Graduate Assistance in Areas of National Need Applicatio

Application Package for the Graduate Assistance in Areas of National Need (GAANN) Program (1890-0001)

GAANN FY 2012 Application Package

GANN Application Package: Public Universities

OMB: 1840-0604

⚠️ Notice: This form may be outdated. More recent filings and information on OMB 1840-0604 can be found here:

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U.S. DEPARTMENT OF EDUCATION

Office of Postsecondary Education

Washington, D.C. 20006-8524

www.ed.gov/programs/gaann/index.html

FY XXXX

APPLICATION FOR GRANTS UNDER THE

GRADUATE ASSISTANCE IN AREAS OF NATIONAL NEED (GAANN) PROGRAM

CFDA NO. 84.200A

Form Approved

OMB No. 1840-0604, Expiration Date XX/XX/XX

DATED MATERIAL – OPEN IMMEDIATELY

CLOSING DATE: XXXXX

Attachment D

TABLE OF CONTENTS

Page

Dear Applicant Letter 3

Competition Highlights 6

Grants.gov Submission Procedures and Tips for Applicants 11

Grants.gov Registration Instructions for Organizations 14

Application Transmittal Instructions 16

Closing Date Notice 18

GAANN Authorizing Legislation 43

GAANN Code of Federal Regulations 50

Intergovernmental Review: Executive Order 12372 63

General Education Provisions Act (GEPA) Section 427 64

Government Performance and Results Act (GPRA) 65

Instructions

Organization of the GAANN Application Package 67

Instructions for Completing the Project Narrative 69

Instructions for Standard and Program Specific Forms 73

Standard Forms Instructions:

Instructions for the SF-424 Form 74

Instructions for Department of Education Supplemental Information

for SF 424 Form 76

Instructions for Disclosure of Lobbying Activities, SF-LLL 80

Survey Instructions on Ensuring Equal Opportunity for Applicants 81

Program Specific Forms Instructions:

GAANN Statutory Assurances Form Instructions 82

GAANN Budget Spreadsheet(s) Form Instructions 83

Application Checklist 86

Paperwork Burden Statement 87

Forms

Standard Forms:

Application for Federal Assistance 88

Department of Education Supplemental Information for SF 424 form 92

Assurances Non-Construction programs Form (SF 424B) 93

Certification regarding Lobbying Form 95

Disclosure of Lobbying Activities, SF LLL 96

Survey on Ensuring Equal Opportunity for Applicants Form 97

Program Specific Forms (found only in the Application Package):

GAANN Statutory Assurances Form 98

GAANN Budget Spreadsheet(s) Form 99

DRAFT

Dear Applicant:

Thank you for your interest in the Graduate Assistance in Areas of National Need (GAANN) program. The GAANN program provides grants to academic departments and programs of institutions of higher education to support graduate fellowships for students with excellent academic records who demonstrate financial need and plan to pursue the highest degree available in their course of study at the institution.

This letter highlights a few items in the fiscal year (FY) 2012 application package that will be important to you in applying for grants under this program. You should review the entire application package carefully before preparing and submitting your application. Information on the GAANN program is accessible at the U.S. Department of Education Website at: http://www.ed.gov/programs/gaann/index.html.

This application package contains the GAANN programmatic regulations and statute along with the forms needed to submit a complete application package.

In the FY 2012 competition, there is an absolute priority. Within the absolute priority, the Secretary is particularly interested in receiving single discipline grant applications in the following academic areas designated by the Secretary as areas of national need for FY 2012: Biology; Chemistry; Computer and Information Sciences; Engineering; Mathematics; Nursing; Physics; and Educational Assessment, Evaluation and Research.

A department or program of an institution of higher education may also submit a multi-disciplinary or inter-disciplinary program application in two or more of the designated academic areas of need listed above. A multi-disciplinary application must request funding for two or more academic departments in areas of national need designated as priorities by the Secretary that are independent and unrelated to one another. An inter-disciplinary application must request funding for a single proposed program of study that involves academic fields in two or more disciplines.

For the FY 2012 competition there is also a competitive preference priority. Under a competitive preference priority, we give competitive preference to an application by awarding additional points, depending on the extent to which the application meets the priority, and will award additional points in addition to any points the applicant earns under the selection criteria. The maximum number of bonus points is two (2).

This priority is:

Enabling more data-based decision making. Projects that are designed to collect, analyze, and use high-quality and timely data, including data on program participant outcomes, in accordance with privacy requirements (as defined in this notice), the following priority area: Improving postsecondary student outcomes relating to enrollment, persistence, and completion and leading to career success.

In addressing this competitive preference priority, applicants must describe how they will collect, analyze, and report their findings to the Department.

The application process requires each applicant to address the selection criteria, including all sub-criteria, in sequential order. The selection criteria can be found in the program regulations, Subpart C, Section 648.31, What Selection Criteria Does the Secretary Use?

GAANN eligibility requirements provide that no single department or program may receive an amount that is less than $100,000 or more than $750,000 as an aggregate total of new and continuing GAANN grants in any fiscal year. A department or program may not submit more than one application for a new GAANN grant in any fiscal year and must have been in existence at least four years at the time of application.

It is important to note that with the adoption of the Higher Education Opportunity Act of 2008, the GAANN program now accepts applications from academic departments and programs of institutions of higher education that provide courses of study leading to a Masters or a Doctoral degree. However, institutions can only make fellowship awards to individuals who plan to pursue the highest possible degree available in their course of study at the institution. Previously, the GAANN program only permitted doctoral programs to apply for a GAANN grant award.

Applicants will be required to submit their application electronically using Grants.gov for the FY 2012 GAANN grant competition. Grants.gov is accessible through its portal page at:

http://www.grants.gov

We also urge you to consider the following three extremely important administrative factors if you are planning to apply for this program:

We strongly encourage you to register for Grants.gov early. The registration procedures may require five or more days to complete.

We strongly recommend that you submit your application 2-3 days prior to the closing date. The time it takes to upload an application will vary depending on your application and the speed of your Internet connection. The application submission process must be complete prior to the deadline for transmittal of applications.

In order to submit successfully, you must remember to provide the DUNS number on your application that was used when your organization registered with the Central Contractor Registry (CCR).

After you electronically submit your application, you will receive a series of emails: one from Grants.gov acknowledging the date and time at which your application was received, another stating your application was validated or rejected with errors from Grants.gov, and if your application is validated, a third email from the Department of Education with an assigned PR/Award number, verifying that your application was submitted on time by the closing date. Please note this may take several days.

The Notice Inviting Applications for New Awards published in the Federal Register is the official document describing the requirements for applying for a GAANN grant and provides application submission procedures. You should not rely upon any information that is inconsistent with the guidance contained within the official document.

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

Sincerely,

Lynn B. Mahaffie

Acting Deputy Assistant Secretary

Higher Education Programs

Office of Postsecondary Education

COMPETITION HIGHLIGHTS

GAANN applications submitted for the FY XXXX competition 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

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 entire 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.

Once an application has been submitted, you will receive a series of e-mails:
- One from Grants.gov with a confirmation number,
- A second e-mail from Grants.gov that your application has been validated or that your application has been rejected with errors, and
- If the application was validated by Grants.gov, a third e-mail from the Department of Education with an assigned PR/Award Number will be received. This is a confirmation number that is unique to your application. The PR/Award Number begins with P200A…… for this program. This third confirmation by e-mail, with a PR/Award number assigned, is the e-mail that verifies that your application was submitted on time by the closing date. This may take several days.

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 log on to Grants.gov to attach 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).

Please go to http://www.grants.gov/ForApplicants for help with Grants.gov and click on “Help” at the top of the screen. Also refer to “Submission Procedures and Tips for Applicants” 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 in the official document.

Applications must be submitted electronically using Grants.gov. You may qualify for an exception to the electronic submission requirement and submit your application in paper format, if you are unable to submit an application though Grants.gov. Please refer to the Federal Register Notice Inviting Applications for New Awards to determine if you qualify for one of the exceptions to the electronic submission requirement. If you think you may need an exception, you are urged to review these requirements carefully.

New Grants.gov Upload Requirements:

You must upload any narrative sections and all other attachments to 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.

With the adoption of the Higher Education Opportunity Act of 2008, the GAANN program now accepts applications from academic departments and programs of institutions of higher education that provide courses of study leading to a Masters or a Doctoral degree. However, institutions can only make fellowship awards to individuals who plan to pursue the highest possible degree available in their course of study at the institution. Previously, the GAANN program only permitted doctoral programs to apply for a GAANN grant award.

Competitive Preference Priority: Under 34 CFR 75.105(c)(2)(i), under a competitive preference priority, we give competitive preference to an application by awarding additional points, depending on the extent to which the application meets the priority and will award additional points in addition to any points the applicant earns under the selection criteria. The maximum number of bonus points is two (2).

This priority is:

In addressing this competitive preference priority, applicants must describe how they will collect, analyze, and report their findings to the Department.

An absolute priority is included for this FY XXXX competition, and the Department will only consider applications that address these areas of national need. As stated in the “Dear Applicant” letter and the “Notice Inviting Applications,” the FY XXXX designated areas of national need under the GAANN program are as follows:

Biology
Chemistry
Computer and Information Sciences
Engineering
Mathematics
Nursing
Physics
Educational Assessment, Evaluation and Research

Applications from Nursing programs focus on the preparation of nurse scholars at the Masters or PhD level for educational leadership roles. Graduates will become teachers preparing students for careers in nursing, and will disseminate to the public new knowledge gained from disciplined inquiry related to nursing and nursing education. The Classification of Instructional Programs (CIP) code for Nursing programs is 51.16.

Applications from Educational Assessment, Evaluation and Research programs focus on preparing students at the Masters or Doctoral level who will be trained in statistics and measurement theory to become psychometricians. These psychometrics programs focus on the principles and procedures for designing, developing, implementing, and evaluating test and other mechanisms used to measure learning, evaluate student progress and assess the performance of specific teaching tools, strategies and curricula. The CIP code for Educational Assessment, Evaluation and Research programs is 13.06. Note: The academic field of Educational Psychology does not qualify under this requirement.

For further information about the Classification of Instructional Programs (CIP) codes, please see Appendix to Part 648 of the GAANN Regulations. The GAANN Abstract:

In addition to a short summary covering the designated area(s) of national need and the anticipated number of GAANN fellows requested, the abstract should include:

Institution Name:
Type of Application (Single/Inter-Disciplinary/Multi-Disciplinary):
Area of National Need:
Degree Level of Program of Study (Masters or Doctorate):
Length of Time Degree Program has been in Existence:
Number of Federally Funded GAANN Fellows Requested:

Note: Information provided in the GAANN one-page abstract must be attached to the “ED Abstract Form” in the Grants.gov system. Further instructions are provided in the “Instructions for Completing the Project Narrative” section of the application package.

The following documents are specific to the GAANN Program and should be reviewed carefully to ensure that they are attached into Grants.gov system correctly:

GAANN Statutory Assurances Form: Applicants must submit the GAANN Statutory Assurances Form electronically as a separate document. Please note that more detailed instructions for attaching this form are covered in the “Program Specific Forms Instructions” section of the application package.

Note: This form is available under the “Program Specific Forms” section of the application package.

GAANN Budget Spreadsheet(s) Form: Applicants must submit the Budget Spreadsheet(s) Form electronically as a separate document. Please note that more detailed instructions for attaching the budget spreadsheet form are covered in the “Program Specific Forms Instructions” section of the application package.
The Budget Narrative (which is a part of the Selection Criteria) should be included in the “Project Narrative – Budget.”

Note: This form is available under the “Program Specific Forms” section of the application package.

