ARCHIVED INFORMATION

U.S. Department of Education

Office of Elementary and Secondary Education
Washington, DC 20202-6336

FISCAL YEAR 2005

APPLICATION FOR NEW GRANTS
FOR THE
STRIVING READERS PROGRAM
Title I, Part E, Section 1502
Elementary and Secondary Education Act of 1965
as amended by the No Child Left Behind Act, 2001, Public Law 107-110

CFDA Number: 84.371A

FORM APPROVED
OMB No.1890-0009
Expiration Date: June 30, 2008

DATED MATERIAL – OPEN IMMEDIATELY

Application Deadline: November 14, 2005

Paperwork Burden Statement

According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless that
collection displays a valid OMB control number. The valid OMB control number for this information collection is 1890-0009
(expiration date: June 30, 2008). The time required to complete this information collection is estimated to average 40 hours per
response, including the time to review instructions, search existing data resources, gather the data needed, and complete and
review the information collection. If you have any comments about the accuracy of the time estimate or suggestions for
improving this form, or comments or concerns about the status of your individual submission of this form, write directly to:
Striving Readers, Office of Elementary and Secondary Education, U.S. Department of Education, 400 Maryland Avenue, SW,
Washington, D.C. 20202-6132; (202) 205-6272; E-mail: [email protected]
 Striving Readers: Table of Contents

Section A: Striving Readers Program Overview

Background ....................................................................................................................................2
Program Purpose and Overview ..................................................................................................3
How the Striving Readers Application Process Will Work .......................................................9

Section B: Federal Register Notice and Relevant Statutory and Regulatory Provisions
Notice Inviting Applications........................................................................................................13
Relevant Statutory and Regulatory Provisions.........................................................................45

Section C: The Application – (CFDA No. 84.371A)

The Application Process ..............................................................................................................51
Application Deadline .....................................................................................................51
Application Procedures and Instructions .....................................................................51
Application Selection Criteria ....................................................................................................60
Budget Information .....................................................................................................................71
Application Final Checklist.........................................................................................................74
Application Forms ......................................................................................................................75
ED Form 424 (Application For Federal Assistance – CFDA # 84.371A)
ED Form 524 (Budget Information Form – CFDA # 84.371A)
Assurances – Non-Construction Programs (Standard Form 424B)
ED Form 80-0013 (Certification regarding Lobbying)
Debarment, Supervision and other Responsibility Matters (ED Form 80-0014)
Disclosure of Lobbying Activities (SF LLL) (submit if applicable)
Notice to All Applicants (Section 427, GEPA)
Other Important Information
Executive Order 12372 (Intergovernmental Review of Federal Programs)
Single State Point of Contact List
Important Notice to Prospective Participants in U.S. Department of
Education Contract and Grant Programs
Dear Applicant:

Striving Readers is a new U.S. Department of Education discretionary grant program and part of
President George W. Bush’s initiative designed to help States ensure that all students graduate
with a meaningful high school diploma in their hands – one that ensures that graduates have the
skills needed to succeed in college and in a globally competitive workforce.

The Striving Readers program is focused on raising reading achievement among middle and high
school-aged students by enhancing the quality of literacy instruction across the curriculum in
schools, providing intensive interventions to improve the literacy skills of struggling adolescent
readers, and building a strong, scientific research base around reading strategies that improve
adolescent literacy skills.

For information about the Striving Readers program and instructions on how to apply for a grant,
please review the attached materials and visit the Striving Readers website at
http://www.ed.gov/programs/strivingreaders. If you have specific questions about the program
or the application process, please contact the Striving Readers program staff by e-mail at
[email protected], or by telephone at (202) 205-6272.

Striving Readers offers an exciting opportunity to ensure that middle and high school students
acquire the literacy skills needed for postsecondary education, careers, and meaningful
participation in our society. Thank you for your interest in this program. We are looking forward
to receiving your grant applications for Striving Readers and appreciate your commitment to
improving adolescent literacy.

