is where you attach the EOC Program Profile form and the EOC Program Assurances page. No other appendices or attachments should be included as they will be counted as part of the 50-page limit.

*All attachments must be in a .PDF format only. Other types of files will not be accepted.

Part IV: Assurances, Certifications, and Survey Forms

ED-GEPA Section 427 Requirement

Assurances – Non-Construction Programs (SF 424B)

Grants.gov Lobbying Form (formerly ED Form 80-0013)

Survey on Ensuring Equal Opportunity for Applicants

Disclosure of Lobbying Activities (SF-LLL)

INSTRUCTIONS FOR PROJECT NARRATIVE

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

The Program Narrative is to be attached to the Program Narrative Attachment in the Grants.gov application.

Before preparing the Part III -- Program Narrative, applicants should review the “Dear Applicant” letter, Competition Highlights, Notice, program statute, and program regulations for specific guidance and requirements. Note that applications will be evaluated according to the specific selection criteria specified in the regulations which are included in this package.

The Secretary evaluates an application on the basis of the broad selection criteria in 34 CFR 644.21 of the EOC Program regulations as identified in this application (see the Authorizing Legislation and Regulations). The Program Narrative should provide, in detail, the information that addresses the selection criteria. The maximum possible score for each category of the selection criteria is indicated in parenthesis.

You must limit the Program Narrative to 50 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. If appendices or other supplemental materials are included, they will count as part of the 50-page limit. Please refer to the Notice (see Content and Form of Application Submission) for additional application submission requirements.

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

1. Need (34 CFR 644.21(a)) (24 points)

2. Objectives (34 CFR 644.21(b)) ( 8 points)

3. Plan of Operation (34 CFR 644.21(c)) (30 points)

4. Applicant and Community Support (34 CFR 644.21(d)) (16 points)

5. Quality of Personnel (34 CFR 644.21(e)) ( 9 points)

6. Evaluation Plan (34 CFR 644.21(g)) ( 8 points)

7. Budget (34 CFR 644.21(f)) ( 5 points)

_________

Total Maximum Score for Selection Criteria 100 points

Competitive Preference Priority (2 points)

Total Maximum Score for Selection Criteria and Competitive Priority 102 points

Formatting

Double space all text in the program narrative, except titles, headings, footnotes, quotations, references, captions, and all text in charts, tables, figures and graphs. Applicants may use one of the following fonts: Times New Roman, Courier, Courier New or Arial, only. Applications submitted in any other font (including Times Roman and Arial Narrow) will not be accepted. Applicants must use a size 12 font, only.

Include a Table of Contents: it will not be counted toward your 50-page limit. Appendices and attachments should not be included, as these items will be counted as part of the 50-page limit.

Applicants are encouraged to include an identifying header or footer that contains the applicant’s name and the page numbers. Applicants may use the one-inch (1”) margin at either the top or bottom of each page for this header or footer. The pages must be numbered in consecutive order.

The Program Narrative will include the discussion of the selection criteria. The total page limit for the project narrative portion (includes invitational priorities) of the application for the FY 2011 EOC competition is 50 pages. However, those addressing the competitive preference priority may include up to five additional pages in a separate section of the application submission to discuss how the application meets the competitive preference priority.

The page limit does not apply to:

Application Face Sheet (Application for Federal Assistance Form – SF 424)

Table of Contents

Project Abstract

Budget Summary Form (ED Form 524)

EOC Program Profile

Assurances and Certifications

ED GEPA 427

The Notice contains specific instructions on page limits.

In the Program Narrative, the applicant should address the selection criteria in the order delineated earlier (A-G) because this is the order in which the Technical Review Form is organized. The Technical Review Form is used by the peer reviewers to evaluate applications.

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

(A) Need: There are four sub-criteria in this section. In responding to this criterion, all four sub-criteria must be addressed. Data for each sub-criterion must be addressed for each of the target areas or target schools (if applicable) identified in the application.

(B) Objectives: All applicants must include the four standardized objectives as listed on the EOC Program Profile form. On the Profile form, you must fill in the blanks indicating the percentage level of achievement for each of these objectives. These objectives may not be rewritten, restated or reworded.

