Foundations for Learning Grants Program

Promotion of School Readiness through Early Childhood Emotional,

Behavioral and Social Development
CFDA #84.215H

Information and Application Procedures for Fiscal-Year 2007

Application Deadline: April 13, 2007

U.S. Department of Education

Office of Safe and Drug-Free Schools

OMB No. 1890-0009 Expiration Date: 06/30/2008

 UNITED STATES DEPARTMENT OF EDUCATION
OFFICE OF SAFE AND DRUG-FREE SCHOOLS

ASSISTANT DEPUTY SECRETARY

Dear Colleague:

Thank you for your interest in the Foundations for Learning Grants Program
(CFDA 84.215H) administered by the U.S. Department of Education’s Office of
Safe and Drug-Free Schools.

This program is authorized by the Elementary and Secondary Education Act

(ESEA) as amended by the No Child Left Behind Act (NCLB) of 2001. NCLB
represents the President’s education reform plan and contains four basic principles:
stronger accountability for results, increased flexibility and local control, expanded
options for parents, and an emphasis on teaching methods and other strategies that
have been proven to work.

The Foundations for Learning Program supports the President’s vision by helping
young children to become ready for school through early childhood social
emotional, and behavioral development. We encourage you to consider the four
important principles embodied in the NCLB as you develop your application.

We look forward to receiving your application for support under the Foundations
for Learning Program.

Sincerely,

Deborah A. Price

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 TABLE OF CONTENTS

I. APPLICATION SUBMISSION PROCEDURES ...................................................................7

Application Transmittal Instructions
Grants.gov Submission Procedures and Tips for Applicants

II. PROGRAM BACKGROUND INFORMATION ................................................................12

General Information
The Government Performance and Results Act (GPRA)
Tips for Preparing and Submitting an Application
General Information Regarding The Foundations For Learning Program
Funding Priority
Selection Criteria
Frequently Asked Questions

III. LEGAL AND REGULATORY DOCUMENTS.................................................................28

Notice Inviting Applications
Authorizing Legislation – No Child Left Behind Act of 2001

IV. GENERAL APPLICATION INSTRUCTIONS AND INFORMATION ........................40

Preparing the Application
Organizing the Application
Standard Forms and Instructions
Intergovernmental Review of Federal Programs
General Education Provisions Act (GEPA) Section 427
Application Preparation Checklist

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 I. APPLICATION SUBMISSION PROCEDURES

Application Transmittal Instructions

Applications for grants under this grant competition may be submitted electronically or in paper format
by mail or hand delivery. The electronic submission of applications is voluntary. However, if you choose
to submit your application electronically you must use the site listed below. Note: You may not submit
your application by e-mail or facsimile.

Attention Electronic Applicants: Please note that you must follow the application procedures as
described in the Notice Inviting Applications for this grant competition, published in the Federal Register
on February 20, 2007. Some programs may require electronic submission of applications, and those
programs will have specific requirements and waiver instructions in the Federal Register notice.

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 (www.grants.gov) by 4:30 p.m. (Washington, DC time) on 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 on February 20, 2007, the Grants.gov Submission Procedures and Tips
document on pages 9-11 of this application package, and the Grants.gov Web site (www.grants.gov).

You may access the electronic application for the Foundations for Learning Grants Program at the
following Web sites: www.grants.gov or www.ed.gov/programs/learningfoundations/index.html .

Applications Sent by Mail

You must mail the original and two copies of the application on or before the deadline date. To
help expedite our review of your application, we would appreciate your voluntarily including an
additional copy of your application. Please mail copies to: U.S. Department of Education,
Application Control Center, Attention: CFDA # 84.215H, 400 Maryland Avenue, SW,
Washington, DC 20202 – 4260.

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

(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.

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

(1) A private metered postmark.

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

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.

Applications Delivered by Commercial Carrier

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

Applications that are delivered by commercial carrier, such as Federal Express or United Parcel
Service should be mailed to: U.S. Department of Education, Application Control Center – Stop
4260, Attention: CFDA #84.215H, 7100 Old Landover Road, Landover, MD 20785-1506.

Applications Delivered by Hand

You or your courier must hand deliver the original and two copies of your application by 4:30
p.m. (Washington, DC time) on or before the deadline date. To help expedite our review of your
application, we would appreciate your voluntarily including an additional copy of your
application. Please hand deliver copies to: U.S. Department of Education, Application Control
Center, Attention: CFDA #84.215H, 550 12th Street, SW, PCP – Room 7041, Washington, DC
20202-4260. The Application Control Center accepts application deliveries daily between 8:00
a.m. and 4:30 p.m. (Washington, DC time), except Saturdays, Sundays, and federal holidays.

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 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.

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

2. Submit Early – We strongly recommend that you do not wait until the last day to submit
your application. Grants.gov will put a date and 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 pm on the deadline date. Note: To submit
successfully, you must provide the D-U-N-S number on your application that was used
when your organization registered with the CCR.

3. Verify Submission is OK – You will want to verify that Grants.gov and the Department
of Education received your Grants.gov submission timely and that it was validated
successfully. To see the date and time your application was received, log in to Grants.gov
and click on the Track My Application link. For a successful submission, the date and
time received should be earlier than 4:30 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 and time received is later than 4:30 p.m. (Washington, D.C. time) on the
closing 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
(www.grants.gov/help/submit_application_faqs.jsp#10). For more detailed information
on why an application may be rejected, please review the Application Error Tips
document (www.grants.gov/section910/ApplicationErrorTips.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.

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 Submission Problems – What should you do?

If you have problems submitting to Grants.gov before the deadline date, contact Grants.gov
Customer Support at 800/518-4726 or use the customer support available on the Web site
(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 p.m.
(Washington, DC time), 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 that 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 upload and submit the
application. You must provide on your application the D-U-N-S number that was used when
your organization registered with the CCR.

Please go to 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 Grants.gov (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
If you do not have a Windows operating system, you will need to use the Citrix solution
discussed on Grants.gov or a Windows Emulation program to submit an application using
Grants.gov. For additional information, review the FAQs for non-Windows users
(www.grants.gov/resources/download_software.jsp#non_window). To view the white paper for

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Macintosh users published by Pure Edge, go to
www.grants.gov/section678/PureEdgeSupportforMacintosh.pdf or contact Grants.gov Customer
Support (www.grants.gov/contactus/contactus.jsp) for more information. If electronic
submission is required and you are concerned about your ability to submit electronically as a
non-Windows user, please follow 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.

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 II. PROGRAM BACKGROUND INFORMATION

General Information

ELIGIBILITY

Eligible applicants under this competition are local educational agencies (LEAs); local councils;
community-based organizations (CBOs), including faith-based organizations, provided that they
meet the applicable statutory and regulatory requirements; other public and nonprofit private
entities; or a combination of such entities.

AUTHORITY

This grant program is authorized under Title V, Part D, Subpart 14, Section 5542 of the
Elementary and Secondary Education Act of 1965, as amended by the No Child Left Behind Act
of 2001 (Public Law 107-110).

NOTE TO APPLICANTS

The official documents governing this competition are the Notice Inviting Applications and the
T

Correction Notice published in the Federal Register (See Section III [Legal and Regulatory
Documents] of this application package). These notices also are available electronically at the
following Web sites: www.ed.gov/legislation/FedRegister and www.gpoaccess.gov/nara.

NOTICE OF NONDISCRIMINATION
All applicants under this grant competition should familiarize themselves with all federal statutes
related to nondiscrimination, as outlined in Item 6 of Standard Form 424B, to ensure that their
proposed activities are compliant. For instance, an applicant may determine through a needs
assessment that first-year students are the specific student population identified for services
provided under this grant. Subsequently, the applicant must ensure that neither male nor female
first-year students are excluded on the basis of sex. In this example, the applicant would need to
be in compliance with Title IX of the Education Amendments of 1972, as amended (20 U.S.C.
subsections 1681-1683, and 1685-1686), which prohibits discrimination on the basis of sex.

RESOURCES

Any questions related to the requirements of this grant competition should be directed to Earl
Myers, Jr. of the Office of Safe and Drug-Free Schools (OSDFS) at 202/708-8846. The OSDFS
Web site is located at www.ed.gov/osdfs.

GRANT AWARDS AND PROJECT PERIOD

The project period for this grant is 18 months. Applicants must submit an ED Form 524 and a
detailed budget narrative that covers the entire 18-month period. We intend the project and
budget periods for projects funded under this grant competition to be June 12, 2007 – December
11, 2008. However, awards may be made as late as September 30, 2007. No continuation

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awards will be provided for projects funded under this competition. The Department estimates
making up to 4 new awards under this competition. We estimate that projects will be funded for
approximately $200,000 to $300,000, depending upon the scope of work. These figures are only
estimates and do not bind the Department of Education to a specific number of grants or amount
of any grant.

APPLICATION REQUIREMENTS

Applications submitted under this program must include the following:

1. A description of the population that the applicant intends to serve and the types of
services to be provided under the grant;

2. A description of the manner in which services under the grant will be coordinated with
existing similar services provided by public and nonprofit private entities within the
State; and

3. An assurance that--
• services under the grant will be provided by or under the supervision of qualified
professionals with expertise in early childhood development;
• these services will be culturally competent;
• these services shall will be provided in accordance with the permissible uses of
funds as described elsewhere in this notice;
• funds will be used to supplement, and not supplant, non-Federal funds; and
• parents of students participating in services will be involved in the design and
implementation of the services.

LIMITATIONS

• Grant funds may be used only to pay for services that cannot be paid for using other
Federal, State, or local public resources or through private insurance.
• A grantee may not use more than 3 percent of the amount of the grant to pay the expenses
of administering the authorized activities, including assessment of children’s eligibility
for services.

PARTICIPATION OF FAITH-BASED ORGANIZATIONS

Faith-based organizations are eligible to apply for grants under this competition provided they
meet all statutory and regulatory requirements.

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DEFINITIONS

(1) The term “eligible child” means a child who has not attained the age of 7 years, and to whom
two or more of the following characteristics apply:

ƒ The child has been abused, maltreated, or neglected.

ƒ The child has been exposed to violence
ƒ The child has been homeless.
ƒ The child has been removed from childcare, Head Start, or preschool for behavioral
reasons or is at risk of being so removed.
ƒ The child has been exposed to parental depression or other mental illness.
ƒ The family income with respect to the child is below 200 percent of the poverty line.
ƒ The child has been exposed to parental substance abuse.
ƒ The child has had early behavioral and peer relationship problems.
ƒ The child had a low birth weight.
ƒ The child has a cognitive deficit or development disability.

(2) The term “parent” includes a legal guardian or other person standing in loco parentis (such as
a grandparent or stepparent with whom the child lives, or a person who is legally responsible for
the child’s welfare).

(3) The term “local council” means a council that is established or designated by a local
government entity, Indian tribe, regional corporation, or native Hawaiian entity, as
appropriate, which is composed of representatives of local agencies directly affected by early
learning programs, parents, key community leaders, and other individuals concerned with early
learning issues in the locality, such as elementary education, child care resource and referral
services, early learning opportunities, child care, and health services.

(4) The term “local educational agency” (LEA) means:

• A public board of education or other public authority legally constituted within a

State for either administrative control or direction of, or to perform a service
function for, public elementary or secondary schools in a city, county, township,
school district, or other political subdivision of a State, or for such a combination
of school districts or counties that is recognized in a State as an administrative
agency for its public elementary or secondary schools.

• The term includes any other public institution or agency having administrative
control and direction of a public elementary or secondary school.