Applicants must double space the Project Narrative and use a font that is either 12 point or larger. However, a 10 point font may be used in charts, tables, figures, graphs, footnotes, and endnotes. The following fonts are required to be used: Times New Roman, Courier, Courier New, or Arial. Applications submitted in any other font, including Times Roman and Arial Narrow will not be accepted.

Page Limits:

Applicants are required to adhere to the page limit in the Project Narrative portion of the application. The “Notice Inviting Applications” for new awards for FY XXXX, published in the Federal Register, contains specific information governing page limits for each grant type and formatting instructions. The page limits for the FY XXXX GAANN competition are as follows:

Single and Inter-Disciplinary Project Narratives – 40 pages
Multi-Disciplinary Project Narratives – 40 pages per academic department included in the proposal

Note: Each page in which there are words will be counted as one full page. If you do not use all of the allowable space on a page, it will be counted as a full page in determining compliance with the page limit.

Annual Performance Requirements:

If you receive an FY XXXX new grant award, you will be required to submit annual and final performance reports during the three-year funding cycle using the CBMI Reporting System. This online system collects narratives and data about funded projects to enable program officers to determine if a grantee is making substantial progress toward meeting approved project objectives. If you wish to view the performance report currently required, visit the GAANN Web site at:

http://www2.ed.gov/programs/gaann/performance.html

Please be advised that the report is for informational purposes only, and does not reflect the actual reporting instrument that you will use, should you receive a FY XXXX grant award.

Two years after the expiration of the grant:

Two years after a GAANN grant expires, grantees are required to submit an additional final performance report. This supplement to the final performance report requires data on the academic and employment status for all fellows that were awarded funds under the grant.

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.

Also, applicants should be aware that on October 11, 2010, Grants.gov implemented a new security build which requires each organization’s e-Biz POC (Point of Contact) update their Grants.gov registration. To complete this step, the e-Biz POC must have their DUNS number and CCR MPIN. We recommend this step be completed several days before application submission unless the e-Biz POC has already responded to this requirement. For more information on this topic, please visit this Grants.gov information link: http://www.grants.gov/securitycommebiz/.

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.]

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 you registered as an Authorized Organization Representative (AOR) on Grants.gov. This DUNS number is typically the same number used when your organization registered with the CCR (Central Contractor Registry). If you do not enter the same DUNS number on your application as the DUNS you registered with, Grants.gov will reject your application.

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 the DUNS number on your application that was used when you registered as an Authorized Organization Representative (AOR) on Grants.gov.

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:

Ensure that you attach .PDF files only for any attachments to your application. PDF files are the only Education approved file type accepted as detailed in the Federal Register application notice. Applicants must submit individual .PDF files only when attaching files to their application. Specifically, the Department will not accept any attachments that contain files within a file, such as PDF Portfolio files. 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

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.

When attaching files, applicants should follow the guidelines established by Grants.gov on the size and content of file names. Uploaded files must be less than 50 characters, contain no spaces, no special characters (example: -, &, *, %, /, #, \) including periods (.), blank spaces and accent marks. Applications submitted that do not comply with the Grants.gov guidelines will be rejected at Grants.gov and not forwarded to the Department.

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.

2/2011

GRANTS.GOV REGISTRATION INSTRUCTIONS FOR ORGANIZATIONS

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.

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 via 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 application deadline date.

If you submit your application through the Internet via the Grants.gov Web site, you will receive an automatic acknowledgment 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 84.200A)

LBJ Basement Level 1

400 Maryland Avenue, SW

Washington, DC 20202-4260

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

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

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

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

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

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

(1) A private metered postmark.

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

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

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

Submission of Paper Applications by Hand Delivery:

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

U.S. Department of Education

Application Control Center

Attention: (CFDA Number 84.200A)

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.

DRAFT

4000-01-U

DEPARTMENT OF EDUCATION

Application for New Awards; Graduate Assistance in Areas of National Need (GAANN) – Graduate Assistance in Areas of National Need Program Competition

AGENCY: Office of Postsecondary Education, Department of Education

ACTION: Notice.

Overview Information:

Graduate Assistance in Areas of National Need (GAANN) Program Competition

Notice inviting applications for new awards for fiscal year (FY) 2012.

Catalog of Federal Domestic Assistance (CFDA) Number: 84.200A.

Dates:

Applications Available: TBD.

Deadline for Transmittal of Applications: TBD.

Deadline for Intergovernmental Review: TBD.

Full Text of Announcement

I. Funding Opportunity Description

Purpose of Program: The GAANN program provides grants to academic departments and programs of institutions of higher education to support graduate fellowships for students with excellent academic records who demonstrate financial need and plan to pursue the highest degree available in their course of study at the institution. Students are not eligible to apply for a grant under this program.

Priority: In accordance with 34 CFR 75.105(b)(2)(ii), this

priority is from the regulations for this program (34 CFR

648.33(a) and Appendix to part 648-Academic Areas).

Absolute Priority: For FY 2012 this priority is an absolute priority. Under 34 CFR 75.105(c)(3), we consider only applications that meet this priority.

This priority is:

Areas of National Need: A project must provide fellowships in one or more of the following areas of national need: Biology, Chemistry, Computer and Information Science, Engineering, Mathematics, Nursing, Physics, and Educational Assessment, Evaluation and Research.

Within this absolute priority, the Secretary is particularly interested in applications that address the following competitive preference priority:

Competitive Preference Priority: Under 34 CFR 75.105(c)(2)(i), under a competitive preference priority, we give competitive preference to an application by awarding additional points, depending on the extent to which the application meets the priority and will award additional points in addition to any points the applicant earns under the selection criteria. The maximum number of bonus points is two (2).

This priority is:

Improving postsecondary student outcomes relating to enrollment, persistence, and completion and leading to career success.

Applicants that address this competitive priority will be required to describe how they will collect, analyze, and report their findings to the Department.

Program Authority: 20 U.S.C. 1135.

Applicable Regulations: (a) The Education Department General Administrative Regulations (EDGAR) in 34 CFR parts 74, 75, 77, 79, 82, 84, 85, 86, 97, 98, and 99. (b) The regulations for this program in 34 CFR part 648.

II. Award Information

Type of Award: Discretionary grants redistributed as fellowships to individual fellows.

Estimated Available Funds: The Administration has requested $21,416,145 for new awards for this program for FY 2012. The actual level of funding, if any, depends on final congressional action. However, we are inviting applications to allow enough time to complete the grant process if Congress appropriates funds for this program.

Estimated Range of Awards: $132,471 - $264,942.

Estimated Average Size of Awards: $176,628.

Estimated Number of Awards: 121.

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

Project Period: Up to 36 months.

Stipend Level: The Secretary will determine the fellowship stipend for GAANN for the academic year 2012-2013 based on the level of support provided by the graduate fellowships of the National Science Foundation Graduate Research Fellowship Program, as of February 1, 2012. However, the Secretary will adjust the amount, as necessary, so as not to exceed the fellow’s demonstrated level of financial need as calculated for purposes of the Federal Student Financial Aid Programs under Title IV, Part F, of the Higher Education Act of 1965, as amended.

Institutional Payment: The Secretary will determine the institutional payment for the academic year 2012-2013 by adjusting the previous academic year institutional payment, which is $44,157 per fellow, by the U.S. Department of Labor’s Consumer Price Index for the 2011 calendar year.

III. Eligibility Information

1. Eligible Applicants: Academic departments of

institutions of higher education that meet the requirements in 34 CFR 648.2.

2. a. Cost Sharing or Matching: An institution must provide, from non-Federal funds, an institutional matching contribution equal to at least 25 percent of the grant amount received, see 34 CFR 648.7.

b. Supplement-Not-Supplant: This program involves supplement-not-supplant funding requirements, see 34 CFR 648.20.

3. Other: For requirements relating to selecting fellows, see 34 CFR 648.40.

IV. Application and Submission Information

1. Address to Request Application Package: Rebecca Green, U.S. Department of Education, 1990 K Street, NW., room 7105, Washington, DC 20006-8524. Telephone (202) 502-7779; 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 project narrative, Part II of the application, is where you, the applicant, address the selection criteria that reviewers use to evaluate your application. You must limit the project narrative (Part II) to no more than 40 pages, using the following standards. For purposes of determining compliance with the page limit, each page on which there are words will be counted as one full page, except as specifically discussed below:

A project narrative in a single discipline must be limited to no more than 40 pages.
An inter-disciplinary project narrative must be limited to no more than 40 pages. An inter-disciplinary application must request funding for a single proposed program of study that involves two or more academic disciplines.
A multi-disciplinary project narrative must be limited to no more than 40 pages for each academic department included in the proposal. A multi-disciplinary application must request funding for two or more academic departments in areas of national need designated as priorities by the Secretary that are independent and unrelated to one another.
A “page” is 8.5" x 11", on one side only, with 1" margins at the top, bottom, and both sides.
Double space (no more than three lines per vertical inch) all text in the project narrative, including titles, headings, footnotes, quotations, references, and captions. Charts, tables, figures, and graphs in the project narrative may be single spaced and will count toward the page limit.
Use a font that is either 12 point or larger or no smaller than 10 pitch (characters per inch). However, you may use a 10 point font in charts, tables, figures, graphs, footnotes, and endnotes.
Use one of the following fonts: Times New Roman, Courier, Courier New, or Arial. An application submitted in any other font (including Times Roman or Arial Narrow) will not be accepted.
Appendices are limited to the following: Curriculum Vitae-no more than two pages per faculty member, a course listing, letters of support, a bibliography, and one additional optional appendix relevant to the support of the proposal, not to exceed five pages.
If you do not use all of the allowable space on a page, it will be counted as a full page in determining compliance with the page limit.

The page limit does not apply to Part I, the Application for Federal Assistance (SF 424) and the Department of Education Supplemental Information for SF 424 Form; the one-page Abstract; the GAANN Statutory Assurances Form; the GAANN Budget Spreadsheet(s) Form; the Appendices; or Part III the Assurances and Certification. The page limit also does not apply to a two-page Table of Contents, if you include one. However, the page limit does apply to all of the Project Narrative section in Part II.

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

3. Submission Dates and Times:

Applications Available: TBD.

Deadline for Transmittal of Applications: TBD.

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: TBD.

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 648.64. 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 GAANN Program, CFDA

number 84.200A, 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 GAANN 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 84.200, not 84.200A).

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, the GAANN Budget Spreadsheet(s) Form, and the GAANN Statutory Assurances and all Certifications.

• You must upload any narrative sections and all other attachments to 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: Rebecca Green, Department of Education, 1990 K Street, NW., room 7105, Washington, DC 20006-8524. 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 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 84.200A)

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.

U.S. Department of Education

Application Control Center

Attention: (CFDA Number 84.200A)

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--

V. Application Review Information

1. Selection Criteria: The selection criteria for this program are in 34 CFR 648.31.

2. Review and Selection Process: 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, achievement of project objectives, 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).

Additional factors we consider in selecting an application for an award are in 34 CFR 648.32.

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 and 34 CFR 648.66. 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.

(c) Grantees will be required to submit a supplement to the Final Performance Report two years after the expiration of their GAANN grant. The purpose is to identify and report the educational outcome of each GAANN fellow.

4. Performance Measures: Under the Government Performance and Results Act of 1993 (GEPA), the following measures will be used by the Department in Assessing the performance of the GAANN program:

1) the percentage of GAANN Fellows completing the terminal degree in the designated areas of national need;

2) the percentage of GAANN Fellows from traditionally underrepresented groups enrolled in a terminal degree program in the designated areas of national need; and

3) the median time to completion of Master’s and Doctorate degrees for GAANN students.