In the Program Narrative, you must address each of the objectives and explain how the objectives are ambitious and attainable. For each of the objectives, applicants should use data to show why the proposed percentage is ambitious as documented in the baseline data and information provided in the “NEED” section of the Program Narrative and attainable based on information provided in the Plan of Operation and the resources available to the project (see criterion a). Applicants may propose additional objectives, but are not required to do so. Applicants will not receive additional points or penalties for proposing additional objectives.     

(C) Plan of Operation: This criterion contains five sub-criteria, and applicants must address all five sub-criteria. This part of the application should provide information on who, what, when and how the project will provide services to meet its goals and objectives. If the applicant proposes to serve youths, the application must include information for the fifth sub-criterion that addresses how the project will serve students at all of the proposed target schools. Applicants must also provide information on how it will ensure that sufficient resources are available to effectively and efficiently serve the proposed number of target schools. Applicants who wish to address the second invitational priority must do so in this section.

As previously noted, the information provided in this section of the application will be assessed based on the quality of the applicant’s response for addressing the identified needs as related to the baseline data provided in the Need section. All of the proposed services and activities should be clearly aligned with the identified needs of the participants to be served in the targeted areas and proposed target schools (if applicable).

(D) Applicant and Community Support: There are two sub-criteria that must be addressed. Applicants should not submit floor plans or letters of support or commitment in the application—this information can be described or summarized as narrative, or in a list, or in a chart. If submitted, these items will count towards the 50-page limit. Applicants must provide information on the tangible commitments and resources to be provided by the applicant and by community partners and should demonstrate in this section how the proposed commitments and support will enable the proposed project to carry out the proposed project plan in the most cost-effective manner possible.

(E) Quality of Personnel: Applicants must address each of the three sub-criteria in this section. Applicants should include the minimum qualifications for all project personnel positions which may include type of degree required, acceptable field(s) of study, and minimum amount of work-related experience required for each position. Applicants are not required to submit resumes or job descriptions in the application—but, at a minimum; this information should be described or summarized. The “plan to employ personnel who have succeeded in overcoming barriers similar to the target population to be served” must be specific. The inclusion of an equal employment opportunity statement and/or a non-discriminatory employment practices policy alone is not an adequate response to this criterion.

(F) Evaluation Plan: A strong evaluation plan should be included and should be used, as appropriate, to shape the development of the project from the beginning of the grant period. The evaluation plan should include benchmarks to monitor progress toward meeting specific project objectives based on the program’s performance indicators. The plan should describe the evaluation design, indicating: (1) what types of data will be collected; (2) when various types of data will be collected; (3) what methods will be used; (4) what instruments will be developed and when; (5) how the data will be analyzed; (6) when reports and outcomes will be available. The evaluation plan should indicate what information, provided on a weekly, monthly and annual basis will indicate if the project is developing in a manner that meets its goals and objectives. In addition, the plan should indicate who is responsible for making sure that information is available in a timely manner and is influencing the ongoing management of the project.

Applicants are encouraged to think carefully about evaluation approaches and seek cost-effective evaluation strategies. Applicants are also encouraged to explain how they will work with appropriate agencies to develop strategies for using State longitudinal data systems or other third-party verified data to track the extent to which students enroll in postsecondary education.

Finally, applicants are encouraged to examine and report on unanticipated outcomes, as well as effective strategies (which can be services, bundles of services, or specific ways of implementing allowable services) that increase college access and completion. Applicants who wish to address the first invitational priority must do so in this section.

(G) Budget: In response to this criterion, applicants must provide a detailed, itemized budget narrative for the first-year (2011-2012) budget period, only. The budget narrative is to be included in the Program Narrative (Part III) Attachment Form to be uploaded into the Grants.gov application. Additional guidance on the standard budget forms is cited in the instructions entitled “First Year Budget and Budget Summary Form (ED Form 524) Instructions” on the following pages. Note: The budget narrative is counted as part of the 50-page limit for Part III.

Applicants should include costs that are related to the [approved] activities proposed in the Plan of Operation section, to the extent in which funds are available. All costs should be necessary to accomplish the proposed project activities, reasonable and allowable as discussed in the EOC regulations in 34 CFR part 644.30.