• The term includes an elementary or secondary school funded by the Bureau of

Indian Affairs but only to the extent that including the school makes the school
eligible for programs for which specific eligibility is not provided to such school
in another provision of law and the school does not have a student population that
is smaller than the student population of the local educational agency receiving
assistance under the Elementary and Secondary Education Act with the smallest

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 student population, except that the school shall not be subject to the jurisdiction of
any State educational agency other than the Bureau of Indian Affairs [20 U.S.C.
8011 (18)].

• The term includes educational service agencies and consortia of those agencies.

• The term includes the State educational agency in a State in which the State is the
sole educational agency for all public schools.

(5) The term “non-profit” refers to an agency, organization, or institution, that is owned and
operated by one or more corporations or associations whose net earnings do not benefit, and
cannot lawfully benefit, any private shareholder or entity.

(6) The term “community-based organization” means a public or private nonprofit organization
of demonstrated effectiveness that is representative of a community or significant segments of a
community and provides educational or related services to individuals in the community.

TRAVEL BUDGET

Applicants must budget for the project director to attend a project director’s meeting (two days)
during the first year and attendance by the project director and at least one additional staff
member to attend the OSDFS National Conference (three days). These meetings will usually be
held in Washington, DC. For planning purposes, applicants should include funds for
transportation, lodging and per diem costs.

E-MAIL ADDRESSES

As part of our review of your application, we may need to contact you with questions for
clarification. Please be sure your application contains valid e-mail addresses for the project
director and authorized representative or another party designated to answer questions in the
event the project director and authorized representative are unavailable.

REVIEW OF APPLICATIONS AND NOTIFICATION OF AWARD

The review of applications and notification of awards for this grant competition requires
approximately 6 to 8 weeks. We expect to notify successful applicants by early June 2007.
Unsuccessful applicants will be notified within 60 days of the award start date.

HUMAN SUBJECTS RESEARCH

Please see Item 3 of the instructions for Supplemental Information for Standard Form 424 in
Section IV of this application package. Projects funded under this grant program may be subject
to protection of human subjects research requirements. If you have any questions about your
responsibilities under these requirements, please contact ED’s protection of human subjects
coordinator at 202/245-6153.

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THE U.S. DEPARTMENT OF EDUCATION’S (ED) EXPECTATIONS

By submitting an application for this program, applicants agree to fully cooperate with any
evaluation efforts conducted by ED and its contractors. At a minimum, grantees are expected to:
maintain records on how their program is operating; maintain records on the extent to which
their program objectives are being met; include specific performance measures in their
evaluation plan; and make ongoing project information, findings, and products available to
ensure the dissemination of knowledge gained from this effort during the grant period.

The Government Performance and Results Act (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.

We have identified the following key GPRA performance measures for assessing the
effectiveness of this program at the end of these 18 month grants:

1. The percentage of eligible children served by the grant attaining measurable gains in
emotional, behavioral, and social development will increase; and)

2. The percentage of eligible children and their families served by the grant receiving
individualized support from child-serving agencies or organizations will increase.

Grantees will be expected to collect data on the performance measure above that applies to their
project, and report that data to the Department in their annual performance report and final
performance report (www.ed.gov/fund/grant/apply/appforms/ed524b_coverfill.pdf and
www.ed.gov/fund/grant/apply/appforms/ed524b_statusfill.pdf).

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 Tips for Preparing and Submitting an Application

A. Before You Begin

¾ Read this application package carefully and make sure you follow all of the instructions.
¾ Use the tools we have provided to help you including:
9 Frequently Asked Questions section in this application package
9 Resources related to this specific grant competition on our Web site at
www.ed.gov/programs/learningfoundations/index.html
9 General grant application technical assistance resources on our Web site at
www.ed.gov/admins/grants/apply/techassist/index.html
¾ If there is information that you do not understand, contact the competition manager for
this grant competition.

B. Preparing Your Application

¾ Be thorough in your program description. Write so that someone who knows nothing
about your organization or your program plan can understand what you are proposing.
¾ Organize your application according to the selection criteria and respond
comprehensively.
¾ Make sure your budget narrative provides enough detail about planned expenditures so
ED staff can easily determine how the funds will be spent.
¾ Link your planned expenditures to the goals and objectives of your program. Do not
request funds for miscellaneous purposes and make sure you demonstrate that your
proposed expenditures are necessary to carry out your program.

C. Submitting Your Application

¾ Use the checklist provided in this application package to ensure your application is
complete before submitting it.
¾ Make sure all required forms are included and signed by an authorized representative of
your organization.
¾ Transmit your application by the deadline date. If you submit your application
electronically, you must use the Grants.gov Web site. If you use the U.S. Postal Service,
make sure you have a legible postmark date. If you use an overnight carrier, get a receipt.

D. What Happens Next?

¾ In approximately two weeks (depending on the volume of applications we receive), you

should receive a postcard from ED’s Application Control Center acknowledging receipt
of your application and giving you its assigned number. Please refer to this number if you
need to contact us about your application.
¾ OSDFS staff members screen each application to ensure that all program eligibility
requirements are met and all forms are included.
¾ Your application will be assigned to a three-person panel of independent reviewers and
will receive a score from 0 to 100 depending how well it addresses the selection criteria.

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¾ A Grant Award Notification will be sent to applicants whose proposals score within the
funding range. Unsuccessful applicants will receive a notification letter. All applicants
will receive information on how to get access to peer reviewers’ comments. Please be
sure your application contains valid e-mail addresses.

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 General Information Regarding The Foundations for Learning Program
Success in school is often subject to a child’s ability to recognize and regulate his or her own
emotions and behavior. This self-discipline allows children to develop self-direction, resolve
conflict with peers, and cooperate with others. Studies have shown that a number of risk factors,
such as poverty, parental depression and substance abuse, abuse and neglect, homelessness, low
birth weight, and other medical causes may affect a child’s readiness for school. When more
than one of these risk factors is present, the probability of early school failure increases.

According to information provided in Section 2 of the Foundations for Learning Act as

introduced by the 107th Congress in 2001, kindergarten teachers are reporting an increase in the
number of children unprepared to cope with the demands of school not because of academic
capability, but the lack of social skills and emotional self-regulation necessary to succeed. In
Rimm-Kaufman Pianta and Cox (2000), 46 percent of kindergarten teachers reported that at least
half of their class had difficulty following direction, 34 percent reported that half of the class or
more had difficulty working as part of a group, and 20 percent said that at least half of the class
had problems with social skills. 1 However, through early interventions, children can gain skills
that may result in later savings in public expenditures for special education, income support, and
criminal justice. Early interventions may also increase the likelihood children will follow a more
favorable developmental and academic path.

Head Start programs and other childcare providers can also help to shape a child’s emotional and
social development. In a recent study entitled Neurons to Neighborhoods, conducted by the
Board on Children, Youth, and Families of the Institute of Medicine, it was determined that more
than 32 percent of all young children are affected by at least one risk factor such as low income,
low maternal education, or single-parent status, and 16 percent are in families with two or more
socio-demographic risks. Teachers and child care providers are likely to find that, while some
children do very well despite exposure to these risks, other children struggle with a range of
emotional and behavioral difficulties that make the tasks of teaching and care giving very
difficult. Therefore, childcare and early childhood education providers need to promote social
skills for children in order to reduce challenging behavior in the classroom and facilitate a
positive learning climate. 2

Parents are likely to be the most influential adults in their children’s lives and are responsible for
promoting their children’s healthy development. Research demonstrates that a child’s
development is deeply influenced by the relationships with parents, the behavior of parents, and
the environment in the home. A report published by the National Center for Children in Poverty
indicates that parents can become more effective in encouraging healthy emotional development
in their young children once their own barriers such as poor parenting practices, substance abuse,
domestic violence, depression, inappropriate expectations about child development, and other
stressors have been addressed. 3

Programs that prepare children for school should also be sensitive and responsive to their cultural
diversity. The National Center for Children in Poverty explains that those who provide services
and supports to young children and families have a special obligation to be responsive to ethnic

16
and cultural strengths and customs and to facilitate understanding among different ethnic and
cultural groups.3

For children to succeed in the transition to school, they must be able to: accurately identify
emotions in themselves and others, relate to teachers and peers in positive ways, manage feelings
of anger, frustration, and distress when faced with emotionally charged situations, enjoy
academic learning and approach it enthusiastically, and work attentively, independently, and
cooperatively in a structured classroom environment.4 The Foundations for Learning Grant
program will support projects that help children become ready for school. Grants under the
program will focus on a child’s emotional, social, and behavioral development and will
coordinate with services through community resources for individualized support to children and
their families.
____________________________

¹ Rimm-Kauffman, S., Pianta, R., & Cox, M. (2000), Teachers’ Judgments of Problems in the Transition
to Kindergarten, Early Childhood Research Quarterly, 15 (2), 147-166.

2, 4 Knitzer,
J. (2002). Ready to Enter (What Research Tells Policymakers About Strategies to Promote
Social and Emotional School Readiness Among Three- and Four-Year-Old Children), New York, NY.
National Center for Children in Poverty, Columbia University Mailman school of Public Health.

3 Knitzer,
J. (2001). Building Services and Systems to Support the Healthy Emotional Development of
Young Children (Promoting the Emotional Well-being of Children and Families Policy Paper No. 1).
New York, NY: National Center for Children in Poverty, Columbia University Mailman School of Public
Health.

17
 Funding Priority
In accordance with 34 CFR 75.105 (b)(2)(iv), this priority is from section 5542 of the
Elementary and Secondary Education Act of 1965, as amended by the No Child Left Behind Act
of 2001, 20 U.S.C. 7269a (ESEA).

Absolute Priority
For FY 2005 and any subsequent year in which we make awards on the basis of the list of
unfunded applications from this competition, this priority is an absolute priority. Under 34 CFR
75.105(c)(3) we consider only applications that meet this priority. This priority is: Grants to
local educational agencies, local councils, community-based organizations, including faith-based
organizations, and other public and nonprofit private entities, or a combination of such entities,
to assist eligible children to become ready for school.

To be eligible for funding, a project must propose one or more of the following:

1. To deliver services to eligible children and their families that foster eligible children’s
emotional, behavioral, and social development;

2. To coordinate and facilitate access by eligible children and their families to the services
available through community resources, including mental health, physical health,
substance abuse, educational, domestic violence prevention, child welfare, and social
services;

3. To provide ancillary services such as transportation or child care in order to facilitate the
delivery of any other authorized services or activities;

4. To develop or enhance early childhood community partnerships and build toward a

community system of care that brings together child-serving agencies or organizations to
provide individualized supports for eligible children and their families;

5. To evaluate the success of strategies and services provided pursuant to the grant in
promoting young children’s successful entry to school and to maintain data systems
required for effective evaluations; and

6. To pay for the expenses of administering the grant activities, including assessment of
children’s eligibility for services.

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APPLICATION REQUIREMENTS

Applications submitted under this program must include the following:

1. A description of the population that the applicant intends to serve and the types of
services to be provided under the grant;

2. A description of the manner in which services under the grant will be coordinated with
existing similar services provided by public and nonprofit private entities within the
State; and

3. An assurance that--
• services under the grant will be provided by or under the supervision of qualified
professionals with expertise in early childhood development;
• these services will be culturally competent;
• these services shall will be provided in accordance with the permissible uses of
funds as described elsewhere in this notice;
• funds will be used to supplement, and not supplant, non-Federal funds; and
• parents of students participating in services will be involved in the design and
implementation of the services.

Selection Criteria
The following selection criteria will be used to evaluate applications. For ease of reading by the
reviewers, applicants should develop their narrative description to follow the sequence of criteria
provided below. The maximum number of possible points for all selection criteria is 100. Note:
The criteria contain weighted subcriteria. Applicants must address each subcriterion to qualify
for the maximum number of points for each criterion.