If funded, you will be required to collect and report data in your project’s annual performance report (EDGAR, 34 CFR 75.590) on these measures and on steps taken toward improving performance on these outcomes. Consequently, applicants are advised to include these outcomes in conceptualizing the design, implementation, and evaluation of their proposed projects. Their measurement should be a part of the project evaluation plan, along with measures of your progress on the goals and objectives specific to your project.

All grantees will be expected to submit an annual performance report documenting their success in addressing these performance measures.

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 Contact

For Further Information Contact: Rebecca Green, U.S. Department of Education, Graduate Assistance in Areas of National Need Program, 1990 K Street, NW., room 7105, Washington, DC 20006-8524. Telephone (202) 502-7779, 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 the program contact person listed under For Further Information Contact in section VII of this notice.

Electronic Access to This Document: 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 via the Federal Digital System at: www.gpo.gov/fdsys. At this site 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). To use PDF you must have Adobe Acrobat Reader, which is available free at this site.

You may also access documents of the Department published in the Federal Register by using the article search feature at: www.federalregister.gov. Specifically, through the advanced search feature at this site, you can limit your search to documents published by the Department.

Dated:

____________________________________

Eduardo M. Ochoa

Assistant Secretary

for Postsecondary Education

HIGHER EDUCATION ACT OF 1965

TITLE VII – GRADUATE AND POSTSECONDARY

IMPROVEMENT PROGRAMS

PART A – GRADUATE EDUCATION PROGRAMS

Subpart 2 – Graduate Assistance in Areas of National Need

PROGRAM STATUTE

2008 Amendments to Higher Education Act of 1965

TITLE VII--GRADUATE AND POSTSECONDARY IMPROVEMENT PROGRAMS

SEC. 701. REVISION OF TITLE VII.

Title VII (20 U.S.C. 1132a et seq.) is amended to read as follows:

'TITLE VII--GRADUATE AND POSTSECONDARY IMPROVEMENT PROGRAMS

'SEC. 700. PURPOSE.

'It is the purpose of this title--

'(1) to authorize national graduate fellowship programs--

'(A) in order to attract students of superior ability and achievement, exceptional promise, and demonstrated financial need, into high-quality graduate programs and provide the students with the financial support necessary to complete advanced degrees; and

'(B) that are designed to--

'(i) sustain and enhance the capacity for graduate education in areas of national need; and

'(ii) encourage talented students to pursue scholarly careers in the humanities, social sciences, and the arts; and

'(2) to promote postsecondary programs.

'PART A—GRADUATE EDUCATION PROGRAMS

'Subpart 2--Graduate Assistance in Areas of National Need

'SEC. 711. GRANTS TO ACADEMIC DEPARTMENTS AND PROGRAMS OF INSTITUTIONS.

'(a) GRANT AUTHORITY -

'(1) IN GENERAL - The Secretary shall make grants to academic departments, programs and other academic units of institutions of higher education that provide courses of study leading to a graduate degree, including a master’s or doctoral degree, in order to enable such institutions to provide assistance to graduate students in accordance with this subpart.

'(2) ADDITIONAL GRANTS - The Secretary may also make grants to such departments, programs and other academic units of institutions of higher education granting graduate degrees which submit joint proposals involving non-degree granting institutions which have formal arrangements for the support of doctoral dissertation research with degree-granting institutions. Non-degree granting institutions eligible for awards as part of such joint proposals include any organization which--

'(A) is described in section 501(c)(3) of the Internal Revenue Code of 1986, and is exempt from tax under section 501(a) of such Code;

'(B) is organized and operated substantially to conduct scientific and cultural research and graduate training programs;

'(C) is not a private foundation;

'(D) has academic personnel for instruction and counseling who meet the standards of the institution of higher education in which the students are enrolled; and

'(E) has necessary research resources not otherwise readily available in such institutions to such students.

'(b) AWARD AND DURATION OF GRANTS -

'(1) AWARDS - The principal criterion for the award of grants shall be the relative quality of the graduate programs presented in competing applications. Consistent with an allocation of awards based on quality of competing applications, the Secretary shall, in awarding such grants, promote an equitable geographic distribution among eligible public and private institutions of higher education.

'(2) DURATION AND AMOUNT -

'(A) DURATION - The Secretary shall award a grant under this subpart for a period of 3 years.

'(B) AMOUNT - The Secretary shall award a grant to an academic department, program or unit of an institution of higher education under this subpart for a fiscal year in an amount that is not less than $100,000 and not greater than $750,000.

'(3) REALLOTMENT - Whenever the Secretary determines that an academic department, program or unit of an institution of higher education is unable to use all of the amounts available to the department, program or unit under this subpart, the Secretary shall, on such dates during each fiscal year as the Secretary may fix, re-allot the amounts not needed to academic departments, programs and units of institutions which can use the grants authorized by this subpart.

'(c) PREFERENCE TO CONTINUING GRANT RECIPIENTS -

'(1) IN GENERAL - The Secretary shall make new grant awards under this subpart only to the extent that each previous grant recipient under this subpart has received continued funding in accordance with subsection (b)(2)(A).

'(2) RATABLE REDUCTION- To the extent that appropriations under this subpart are insufficient to comply with paragraph (1), available funds shall be distributed by ratably reducing the amounts required to be awarded under subsection (b)(2)(A).

'SEC. 712. INSTITUTIONAL ELIGIBILITY.

'(a) ELIGIBILITY CRITERIA - Any academic department, program or unit of an institution of higher education that offers a program of post baccalaureate study leading to a graduate degree, including a master’s or doctoral degree, in an area of national need (as designated under subsection (b)) may apply for a grant under this subpart. No department, program or unit shall be eligible for a grant unless the program of post baccalaureate study has been in existence for at least 4 years at the time of application for assistance under this subpart.

'(b) Designation of Areas of National Need--After consultation with appropriate Federal and nonprofit agencies and organizations, including the National Science Foundation, the Department of Defense,

the Department of Homeland Security, the National Academy of Sciences, and the Bureau of Labor Statistics, the Secretary shall designate areas of national need. In making such designations, the Secretary shall take into consideration--

``(1) the extent to which the interest in the area is compelling;

``(2) the extent to which other Federal programs support postbaccalaureate study in the area concerned;

``(3) an assessment of how the program may achieve the most significant impact with available resources; and

``(4) an assessment of current (as of the time of the designation) and future professional workforce needs of the United States.''

'SEC. 713. CRITERIA FOR APPLICATIONS.

'(a) SELECTION OF APPLICATIONS - The Secretary shall make grants to academic departments, programs and units of institutions of higher education on the basis of applications submitted in accordance with subsection (b). Applications shall be ranked on program quality by review panels of nationally recognized scholars and evaluated on the quality and effectiveness of the academic program and the achievement and promise of the students to be served. To the extent possible (consistent with other provisions of this section), the Secretary shall make awards that are consistent with recommendations of the review panels.

'(b) CONTENTS OF APPLICATIONS - An academic department, program or unit of an institution of higher education, in the department, program or unit's application for a grant, shall--

'(1) describe the current academic program of the applicant for which the grant is sought;

'(2) provide assurances that the applicant will provide, from other non-Federal sources, for the purposes of the fellowship program under this subpart an amount equal to at least 25 percent of the amount of the grant received under this subpart, which contribution may be in cash or in kind, fairly valued;

'(3) set forth policies and procedures to assure that, in making fellowship awards under this subpart, the institution will seek talented students from traditionally underrepresented backgrounds, as determined by the Secretary;

'(4) describe the number, types, and amounts of the fellowships that the applicant intends to offer with grant funds provided under this part;

'(5) set forth policies and procedures to assure that, in making fellowship awards under this subpart, the institution will make awards to individuals who--

'(A) have financial need, as determined under part F of title IV;

'(B) have excellent academic records in their previous programs of study; and

'(C) plan to pursue the highest possible degree available in their course of study at the institution;

'(6) set forth policies and procedures to ensure that Federal funds made available under this subpart for any fiscal year will be used to supplement and, to the extent practical, increase the funds that would otherwise be made available for the purpose of this subpart and in no case to supplant those funds;

'(7) provide assurances that, in the event that funds made available to the academic department, program or unit under this subpart are insufficient to provide the assistance due a student under the commitment entered into between the academic department, program or unit and the student, the academic department, program or unit will, from any funds available to the department, program or unit, fulfill the commitment to the student;

'(8) provide that the applicant will comply with the limitations set forth in section 715;

'(9) provide assurances that the academic department will provide at least 1 year of supervised training in instruction for students; and

'(10) include such other information as the Secretary may prescribe.

'SEC. 714. AWARDS TO GRADUATE STUDENTS.

'(a) COMMITMENTS TO GRADUATE STUDENTS -

'(1) IN GENERAL - An academic department, program or unit of an institution of higher education shall make commitments to graduate students who are eligible students under section 484 (including students pursuing a doctoral degree after having completed a master's degree program at an institution of higher education) at any point in their graduate study to provide stipends for the length of time necessary for a student to complete the course of graduate study, but in no case longer than 5 years.

'(2) SPECIAL RULE - No such commitments shall be made to students under this subpart unless the academic department, program or unit has determined adequate funds are available to fulfill the commitment from funds received or anticipated under this subpart, or from institutional funds.

'(b) AMOUNT OF STIPENDS - The Secretary shall make payments to institutions of higher education for the purpose of paying stipends to individuals who are awarded fellowships under this subpart. The stipends the Secretary establishes shall reflect the purpose of the program under this subpart to encourage highly talented students to undertake graduate study as described in this subpart. In the case of an individual who receives such individual's first stipend under this subpart in academic year 2009-2010 or any succeeding academic year, such stipend shall be set at a level of support equal to that provided by the Foundation Graduate Research Fellowship Program for such an academic year, except such amount shall be adjusted as necessary so as not to exceed the fellow's demonstrated level of need as determined under part F of title IV.

'(c) TREATMENT OF INSTITUTIONAL PAYMENTS - An institution of higher education that makes institutional payments for tuition and fees on behalf of individuals supported by fellowships under this subpart in amounts that exceed the institutional payments made by the Secretary pursuant to section 715(a) may count such excess toward the amounts the institution is required to provide pursuant to section 713(b)(2).

'(d) ACADEMIC PROGRESS REQUIRED - Notwithstanding the provisions of subsection (a), no student shall receive an award--

'(1) except during periods in which such student is maintaining satisfactory progress in, and devoting essentially full time to, study or research in the field in which such fellowship was awarded; or

'(2) if the student is engaging in gainful employment other than part-time employment involved in teaching, research, or similar activities determined by the institution to be in support of the student's progress towards a degree.

'SEC. 715. ADDITIONAL ASSISTANCE FOR COST OF EDUCATION.

'(a) INSTITUTIONAL PAYMENTS -

'(1) IN GENERAL- The Secretary shall (in addition to stipends paid to individuals under this subpart) pay to the institution of higher education, for each individual awarded a fellowship under this subpart at such institution, an institutional allowance. Except as provided in paragraph (2), such allowance shall be, for 2009-2010 and succeeding academic years, the same amount as the institutional payment made for 2008-2009 adjusted annually thereafter in accordance with inflation as determined by the Department of Labor's Consumer Price Index for the previous calendar year.

'(2) REDUCTION- The institutional allowance paid under paragraph (1) shall be reduced by the amount the institution charges and collects from a fellowship recipient for tuition and other expenses as part of the recipient's instructional program.

'(b) USE FOR OVERHEAD PROHIBITED- Funds made available pursuant to this subpart may not be used for the general operational overhead of the academic department or program.

'SEC. 716. AUTHORIZATION OF APPROPRIATIONS.