Competitive Preference Priority

This priority is in accordance with the Secretary’s Supplemental Priorities for Discretionary Grant Programs, as published in the Federal Register on December 15, 2010. An applicant can receive up to two additional points, depending on the extent to which the application meets this priority.

Note: Applicants must limit their discussion on the competitive preference priority to only 5 additional pages above the 50 page narrative limitation.

COMPETITIVE PREFERENCE PRIORITY FOR FY 2011

The Department has established a competitive preference priority for applicants to address under the Educational Opportunity Centers (EOC) Program. The Secretary has identified funding priorities that are aligned with the Department’s Strategic Plan for achieving the President’s 2020 goal of leading the world in the proportion of citizens holding college degrees or other postsecondary credentials.

Competitive Preference Priority: The Secretary proposes applicants to address the needs of the military-connected student subgroup by creating a plan that is designed to meet the needs of military-connected students (as defined in the Notice).

This priority represents an excellent opportunity for EOC projects to assist in meeting one of the Secretary’s key area priorities, by creating a plan that addresses the needs of the military-connected student subgroup or who are veterans of the uniformed services, who are on active duty, or who are the spouse of an active-duty service member. Addressing this priority will allow the Department to focus Federal financial assistance on expanding the number of programs and projects Department-wide that support activities in areas of greatest educational need.

A military-connected student is defined as a child participating in an early learning program, a student in preschool through grade 12, or a student enrolled in postsecondary education or training who has a parent or guardian on active duty in the uniformed services (as defined by 37 U.S.C. 101, in the Army, Navy, Air Force, Marine Corps, Coast Guard, National Guard, or the reserve component of any of the aforementioned services) or a student who is a veteran of the uniformed services, who is on active duty, or who is the spouse of an active-duty service member.

Note: This is a competitive preference priority; therefore, applicants may earn up to two additional points if they address this priority.

INVITATIONAL PRIORITIES FOR FY 2011

The Department is encouraging applicants under the Educational Opportunity Centers (EOC) Program to address one or both of the invitational priorities listed below in their applications for funding. The Secretary has identified funding priorities that are aligned with the Department’s Strategic Plan for achieving the President’s 2020 goal. We believe the following priorities are consistent with the purpose of the EOC Program. By addressing these priorities, EOC grantees will be able to improve student outcome and thus the effectiveness of the EOC Program.

Invitational Priority 1: The Secretary encourages applicants to work with appropriate State agencies to use data from State longitudinal data systems or to obtain data from reliable third-party sources when providing information on the implementation of their EOC projects and their participants’ outcomes.

Given the changes in the EOC Program as a result of the HEOA of 2008, the Department believes that this program competition, the first since the enactment of the HEOA, represents an excellent opportunity for EOC projects to promote conversations with appropriate State agencies regarding the importance of having access to student data systems. Access to these longitudinal databases becomes invaluable for EOC projects in succeeding years of the grant cycle as they work to enhance reliable reporting on students’ outcomes. The efficiency and effectiveness of the EOC Program can best be told by having access to reliable State or third-party data sources. That effort must begin at the project level.

Invitational Priority 2: The Secretary encourages applicants to coordinate project services with school-level partners and other community resources in order to carry out projects that are cost-effective and best meet the needs of adult learners, including veterans.

In planning to implement a new project or adapt an existing project to meet the new requirements for the EOC Program, applicants are encouraged to develop a plan or expand upon existing relationships in order to coordinate their activities with the proposed target population, other Federal programs and State-funded programs with a similar focus, such as programs serving adult learners, including veterans. Opportunities to coordinate with other Federal programs include local adult education programs funded by the Adult Education and Family Literacy Act of 1998 (i.e., Title II of the Workforce Investment Act of 1998), career and technical education programs for youth and adults funded by the Carl D. Perkins Act of 2006, and programs for the incarcerated and those in reentry funded by the Adult Education and Family Literacy Act of 1998 and the Higher Education Act of 2008. EOC grant recipients are further encouraged to communicate and coordinate activities with the State directors responsible for the above federal programs.

EOC projects can serve as a catalyst for fostering collaborative outreach within the community. Applicants should include a discussion of innovative efforts to collaborate with and engage community organizations and other partners in order to provide the required EOC project services to meet the needs of the participants. Applicants from each eligible entity should expound on the role of representatives from institutions of higher education, community agencies and organizations, in sharing the responsibility for addressing the challenges in serving the target population. All project partners should have knowledge of the objectives of the project and the resources needed to ensure success. It is important that project staff is supported in efforts to leverage resources.