1) Significance - 15 points
2) Quality of the Project Design - 35 points
3) Quality of the Project Services - 30 points
4) Quality of the Management Plan - 5 points
5) Quality of the Project Evaluation - 15 points

1. Significance (15 points)

A. The extent to which the proposed project is likely to build local capacity to provide, improve, or
expand services that address the needs of the target population. (15 points)

In your proposal, reviewers will look at the quality and feasibility of the applicant’s plan to
develop or enhance early childhood community partnerships in order to build a community
system of care.

19
 2. Quality of the Project Design (35 points)

A. The extent to which the design of the proposed project reflects up-to-date knowledge from research
and effective practice. (10 points)
B. The extent to which the proposed project encourages parental involvement. (10 points)
C. The extent to which the proposed project is designed to build capacity and yield results that will
extend beyond the period of Federal financial assistance. (15 points)

In your proposal, reviewers will look at the quality of the applicant’s plan to comprehensively
address the emotional, behavioral, and social development of eligible children.

3. Quality of the Project Services (30 points)

A. In determining the quality of services to be provided by the proposed project, the quality and
sufficiency of strategies for ensuring equal access and treatment for eligible project participants who
are members of groups that have traditionally been underrepresented based on race, color, national
origin, gender, age or disability. (5 points)
B. The likely impact of the services to be provided by the proposed project on the intended recipients or
those services. (10 points)
C. The extent to which the services to be provided by the proposed project involve the collaboration of
appropriate partners for maximizing the effectiveness of project services. (15 points)
In your proposal, reviewers will look for evidence that the applicant is likely to achieve success
with respect to performance measures for this program.

4. Quality of the Management Plan (5 points)

A. How the applicant will ensure that a diversity of perspectives are brought to bear in the operation of
the proposed project, including those of parents, teachers, the business community, a variety of
disciplinary and professional fields, recipients or beneficiaries of services, or others, as appropriate. (5
points)

In your proposal, reviewers will look at the applicant’s ability to coordinate existing similar
services.

5. Quality of the Project Evaluation (15 points)

A. The extent to which the methods of evaluation are thorough, feasible, and appropriate to the goals,
objectives, and outcomes of the proposed project. (5 points)
B. The extent to which the methods of evaluation include the use of objective performance measures that
are clearly related to the intended outcomes of the project and will produce quantitative and
qualitative data to the extent possible. (10 points)

In your proposal, reviewers will look at the quality of the applicant’s plan to provide (a) reliable
data that accurately measures changes in emotional, behavioral, and social development, and (b)
individualized services.

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 Frequently Asked Questions

What is the goal of this grant competition?

¾ The goal of this grant competition is to provide funds to support projects that assist eligible
children become ready for school.

Who is eligible to apply?

¾ Eligible applicants under this competition are local educational agencies (LEAs); local
councils; community-based organizations (CBOs), including faith-based organizations,
provided that they meet the applicable statutory and regulatory requirements; other public
and nonprofit private entities; or a combination of such entities.

What is the deadline date for applications under this grant competition?

¾ April 13, 2007.

May I get an extension of the deadline date?

¾ Waivers for individual applications failing to meet the deadline will not be granted,
regardless of the circumstances. Under very extraordinary circumstances the Department
may change the closing date for a grant competition. When this occurs, the Department
announces such a change in a notice published in the Federal Register.

How is the term “eligible child” defined?

¾ The term “eligible child” means a child who has not attained the age of 7 years, and to whom
two or more of the following characteristics apply:

ƒ The child has been abused, maltreated, or neglected.

ƒ The child has been exposed to violence
ƒ The child has been homeless.
ƒ The child has been removed from childcare, Head Start, or preschool for behavioral
reasons or is at risk of being so removed.
ƒ The child has been exposed to parental depression or other mental illness.
ƒ The family income with respect to the child is below 200 percent of the poverty line.
ƒ The child has been exposed to parental substance abuse.
ƒ The child has had early behavioral and peer relationship problems.
ƒ The child had a low birth weight.
ƒ The child has a cognitive deficit or development disability

What are the project and budget periods for these grants?

¾ The project period for this program is 18 months. No continuation awards will be provided.
A single budget should be submitted for the entire 18-month period.

21
How much money is available under this grant competition?

¾ The Administration has requested $982,000 for new awards under this program for FY 2007.
The actual level of funding, if any, depends on final congressional action. This figure is only
an estimate and does not bind the Department to any specific level of funding.

How many new awards will be made?

¾ It is estimated that 4 new awards will be made.

What is the average amount of each grant?

¾ Projects will be funded for approximately $200,000 to $300,000, depending upon the scope
of work. These figures are only estimates and do not bind the Department of Education to a
specific number of grants or amount of any grant.

Is there a matching requirement?

¾ No.

Is there a restricted indirect cost rate for this program?

¾ No. For this grant competition, you may charge indirect costs using the rate negotiated with
your cognizant federal agency (e.g., Department of Education, Department of Health and
Human Services, Department of the Interior). Individuals who apply for any grant
competition through the Department of Education are not allowed to budget for an indirect
cost rate.

You are encouraged to give priority to direct services to students by limiting the indirect
costs charged to the project. You will not be penalized for failure to reduce indirect costs nor
will you gain a competitive advantage if you do.

If you claim indirect costs in the budget for your proposed project and do not have a
negotiated rate with the federal government, you have 90 days from the time you transmit
your application to submit the necessary paperwork to the Department to receive a negotiated
indirect cost rate. For more information about indirect cost rates, please visit
www.ed.gov/about/offices/list/ocfo/intro.html.

Can grant funds be used to support professional development activities?

¾ Yes, as long as the activities directly support the purposes of the grant.

22
Are there guidelines for how much money can be spent on consultants? What is the daily limit
and is there a cap?

¾ There is no daily limit or cap for consultant fees. Information related to these fees should be
included on ED Form 524 under the Contractual budget category. Also, applicants should be
sure to fully substantiate all expenditures in the budget narrative.

May I use funds from this grant to provide meals for the children participating in the
program?

¾ No, funds may not be used to purchase food, provide incentives for participation, or purchase
any other item not directly related to the program.

What steps can I take to maximize my chances of receiving a grant?

¾ Before preparing your application, read the application package carefully and completely.

¾ Follow all of the instructions exactly.

¾ If you’re uncertain about any aspects of this application package, contact the competition
manager for clarification.

¾ Absolute priorities establish the parameters for applications under a grant competition. If
your application does not meet the absolute priority for this grant competition, it will not be
considered for funding.

¾ A panel of three persons will review your application. Be sure to organize your application
clearly, provide requested information in a comprehensive manner, and respond to each
selection criterion thoroughly. Reviewers are not allowed to give you “the benefit of the
doubt”; therefore, if it is not in your application, they cannot award points for it.

¾ Be sure that your application includes a budget request (ED Form 524) and a complete
narrative justification for the entire 18-month period.

¾ Be sure to mail in your application on or before the deadline date of April 13, 2007.

How does the Freedom of Information Act affect my application?

¾ The Freedom of Information Act (FOIA) provides that any person has the right to request
access to federal agency records or information. All U.S. Government agencies are required
to disclose records upon receiving a written request for them, except for those records that
are protected from disclosure by the nine exemptions listed in the FOIA. All applications
submitted for funding consideration under this grant competition are subject to the FOIA. To
read the text of the Freedom of Information Act, visit www.usdoj.gov/04foia/foiastat.htm.

23
Who do I contact for more information about this grant competition?

¾ Earl Myers, Jr., Education Program Specialist, U.S. Department of Education, 400 Maryland
Avenue, SW – Room 3E254, Washington, DC 20202-6450, Phone: 202/708-8846, Fax:
202/205-5722, E-mail: [email protected].

24
 III. LEGAL AND REGULATORY DOCUMENTS

Notice Inviting Applications

Federal Register Publication Date – February 20, 2007

4000-01-U
DEPARTMENT OF EDUCATION
Office of Safe and Drug-Free Schools

Overview Information
Foundations for Learning Grant Competition

Notice inviting applications for new awards for fiscal year (FY) 2007.

Catalog of Federal Domestic Assistance (CFDA) Number: 84.215H

Dates:
Applications Available: February 20, 2007.
Deadline for Transmittal of Applications: April 13, 2007.
Deadline for Intergovernmental Review: June 12, 2007.

Eligible Applicants: Local educational agencies (LEAs), local councils, community-based organizations,
provided that they meet the applicable statutory and regulatory requirements and other public and
nonprofit private entities, or a combination of such entities.

Estimated Available Funds: The Administration’s budget request for FY 2007 does not include funds for
this program. However, we are inviting applications to allow enough time to complete the grant process
before the end of the current fiscal year if Congress appropriates funds for this program. Contingent upon
the availability of funds and the quality of applications, we may make additional awards in FT 2008 and
subsequent years based on the list of unfunded applications from this competition.

Estimated Range of Awards: $200,000 - $300,000.

Estimated Average Size of Awards: $245,500.

Estimated Number of Awards: 4.

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

Project Period: Up to 18 months.

25
Full Text of Announcement
I. Funding Opportunity Description

Purpose of Program: This program supports projects to help eligible children become ready for school.

Priorities: In accordance with 34 CFR 75.105 (b)(2)(iv), this priority is from section 5542 of the
Elementary and Secondary Education Act of 1965, as amended by the No Child Left Behind Act of 2001,
20 U.S.C. 7269a (ESEA).

Absolute Priority: For FY 2007 and any subsequent year in which we make awards based on the list of
unfunded applications from this competition, this priority is an absolute priority. Under 34 CFR
75.105(c)(3) we consider only applications that meet either of the absolute priorities. This priority is:
Grants to local educational agencies, local councils, community-based organizations, including faith-
based organizations, and other public and nonprofit private entities, or a combination of such entities, to
assist eligible children to become ready for school.

To be eligible for funding, a project must propose one or more of the following:
(1) To deliver services to eligible children and their families that foster eligible children’s emotional,
behavioral, and social development;
(2) To coordinate and facilitate access by eligible children and their families to the services available
through community resources, including mental health, physical health, substance abuse, educational,
domestic violence prevention, child welfare, and social services;
(3) To provide ancillary services such as transportation or child care in order to facilitate the delivery of
any other authorized services or activities;
(4) To develop or enhance early childhood community partnerships and build toward a community system
of care that brings together child-serving agencies or organizations to provide individualized supports for
eligible children and their families;
(5) To evaluate the success of strategies and services provided pursuant to the grant in promoting young
children’s successful entry to school and to maintain data systems required for effective evaluations; and
(6) To pay for the expenses of administering the grant activities, including assessment of children’s
eligibility for services.

Program Authority: 20 U.S.C. 7269a.

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

II. Award Information

Type of Award: Discretionary grants.

Estimated Available Funds: The Administration’s budget request for FY 2007 does not include funds for
this program. However, we are inviting applications to allow enough time to complete the grant process
before the end of the current fiscal year if Congress appropriates funds for this program. Contingent upon
the availability of funds and the quality of applications, we may make additional awards in FT 2008 and
subsequent years based on the list of unfunded applications from this competition.

Estimated Range of Awards: $200,000 - $300,000.

Estimated Average Size of Awards: $245,500.

26
Estimated Number of Awards: 4.

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

Project Period: Up to 24 months.

III. Eligibility Information

Eligible Applicants: Local educational agencies (LEAs), local councils, community-based organizations,
provided that they meet the applicable statutory and regulatory requirements and other public and
nonprofit private entities, or a combination of such entities.

2. Cost Sharing or Matching: This program does not involve cost sharing or matching but does involve
supplement-not supplant funding provisions. 20 U.S.C. 7269a(b)(3)(D).