'There are authorized to be appropriated $35,000,000 for fiscal year 2009 and each of the five succeeding fiscal years to carry out this subpart.

HIGHER EDUCATION ACT OF 1965

TITLE VII – GRADUATE AND POSTSECONDARY

IMPROVEMENT PROGRAMS

PART A – GRADUATE EDUCATION PROGRAMS

Subpart 2 – Graduate Assistance in Areas of National Need

PROGRAM REGULATIONS

[Code of Federal Regulations]

[Title 34, Volume 3]

[Revised as of July 1, 2009]

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

[CITE: 34CFR648.1]

TITLE 34--EDUCATION

DEPARTMENT OF EDUCATION

PART 648--GRADUATE ASSISTANCE IN AREAS OF NATIONAL NEED

Subpart A--General

Sec. 648.1 What is the Graduate Assistance in Areas of National Need program?

The Graduate Assistance in Areas of National Need program provides fellowships through academic departments of institutions of higher education to assist graduate students of superior ability who demonstrate financial need.

(Authority: 20 U.S.C. 1135, 1135a)

[58 FR 65842, Dec. 16, 1993, as amended at 64 FR 13487, Mar. 18, 1999]

Sec. 648.2 Who is eligible for a grant?

(a) The Secretary awards grants to the following:

(1) Any academic department of an institution of higher education that provides a course of study that--

(i) Leads to a graduate degree in an area of national need; and

(ii) Has been in existence for at least four years at the time of an application for a grant under this part.

(2) An academic department of an institution of higher education that--

(i) Satisfies the requirements of paragraph (a)(1) of this section; and

(ii) Submits a joint application with one or more eligible non-degree-granting institutions that have formal arrangements for the support of doctoral dissertation research with one or more degree-granting institutions.

(b) A formal arrangement under paragraph (a)(2)(ii) of this section is a written agreement between a degree-granting institution and an eligible non-degree-granting institution whereby the degree-granting institution accepts students from the eligible non-degree-granting institution as doctoral degree candidates with the intention of awarding these students doctorates in an area of national need.

(Authority: 20 U.S.C. 1135, 1135a)

Sec. 648.3 What activities may the Secretary fund?

(a) The Secretary awards grants to institutions of higher education to fund fellowships in one or more areas of national need.

(b)(1) For the purposes of this part, the Secretary designates areas of national need from the academic areas listed in the appendix to this part or from the resulting inter-disciplines.

(2) The Secretary announces these areas of national need in a notice published in the Federal Register.

(Authority: 20 U.S.C. 1135, 1135a)

Sec. 648.4 What is included in the grant?

Each grant awarded by the Secretary consists of the following:

(a) The stipends paid by the Secretary through the institution of higher education to fellows. The stipend provides an allowance to a fellow for the fellow's (and his or her dependents') subsistence and other expenses.

(b) The institutional payments paid by the Secretary to the institution of higher education to be applied against each fellow's tuition, fees, and the costs listed in Sec. 648.62(b).

(Authority: 20 U.S.C. 1135c, 1135d)

Sec. 648.5 What is the amount of a grant?

(a) The amount of a grant to an academic department may not be less than $100,000 and may not be more than $750,000 in a fiscal year.

(b) In any fiscal year, no academic department may receive more than $750,000 as an aggregate total of new and continuing grants.

(Authority: 20 U.S.C. 1135)

Sec. 648.6 What is the duration of a grant?

The duration of a grant awarded under this part is a maximum of three annual budget periods during a three-year (36-month) project period.

(Authority: 20 U.S.C. 1135)

Sec. 648.7 What is the institutional matching contribution?

An institution shall provide, from non-Federal funds, an institutional matching contribution equal to at least 25 percent of the amount of the grant received under this part, for the uses indicated in Sec. 648.63.

(Authority: 20 U.S.C. 1135b, 1135c)

Sec. 648.8 What regulations apply?

The following regulations apply to this program:

(a) The Education Department General Administrative Regulations (EDGAR) as follows:

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

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

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

(4) 34 CFR part 79 (Intergovernmental Review of Department of Education Programs and Activities).

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

(6) 34 CFR part 85 (Governmentwide Debarment and Suspension (Non-procurement) and Government-wide Requirements for Drug-Free Workplace (Grants)).

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

(b) The regulations in this part.

(Authority: 20 U.S.C. 1135)

Sec. 648.9 What definitions apply?

(a) Definitions in EDGAR.. The following terms used in this part are defined in 34 CFR 77.1:

Applicant Equipment

Application Grant

Award Nonprofit

Budget Project period

Budget period Secretary

Department Supplies

EDGAR

(b) Other definitions. The following definitions also apply to this part:

Academic department means any department, program, unit, or any other administrative subdivision of an institution of higher education that--

(i) Directly administers or supervises post-baccalaureate instruction in a specific discipline; and

(ii) Has the authority to award academic course credit acceptable to meet degree requirements at an institution of higher education.

Academic field means an area of study in an academic department within an institution of higher education other than a school or

department of divinity.

Academic year means the 12-month period commencing with the fall instructional term of the institution.

Application period means the period in which the Secretary solicits applications for this program.

Discipline means a branch of instruction or learning.

Eligible non-degree granting institution means any institution that--

(i) Conducts post-baccalaureate academic programs of study but does not award doctoral degrees in an area of national need;

(ii) Is described in section 501(c)(3) of the Internal Revenue Code of 1986 and is exempt from tax under section 501(a) of the Code;

(iii) Is organized and operated substantially to conduct scientific and cultural research and graduate training programs;

(iv) Is not a private foundation;

(v) Has academic personnel for instruction and counseling who meet the standards of the institution of higher education in which the

students are enrolled; and

(vi) Has necessary research resources not otherwise readily available in the institutions in which students are enrolled.

Fees mean non-refundable charges paid by a graduate student for services, materials, and supplies that are not included within the tuition charged by the institution in which the student is enrolled.

Fellow means a recipient of a fellowship under this part.

Fellowship means an award made by an institution of higher education to an individual for graduate study under this part at the institution of higher education.

Financial need means the fellow's financial need as determined under title IV, part F, of the HEA for the period of the fellow's enrollment

in the approved academic field of study for which the fellowship was awarded.

General operational overhead means non-instructional expenses incurred by an academic department in the normal administration and

conduct of its academic program, including the costs of supervision, recruitment, capital outlay, debt service, indirect costs, or any other costs not included in the determination of tuition and non-refundable fee charges.

Graduate student means an individual enrolled in a program of post-baccalaureate study at an institution of higher education.

Graduate study means any program of post-baccalaureate study at an institution of higher education.

HEA means the Higher Education Act of 1965, as amended.

Highest possible degree available means the highest possible degree available in a course of study at the institution.

Institution of higher education (Institution) means an institution of higher education, other than a school or department of divinity, as defined in section 1201(a) of the HEA.

Inter-discipline means a course of study that involves academic fields in two or more disciplines.

Minority means Alaskan Native, American Indian, Asian American, Black (African-American), Hispanic American, Native Hawaiian or Pacific Islander.

Multi-disciplinary application means an application that requests fellowships for more than a single academic department in areas of

national need designated as priorities by the Secretary under this part.

Project means the activities necessary to assist, whether from grant funds or institutional resources, fellows in the successful completion

of their designated educational programs.

Satisfactory progress means that a fellow meets or exceeds the institution's criteria and standards established for a graduate student's continued status as an applicant for the graduate degree in the academic field for which the fellowship was awarded.

School or department of divinity means an institution, or an academic department of an institution, whose program is specifically for

the education of students to prepare them to become ministers of religion or to enter into some other religious vocation or to prepare

them to teach theological subjects.

Students from traditionally underrepresented backgrounds mean women

and minorities who traditionally are underrepresented in areas of national need as designated by the Secretary.

Supervised training means training provided to fellows under the guidance and direction of faculty in the academic department.

Tuition means the charge for instruction by the institution of higher education in which the fellow is enrolled.

Underrepresented in areas of national need means proportionate representation as measured by degree recipients, that is less than the

proportionate representation in the general population, as indicated by--

(i) The most current edition of the Department's Digest of Educational Statistics;

(ii) The National Research Council's Doctorate Recipients from United States Universities;

(iii) Other standard statistical references, as announced annually in the Federal Register notice inviting applications for new awards

under this program; or

(iv) As documented by national survey data submitted to and accepted by the Secretary on a case-by-case basis.

(Authority: 20 U.S.C. 1135-1135d)

Subpart B--How Does an Institution of Higher Education Apply for a Grant?

Sec. 648.20 How does an institution of higher education apply for a grant?

(a) To apply for a grant under this part, an institution of higher education shall submit an application that responds to the appropriate

selection criteria in Sec. 648.31.

(b) In addition, an application for a grant must--

(1) Describe the current academic program for which the grant is sought;

(2) Request a specific number of fellowships to be awarded on a full-time basis for the academic year covered under the grant in each

academic field included in the application;

(3) Set forth policies and procedures to ensure that in making fellowship awards under this part the institution will seek talented students from traditionally underrepresented backgrounds;

(4) Set forth policies and procedures to assure that in making fellowship awards under this part the institution will make awards to individuals who satisfy the requirements of Sec. 648.40;

(5) Set forth policies and procedures to ensure that Federal funds made available under this part for any fiscal year will be used to supplement and, to the extent practical, increase the funds that otherwise would be made available for the purposes of this part and, in no case, to supplant those funds;

(6) Provide assurances that the institution will provide the institutional matching contribution described in Sec. 648.7;

(7) Provide assurances that, in the event that funds made available to the academic department under this part are insufficient to provide the assistance due a student under the commitment entered into between the academic department and the student, the academic department will, from any funds available to it, fulfill the commitment to the student;

(8) Provide that the institution will comply with the requirements in subpart F; and

(9) Provide assurances that the academic department will provide at least one year of supervised training in instruction to students

receiving fellowships under this program.

(Approved by the Office of Management and Budget under control number 1840-0604)

(Authority: 20 U.S.C. 1135b)

[58 FR 65842, Dec. 16, 1993, as amended at 64 FR 13487, Mar. 18, 1999]

Subpart C--How Does the Secretary Make an Award?

Sec. 648.30 How does the Secretary evaluate an application?

(a) The Secretary evaluates an application on the basis of the criteria in Sec. 648.31.

(b) The Secretary awards up to 100 points for these criteria.

(Authority: 20 U.S.C. 1135, 1135b)

Sec. 648.31 What selection criteria does the Secretary use?

The Secretary uses the following criteria to evaluate an application:

(a) Meeting the purposes of the program. (7 points) The Secretary reviews each application to determine how well the project will meet the

purposes of the program, including the extent to which--

(1) The applicant's general and specific objectives for the project are realistic and measurable;

(2) The applicant's objectives for the project seek to sustain and enhance the capacity for teaching and research at the institution and at

State, regional, or national levels;

(3) The applicant's objectives seek to institute policies and procedures to ensure the enrollment of talented graduate students from traditionally underrepresented backgrounds; and

(4) The applicant's objectives seek to institute policies and procedures to ensure that it will award fellowships to individuals who satisfy the requirements of Sec. 648.40.

(b) Extent of need for the project. (5 points) The Secretary considers the extent to which a grant under the program is needed by the academic department by considering--

(1) How the applicant identified the problems that form the specific needs of the project;

(2) The specific problems to be resolved by successful realization of the goals and objectives of the project; and

(3) How increasing the number of fellowships will meet the specific and general objectives of the project.