Sincerely,

Raymond Simon
Deputy Secretary
 Section A:

STRIVING READERS
PROGRAM OVERVIEW
 Striving Readers: Background
According to recent data from the National Assessment of Educational Progress (NAEP)
only about one-third of our nation’s middle and high school students meet the standard of
reading “proficiently” for their grade level. In a typical high-poverty, urban school,
approximately half of all in-coming ninth-grade students read at a sixth- or seventh-grade
level and, on average, African-American and Hispanic twelfth-grade students read at the
same level as white eighth-grade students. Studies also show that adolescents who are
struggling readers are at high risk of dropping out of high school without a diploma,
graduating unprepared for college, and having limited opportunities in the workforce.

The basic skills adolescent readers need are the same foundational skills we expect
younger students to master as they learn to read. Scientifically based reading research
identifies explicit and systematic instruction in five essential components of reading:
phonemic awareness (the ability to hear, identify and manipulate individual sounds in
spoken words), phonics (the understanding that there is a predictable relationship
between phonemes and graphemes), vocabulary (development of stored information
about the meanings and pronunciation of words), reading fluency (the ability to read text
accurately and quickly) and reading comprehension (understanding, remembering, and
communicating with others about what has been read). Of particular concern with
adolescent struggling readers are vocabulary, fluency and comprehension, as well as
issues such as motivation and access to age appropriate reading materials.

While research is strong on the basic components of literacy and strategies to help young
children learn to read, there is much less research and proven practice on the
development of reading skills among adolescents and the identification, prevention, and
remediation of reading difficulties in middle and high school students. Some middle and
high school students still need to develop basic reading skills. For a larger group of
adolescent students who have learned basic reading skills in the early grades, vocabulary,
fluency, and comprehension can be significant challenges beyond elementary school.

Recent publications by literacy experts and practitioners have recommended

incorporating the following elements into efforts to help middle and high school students
master reading basic skills and comprehension:

• Extended learning time for literacy

• Direct, explicit instruction in comprehension
• Modeling of reading and thinking strategies for comprehension
• Cooperative learning and discussion of texts among students
• Self-selected reading at students’ ability levels to build motivation
• On-going progress monitoring
• Intensive writing
• Age appropriate and diverse reading materials
• Interdisciplinary, classroom-based efforts to focus on literacy

2
 Striving Readers: Program Purpose and Overview
Striving Readers is a new discretionary grant program authorized as part of the 2005
Fiscal Year Appropriations Act under the Title I demonstration authority (Part E, Section
1502 of the Elementary and Secondary Education Act of 1965, as amended by the No
Child Left Behind Act, 2001 - PL 107-110).

Program Purpose

The purpose of the Striving Readers program is to raise the reading achievement levels of
middle and high school-aged students in Title I-eligible schools with significant numbers
of students reading below grade level. The program supports new comprehensive
reading initiatives or expansion of existing initiatives that improve the quality of literacy
instruction across the curriculum, provide intensive literacy interventions to struggling
adolescent readers, and help to build a strong, scientific research base for identifying and
replicating strategies that improve adolescent literacy skills.

Program Goals

The goals of the Striving Readers program are to:

• Enhance the overall level of reading achievement in middle and high schools
through improvements to the quality of literacy instruction across the curriculum,

• Improve the literacy skills of struggling adolescent readers, and

• Help build a strong, scientific, research base around specific strategies that
improve adolescent literacy skills.

Key Program Components

Striving Readers projects will include each of three key components:

• School level strategies designed to increase reading achievement for students

by improving the quality of literacy instruction across the curriculum –
These strategies must include, at a minimum, a needs assessment, professional
development, and a process for monitoring student performance.

• Intensive, targeted intervention for struggling readers (i.e., students who

read at least two years below grade level, including limited English proficient
students and students with disabilities) – The intervention must include, at a
minimum, assessments to identify struggling readers, a supplementary literacy
intervention designed to accelerate the development of literacy skills for these
readers, professional development for their teachers, and a process for monitoring
student progress that includes the administration of student assessments.