IV. Application Submission Information

1. Address to Request Application Package: Education Publications Center (ED Pubs), P.O. Box 1398,
Jessup, MD 20794-1398. Telephone (toll-free): 877/433-7827. Fax: 301/470-1244. If you use a
telecommunications device for the deaf (TDD), you may call (toll free): 877/576-7734.

You also may contact ED Pubs at its Web site: www.ed.gov/pubs/edpubs.html or you may contact ED
Pubs at its e-mail address: [email protected].

You may also access the electronic version of the application at the following Web sites:
www.grants.gov or www.ed.gov/programs/learningfoundations/index.html .

If you request an application from ED Pubs, be sure to identify this competition as follows: CFDA
Number 84.215H.

Individuals with disabilities may obtain a copy of the application package in an alternative format (e.g.,
Braille, large print, audiotape, or computer diskette) by contacting the program contact person listed
under For Further Information Contact in section VII of this notice.

2. Content and Form of Application Submission:

a. Statutory Application Requirements:

Applications submitted under this program must include the following--

(1) A description of the population that the applicant intends to serve and the types of services to be
provided under the grant;

(2) A description of the manner in which services under the grant will be coordinated with existing
similar services provided by public and nonprofit private entities within the State; and

(3) An assurance that--

• services under the grant will be provided by or under the supervision of qualified
professionals with expertise in early childhood development;

• these services will be culturally competent;

27
 • these services will be provided in accordance with the permissible uses of funds as
described elsewhere in this notice;

• funds will be used to supplement, and not supplant, non-Federal funds; and

• parents of students participating in services will be involved in the design and implementation
of the services.

b. Page Limit: The program narrative section should not exceed 25 double-spaced pages using a standard
font no smaller than 12-point, with 1-inch margins (top, bottom, left, and right). The narrative should
follow the format and sequence of the selection criteria.

c. Other: Other requirements concerning the content of an application, together with the forms you must
submit, are in the application package for this program.

3. Submission Dates and Times:

Applications Available: February 20, 2007.
Deadline for Transmittal of Applications: April 13, 2007.

Applications for grants under the Foundations for Learning Grants Program may be submitted
electronically using the Grants.gov Apply site (Grants.gov), or in paper format by mail or hand delivery.
For information (including dates and times) about how to submit your application electronically, or by
mail or hand delivery, please refer to section IV. 6. Other Submission Requirements in 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.

Deadline for Intergovernmental Review: June 12, 2007.

4. Intergovernmental Review: This competition 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:

Limitations on Use of Funds

(1) Grant funds may be used only to pay for services that cannot be paid for using other
Federal, State, or local public resources or through private insurance.
(2) A grantee may not use more than 3 percent of the amount of the grant to pay the expenses
of administering the authorized activities, including assessment of children’s eligibility for
services.

We reference regulations outlining funding restrictions in the Applicable Regulations section of this
notice.

28
6. Other Submission Requirements: Applications for grants under the Foundations for Learning Grants
Program may be submitted electronically or in paper format by mail or hand delivery.

a. Electronic Submission of Applications.

To comply with the President’s Management Agenda, we are participating as a partner in the
Government-wide Grants.gov Apply site. The Foundations for Learning Grants Program, CFDA Number
84.215H, is included in this project. We request your participation in Grants.gov.

If you choose to submit your application electronically, you must use the Government-wide 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.

You may access the electronic grant application for the Foundations for Learning Grants Program at
www.Grants.gov. You must search for the downloadable application package for this competition by the
CFDA number. Do not include the CFDA number’s alpha suffix in your search (e.g., search for 84.215,
not 84.215H).

Please note the following:

• Your participation in Grants.gov is voluntary.
• 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 p.m., Washington, DC time, on the application deadline date. Except as otherwise noted in this
section, we will not consider your application if it is date and time stamped by the Grants.gov system
later than 4:30 p.m., Washington, DC time, on the application deadline date. 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 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
competition 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 at http://e-
Grants.ed.gov/help/GrantsgovSubmissionProcedures.pdf.
• To submit your application via Grants.gov, you must complete all steps in the Grants.gov registration
process (see www.grants.gov/applicants/get_registered.jsp). These steps include (1) registering your
organization, a multi-part process that includes registration with the Central Contractor Registry
(CCR); (2) registering yourself as an Authorized Organization Representative (AOR); and (3) getting
authorized as an AOR by your organization. Details on these steps are outlined in the Grants.gov 3-
Step Registration Guide (see www.grants.gov/section910/Grants.govRegistrationBrochure.pdf). You
also must provide on your application the same D-U-N-S Number used with this registration. Please
note that the registration process may take five or more business days to complete, and you must have
completed all registration steps to allow you to submit successfully an application via Grants.gov. In
addition you will need to update your CCR registration on an annual basis. This may take three or
more business days to complete.

29
• You will not receive additional point value because you submit your application in electronic format,
nor will we penalize you if you submit your application in paper format.
• If you submit your application electronically, you must submit all documents electronically, including
all information you typically provide on the following forms: Application for Federal Assistance (SF
424), the Department of Education Supplemental Information for SF 424, Budget Information--Non-
Construction Programs (ED 524), and all necessary assurances and certifications. Please note that two
of these forms--the SF 424 and the Department of Education Supplemental Information for SF 424--
have replaced the ED 424 (Application for Federal Education Assistance).
• If you submit your application electronically, you must attach any narrative sections of your
application as files in a .DOC (document), .RTF (rich text), or .PDF (Portable Document) format. If
you upload a file type other than the three file types specified in this paragraph or submit a password-
protected file, we will not review that material.
• Your electronic application must comply with any page-limit requirements described in this notice.
• 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 at 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 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 p.m., Washington, DC time, on the application deadline date,
please contact the person listed elsewhere in this notice under For Further Information Contact 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 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.

b. 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 applicable following address:

30
By mail through the U.S. Postal Service:
U.S. Department of Education, Application Control Center, Attention: (CFDA Number 84.215H)
400 Maryland Avenue, SW., Washington, DC 20202-4260

or

By mail through a commercial carrier:

U.S. Department of Education, Application Control Center, Stop 4260, Attention: (CFDA Number
84.215H), 7100 Old Landover Road, Landover, MD 20785-1506

Regardless of which address you use, you must show proof of mailing consisting of one of the following:

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

(2) A legible mail receipt with the date of mailing stamped by the U.S. Postal Service.
(3) A dated shipping label, invoice, or receipt from a commercial carrier.
(4) Any other proof of mailing acceptable to the Secretary of the U.S. Department of Education.

If you mail your application through the U.S. Postal Service, we do not accept either of the following as
proof of mailing:
(1) A private metered postmark.
(2) A mail receipt that is not dated by the U.S. Postal Service.

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

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

c. Submission of Paper Applications by Hand Delivery.

If you submit your application in paper format by hand delivery, you (or a courier service) 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 84.215H)
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 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.

31
V. Application Review Information

1. Selection Criteria: The selection criteria for this program are from the Notice of Final Priorities and
Selection Criteria and are listed in the application package.

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 also notify you informally.

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: If funded, you are expected to collect data on the key GPRA performance measures for this
program and report those data to the Department in your annual performance report and final performance
report. 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
specified by the Secretary in 34 CFR 75.118. We also may require more frequent performance reports in
accordance with 34 CFR 75.720(c).

4. Performance Measures: We have identified the following key GPRA performance measures for
assessing the effectiveness of the Foundations for Learning grants program: (1) The percentage of
eligible children served by the grant attaining measurable gains in emotional, behavioral, and social
development will increase; and (2) The percentage of eligible children and their families served by the
grant receiving individualized support from child-serving agencies or organizations will increase.

Applicants are encouraged to demonstrate a strong capacity to provide reliable data on these indicators in
responding to the selection criteria, “Quality of project services” and “Quality of the project evaluation.”

VII. Agency Contact

For Further Information Contact: Earl Myers, Jr., U.S. Department of Education, 400 Maryland Avenue,
SW., room 3E254, Washington, DC 20202-6450. Telephone: 202/708-8846 or by e-mail:
[email protected].

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

32
Individuals with disabilities may obtain this document in an alternative format (e.g., Braille, large print,
audiotape, or computer diskette) on request to the contact person listed in this section.

VIII. Other Information

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

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

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

Dated:

Deborah A. Price,
Assistant Deputy Secretary for
Safe and Drug-Free Schools.

33
 Authorizing Legislation – No Child Left Behind Act of 2001

Subpart 14—Grants to Improve the Mental Health of Children

SEC. 4121. Promotion of School Readiness Through Early Childhood Emotional and Social
Development

(a) AUTHORIZATION- The Secretary, in consultation with the Secretary of Health and Human Services,
may award grants (to be known as Foundations for Learning Grants') to local educational agencies, local
councils, community-based organizations, and other public or nonprofit private entities to assist eligible
children to become ready for school.

(b) APPLICATIONS- To be eligible to receive a grant under this section, a local educational agency,
local council, community-based organization, or other public or nonprofit private entity, or a combination
of such entities, shall submit an application to the Secretary at such time, in such manner, and
accompanied by such information as the Secretary may reasonably require. The application shall include
each of the following:
(1) A description of the population that the applicant intends to serve and the types of
services to be provided under the grant.
(2) A description of the manner in which services under the grant will be coordinated
with existing similar services provided by public and nonprofit private entities within the
State.
(3) An assurance that —
(A) services under the grant shall be provided by or under the supervision of
qualified professionals with expertise in early childhood development;
(B) such services shall be culturally competent;
(C) such services shall be provided in accordance with subsection (c);
(D) funds received under this section shall be used to supplement, and not
supplant, non-Federal funds; and
(E) parents of students participating in services under this section will be
involved in the design and implementation of the services.

(c) USES OF FUNDS- A local educational agency, local council, community-based organization,
or other public or nonprofit private entity that receives funds under this section may use such
funds to benefit eligible children, for one or more of the following:
(1) To deliver services to eligible children and their families that foster eligible children's
emotional, behavioral, and social development and take into consideration the
characteristics described in subsection (f)(1).
(2) To coordinate and facilitate access by eligible children and their families to the
services available through community resources, including mental health, physical health,
substance abuse, educational, domestic violence prevention, child welfare, and social
services.
(3) To provide ancillary services such as transportation or child care in order to facilitate
the delivery of any other services or activities authorized by this section.
(4) To develop or enhance early childhood community partnerships and build toward a
community system of care that brings together child-serving agencies or organizations to
provide individualized supports for eligible children and their families.
(5) To evaluate the success of strategies and services provided pursuant to this section in
promoting young children's successful entry to school and to maintain data systems
required for effective evaluations.
(6) To pay for the expenses of administering the activities authorized under this section,
including assessment of children's eligibility for services.

34
(d) LIMITATIONS-
(1) SERVICES NOT OTHERWISE FUNDED- A local educational agency, local
council, community-based organization, or other public or nonprofit private entity may
use funds under this section only to pay for services that cannot be paid for using other
Federal, State, or local public resources or through private insurance.
(2) ADMINISTRATIVE EXPENSES- A grantee may not use more than 3 percent of the
amount of the grant to pay the administrative expenses described in subsection (c)(6).

(e) EVALUATIONS- The Secretary shall directly evaluate, or enter into a contract for an outside
evaluation of, each program carried out under this section and shall disseminate the findings with
respect to such evaluation to appropriate public and private entities.