Note: The priorities are invitational; therefore, we do not give an application that meets these invitational priorities a competitive or absolute preference over other applications.

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: Improve student achievement with a focus on bringing all students to grade level in reading and mathematics by 2014, as called for by the No Child Left Behind Act.

Goal 2: Increase the academic achievement of all high school students.

Goal 3: Ensure the accessibility, affordability, and accountability of higher education, and better prepare students and adults for employment and future learning.

What are the performance indicators for the EOC Program?

The performance indicators for the Educational Opportunity Centers Program are part of the Department’s plan for meeting Goal 3. The EOC Program is part of the Federal TRIO Programs. The overarching goal of the Federal TRIO Programs is “to increase the percentage of low-income and first generation college students who successfully pursue postsecondary education opportunities.”

The specific performance measures for the EOC program are the percentage of EOC participants applying for financial aid and the percentage of EOC participants enrolling in college.

The success of the EOC Program is measured by the EOC participants’ success in achieving these measures and other indicators of success including enrollment in continuing education programs, postsecondary education admissions, student financial aid, and postsecondary education enrollment. All EOC Program grantees will be required to submit an annual performance report that includes these data. The Department will aggregate the data provided in the annual performance reported from all grantees to measure the overall effectiveness of the EOC Program.

How does the Department of Education determine whether performance goals have been met?

An applicant that receives a grant award will be required to submit annual performance reports as a condition of the award. The reports will document the extent to which project goals and objectives are met.

The most recent version of this program’s annual performance report (APR) can be viewed at http://www.ed.gov/about/offices/list/ope/trio/index.html. The APR is being revised for the 2011-16 grants as a result of the enactment of the Higher Education Act of 1965, as amended by the Higher Education Opportunity Act (HEOA) of 2008. The HEOA made fundamental changes to the goals and purposes of the EOC Program through the addition of statutory outcome criteria that necessitated subsequent changes to the program regulations. These changes are highlighted in this application package.

APPLICATION CHECKLIST

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

 Part I - Application for Federal Assistance - (SF 424)

 Part I - Department of Education Supplemental Information for SF 424

 Part II - Department of Education Budget Summary Information – Non-Construction Programs (ED Form 524) – Sections A & B

 Part III - Program Narrative (50-page limit addressing the selection criteria) – Attach this document to the Program Narrative Attachment Form in the Grants.gov application.

 Part III - Other Attachments - EOC Program Profile

EOC Program Assurances – Attach each of these two documents to the Other Attachments Form in the Grants.gov application.

 Part III - ED Abstract - one-page limit -- Attach this document to the ED Abstract Form in the Grants.gov application. This one-page abstract, which may be single-spaced, will not count against the 50 pages you are allowed for your response to the selection criteria.

 Part IV - Assurances, Certifications, and Survey

 GEPA Section 427 Requirement

 Assurances – Non-Construction Programs (SF 424B)

 Lobbying Form (Formerly ED Form 80-0013)
 Disclosure of Lobbying Activities (SF LLL)

 Survey on Ensuring Equal Opportunity for Applicants

NOTE: Please do not attach any narratives, supporting files, or application components to the Standard Form (SF 424). Although this form accepts attachments, the Department of Education will only review materials/files attached to the Grants.gov Attachment Forms listed above.

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. Public reporting burden for this collection of information is estimated to average 25 hours 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. The obligation to respond to this collection is required to obtain or retain benefit as authorized by Title IV, Part A, Section 402A, and F of the Higher Education Act of 1965, as amended by the HEOA; and governed by the program regulations in 34 CFR Part 644; and the Education Department General Administrative Regulations (EDGAR), Parts 74, 75 (except for §§ 75.215-75.221), 77, 79, 80, 82, 84, 85, 86, 97, 98 and 99. Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to the U.S. Department of Education, 400 Maryland Ave., SW, Washington, D.C. 20210-4537 or email [email protected] and reference the OMB Control Number 1840-NEW 3. Note: Please do not return the completed EOC application to this address.

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