(c) Quality of the graduate academic program. (20 points) The Secretary reviews each application to determine the quality of the

current graduate academic program for which project funding is sought, including--

(1) The course offerings and academic requirements for the graduate program;

(2) The qualifications of the faculty, including education, research interest, publications, teaching ability, and accessibility to graduate students;

(3) The focus and capacity for research; and

(4) Any other evidence the applicant deems appropriate to demonstrate the quality of its academic program.

(d) Quality of the supervised teaching experience. (10 points) The Secretary reviews each application to determine the quality of the

teaching experience the applicant plans to provide fellows under this program, including the extent to which the project--

(1) Provides each fellow with the required supervised training in instruction;

(2) Provides adequate instruction on effective teaching techniques;

(3) Provides extensive supervision of each fellow's teaching performance; and

(4) Provides adequate and appropriate evaluation of the fellow's teaching performance.

(e) Recruitment plan. (5 points) The Secretary reviews each application to determine the quality of the applicant's recruitment

plan, including--

(1) How the applicant plans to identify, recruit, and retain students from traditionally underrepresented backgrounds in the academic

program for which fellowships are sought;

(2) How the applicant plans to identify eligible students for fellowships;

(3) The past success of the academic department in enrolling talented graduate students from traditionally underrepresented

backgrounds; and

(4) The past success of the academic department in enrolling talented graduate students for its academic program.

(f) Project administration. (8 points) The Secretary reviews the quality of the proposed project administration, including--

(1) How the applicant will select fellows, including how the applicant will ensure that project participants who are otherwise eligible to participate are selected without regard to race, color, national origin, religion, gender, age, or disabling condition;

(2) How the applicant proposes to monitor whether a fellow is making satisfactory progress toward the degree for which the fellowship has

been awarded;

(3) How the applicant proposes to identify and meet the academic needs of fellows;

(4) How the applicant proposes to maintain enrollment of graduate students from traditionally underrepresented backgrounds; and

(5) The extent to which the policies and procedures the applicant proposes to institute for administering the project are likely to ensure

efficient and effective project implementation, including assistance to and oversight of the project director.

(g) Institutional commitment. (15 points) The Secretary reviews each application for evidence that--

(1) The applicant will provide, from any funds available to it, sufficient funds to support the financial needs of the fellows if the funds made available under the program are insufficient;

(2) The institution's social and academic environment is supportive of the academic success of students from traditionally underrepresented backgrounds on the applicant's campus;

(3) Students receiving fellowships under this program will receive stipend support for the time necessary to complete their courses of study, but in no case longer than 5 years; and

(4) The applicant demonstrates a financial commitment, including the nature and amount of the institutional matching contribution, and other

institutional commitments that are likely to ensure the continuation of project activities for a significant period of time following the period

in which the project receives Federal financial assistance.

(h) Quality of key personnel. (5 points) The Secretary reviews each application to determine the quality of key personnel the applicant

plans to use on the project, including--

(1) The qualifications of the project director;

(2) The qualifications of other key personnel to be used in the project;

(3) The time commitment of key personnel, including the project director, to the project; and

(4) How the applicant, as part of its nondiscriminatory employment practices, will ensure that its personnel are selected without regard to race, color, national origin, religion,

gender, age, or disabling condition, except pursuant to a lawful affirmative action plan.

(i) Budget. (5 points) The Secretary reviews each application to determine the extent to which--

(1) The applicant shows a clear understanding of the acceptable uses of program funds; and

(2) The costs of the project are reasonable in relation to the objectives of the project.

(j) Evaluation plan. (15 points) The Secretary reviews each application to determine the quality of the evaluation plan for the project, including the extent to which the applicant's methods of evaluation--

(1) Relate to the specific goals and measurable objectives of the project;

(2) Assess the effect of the project on the students receiving fellowships under this program, including the effect on persons of

different racial and ethnic backgrounds, genders, and ages, and on persons with disabilities who are served by the project;

(3) List both process and product evaluation questions for each project activity and outcome, including those of the management plan;

(4) Describe both the process and product evaluation measures for each project activity and outcome;

(5) Describe the data collection procedures, instruments, and schedules for effective data collection;

(6) Describe how the applicant will analyze and report the data so that it can make adjustments and improvements on a regular basis; and

(7) Include a time-line chart that relates key evaluation processes and benchmarks to other project component processes and benchmarks.

(k) Adequacy of resources. (5 points) The Secretary reviews each application to determine the adequacy of the resources that the applicant makes available to graduate students receiving fellowships under this program, including facilities, equipment, and supplies.

(Approved by the Office of Management and Budget under control number 1840-0604)

(Authority: 20 U.S.C. 1135-1135c)

Sec. 648.32 What additional factors does the Secretary consider?

(a) Continuation awards. (1) Before funding new applications, the Secretary gives preference to grantees requesting their second or third

year of funding.

(2) If appropriations for this program are insufficient to fund all continuation grantees for the second and third years at the approved

funding level, the Secretary prorates the available funds, if any, among the continuation grantees and, if necessary, awards continuation grants of less than $100,000.

(b) Equitable distribution. In awarding grants, the Secretary will, consistent with an allocation of awards based on the quality of

competing applications, ensure the following:

(1) An equitable geographic distribution of grants to eligible applicant institutions of higher education.

(2) An equitable distribution of grants to eligible applicant public and eligible applicant private institutions of higher education.

(Authority: 20 U.S.C. 1135-1135c)

Sec. 648.33 What priorities and absolute preferences does the Secretary establish?

(a) For each application period, the Secretary establishes as an area of national need and gives absolute preference to one or more of the general disciplines and sub-disciplines listed as priorities in the appendix to this part or the resulting inter-disciplines.

(b) The Secretary announces the absolute preferences in a notice published in the Federal Register.

(Authority: 20 U.S.C. 1135, 1135a)

Subpart D--How Are Fellows Selected?

Sec. 648.40 How does an academic department select fellows?

(a) In selecting individuals to receive fellowships, an academic department shall consider only individuals who--

(1) Are currently enrolled as graduate students, have been accepted at the grantee institution, or are enrolled or accepted as graduate students at an eligible non-degree-granting institution;

(2) Are of superior ability;

(3) Have an excellent academic record;

(4) Have financial need;

(5) Are planning to pursue the highest possible degree available in their course of study;

(6) Are planning a career in teaching or research;

(7) Are not ineligible to receive assistance under 34 CFR 75.60; and

(8)(i) Are United States citizens or nationals;

(ii) Are permanent residents of the United States;

(iii) Provide evidence from the Immigration and Naturalization Service that they are in the United States for other than a temporary purpose with the intention of becoming permanent residents; or

(iv) Are citizens of any one of the Freely Associated States.

(b) An individual who satisfies the eligibility criteria in paragraph (a) of this section, but who attends an institution that does not offer the highest possible degree available in the individual's course of study, is eligible for a fellowship if the individual plans to attend subsequently an institution that offers this degree.

(Authority: 20 U.S.C. 1135, 1135b)

[58 FR 65842, Dec. 16, 1993, as amended at 64 FR 13487, Mar. 18, 1999]

Sec. 648.41 How does an individual apply for a fellowship?

An individual shall apply directly to an academic department of an institution of higher education that has received a grant.

(Authority: 20 U.S.C. 1135, 1135c)

Subpart E--How Does the Secretary Distribute Funds?

Sec. 648.50 What are the Secretary's payment procedures?

(a) The Secretary awards to the institution of higher education a stipend and an institutional payment for each individual awarded a fellowship under this part.

(b) If an academic department of an institution of higher education is unable to use all of the amounts available to it under this part, the

Secretary reallots the amounts not used to academic departments of other institutions of higher education for use in the academic year following the date of the reallotment.

(Authority: 20 U.S.C. 1135a, 1135c, 1135d)

Sec. 648.51 What is the amount of a stipend?

(a) For a fellowship initially awarded for an academic year prior to the academic year 1993-94, the institution shall pay the fellow a stipend in an amount that equals the fellow's financial need or $10,000, whichever is less.

(b) For a fellowship initially awarded for the academic year 1993-94, or any succeeding academic year, the institution shall pay the fellow a stipend at a level of support equal to that provided by the National Science Foundation graduate fellowships, except that this amount must be adjusted as necessary so as not to exceed the fellow's demonstrated level of financial need as determined under part F of title IV of the HEA. The Secretary announces the amount of the stipend in a notice published in the Federal Register.

(Authority: 20 U.S.C. 1135c)

[58 FR 65842, Dec. 16, 1993, as amended at 64 FR 13487, Mar. 18, 1999]

Sec. 648.52 What is the amount of the institutional payment?

(a) For academic year 1998-1999, the amount of the institutional payment received by an institution of higher education for each student

awarded a fellowship at the institution is $10,222. Thereafter, the Secretary adjusts the amount of the institutional payment annually in

accordance with inflation as determined by the United States Department of Labor's Consumer Price Index for the previous calendar year. The

Secretary announces the amount of the institutional payment in a notice published in the Federal Register.

(b) The institutional allowance paid under paragraph (a) of this section is reduced by the amount the institution charges and collects from a fellowship recipient for tuition and other expenses as part of the recipient's instructional program.

(Authority: 20 U.S.C. 1135d)

[58 FR 65842, Dec. 16, 1993, as amended at 64 FR 13487, Mar. 18, 1999]

Subpart F--What Are the Administrative Responsibilities of the Institution?

Sec. 648.60 When does an academic department make a commitment to a fellow to provide stipend support?

(a) An academic department makes a commitment to a fellow at any point in his or her graduate study for the length of time necessary for the fellow to complete the course of graduate study, but in no case longer than five years.

(b) An academic department shall not make a commitment under paragraph (a) of this section to provide stipend support unless the academic department has determined that adequate funds are available to fulfill the commitment either from funds received or anticipated under this part or from institutional funds.

(Authority: 20 U.S.C. 1135c)

Sec. 648.61 How must the academic department supervise the training of fellows?

The institution shall provide to fellows at least one academic year of supervised training in instruction at the graduate or undergraduate

level at the schedule of at least one-half-time teaching assistant.

(Authority: 20 U.S.C. 1135b)

Sec. 648.62 How can the institutional payment be used?

(a) The institutional payment must be first applied against a fellow's tuition and fees.

(b) After payment of a fellow's tuition and fees, the institutional payment may be applied against educational expenses of the fellow that

are not covered by tuition and fees and are related to the academic program in which the fellow is enrolled. These expenses include the

following:

(1) Costs for rental or purchase of any books, materials, or supplies required of students in the same course of study.

(2) Costs of computer hardware, project specific software, and other equipment prorated by the length of the student's fellowship over the

reasonable life of the equipment.

(3) Membership fees of professional associations.

(4) Travel and per diem to professional association meetings and registration fees.

(5) International travel, per diem, and registration fees to participate in educational activities.

(6) Expenses incurred in research.

(7) Costs of reproducing and binding of educational products.

(c) The institutional payment must supplement and, to the extent practical, increase the funds that would otherwise be made available for the purpose of the program and, in no case, to supplant institutional funds currently available for fellowships.

(Authority: 20 U.S.C. 1135b, 1135d)

Sec. 648.63 How can the institutional matching contribution be used?

(a) The institutional matching contribution may be used to--

(1) Provide additional fellowships to graduate students who are not already receiving fellowships under this part and who satisfy the

requirements of Sec. 648.40;

(2) Pay for tuition, fees, and the costs listed in Sec. 648.62(b);

(3) Pay for costs of providing a fellow's instruction that are not included in the tuition or fees paid to the institution in which the fellow is enrolled; and

(4) Supplement the stipend received by a fellow under Sec. 648.51 in an amount not to exceed a fellow's financial need.

(b) An institution may not use its institutional matching contribution to fund fellowships that were funded by the institution prior to the award of the grant.