(f) DEFINITIONS- In this section:

(1) ELIGIBLE CHILD- The term eligible child' means a child who has not attained the
age of 7 years, and to whom two or more of the following characteristics apply:
(A) The child has been abused, maltreated, or neglected.
(B) The child has been exposed to violence.
(C) The child has been homeless.
(D) The child has been removed from childcare, Head Start, or preschool for
behavioral reasons or is at risk of being so removed.
(E) The child has been exposed to parental depression or other mental illness.
(F) The family income with respect to the child is below 200 percent of the
poverty line.
(G) The child has been exposed to parental substance abuse.
(H) The child has had early behavioral and peer relationship problems.
(I) The child had a low birth weight.
(J) The child has a cognitive deficit or developmental disability.

(2) LOCAL COUNCIL- The term local council' means a council that is established or
designated by a local government entity, Indian tribe, regional corporation, or native
Hawaiian entity, as appropriate, which is composed of representatives of local agencies
directly affected by early learning programs, parents, key community leaders, and other
individuals concerned with early learning issues in the locality, such as elementary
education, child care resource and referral services, early learning opportunities, child
care, and health services.

(3) PROVIDER OF EARLY CHILDHOOD SERVICES- The term provider of early

childhood services' means a public or private entity that has regular contact with young
children, including child welfare agencies, child care providers, Head Start and Early
Head Start providers, preschools, kindergartens, libraries, mental health professionals,
family courts, homeless shelters, and primary care providers.

35
IV. GENERAL APPLICATION INSTRUCTIONS AND INFORMATION

Preparing the Application

A completed application for assistance under this competition consists of two parts: a detailed
narrative description of the proposed project and budget, and all forms and assurances that must
be submitted in order to receive a grant. An application under this program should address the
specific needs of the applicant and propose activities specifically designed to meet those needs.
We strongly discourage applicants from using “form” applications or proposals that address
general rather than specific local needs. Identical or substantially similar applications are not
responsive to the scoring criteria.

A panel of non-federal readers with experience in school-based prevention programs or other

youth development specialty will review each eligible application submitted by the deadline. The
panel will award points ranging from 0 to 100 to each application depending on how well the
selection criteria are addressed. Be sure you provide a comprehensive response to each factor
under each selection criterion. Applications that fail to do so will be read, but our experience
suggests they may not score well enough to be funded.

If you apply via Grants.gov, you will use the following Grants.gov narrative forms:

¾ ED Abstract Narrative Attachment Form

¾ Project Narrative Attachment Form
¾ Other Narrative Attachment Form
¾ Budget Narrative Attachment Form

The ED Abstract Narrative Attachment Form is where you will attach your program abstract.

The Project Narrative Attachment Form is where you will attach the narrative sections
addressing the selection criteria that will be used to evaluate applications submitted for this grant
competition.

The Other Narrative Attachment Form is where you will attach proposal appendices, such as
curriculum vitae of key personnel, letters of commitment, and samples of evaluation instruments.
The Grants.gov system will allow applicants to attach as many as 10 separate appendices in this
section.

The Budget Narrative Attachment Form is where you will attach a detailed line item budget
and any supplemental budget information.

All applicants should adhere to the following formatting guidelines:

¾ Use 1-inch margins. If you submit your application in paper format by mail or hand
delivery, your application must be printed on 8 1/2” by 11” paper.
¾ Use consistent font no smaller than 12-point type throughout your document. You may
use boldface type, underlining, and italics; however, do not use colored text.

36
 ¾ For the project narrative, your application should consist of the number and text of each
selection criterion followed by the narrative. The text of the selection criterion, if
included, does not count against any page limitation.
¾ Place a page number at the bottom right of each page beginning with 1, and number your
pages consecutively throughout your document, beginning with the Abstract and ending
with the Appendices. Note: Do not paginate any of the forms.

If you submit your proposal via Grants.gov, you will use your own word-processing software to
complete the application for this grant competition.

D-U-N-S NUMBER INSTRUCTIONS

All applicants must obtain and use a D-U-N-S number, and all applicants applying through
Grants.gov must register with Grants.gov. The D-U-N-S Number used on the application must be
the same number that the applicant’s organization used to register with Grants.gov. If the
numbers are not the same, Grants.gov will reject the application.

The D-U-N-S Number is a unique nine-digit number that does not convey any information about
the recipient. A built-in check digit helps to ensure the accuracy of the D-U-N-S Number. The
ninth digit of each number is the check digit, which is mathematically related to the other digits.
It lets computer systems determine if a D-U-N-S Number has been entered correctly.

You can obtain a D-U-N-S Number at no charge by calling 800/333-0505 or by completing the
D-U-N-S Number Request Form, available online at www.dnb.com/US/duns_update/index.html.
Dun & Bradstreet, a global information provider, has assigned D-U-N-S Numbers to more than
43 million companies worldwide. Customer service is available on Monday-Friday from 8:00
a.m. to 6:00 p.m. (Eastern Time) at 888/814-1435.

Organizing the Application

Supplemental Instructions for Standard Form 424
1. Application for Federal Assistance (SF Form 424): Use the Application for Federal
Assistance and the Department of Education Supplemental Information for SF 424. This is the
title page of your application. Be sure that Item 10 identifies the CFDA Number for this grant
competition: 84.215H and the Title as Foundations for Learning Grants Program.

Under Item 3 in the ED Supplemental Information, indicate whether the proposed project
includes human subjects research activities, and if so, whether any or all of the proposed
activities are exempt. For additional guidance, see instructions for ED Supplemental Information
in the required forms section of this application package or call ED’s protection of human
subjects coordinator at 202/245-6153.

If you submit your proposal for this grant competition via Grants.gov, please complete the SF424
(Application for Federal Assistance) first. Grants.gov will insert the correct CFDA and program
name automatically where needed.

37
If you submit your proposal in paper format by mail or hand delivery, you will need to insert the
correct CFDA number and program name where requested.

2. Abstract: Include a concise, one-page, double-spaced abstract following the Table of

Contents. This is a key element and should include a brief narrative describing a brief summary
of the project goals and objectives and the intended outcomes of the project. Clearly mark this
page with the applicant’s name as shown in Item 1 of SF Form 424. If you submit your
application via Grants.gov, attach this document to the ED Abstract Narrative Attachment
Form.

3. Project Narrative: This section should be no more than 25 double-spaced typewritten pages.
The narrative must contain evidence that the applicant meets either of the two absolute priorities,
and should contain and follow in sequence the information requested for each selection criterion.
Applicants should review Section II for a discussion of the selection criteria and the chief
considerations for this specific grant competition. A timeline or schedule of tasks and events,
responsible person(s), project milestone(s), and/or completion dates should be included in the
narrative. Include a Table of Contents with page references. The Table of Contents does not
count against any page limitations. If you submit your application via Grants.gov, attach this
document to the Project Narrative Attachment Form.

4. Budget Narrative: Use the Budget Information Form (ED Form 524) provided in the required
forms section of this application package to prepare a budget for the project. Note: One budget
must be submitted for the entire 18-month period.

You must include a detailed budget narrative that supports and explains the information provided
in ED Form 524. Use the same budget categories as those on ED Form 524 and explain the basis
used to estimate costs for all budget categories, and how the cost items relate to the proposed
project’s goals, objectives, and activities. All expenditures must be necessary to carry out the
goals and objectives of the project, reasonable for the scope and complexity of the project, and
allowable under the terms and conditions of the grant and in accordance with government cost
principles.

The Budget Information Form and accompanying narrative should provide enough detail for ED
staff to easily understand how costs were determined and if the budget is commensurate with the
scope of the project. If you submit your application via Grants.gov, attach this document to the
Budget Narrative Attachment Form.

For this grant competition, you may charge indirect costs using the rate negotiated with your
cognizant federal agency (e.g., Department of Education, Department of Health and Human
Services, Department of the Interior). Be sure to include evidence of a federally negotiated
indirect cost rate. Individuals who apply for any grant competition through ED are not allowed to
budget for an indirect cost rate. If you budget for contractual services, please note that indirect
costs may be applied only to the first $25,000 of each subcontract, regardless of the period
covered by the subcontract.

38
You are encouraged to give priority to direct services to students by limiting the indirect costs
charged to the project. You will not be penalized for failure to reduce indirect costs nor will you
gain competitive advantage if you do.

If you claim indirect costs in the budget for your proposed project and do not have a negotiated
rate with the federal government, you have 90 days from the time you transmit your application
to submit the necessary paperwork to the Department to receive a negotiated indirect cost rate.
For more information about indirect cost rates, please visit
www.ed.gov/about/offices/list/ocfo/intro.html.

5. Appendices: If you submit your application via Grants.gov, the Other Narrative
Attachment Form is where you will attach proposal appendices that applicants may choose to
submit in support of their capacity and preparation to undertake the proposed project, such as
curriculum vitae of key personnel, letters of commitment, and samples of evaluation instruments.
The Grants.gov system will allow applicants to attach as many as 10 separate appendices in this
section.

If you submit your application in paper format via mail or hand delivery, information provided in
this section includes forms and other material required by ED in order for an application to be
eligible for funding as well as any other information that applicants may choose to submit in
support of their capacity and preparation to undertake the proposed project.

The following items are not part of the appendices and may not be included:

¾ Budget or program narrative information that the applicant wishes to have reviewed as
part of its response to one or more scoring criteria—all such information must be
included in the narrative portion of the application
¾ Videotapes, CD-ROMs, photographs, or floppy disks—they will not be reviewed and we
will not return them.

This section must include the following:

¾ GEPA 427, Equitable Access to and Participation in Federally Assisted Programs

¾ Letter of Transmittal to State Single Point of Contact (if your state participates)
¾ Proof of federally negotiated indirect cost rate (if you are claiming indirect costs)

This section may include the following:

¾ Other information the applicant wishes to include in support of its capacity, experience,
and readiness to undertake the proposed project, including:
¾ Resumes of key personnel. If personnel have yet to be hired for this proposed project,
include a narrative description of expected staff qualifications.
¾ Letters of commitment that reflect each person’s awareness of their role in the proposed
project. Each letter should indicate a willingness to put forth the necessary time and effort
to make the project work efficiently and effectively.
¾ Relevant prior grant experience.

39
6. Assurances and Certifications: If you submit your application electronically, you must
complete all forms posted on Grants.gov.

If you submit your application in paper format via mail or hand delivery, you must fill out, have
signed by the person authorized to sign for the institution, and submit the following forms:

¾ Assurances, Non-Construction Programs (Standard Form, 424B)

¾ Grants.gov Lobbying Form (formerly ED Form 80-0013)
¾ Disclosure of Lobbying Activities (Standard Form-LLL)
¾ Survey on Ensuring Equal Opportunity for Applicants (private, nonprofit organizations
only)

Note: If Item 2 of the Grants.gov Lobbying Form applies because of lobbying activities related
to a previous grant, or are anticipated to occur with this project if it is funded, you must submit
Standard Form LLL. If your organization does not engage in lobbying, please submit Standard
Form LLL and indicate as “Not Applicable.”