(Authority: 20 U.S.C. 1135, 1135b, 1135c)

Sec. 648.64 What are unallowable costs?

Neither grant funds nor the institutional matching funds may be used to pay for general operational overhead costs of the academic department.

(Authority: 20 U.S.C. 1135, 1135d)

Sec. 648.65 How does the institution of higher education disburse and return funds?

(a) An institution that receives a grant shall disburse a stipend to a fellow in accordance with its regular payment schedule, but shall not make less than one payment per academic term.

(b) If a fellow withdraws from an institution before completion of an academic term, the institution may award the fellowship to another

individual who satisfies the requirements in Sec. 648.40.

(c) If a fellowship is vacated or discontinued for any period of time, the institution shall return a prorated portion of the institutional payment and unexpended stipend funds to the Secretary,

unless the Secretary authorizes the use of those funds for a subsequent project period. The institution shall return the prorated portion of the

institutional payment and unexpended stipend funds at a time and in a manner determined by the Secretary.

(d) If a fellow withdraws from an institution before the completion of the academic term for which he or she received a stipend installment,

the fellow shall return a prorated portion of the stipend installment to the institution at a time and in a manner determined by the Secretary.

(Authority: 20 U.S.C. 1135c, 1135d)

Sec. 648.66 What records and reports are required from the institution?

(a) An institution of higher education that receives a grant shall provide to the Secretary, prior to the receipt of grant funds for

disbursement to a fellow, a certification that the fellow is enrolled in, is making satisfactory progress in, and is devoting essentially full time to study in the academic field for which the grant was made.

(b) An institution of higher education that receives a grant shall keep records necessary to establish--

(1) That each student receiving a fellowship satisfies the eligibility requirements in Sec. 648.40;

(2) The time and amount of all disbursements and return of stipend payments;

(3) The appropriate use of the institutional payment; and

(4) That assurances, policies, and procedures provided in its application have been satisfied.

(Approved by the Office of Management and Budget under control number 1840-0604)

(Authority: 20 U.S.C. 1135-1135d)

Subpart G--What Conditions Must Be Met by a Fellow After an Award?

Sec. 648.70 What conditions must be met by a fellow?

To continue to be eligible for a fellowship, a fellow must--

(a) Maintain satisfactory progress in the program for which the fellowship was awarded;

(b) Devote essentially full time to study or research in the academic field in which the fellowship was awarded; and

(c) Not engage in gainful employment, except on a part-time basis in teaching, research, or similar activities determined by the academic

department to be in support of the fellow's progress toward a degree.

(Authority: 20 U.S.C. 1135c)

Appendix to Part 648--Academic Areas

The Secretary may give an absolute preference to any of the academic areas listed as disciplines or subdisciplines below, or the resulting inter-disciplines. The list was derived from the Classification of Instructional Programs (CIP) developed by the Office of Educational

Research and Improvement of the U.S. Department of Education and includes the instructional programs that may constitute courses of studies toward graduate degrees. The code number to the left of each discipline and subdiscipline is the Department's identification code for that particular type of instructional program.

05. Area, Ethnic, and Cultural Studies

05.01 Area Studies

05.02 Ethnic and Cultural Studies

11. Computer and Information Sciences

11.01 Computer and Information Sciences, General

11.02 Computer Programming

11.04 Information Sciences and Systems

11.05 Computer Systems Analysis

11.07 Computer Science

13. Education

13.01 Education, General

13.02 Bilingual/Bicultural Education

13.03 Curriculum and Instruction

13.04 Education Administration and Supervision

13.05 Educational/Instructional Media Design

13.06 Educational Evaluation, Research, and Statistics

13.07 International and Comparative Education

13.08 Educational Psychology

Social and Philosophical Foundations

of Education

13.10 Special Education

13.11 Student Counseling and Personnel

Services

13.12 General Teacher Education

13.13 Teacher Education, Specific Academic,

and Vocational Programs

13.14 Teaching English as a Second Language/Foreign Language

14. Engineering

14.01 Engineering, General

Aerospace, Aeronautical, and

Astronautical Engineering

14.03 Agricultural Engineering

14.04 Architectural Engineering

Bioengineering and Biomedical

Engineering

14.06 Ceramic Sciences and Engineering

14.07 Chemical Engineering

14.08 Civil Engineering

14.09 Computer Engineering

Electrical, Electronic, and

Communications Engineering

14.11 Engineering Mechanics

14.12 Engineering Physics

14.13 Engineering Science

Environmental/Environmental Health

Engineering

14.15 Geological Engineering

14.16 Geophysical Engineering

14.17 Industrial/Manufacturing Engineering

14.18 Materials Engineering

14.19 Mechanical Engineering

14.20 Metallurgical Engineering

14.21 Mining and Mineral Engineering

Naval Architecture and Marine

Engineering

14.23 Nuclear Engineering

14.24 Ocean Engineering

14.25 Petroleum Engineering

14.27 Systems Engineering

14.28 Textile Sciences and Engineering

14.29 Engineering Design

14.30 Engineering/Industrial Management

14.31 Materials Science

14.32 Polymer/Plastics Engineering

16. Foreign Languages

16.01 Foreign Languages and Literatures

East and Southeast Asian Languages

and Literatures

East European Languages and

Literatures

16.05 Germanic Languages and Literatures

16.06 Greek Languages and Literatures

16.07 South Asian Languages and Literatures

16.09 Romance Languages and Literatures

Middle Eastern Languages and

Literatures

Classical and Ancient Near Eastern

Languages and Literatures

22. Law and Legal Studies

Law and Legal Studies

25. Library Science

25.01 Library Science/Librarianship

25.03 Library Assistant

26. Biological Sciences/Life Sciences

26.01 Biology, General

26.02 Biochemistry and Biophysics

26.03 Botany

26.04 Cell and Molecular Biology

26.05 Microbiology/Bacteriology

Miscellaneous Biological

Specializations

26.07 Zoology

27. Mathematics

27.01 Mathematics

27.03 Applied Mathematics

27.05 Mathematic Statistics

40. Physical Sciences

40.01 Physical Sciences, General

40.02 Astronomy

40.03 Astrophysics

Atmospheric Sciences and

Meteorology

40.05 Chemistry

40.06 Geological and Related Sciences

40.07 Miscellaneous Physical Sciences

40.08 Physics

42. Psychology

42.01 Psychology

42.02 Clinical Psychology

Cognitive Psychology and

Psycholinguistics

42.04 Community Psychology

42.06 Counseling Psychology

42.07 Developmental and Child Psychology

42.08 Experimental Psychology

Industrial and Organizational

Psychology

42.11 Physiological Psychology/Psychobiology

42.16 Social Psychology

42.17 School Psychology

50. Visual and Performing Arts

50.01 Visual and Performing Arts

50.02 Crafts, Folk Art, and Artisanry

50.03 Dance

50.04 Design and Applied Arts

50.05 Dramatic/Theater Arts and Stagecraft

50.06 Film/Video and Photographic Arts

50.07 Fine Arts and Art Studies

50.09 Music

51. Health Professions and Related Sciences

51.01 Chiropractic (D.C., D.C.M.)

Communication Disorders Sciences

and Services

51.03 Community Health Services

51.04 Dentistry (D.D.S., D.M.D.)

Dental Clinical Sciences/Graduate

Dentistry (M.S., Ph.D.)

Dental Services

51.07 Health and Medical Administrative

Services

51.08 Health and Medical Assistants

Health and Medical Diagnostic and

Treatment Services

Health and Medical Laboratory

Technologies/Technicians

Health and Medical Preparatory

Programs

51.12 Medicine (M.D.)

51.13 Medical Basic Science

51.14 Medical Clinical Services (M.S., Ph.D)

51.15 Mental Health Services

51.16 Nursing

51.17 Optometry (O.D.)

51.18 Ophthalmic/Optometric Services

51.19 Osteopathic Medicine (D.O.)

51.20 Pharmacy

51.21 Podiatry (D.P.M., D.P., Pod.D.)

51.22 Public Health

51.23 Rehabilitation/Therapeutic Services

51.24 Veterinary Medicine (D.V.M.)

51.25 Veterinary Clinical Services

51.27 Miscellaneous Health Professions

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.

GENERAL EDUCATION PROVISIONS ACT (GEPA) SECTION 427

OMB Control No. 1894-0005 (Exp. 01/31/2011)

NOTICE TO ALL APPLICANTS

The purpose of this enclosure is to inform you about a new provision in the Department of Education's General Education Provisions Act (GEPA) that applies to applicants for new grant awards under Department programs. This provision is Section 427 of GEPA, enacted as part of the Improving America's Schools Act of 1994 (Public Law (P.L.) 103-382).

To Whom Does This Provision Apply?

Section 427 of GEPA affects applicants for new grant awards under this program. ALL APPLICANTS FOR NEW AWARDS MUST INCLUDE INFORMATION IN THEIR APPLICATIONS TO ADDRESS THIS NEW PROVISION IN ORDER TO RECEIVE FUNDING UNDER THIS PROGRAM.

(If this program is a State-formula grant program, a State needs to provide this description only for projects or activities that it carries out with funds reserved for State-level uses. In addition, local school districts or other eligible applicants that apply to the State for funding need to provide this description in their applications to the State for funding. The State would be responsible for ensuring that the school district or other local entity has submitted a sufficient section 427 statement as described below.)

What Does This Provision Require?

Section 427 requires each applicant for funds (other than an individual person) to include in its application a description of the steps the applicant proposes to take to ensure equitable access to, and participation in, its Federally-assisted program for students, teachers, and other program beneficiaries with special needs. This provision allows applicants discretion in developing the required description. The statute highlights six types of barriers that can impede equitable access or participation: gender, race, national origin, color, disability, or age. Based on local circumstances, you should determine whether these or other barriers may prevent your students, teachers, etc. from such access or participation in, the Federally-funded project or activity. The description in your application of steps to be taken to overcome these barriers need not be lengthy; you may provide a clear and succinct description of how you plan to address those barriers that are applicable to your circumstances. In addition, the information may be provided in a single narrative, or, if appropriate, may be discussed in connection with related topics in the application.

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

What are Examples of How an Applicant Might Satisfy the Requirement of This Provision?

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

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

(2) An applicant that proposes to develop instructional materials for classroom use might describe how it will make the materials available on audio tape or in braille for students who are blind.

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

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

Estimated Burden Statement for GEPA Requirements

According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless such collection displays a valid OMB control number. The valid OMB control number for this information collection is 1894-0005. The time required to complete this information collection is estimated to average 1.5 hours per response, including the time to review instructions, search existing data resources, gather the data needed, and complete and review the information collection. If you have any comments concerning the accuracy of the time estimate(s) or suggestions for improving this form, please write to: U.S. Department of Education, 400 Maryland Avenue, S.W., Washington, D.C. 20202-4537.

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.

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 GAANN Program?

The performance indicators for the GAANN program are part of the Department’s plan for meeting Goal 3. The specific goal for the GAANN program is “to increase the number of persons trained at the highest academic level” in the areas of national need.

The performance indicators for the GAANN program are:

Graduate school completion: the percentage of GAANN fellows completing the terminal degree in the designated areas of national need.

Enrollment of targeted populations: the percentage of GAANN fellows from traditionally underrepresented groups enrolled in a terminal degree program in the designated areas of national need.

Time-to-Degree: median time to completion of Master’s and Doctorate degrees for GAANN students.

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 progress reports and a final report 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 can be viewed at www2.ed.gov/programs/gaann/performance.html.