40
 Standard Forms and Instructions
¾ Application for Federal Assistance (Standard Form 424)

¾ Department of Education Supplemental Form for the Standard Form 424

¾ Department of Education Budget Information – Non-Construction Programs (ED Form

524)

¾ Grants.gov Lobbying Form

¾ Disclosure of Lobbying Activities (Standard Form LLL)

¾ Faith-Based EEO Survey

41
 Instructions for Form ED 424

1. Legal Name and Address. Enter the legal name 10. Type of Submission. See “Definitions for Form
of applicant and the name of the primary organiza- ED 424” attached.
tional unit which will undertake the assistance
activity. 11. Executive Order 12372. See “Definitions for
Form ED 424” attached. Check “Yes” if the
2. D-U-N-S Number. Enter the applicant’s application is subject to review by E.O. 12372. Also,
D-U-N-S Number. If your organization does not please enter the month, day, and four (4) digit year
have a D-U-N-S Number, you can obtain the number (mm/dd/yyyy). Otherwise, check “No.”
by calling 1-800-333-0505 or by completing a
D-U-N-S Number Request Form. The form can be 12. Proposed Project Dates. Please enter the
obtained via the Internet at the following URL: month, day, and four (4) digit year (mm/dd/yyyy).
http://www.dnb.com.
13. Human Subjects Research. (See I.A.
3. Tax Identification Number. Enter the taxpayer’s “Definitions” in attached page entitled “Definitions
identification number as assigned by the Internal for Form ED 424.”)
Revenue Service.
If Not Human Subjects Research. Check “No” if
4. Catalog of Federal Domestic Assistance research activities involving human subjects are not
(CFDA) Number. Enter the CFDA number and title planned at any time during the proposed project
of the program under which assistance is requested. period. The remaining parts of Item 12 are then not
The CFDA number can be found in the federal applicable.
register notice and the application package.
If Human Subjects Research. Check “Yes” if
5. Project Director. Name, address, telephone and research activities involving human subjects are
fax numbers, and e-mail address of the person to be planned at any time during the proposed project
contacted on matters involving this application. period, either at the applicant organization or at any
other performance site or collaborating institution.
6. Novice Applicant. Check “Yes” or “No” only if Check “Yes” even if the research is exempt from the
assistance is being requested under a program that regulations for the protection of human subjects. (See
gives special consideration to novice applicants. I.B. “Exemptions” in attached page entitled
Otherwise, leave blank. “Definitions for Form ED 424.”)

Check “Yes” if you meet the requirements for novice 13a. If Human Subjects Research is Exempt from
applicants specified in the regulations in 34 CFR the Human Subjects Regulations. Check “Yes” if
75.225 and included on the attached page entitled all the research activities proposed are designated to
“Definitions for Form ED 424.” By checking “Yes” be exempt from the regulations. Insert the exemption
the applicant certifies that it meets these novice number(s) corresponding to one or more of the six
applicant requirements. Check “No” if you do not exemption categories listed in I.B. “Exemptions.” In
meet the requirements for novice applicants. addition, follow the instructions in II.A. “Exempt
Research Narrative” in the attached page entitled
7. Federal Debt Delinquency. Check “Yes” if the “Definitions for Form ED 424.” Insert this narrative
applicant’s organization is delinquent on any Federal immediately following the ED 424 face page.
debt. (This question refers to the applicant’s
organization and not to the person who signs as the 13a. If Human Subjects Research is Not Exempt
authorized representative. Categories of debt include from Human Subjects Regulations. Check “No” if
delinquent audit disallowances, loans and taxes.) some or all of the planned research activities are
Otherwise, check “No.” covered (not exempt). In addition, follow the
instructions in II.B. “Nonexempt Research Narrative”
8. Type of Applicant. Enter the appropriate letter in in the page entitled “Definitions for Form ED 424.”
the box provided. Insert this narrative immediately following the ED
424 face page.
9. State Application Identifier. State use only (if
applicable).

42
13a. Human Subjects Assurance Number. If the Paperwork Burden Statement. According to the
applicant has an approved Federal Wide (FWA) or Paperwork Reduction Act of 1995, no persons are
Multiple Project Assurance (MPA) with the Office required to respond to a collection of information
for Human Research Protections (OHRP), U.S. unless such collection displays a valid OMB control
Department of Health and Human Services, that number. The valid OMB control number for this
covers the specific activity, insert the number in the information collection is 1890-0017. The time
space provided. If the applicant does not have an required to complete this information collection is
approved assurance on file with OHRP, enter estimated to average between 15 and 45 minutes per
“None.” In this case, the applicant, by signature on response, including the time to review instructions,
the face page, is declaring that it will comply with 34 search existing data resources, gather the data
CFR 97 and proceed to obtain the human subjects needed, and complete and review the information
assurance upon request by the designated ED official. collection. If you have any comments concerning
If the application is recommended/selected for the accuracy of the estimate(s) or suggestions for
funding, the designated ED official will request that improving this form, please write to: U.S.
the applicant obtain the assurance within 30 days Department of Education, Washington, D.C. 20202-
after the specific formal request. 4700. If you have comments or concerns regarding
the status of your individual submission of this
Note about Institutional Review Board Approval. form write directly to: Joyce I. Mays, Application
ED does not require certification of Institutional Control Center, U.S. Department of Education,
Review Board approval with the application. Potomac Center Plaza, 550 12th Street SW, Room
However, if an application that involves non-exempt 7076, Washington, DC 20202-4260.
human subjects research is recommended/selected for
funding, the designated ED official will request that
the applicant obtain and send the certification to ED
within 30 days after the formal request.

14. Project Title. Enter a brief descriptive title of

the project. If more than one program is involved,
you should append an explanation on a separate
sheet. If appropriate (e.g., construction or real
property projects), attach a map showing project
location. For preapplications, use a separate sheet to
provide a summary description of this project.

15. Estimated Funding. Amount requested or to be

contributed during the first funding/budget period by
each contributor. Value of in-kind contributions
should be included on appropriate lines as applicable.
If the action will result in a dollar change to an
existing award, indicate only the amount of the
change. For decreases, enclose the amounts in
parentheses. If both basic and supplemental amounts
are included, show breakdown on an attached sheet.
For multiple program funding, use totals and show
breakdown using same categories as item 15.

16. Certification. To be signed by the authorized

representative of the applicant. A copy of the
governing body’s authorization for you to sign this
application as official representative must be on file
in the applicant’s office. Be sure to enter the
telephone and fax number and e-mail address of the
authorized representative. Also, in item 16e, please
enter the month, day, and four (4) digit year
(mm/dd/yyyy) in the date signed field.

43
 Definitions for Form ED 424

Novice Applicant (See 34 CFR 75.225). For partnership and strengthen federalism by relying on
discretionary grant programs under which the State and local processes for the coordination and
Secretary gives special consideration to novice review of proposed Federal financial assistance and
applications, a novice applicant means any applicant direct Federal development. The application notice,
for a grant from ED that— as published in the Federal Register, informs the
applicant as to whether the program is subject to the
• Has never received a grant or subgrant under requirements of E.O. 12372. In addition, the
the program from which it seeks funding; application package contains information on the State
Single Point of Contact. An applicant is still eligible
• Has never been a member of a group to apply for a grant or grants even if its respective
application, submitted in accordance with 34 State, Territory, Commonwealth, etc. does not have a
CFR 75.127-75.129, that received a grant State Single Point of Contact. For additional
under the program from which it seeks information on E.O. 12372 go to
funding; and http://12.46.245.173/pls/portal30/catalog.REQ_FOR_
12372.show
• Has not had an active discretionary grant
from the Federal government in the five PROTECTION OF HUMAN SUBJECTS IN
years before the deadline date for RESEARCH
applications under the program. For the
purposes of this requirement, a grant is I. Definitions and Exemptions
active until the end of the grant’s project or
funding period, including any extensions of A. Definitions.
those periods that extend the grantee’s
authority to obligate funds. A research activity involves human subjects if the
activity is research, as defined in the
In the case of a group application submitted in Department’s regulations, and the research
accordance with 34 CFR 75.127-75.129, a group activity will involve use of human subjects, as
includes only parties that meet the requirements listed defined in the regulations.
above.
—Research
Type of Submission. “Construction” includes
construction of new buildings and acquisition, The ED Regulations for the Protection of Human
expansion, remodeling, and alteration of existing Subjects, Title 34, Code of Federal Regulations, Part
buildings, and initial equipment of any such 97, define research as “a systematic investigation,
buildings, or any combination of such activities including research development, testing and
(including architects’ fees and the cost of acquisition evaluation, designed to develop or contribute to
of land). “Construction” also includes remodeling to generalizable knowledge.” If an activity follows a
meet standards, remodeling designed to conserve deliberate plan whose purpose is to develop or
energy, renovation or remodeling to accommodate contribute to generalizable knowledge it is research.
new technologies, and the purchase of existing Activities which meet this definition constitute
historic buildings for conversion to public libraries. research whether or not they are conducted or
For the purposes of this paragraph, the term supported under a program which is considered
“equipment” includes machinery, utilities, and built- research for other purposes. For example, some
in equipment and any necessary enclosures or demonstration and service programs may include
structures to house them; and such term includes all research activities.
other items necessary for the functioning of a
particular facility as a facility for the provision of —Human Subject
library services.
The regulations define human subject as “a living
Executive Order 12372. The purpose of Executive individual about whom an investigator (whether
Order 12372 is to foster an intergovernmental professional or student) conducting research obtains
(1) data through intervention or interaction with the

44
individual, or (2) identifiable private information.” being observed. [Children are defined as persons
(1) If an activity involves obtaining information about who have not attained the legal age for consent to
a living person by manipulating that person or that treatments or procedures involved in the research,
person’s environment, as might occur when a new under the applicable law or jurisdiction in which the
instructional technique is tested, or by research will be conducted.]
communicating or interacting with the individual, as
occurs with surveys and interviews, the definition of (3) Research involving the use of educational tests
human subject is met. (2) If an activity involves (cognitive, diagnostic, aptitude, achievement), survey
obtaining private information about a living person procedures, interview procedures or observation of
in such a way that the information can be linked to public behavior that is not exempt under section (2)
that individual (the identity of the subject is or may above, if the human subjects are elected or appointed
be readily determined by the investigator or public officials or candidates for public office; or
associated with the information), the definition of federal statute(s) require(s) without exception that the
human subject is met. [Private information includes confidentiality of the personally identifiable
information about behavior that occurs in a context in information will be maintained throughout the
which an individual can reasonably expect that no research and thereafter.
observation or recording is taking place, and
information which has been provided for specific (4) Research involving the collection or study of
purposes by an individual and which the individual existing data, documents, records, pathological
can reasonably expect will not be made public (for specimens, or diagnostic specimens, if these sources
example, a school health record).] are publicly available or if the information is
recorded by the investigator in a manner that subjects
B. Exemptions. cannot be identified, directly or through identifiers
linked to the subjects.
Research activities in which the only involvement of
human subjects will be in one or more of the (5) Research and demonstration projects which are
following six categories of exemptions are not conducted by or subject to the approval of
covered by the regulations: department or agency heads, and which are designed
to study, evaluate, or otherwise examine: (a) public
(1) Research conducted in established or commonly benefit or service programs; (b) procedures for
accepted educational settings, involving normal obtaining benefits or services under those programs;
educational practices, such as (a) research on regular (c) possible changes in or alternatives to those
and special education instructional strategies, or (b) programs or procedures; or (d) possible changes in
research on the effectiveness of or the comparison methods or levels of payment for benefits or services
among instructional techniques, curricula, or under those programs.
classroom management methods.
(6) Taste and food quality evaluation and consumer
(2) Research involving the use of educational tests acceptance studies, (a) if wholesome foods without
(cognitive, diagnostic, aptitude, achievement), survey additives are consumed or (b) if a food is consumed
procedures, interview procedures or observation of that contains a food ingredient at or below the level
public behavior, unless: (a) information obtained is and for a use found to be safe, or agricultural
recorded in such a manner that human subjects can be chemical or environmental contaminant at or below
identified, directly or through identifiers linked to the the level found to be safe, by the Food and Drug
subjects; and (b) any disclosure of the human Administration or approved by the Environmental
subjects’ responses outside the research could Protection Agency or the Food Safety and Inspection
reasonably place the subjects at risk of criminal or Service of the U.S. Department of Agriculture.
civil liability or be damaging to the subjects’
financial standing, employability, or reputation. If II. Instructions for Exempt and Nonexempt
the subjects are children, exemption 2 applies only Human Subjects Research Narratives
to research involving educational tests and
observations of public behavior when the If the applicant marked “Yes” for Item 13 on the ED
investigator(s) do not participate in the activities 424, the applicant must provide a human subjects
being observed. Exemption 2 does not apply if “exempt research” or “nonexempt research” narrative
children are surveyed or interviewed or if the and insert it immediately following the ED 424 face
research involves observation of public behavior page.
and the investigator(s) participate in the activities

45
A. Exempt Research Narrative. procedures that might be advantageous to the
subjects.
If you marked “Yes” for item 13 a. and designated
exemption numbers(s), provide the “exempt (5) Protection Against Risk: Describe the
research” narrative. The narrative must contain procedures for protecting against or minimizing
sufficient information about the involvement of potential risks, including risks to confidentiality, and
human subjects in the proposed research to allow a assess their likely effectiveness. Where appropriate,
determination by ED that the designated discuss provisions for ensuring necessary medical or
exemption(s) are appropriate. The narrative must be professional intervention in the event of adverse
succinct. effects to the subjects. Also, where appropriate,
describe the provisions for monitoring the data
B. Nonexempt Research Narrative. collected to ensure the safety of the subjects.

If you marked “No” for item 13 a. you must provide (6) Importance of the Knowledge to be Gained:
the “nonexempt research” narrative. The narrative Discuss the importance of the knowledge gained or to
must address the following seven points. Although be gained as a result of the proposed research.
no specific page limitation applies to this section of Discuss why the risks to subjects are reasonable in
the application, be succinct. relation to the anticipated benefits to subjects and in
relation to the importance of the knowledge that may
(1) Human Subjects Involvement and reasonably be expected to result.
Characteristics: Provide a detailed description of the
proposed involvement of human subjects. Describe (7) Collaborating Site(s): If research involving
the characteristics of the subject population, human subjects will take place at collaborating site(s)
including their anticipated number, age range, and or other performance site(s), name the sites and
health status. Identify the criteria for inclusion or briefly describe their involvement or role in the
exclusion of any subpopulation. Explain the research.
rationale for the involvement of special classes of
subjects, such as children, children with disabilities, Copies of the Department of Education’s
adults with disabilities, persons with mental Regulations for the Protection of Human Subjects,
disabilities, pregnant women, prisoners, 34 CFR Part 97 and other pertinent materials on
institutionalized individuals, or others who are likely the protection of human subjects in research are
to be vulnerable available from the Grants Policy and Oversight
Staff, Office of the Chief Financial Officer, U.S.
(2) Sources of Materials: Identify the sources of Department of Education, Washington, D.C. 20202-
research material obtained from individually 4250, telephone: (202) 245-6120, and on the U.S.
identifiable living human subjects in the form of Department of Education’s Protection of Human
specimens, records, or data. Indicate whether the Subjects in Research Web Site at
material or data will be obtained specifically for http://www.ed.gov/about/offices/list/ocfo/humansub.
research purposes or whether use will be made of html
existing specimens, records, or data.

(3) Recruitment and Informed Consent: Describe

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

(4) Potential Risks: Describe potential risks

(physical, psychological, social, legal, or other) and
assess their likelihood and seriousness. Where
appropriate, describe alternative treatments and

46
 Instructions for Department of Education
Supplemental Information for Standard Form 424

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

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

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

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

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

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

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

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

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

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

Paperwork Burden Statement. According to the Paperwork Reduction Act of 1995, no persons are required to respond to a
collection of information unless such collection displays a valid OMB control number. The valid OMB control number for this
information collection is 1890-0017. The time required to complete this information collection is estimated to average between
15 and 45 minutes per response, including the time to review instructions, search existing data resources, gather the data
needed, and complete and review the information collection. If you have any comments concerning the accuracy of the
estimate(s) or suggestions for improving this form, please write to: U.S. Department of Education, Washington, D.C. 20202-
4700. If you have comments or concerns regarding the status of your individual submission of this form write directly to: Joyce I.
Mays, Application Control Center, U.S. Department of Education, Potomac Center Plaza, 550 12th Street, S.W. Room 7076,
Washington, D.C. 20202-4260.

47
 Definitions for Department of Education
Supplemental Information for Standard Form 424

Definitions: person’s environment, as might occur when a new instructional

technique is tested, or by communicating or interacting with the
Novice Applicant (See 34 CFR 75.225). For discretionary grant individual, as occurs with surveys and interviews, the definition
programs under which the Secretary gives special consideration of human subject is met. (2) If an activity involves obtaining
to novice applications, a novice applicant means any applicant private information about a living person in such a way that the
for a grant from ED that— information can be linked to that individual (the identity of the
subject is or may be readily determined by the investigator or
• Has never received a grant or subgrant under the associated with the information), the definition of human subject
program from which it seeks funding; is met. [Private information includes information about behavior
that occurs in a context in which an individual can reasonably
• Has never been a member of a group application, expect that no observation or recording is taking place, and
submitted in accordance with 34 CFR 75.127-75.129, information which has been provided for specific purposes by an
that received a grant under the program from which it individual and which the individual can reasonably expect will
seeks funding; and not be made public (for example, a school health record).]

• Has not had an active discretionary grant from the B. Exemptions.

Federal government in the five years before the
deadline date for applications under the program. For Research activities in which the only involvement of human
the purposes of this requirement, a grant is active until subjects will be in one or more of the following six categories of
the end of the grant’s project or funding period, exemptions are not covered by the regulations:
including any extensions of those periods that extend
the grantee’s authority to obligate funds. (1) Research conducted in established or commonly accepted
educational settings, involving normal educational practices,
In the case of a group application submitted in accordance with such as (a) research on regular and special education
34 CFR 75.127-75.129, a group includes only parties that meet instructional strategies, or (b) research on the effectiveness of or
the requirements listed above. the comparison among instructional techniques, curricula, or
classroom management methods.
PROTECTION OF HUMAN SUBJECTS IN RESEARCH
(2) Research involving the use of educational tests (cognitive,
I. Definitions and Exemptions diagnostic, aptitude, achievement), survey procedures, interview
procedures or observation of public behavior, unless: (a)
A. Definitions. information obtained is recorded in such a manner that human
subjects can be identified, directly or through identifiers linked
A research activity involves human subjects if the activity is to the subjects; and (b) any disclosure of the human subjects’
research, as defined in the Department’s regulations, and the responses outside the research could reasonably place the
research activity will involve use of human subjects, as subjects at risk of criminal or civil liability or be damaging to
defined in the regulations. the subjects’ financial standing, employability, or reputation. If
the subjects are children, exemption 2 applies only to research
—Research involving educational tests and observations of public behavior
The ED Regulations for the Protection of Human Subjects, Title when the investigator(s) do not participate in the activities
34, Code of Federal Regulations, Part 97, define research as “a being observed. Exemption 2 does not apply if children are
systematic investigation, including research development, surveyed or interviewed or if the research involves observation
testing and evaluation, designed to develop or contribute to of public behavior and the investigator(s) participate in the
generalizable knowledge.” If an activity follows a deliberate activities being observed. [Children are defined as persons who
plan whose purpose is to develop or contribute to generalizable have not attained the legal age for consent to treatments or
knowledge it is research. Activities which meet this definition procedures involved in the research, under the applicable law or
constitute research whether or not they are conducted or jurisdiction in which the research will be conducted.]
supported under a program that is considered research for other
purposes. For example, some demonstration and service (3) Research involving the use of educational tests (cognitive,
programs may include research activities. diagnostic, aptitude, achievement), survey procedures, interview
procedures or observation of public behavior that is not exempt
—Human Subject under section (2) above, if the human subjects are elected or
The regulations define human subject as “a living individual appointed public officials or candidates for public office; or
about whom an investigator (whether professional or student) federal statute(s) require(s) without exception that the
conducting research obtains (1) data through intervention or confidentiality of the personally identifiable information will be
interaction with the individual, or (2) identifiable private maintained throughout the research and thereafter.
information.” (1) If an activity involves obtaining information
about a living person by manipulating that person or that

48
(4) Research involving the collection or study of existing data, disabilities, pregnant women, prisoners, institutionalized
documents, records, pathological specimens, or diagnostic individuals, or others who are likely to be vulnerable.
specimens, if these sources are publicly available or if the
information is recorded by the investigator in a manner that (2) Sources of Materials: Identify the sources of research
subjects cannot be identified, directly or through identifiers material obtained from individually identifiable living human
linked to the subjects. subjects in the form of specimens, records, or data. Indicate
whether the material or data will be obtained specifically for
(5) Research and demonstration projects which are conducted by research purposes or whether use will be made of existing
or subject to the approval of department or agency heads, and specimens, records, or data.
which are designed to study, evaluate, or otherwise examine: (a)
public benefit or service programs; (b) procedures for obtaining (3) Recruitment and Informed Consent: Describe plans for
benefits or services under those programs; (c) possible changes the recruitment of subjects and the consent procedures to be
in or alternatives to those programs or procedures; or (d) followed. Include the circumstances under which consent will be
possible changes in methods or levels of payment for benefits or sought and obtained, who will seek it, the nature of the
services under those programs. information to be provided to prospective subjects, and the
method of documenting consent. State if the Institutional
(6) Taste and food quality evaluation and consumer acceptance Review Board (IRB) has authorized a modification or waiver of
studies, (a) if wholesome foods without additives are consumed the elements of consent or the requirement for documentation of
or (b) if a food is consumed that contains a food ingredient at or consent.
below the level and for a use found to be safe, or agricultural
chemical or environmental contaminant at or below the level (4) Potential Risks: Describe potential risks (physical,
found to be safe, by the Food and Drug Administration or psychological, social, legal, or other) and assess their likelihood
approved by the Environmental Protection Agency or the Food and seriousness. Where appropriate, describe alternative
Safety and Inspection Service of the U.S. Department of treatments and procedures that might be advantageous to the
Agriculture. subjects.

II. Instructions for Exempt and Nonexempt Human Subjects (5) Protection Against Risk: Describe the procedures for
Research Narratives protecting against or minimizing potential risks, including risks
to confidentiality, and assess their likely effectiveness. Where
If the applicant marked “Yes” for Item 3 of Department of appropriate, discuss provisions for ensuring necessary medical
Education Supplemental Information for SF 424, the applicant or professional intervention in the event of adverse effects to the
must provide a human subjects “exempt research” or subjects. Also, where appropriate, describe the provisions for
“nonexempt research” narrative. Insert the narrative(s) in the monitoring the data collected to ensure the safety of the subjects.
space provided. If you have multiple projects and need to
provide more than one narrative, be sure to label each set of (6) Importance of the Knowledge to be Gained: Discuss the
responses as to the project they address. importance of the knowledge gained or to be gained as a result
of the proposed research. Discuss why the risks to subjects are
A. Exempt Research Narrative. reasonable in relation to the anticipated benefits to subjects and
If you marked “Yes” for item 3 a. and designated exemption in relation to the importance of the knowledge that may
numbers(s), provide the “exempt research” narrative. The reasonably be expected to result.
narrative must contain sufficient information about the
involvement of human subjects in the proposed research to (7) Collaborating Site(s): If research involving human subjects
allow a determination by ED that the designated exemption(s) will take place at collaborating site(s) or other performance
are appropriate. The narrative must be succinct. site(s), name the sites and briefly describe their involvement or
role in the research.
B. Nonexempt Research Narrative.
Copies of the Department of Education’s Regulations for the
If you marked “No” for item 3 a. you must provide the Protection of Human Subjects, 34 CFR Part 97 and other
“nonexempt research” narrative. The narrative must address the pertinent materials on the protection of human subjects in
following seven points. Although no specific page limitation research are available from the Grants Policy and Oversight
applies to this section of the application, be succinct. Staff, Office of the Chief Financial Officer, U.S. Department
of Education, Washington, D.C. 20202-4250, telephone: (202)
(1) Human Subjects Involvement and Characteristics: 245-6120, and on the U.S. Department of Education’s
Provide a detailed description of the proposed involvement of Protection of Human Subjects in Research Web Site:
human subjects. Describe the characteristics of the subject http://www.ed.gov/about/offices/list/OCFO/humansub.html
population, including their anticipated number, age range, and
health status. Identify the criteria for inclusion or exclusion of NOTE: The State Applicant Identifier on the SF 424 is for
any subpopulation. Explain the rationale for the involvement of State Use only. Please complete it on the OMB Standard 424 in
special classes of subjects, such as children, children with the upper right corner of the form (if applicable).
disabilities, adults with disabilities, persons with mental

49
 Instructions for Department of Education Budget Information –
Non-Construction Programs (ED Form 524)

General Instructions

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

Section A - Budget Summary

U.S. Department of Education Funds

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

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

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

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

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

Indirect Cost Information:

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

Section B - Budget Summary

Non-Federal Funds

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

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

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

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

Line 12, column (f): Show the total amount to be contributed for all years of the multi-year project. If non-Federal
contributions are provided for only one year, leave this space blank.
 Section C - Budget Narrative [Attach separate sheet(s)]
Pay attention to applicable program specific instructions, if attached.