INSTRUCTIONS FOR

COMPLETING THE

GAANN

APPLICATION PACKAGE

ORGANIZATION OF THE APPLICATION PACKAGE

The instructions for completing the GAANN application package have been divided into three parts. Your submitted application should be organized in the same manner as the parts appearing in this section. Please read the instructions carefully in the following pages before preparing and submitting your application.

Part I: 424 Forms

Application for Federal Assistance – (SF 424)
Department of Education Supplemental Information Form for SF 424

Note:

Applicants must complete the Standard Form (SF) 424 first because some of the information provided here is automatically inserted into other sections of the Grants.gov application package.
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: Abstract, Project Narrative, and Program Specific Forms

ED Abstract Form
Project Narrative Attachment Form
Other Attachments Form

The ED Abstract Form is where you attach your project abstract.

Note:

Each application must complete an “ED Abstract Form”
In addition to a short summary covering the designated area(s) of national need and the anticipated number of GAANN fellows requested, the abstract should include:

Institution Name:
Type of Application: (Single/Inter-Disciplinary/Multi-Disciplinary)
Area of National Need:
Degree Level of Program of Study (Masters or Doctorate):
Length of Time Degree Program has been in Existence:
Number of Federally Funded GAANN Fellows Requested:

The Project Narrative Attachment Form includes the narrative sections addressing the program selection criteria that will be used to evaluate applications submitted for this competition - this section has a strict page limit depending on the type of application you are submitting.

Note: The Budget Narrative will be included in the Project Narrative as part of the Selection Criteria.

The Other Attachments Form is where you attach the appendices, referenced on page 71 of the Instructions for Completing the Project Narrative section. You will also include the required GAANN Budget Spreadsheet(s) Form and the GAANN Statutory Assurances.

Attach Curriculum Vitae (CV) together as one document.

Attach the following GAANN Program Specific Forms in the “Other Attachments Form,” found at the end of the application package:

GAANN Statutory Assurances Form

Instructions for the GAANN Statutory Assurances Form are covered in the “Program Specific Forms Instructions” section of the application package.

GAANN Budget Spreadsheet(s) Form

The GAANN Budget Spreadsheet(s) Form is where the applicant provides budget information for the GAANN Budget Narrative. The applicant must submit the Budget Spreadsheet(s) Form electronically as a separate document and attach the document(s) into the “Other Attachments Forms.”

Please note that more detailed instructions for completing and attaching the Budget Spreadsheet(s) Form are covered in the “Program Specific Forms Instructions” section of the application package.

Note: These forms should not be altered in any way.

Part III: Assurances and Certifications

Assurances and Certifications

GEPA Section 427 Requirement
Assurances – Non-Construction Programs (SF 424B)
Disclosure of Lobbying Activities (SF-LLL)
Lobbying Form (formerly ED form 80-0013)
Survey on Ensuring Equal Opportunity for Applicants

New Grants.gov Upload Requirements:

Please note: You must upload any narrative sections and all other attachments to 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.

PART II:

Instructions for Completing the Project Narrative

Applications must be submitted electronically via Grants.gov. Please refer to pages 11-13 of the application package for more information regarding electronic submission requirements.

Before preparing the Project Narrative, the applicant should read carefully: the program statute, Notice Inviting New Applications, and the program regulations, including Subpart B, §648.20, How does an Institution of Higher Education Apply for a Grant? and Subpart C, §648.30 through §648.33, How Does the Secretary Make an Award?

ABSTRACT INSTRUCTIONS:

The abstract must contain a short summary covering the designated area(s) of national need; in addition, each abstract should include:

Institution Name:
Type of Application (Single/Inter-Disciplinary/Multi-Disciplinary):
Area of National Need:
Degree Level of Program of Study (Masters or Doctorate):
Length of Time Degree Program has been in Existence:
Number of Federally Funded GAANN Fellows Requested:

Formatting requirements:

Information provided in the one-page abstract may be single spaced or double spaced. However, the font requirements in the Project Narrative also apply to the Project Abstract, which must be attached as follows:

The document to be included in the abstract must be attached electronically. Applicants must save the document in .PDF (Portable Document) format only. Once the document has been saved, the applicant must attach the document to the “ED Abstract Form” section in the Grants.gov system. If you upload a file type other than a .PDF or submit a password-protected file, we will not review that material.

The abstract may be single or double spaced.

A “page” is “8.5x11”, on one side only, with 1” margins at the top, bottom, and both sides. Page numbers and an identifier may be within 1” margin.

Applicants may 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.

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

PROJECT NARRATIVE INSTRUCTIONS:

Selection Criteria:

Address each selection criteria, including all sub-criteria, in sequential order. The selection criteria can be found in the program regulations, Subpart C, §648.31, What Selection Criteria Does the Secretary Use?

Formatting Requirements:

A “page” is “8.5x11”, on one side only, with 1” margins at the top, bottom, and both sides. Page numbers and an identifier may be within 1” margin.

Double space (no more than three lines per vertical inch) all text in the project narrative, including titles, headings, footnotes, quotations, references, and captions. Charts, tables, figures, and graphs in the project narrative may be single spaced and will count toward the page limit.

Applicants may 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.

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

Project Narrative Page Limits:

Single and Inter-Disciplinary project narratives must be no more than 40 pages.
- An inter-disciplinary application must request funding for a single proposed program of study that involves academic fields in two or more disciplines.
Multi-disciplinary project narratives, as defined below, must be no more than 40 pages for each academic department included in the proposal.

A multi-disciplinary application must request funding for two or more academic departments in areas of national need designated as priorities by the Secretary that are independent and unrelated to one another.

Applicants must abide by the definition of multi-disciplinary when applying page limits

Note: Each page in which there are words will be counted as one full page.

Note: Applicants have the option of including a Table of Contents. However, this document must not be longer than two (2) pages. The formatting should be the same as listed above in the “Formatting Requirements”.

New Grants.gov Upload Requirements:

NOTE: Section 648.31 – What selection criteria does the Secretary use?

The selection criteria at C.F.R. 648.31, consider an applicant’s policies and procedures to ensure enrollment of talented graduate students from traditionally underrepresented backgrounds. Do these criteria require an applicant to give priority to or set aside stipends for students based on race or ethnicity?

That is not the intent of the selection criteria. Rather, they are intended to direct applicants to engage in outreach and recruitment efforts as a means of fostering the enrollment of eligible students from traditionally underrepresented backgrounds. The GAANN criteria do not independently require or authorize applicants to give priority for or set aside stipends for students based on race or ethnicity. It should be noted, however, that an institution of higher education (IHE) is permitted to take race and ethnicity into consideration in the award of financial aid, provided that the institution complies with the legal principles described in the Department’s policy guidance on race-targeted financial aid, under Title VI of the Civil Rights Act, which was published in the Federal Register on February 23, 1994 (59 FED.REG8756). In summary, it is permissible for IHE’s to consider race and ethnicity in granting financial aid in order to promote diversity of their student body and to remedy the effects of discrimination. As explained in this guidance, use of race or ethnicity as a remedy or to promote diversity must be narrowly tailored to achieve those objectives. IHE’s that seek to do this should consult the policy guidance for further clarification on how to ensure that race-targeted financial aid is narrowly tailored to meet the objectives of remedying past discrimination or promoting diversity. IHE’s in the Fifth Circuit should note that the legality of discrimination in a public school system as a whole is unclear in light of the Fifth Circuit’s decision in Hopwood v. Texas, 78F 3d 932 (5^th Cir.) cert. denied, Texas v. Hopwood, 115 S. CT. 2581 (1996).

APPENDICES:

Appendices are limited to the following:

Curriculum Vitae - no more than two (2) pages per faculty member;
Course listing;
Letters of support;
Bibliography; and
One additional optional appendix relevant to the support of the proposal, not to exceed five (5) pages.

GAANN Program Specific Forms:

GAANN Statutory Assurances Form
GAANN Budget Spreadsheet(s) Form

Formatting Requirements:

There are no additional formatting requirements for the appendices, however, please see each appendix above for any additional information.

The documents to be included in the appendices must be attached electronically as separate documents. Applicants must save the documents in .PDF (Portable Document) format only. Once the documents have been saved, the applicant must attach the documents included in the appendices to the corresponding “Other Attachments Form”. If you upload a file type other than a .PDF or submit a password-protected file, we will not review that material.

INSTRUCTIONS FOR STANDARD AND PROGRAM SPECIFIC FORMS

STANDARD FORMS INSTRUCTIONS:

Application for Federal Education assistance (SF 424 Form) Instructions

Department of Education Supplemental Information for SF 424 Form Instructions

Disclosure of Lobbying Activities (SF-LLL)

Survey Instructions on Ensuring Equal Opportunity for Applicants

PROGRAM SPECIFIC FORMS INSTRUCTIONS:

GAANN Statutory Assurances Form Instructions

GAANN Budget Spreadsheet(s) Form Instructions

Insert: INSTRUCTIONS FOR THE SF-424

Page 1

Insert: INSTRUCTIONS FOR THE SF-424

Page 2

Insert: INSTRUCTIONS FOR

DEPARTMENT OF EDUCATION SUPPLEMENTAL INFORMATION FOR SF 424

Insert: DEFINITIONS FOR

DEPARTMENT OF EDUCATION SUPPLEMENTAL INFORMATION FOR SF 424

Page 1

Insert: DEFINITIONS FOR

DEPARTMENT OF EDUCATION SUPPLEMENTAL INFORMATION FOR SF 424

Page 2

Insert: DEFINITIONS FOR

DEPARTMENT OF EDUCATION SUPPLEMENTAL INFORMATION FOR SF 424

Page 3

Insert: INSTRUCTIONS FOR COMPLETION OF SF-LLL,

DISCLOSURE OF LOBBYING ACTIVITIES

Insert: Survey Instructions on

Ensuring Equal Opportunity for Applicants

PROGRAM SPECIFIC FORM INSTRUCTIONS

GAANN Statutory Assurances Form Instructions

This document is available under the “Forms” section at the end of the application package.

1. The GAANN Statutory Assurances Form must be signed and dated by the Authorized (Certifying) Official.

Attention:**Special Instructions for attaching the Statutory Assurances**

Applicants should copy and paste the form and save the document as a .PDF (Portable Document) file only. DO NOT MODIFY OR CHANGE THE CONTENTS IN ANY WAY.

The applicant must attach the signed document to the “Other Attachments Form” in the Grants.gov system.

PROGRAM SPECIFIC FORM INSTRUCTIONS

GAANN Budget Spreadsheet(s) Form Instructions

This document is available under the “Forms” section at the end of the application package.

Attention:

**Special Instructions for attaching GAANN Budget Spreadsheet(s) Form**

Formatting Requirements

Applicants should copy and paste the spreadsheet save the document as a .PDF (Portable Document) file only in landscape format. DO NOT MODIFY OR CHANGE THE CONTENTS IN ANY WAY.

Once the spreadsheet(s) has been completed, the applicant must attach the document to the “Other Attachments Form” in the Grants.gov system.

Note: The Budget Spreadsheet(s) Form is attached SEPARATELY from the budget narrative, which is attached as part of the Project Narrative.

General Instructions

Prepare Budget Information forms for all years of your proposed project.

Single discipline or Inter-disciplinary applicants need only complete Sections A and B.

Inter-disciplinary applicants must fill in Box 1 of Section A with the Classification of Instructional Programs code for each academic field of study within that Inter-disciplinary program.

Multi-disciplinary applicants are those requesting funding for two or more academic departments in the areas of national need designated as priorities by the Secretary must complete Sections A and B for each discipline for which support is requested. Multi-disciplinary applicants must also provide summery data in Sections C and D.

PROGRAM SPECIFIC FORM INSTRUCTIONS

Note: The program regulations, Sec. 648.5(b), state that in any fiscal year, no academic department may receive more than $750,000 as an aggregate total of new and continuing grants.

Section A: Fellowship Data for Each Discipline

Complete this section for each discipline or area proposed for your fellowship project.

1. Discipline and CIP code. Enter the national need priority area or discipline and the Classification of Instructional Programs (CIP) code listed in the program regulations. List only one discipline or area and one CIP code.

Note: If an applicant is requesting support for an inter-disciplinary program, the applicant must list the CIP code for each academic field of study within that inter-disciplinary program under Box 1 of Section A.

If an applicant is requesting support for multi-disciplinary programs (two or more academic departments in areas of national need designated as priorities by the Secretary) a separate form (Section A and B) must be completed for each discipline or area.

2. Number of fellowships from Federal funds. Enter the number of fellowships to be supported from Federal funds.

3. Additional fellowships from institutional matching contributions. Enter the number of additional fellowships that will be supported from institutional matching contributions.

Section B: Federal Funds Requested and Required Institutional Matching Contribution

Note: Institutional matching contributions must be an amount equal to at least 25 percent of the Federal funds requested each budget period.

Stipends. Enter the dollar amounts of requested Federal funds and non-Federal contributions (institutional matching) for each year of the proposed project. Sum the totals for all the years of the proposed project. Estimate a stipend of $XX,XXX per GAANN fellow for each academic year.

5. Institutional payment. Enter the Federal funds for the institutional payment for each year of the proposed project. Sum the total for all the years of the proposed project. Estimate an institutional payment of $XX,XXX per GAANN fellow for each academic year.

6 - 8. Tuition, fees, and other educational costs. Enter the amounts of tuition, fees, and other educational costs to be contributed from institutional matching (non-Federal) funds for each year of the proposed project. Sum the totals for all the years of the proposed project.

PROGRAM SPECIFIC FORM INSTRUCTIONS

9. Total. Sum the Federal funds requested and the institutional matching funds to be contributed for each year of the proposed project. Sum the totals for all the years of the proposed project. Total Federal funds requested must not be less than $100,000 nor greater than $750,000 in any fiscal year,

see Program Regulation Sec. 648.5(a) and (b). Institutional matching contributions must be an amount equal to at least 25 percent of the Federal funds requested each budget period.

10. Total program funds. Enter the total of Federal and institutional (non-Federal) matching funds for each year of the proposed project. Sum the totals for all the years of the proposed project.

Section C: Fellowship Data Summary for Two or More Disciplines

Note: This section applies only to Multi-disciplinary applicants

1. Disciplines and CIP codes. Enter the Classification of Instructional Programs (CIP) codes for each academic department included in the application. The data entered must be consistent with entries in all the Section A and B forms completed for each single discipline.

2. Total number of fellowships from Federal funds. Enter the total number of fellowships for each academic department to be supported from Federal funds.

3. Total additional fellowships from institutional matching contributions. Enter the total number of additional fellowships that will be supported by institutional matching contributions.

Section D: Summary of Federal Funds Requested and Required Institutional Matching Contributions

Note: This section applies only to Multi-disciplinary applicants

Use this section to summarize all requested allowable costs for all disciplines for all the years of the proposed project. Sum all totals. See the instructions for Section C.

APPLICATION CHECKLIST

Before you submit the application package, please review the following list to ensure that you have attached all required materials/files in the prescribed format.

Part I: Application for Federal Assistance (SF 424)

Department of Education Supplemental Information for SF 424

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 attachment forms listed below.

Part II: ED Abstract Form

Attach Abstract to the “Ed Abstract Form” in Grants.gov.

Project Narrative Attachment Form

Attach Table of contents (optional), and responses to selection criteria.

Other Attachments Form

Curriculum Vitae (CV) - no more than two (2) pages per faculty member (All CV’s must be attached together in one document);
Course listing;
Letters of support;
Bibliography; and
One additional optional appendix relevant to the support of the proposal, not to exceed five (5) pages.

GAANN Program Specific Forms:

GAANN Statutory Assurances
GAANN Budget Spreadsheet(s) Form

Part III: Assurances and Certifications

All “Assurances, Certifications, and Survey Forms” must be completed.

ED GEPA 427 Form
Certification Regarding Lobbying
Assurances for Non-Construction Programs (SF 424B)
Disclosure of Lobbying Activities (SF-LLL)
Survey on Ensuring Equal Opportunity for Applicants

New Grants.gov Upload Requirements:

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 41.33 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 benefit under 20 U.S.C. 1135, 34 CFR Sections 648.20, 648.31 and 648.66. 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, DC 20210-4537 or email [email protected] and reference the OMB Control Number 1840-0604. Note: Please do not return the completed application package to this address.

Insert: SF 424

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Insert: SF 424

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Insert: SF 424

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Insert: SF 424

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Insert: SUPPLEMENTAL INFORMATION

REQUIRED FOR

DEPARTMENT OF EDUCATION

Insert: ASSURANCES - NON-CONSTRUCTION PROGRAMS

Page 1

Insert: ASSURANCES - NON-CONSTRUCTION PROGRAMS

Page 2

Insert: CERTIFICATION REGARDING LOBBYING

Insert: Disclosure of Lobbying Activities

Insert: Survey on Ensuring Equal Opportunity for Applicants

PROGRAM SPECIFIC FORM

GRADUATE ASSISTANCE IN AREAS OF NATIONAL NEED PROGRAM

STATUTORY ASSURANCES

NOTE: Do not modify or amend this page. Copy, save and attach to the “Other Attachments Form.”

This form must be signed by the official who has authority to commit the organization to accept Federal funds and submitted with the application.

1. From the funds received under this program, the applicant will make commitments to graduate students at any point of their graduate study to provide stipends for the length of time necessary for the student to complete the course of graduate study, but in no case longer than five years. No such commitments will be made to students under this program unless the applicant has determined that adequate funds are available to fulfill the commitment from either funds received or anticipated under this program, or from institutional funds. In the event that funds made available to the academic department under the program are insufficient to provide the assistance due a student under the commitment entered into between the academic department and the student, the academic department will endeavor, from any funds available to it, to fulfill the commitment to the student.

2. For a fellowship initially awarded for the academic year 1998-99, or any succeeding academic year, the applicant will ensure that a stipend paid a fellow will be at a level of support equal to that provided by the National Science Foundation graduate fellowships, as of February 1, XXXX, except that such amounts shall be adjusted as necessary so as not to exceed the fellow's demonstrated level of financial need.

3. The applicant will ensure that no student shall receive an award except during periods in which such student is maintaining satisfactory progress in, and devoting essentially full time to, study or research in the field in which such fellowship was awarded, or if the student is engaging in gainful employment other than part-time employment involved in teaching, research, or similar activities determined by the institution to be in support of the student's progress toward a degree.

4. The applicant will ensure that it will provide, from other non-Federal funds, for the purposes of the fellowship program under this part an amount equal to at least 25 percent of the amount of the grant received under this part.

5. The applicant will ensure that Federal funds or institutional matching contribution made available under this part for any fiscal year will be used to supplement and, to the extent practical, increase the funds that would otherwise be made available for the purpose of this part and in no case to supplant those funds.

6. The applicant will ensure that the academic department will provide at least one year of supervised training in instruction in accordance with §648.61 of the program regulations.

Signature of Authorized Certifying Official Date

Form Approved
OMB No: 1840-0604
Exp. XX/XX/XXXX

GRADUATE ASSISTANCE IN AREAS OF NATIONAL NEED (GAANN) FELLOWSHIP PROGRAM

PART II.- BUDGET INFORMATION

SECTION A: FELLOWSHIP DATA FOR EACH SINGLE DISCIPLINE

Discipline:
CIP Code:

2. Number of fellowships from Federal funds

3. Additional fellowships from institutional matching contributions

SECTION B: FEDERAL FUNDS REQUESTED AND REQUIRED INSTITUTIONAL MATCHING CONTRIBUTIONS
	1st Year		2nd Year		3rd Year		Total
Allowable Cost Categories	Federal	Non-Federal	Federal	Non-Federal	Federal	Non-Federal	Federal	Non-Federal
4. Stipends	$	$	$	$	$	$	$	$
5. Institutional Payment	$		$		$		$
6. Tuition		$		$		$		$
7. Fees		$		$		$		$
8. Other Educational Costs		$		$		$		$
9. Total	$	$	$	$	$	$	$	$
10. Total Program Funds (Federal + Non-Federal)	$		$		$		$
Note: Please refer to 34 CFR Part 648 Subpart F--What are the Administrative Responsibilities of the Institution for budget information. (Federal funds remaining at the end of the current budget period will be carried over into the next budget period. The total amount of the next budget period may be reduced by the amount carried over). NOTE: DO NOT MODIFY OR AMEND THIS PAGE. COPY, SAVE AND ATTACH TO THE “Other Attachments Form”.

Form Approved
OMB No: 1840-0604
Exp. XX/XX/XXXX

GRADUATE ASSISTANCE IN AREAS OF NATIONAL NEED (GAANN) FELLOWSHIP PROGRAM

FELLOWSHIP DATA SUMMARY FOR TWO OR MORE DISCIPLINES

SECTION C: FELLOWSHIP DATA FOR ONE OR MORE DISCIPLINES

1. Disciplines:
CIP Codes:

2. Total number of fellowships from Federal funds

3. Total additional fellowships from institutional matching contributions

SECTION D: SUMMARY OF FEDERAL FUNDS REQUESTED AND REQUIRED INSTITUTIONAL MATCHING CONTRIBUTIONS
	1st Year		2nd Year		3rd Year		Total
Allowable Cost Categories	Federal	Non-Federal	Federal	Non-Federal	Federal	Non-Federal	Federal	Non-Federal
4. Stipends	$	$	$	$	$	$	$	$
5. Institutional Payment	$		$		$		$
6. Tuition		$		$		$		$
7. Fees		$		$		$		$
8. Other Educational Costs		$		$		$		$
9. Total	$	$	$	$	$	$	$	$
10. Total Program Funds (Federal + Non-Federal)	$		$		$		$
NOTE: DO NOT MODIFY OR AMEND THIS PAGE. COPY, SAVE AND ATTACH TO THE “Other Attachments Form”

File Type	application/vnd.openxmlformats-officedocument.wordprocessingml.document
Author	Authorised User
File Modified	0000-00-00
File Created	2021-02-01

Graduate Assistance in Areas of National Need Applicatio

Application Package for the Graduate Assistance in Areas of National Need (GAANN) Program (1890-0001)

GAANN FY 2012 Application Package

GANN Application Package: Public Universities

OMB: 1840-0604

Form Approved

OMB No. 1840-0604, Expiration Date XX/XX/XX

Submission Problems – What should you do?

Helpful Hints When Working with Grants.gov

Dial-Up Internet Connections

MAC Users

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.

Applications Submitted Electronically

IMPROVEMENT PROGRAMS

Subpart 2 – Graduate Assistance in Areas of National Need

TITLE VII--GRADUATE AND POSTSECONDARY IMPROVEMENT PROGRAMS

IMPROVEMENT PROGRAMS

Subpart 2 – Graduate Assistance in Areas of National Need

PROGRAM REGULATIONS

TITLE 34--EDUCATION

DEPARTMENT OF EDUCATION

Subpart A--General

Sec. 648.2 Who is eligible for a grant?

Sec. 648.4 What is included in the grant?

Subpart D--How Are Fellows Selected?

Appendix to Part 648--Academic Areas

INSTRUCTIONS FOR

COMPLETING THE

GAANN

APPLICATION PACKAGE

Application for Federal Education assistance (SF 424 Form) Instructions