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

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

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

When calculating indirect costs (line 10) for "Training grants" or grants under "Restricted Rate" programs, you
must refer to the information and examples on ED’s website at:
http://www.ed.gov/fund/grant/apply/appforms/appforms.html.
You may also contact (202) 377-3838 for additional information regarding calculating indirect cost rates or
general indirect cost rate information.

4. Provide other explanations or comments you deem necessary.

Paperwork Burden Statement

According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of
information unless such collection displays a valid OMB control number. The valid OMB control number for this
information collection is 1890-0004. The time required to complete this information collection is estimated to vary
from 13 to 22 hours per response, with an average of 17.5 hours per response, including the time to review
instructions, search existing data sources, gather the data needed, and complete and review the information
collection. If you have any comments concerning the accuracy of the time estimate(s) or suggestions for improving
this form, please write to: U.S. Department of Education, Washington, D.C. 20202-4651. If you have comments or
concerns regarding the status of your individual submission of this form, write directly to (insert program office),
U.S. Department of Education, 400 Maryland Avenue, S.W., Washington, D.C. 20202.
 INSTRUCTIONS FOR COMPLETION OF SF-LLL, DISCLOSURE OF LOBBYING ACTIVITIES
This disclosure form shall be completed by the reporting entity, whether subawardee or prime Federal recipient, at the initiation or receipt of a covered
Federal action, or a material change to a previous filing, pursuant to title 31 U.S.C. section 1352. The filing of a form is required for each payment or
agreement to make payment to any lobbying entity for influencing or attempting to influence an officer or employee of any agency, a Member of Congress,
an officer or employee of Congress, or an employee of a Member of Congress in connection with a covered Federal action. Complete all items that apply for
both the initial filing and material change report. Refer to the implementing guidance published by the Office of Management and Budget for additional
information.

1. Identify the type of covered Federal action for which lobbying activity is and/or has been secured to influence the
outcome of a covered Federal action.

2. Identify the status of the covered Federal action.

3. Identify the appropriate classification of this report. If this is a followup report caused by a material change to the
information previously reported, enter the year and quarter in which the change occurred. Enter the date of the last
previously submitted report by this reporting entity for this covered Federal action.

4. Enter the full name, address, city, State and zip code of the reporting entity. Include Congressional District, if known.
Check the appropriate classification of the reporting entity that designates if it is, or expects to be, a prime or subaward
recipient. Identify the tier of the subawardee, e.g., the first subawardee of the prime is the 1st tier. Subawards include
but are not limited to subcontracts, subgrants and contract awards under grants.

5. If the organization filing the report in item 4 checks “Subawardee,” then enter the full name, address, city, State and zip
code of the prime Federal recipient. Include Congressional District, if known.

6. Enter the name of the federal agency making the award or loan commitment. Include at least one organizational level
below agency name, if known. For example, Department of Transportation, United States Coast Guard.

7. Enter the Federal program name or description for the covered Federal action (item 1). If known, enter the full Catalog
of Federal Domestic Assistance (CFDA) number for grants, cooperative agreements, loans, and loan commitments.

8. Enter the most appropriate Federal identifying number available for the Federal action identified in item 1 (e.g.,
Request for Proposal (RFP) number; Invitations for Bid (IFB) number; grant announcement number; the contract,
grant, or loan award number; the application/proposal control number assigned by the Federal agency). Included
prefixes, e.g., “RFP-DE-90-001.”

9. For a covered Federal action where there has been an award or loan commitment by the Federal agency, enter the
Federal amount of the award/loan commitment for the prime entity identified in item 4 or 5.

10. (a) Enter the full name, address, city, State and zip code of the lobbying registrant under the Lobbying Disclosure Act
of 1995 engaged by the reporting entity identified in item 4 to influence the covered Federal action.

(b) Enter the full names of the individual(s) performing services, and include full address if different from 10(a).
Enter Last Name, First Name, and Middle Initial (MI).

11. The certifying official shall sign and date the form, print his/her name, title, and telephone number.

According to the Paperwork Reduction Act, as amended, no persons are required to respond to a collection of information unless
it displays a valid OMB control Number. The valid OMB control number for this information collection is OMB No. 0348-0046.
Public reporting burden for this collection of information is estimated to average 10 minutes per response, including time for
reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing
the collection of information. Send comments regarding the burden estimate or any other aspect of this collection of information,
including suggestions for reducing this burden, to the Office of Management and Budget, Paperwork Reduction Project (0348-
0046), Washington, DC 20503
 INSTRUCTIONS FOR SURVEY ON ENSURING EQUAL OPPORTUNITY FOR
APPLICANTS

Provide the applicant’s (organization) name and D-U-N-S number and the grant name and CFDA
number.

1. Self-explanatory.

2. Self-identify.

3. Self-identify.

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

5. Self-explanatory.

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

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

Paperwork Burden Statement

According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information
unless such collection displays a valid OMB control number. The valid OMB control number for this information
collection is 1890-0014. The time required to complete this information collection is estimated to average five (5)
minutes per response, including the time to review instructions, search existing data resources, gather the data needed,
and complete and review the information collection. If you have any comments concerning the accuracy of the time
estimate(s) or suggestions for improving this form, please write to: The Agency Contact listed in this grant
application package.
 Intergovernmental Review of Federal Programs
This grant competition is subject to the requirements of Executive Order 12372 and the
regulations in 34 CFR Part 79. One of the objectives of the Executive Order is to foster an
intergovernmental partnership and a strengthened federalism. The Executive Order relies on
processes developed by state and local governments for coordination and review of proposed
federal financial assistance.

Applicants must contact the appropriate State Single Point of Contact to find out about, and to
comply with, the state’s process under Executive Order 12372. Applicants proposing to perform
activities in more than one state should immediately contact the Single Point of Contact for each
of those states and follow the procedure established in each state under the Executive Order. The
name and address of each State Single Point of Contact is listed below. Note: A copy of the
applicant’s letter to the State Single Point of Contact must be included with the application.

To view a list of states that participate in the intergovernmental review process, visit
www.whitehouse.gov/omb/grants/spoc.html.

In states that have not established a process or chosen a program for review, state, area-wide,
regional, and local entities may submit comments directly to the Department.

Any state process recommendation and other comments submitted by a State Single Point of
Contact and any comments from state, area-wide, regional, and local entities must be received by
April 20, 2007, at the following address: The Secretary, EO 12372—CFDA #84.215H, U.S.
Department of Education, 400 Maryland Avenue, SW, Room 7W300, Washington, DC 20202-
0124. Recommendations or comments may be hand-delivered until 4:30 p.m. (Eastern Time) on
April 20, 2007. Please do not send applications to this address.

States that are not listed have chosen not to participate in the intergovernmental review process,
and therefore do not have a State Single Point of Contact. If you are located within one of these
states, you are exempt from this requirement.

General Education Provisions Act (GEPA) Section 427

Section 427 of GEPA affects applicants for new discretionary grant awards under this program.
All applicants for new awards must include information in their applications to address this
provision, summarized below, in order to receive funding under this program.

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 section allows applicants discretion in developing the required description. The statute
highlights six types of barriers that can impede equitable access or participation that you may
address: gender, race, national origin, color, disability, or age. Based on local circumstances,
you can determine whether these or other barriers may prevent your students, teachers, or others
from equitable access or participation. Your description 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.

NOTE: A general statement of an applicant’s nondiscriminatory hiring policy is not

sufficient to meet this requirement. Applicants must identify potential barriers and explain
steps they will take to overcome these barriers.

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 eliminate barriers it identifies.

Examples

The following examples 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 audiotape 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 tends 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 Public Reporting Burden

According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of
information unless it displays a valid OMB control number. The valid OMB control number for the
GEPA 427 is OMB No. 1890-0007. The time required to complete GEPA 427 is estimated to average 1.5
hours per response, including the time to review instructions, search existing data sources, gather and
maintain the data needed, and complete and review the information collection. If you have any comments
concerning the accuracy of the time estimate or suggestions for improving this form, please write to: U.S.
Department of Education, Washington, DC 20202-4651. If you have comments or concerns regarding the
status of your individual submission of this form, write directly to: U.S. Department of Education, Office
of Safe and Drug-Free Schools, 400 Maryland Avenue, SW, Washington, DC 20202-6450.
 Application Preparation Checklist

Application for Federal Assistance (SF Form 424) is completed according to the instructions and includes
the nine-digit D-U-N-S Number and Tax Identification Number.

All required forms are signed in black or blue ink and dated by an authorized official and the signed
original is included with your submission.

One signed original and two copies of the application, including all required forms and appendices plus
one voluntarily submitted additional copy, are included. All copies are unbound and each page is
consecutively numbered.

Deadline Date: April 13, 2007. See Sections I and IV of this application package for complete application
transmittal instructions and general application instructions and information.

EACH COPY OF THE APPLICATION MUST INCLUDE THE FOLLOWING:

‰ Application for Federal Assistance (SF Form 424) - Page 1

‰ Department of Education Supplemental Information Form for the SF 424

‰ Project Abstract - Page 2 (one page maximum)

‰ Project Narrative (up to 25 pages double-spaced)

‰ All applications must include the required forms, assurances, and certifications, including:

‰ Budget Information Form (ED Form 524) and detailed budget narrative

‰ Assurances, Non-Construction Programs (ED Form 424B)

‰ Grants.gov Lobbying Form

‰ Disclosure of Lobbying Activities (Standard Form–LLL)

‰ Narrative response to GEPA 427

‰ Faith-Based EEO Survey

‰ Copy of letter to State Single Point of Contact (see page 56)

‰ Proof of federally negotiated indirect cost rate (if you are claiming indirect costs)

‰ Resumes of key personnel

‰ Letters of commitment
 Paperwork Burden Statement

According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of
information unless it displays a valid OMB control number. The valid OMB control number for this
information collection is OMB No. 1890-0009, Expiration Date: 06/30/2008. The time required to
complete this information collection is estimated to average 32 hours per response, including the time to
review instructions, search existing data sources, gather the data needed, and complete and review the
information collection.

If you have any comments concerning the accuracy of the time estimate or suggestions for improving this
form, please write to: U.S. Department of Education, Washington, DC 20202-4651. If you have
comments or concerns regarding the status of your individual submission of this form, write directly to:
U.S. Department of Education, Office of Safe and Drug-Free Schools, 400 Maryland Avenue, SW,
Washington, DC 20202-6450.