3
 • A project evaluation that includes a rigorous experimental research
evaluation of the intensive, targeted intervention for struggling readers. The
evaluation of the intensive, targeted intervention must be conducted by an
independent evaluator and must include a randomized control trial. The project
evaluation must also include a rigorous evaluation of the school-level strategies
designed to increase reading achievement for students by integrating enhanced
literacy instruction throughout the curriculum and the school. The evaluation of
the school-level strategies also must be conducted by an independent evaluator
and may, but need not, include a randomized control trial.

Program Activities

Striving Reader grantees are expected to use program funds for the following types of
activities:

• Providing middle and high school age children reading at least two years below
grade level with supplemental or replacement interventions to improve basic
skills, motivation, vocabulary, fluency, and comprehension using research-based
strategies. Such interventions may include extra time, “double-dosing,” small
group instruction, supplemental curricula for accelerated learning, employment of
a reading specialist or coach, access to reading materials that appeal to adolescent
aged readers, administration of regular and ongoing, valid and reliable
assessments, and professional development for teachers.

• Providing professional development aligned with scientifically based reading

research or integrating comprehension and literacy skills in the classroom across
subject areas.

• Acquiring, providing training for, and implementing valid and reliable reading
assessments or other appropriate measures that are based on scientifically based
reading research to determine whether students are developing and improving
reading skills.

• Designing and implementing a rigorous evaluation, including random assignment,

of the grantee’s literacy intervention that will measure whether the intervention
was properly implemented and will track student performance in reading/literacy
as measured by regular ongoing assessment as well as state assessment results.

Planning Period

The Department anticipates that grantees may use the remainder of the 2005-06 school
year, after grants are awarded, as a start up period. During this time period grantees can
secure program services, train teachers for literacy interventions, and finalize evaluation
designs. During this period, the U.S. Department of Education will convene project
director grantees and their evaluators to discuss and help refine program and evaluation
plans.

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Assessment

Grantees are not required to adopt a particular reading assessment chosen by the U.S.
Department of Education. However, funded projects must have an assessment
component to measure student achievement in reading. Grantees are expected to use both
state assessments and other valid and reliable literacy assessments – more regularly
administered and more finely tuned to growth in reading skills – to measure and
demonstrate student progress.

Evaluation

Because Striving Readers is a demonstration program and because one of the key goals of
this demonstration program is to help build a strong, scientific, research base around
specific strategies that improve adolescent literacy skills, each program must have a
rigorous, experimental evaluation design. This evaluation must be conducted by
independent researchers, such as independent research firms or universities, who have
experience in experimental design and scientifically based reading research. In addition,
the U.S. Department of Education plans to provide technical assistance to help grantees
and their evaluation partners with evaluation design and implementation.

The key evaluation questions for the Striving Readers demonstration program are:

• Do the specific supplemental literacy and classroom-based strategies employed by

the grantee significantly improve reading proficiency among students? Do
different groups/types of students benefit in different ways/to a different extent?

In order to address these questions, the Striving Reader evaluations will include:

• An experimental evaluation design of the targeted literacy intervention for

struggling readers. Evaluations will need to include plans for adequate sample
sizes, random assignment, minimizing treatment-control contamination, and
timing of interventions and data collection.

• An evaluation of the classroom-based effort to improve the quality of literacy

instruction across the curriculum. The evaluation of the school-level strategies
may, but need not, include a randomized control trial.

• A plan for measuring outcomes that includes the regularly required state and local
assessments as well as an appropriate valid and reliable reading assessment to
measure the regular progress of students participating in the supplemental literacy
intervention.

• A plan for measuring the fidelity and frequency of implementation of the

supplemental literacy intervention and classroom-based literacy strategies. This
may include teacher surveys, data on teacher preparation and professional
development, classroom observations.

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Additional Program Requirements

Additionally, Striving Readers projects also must:

• Establish a Cooperative Agreement – Several weeks after sending notification of

a Striving Readers grant award, Striving Readers program staff will contact
grantees in order to establish a cooperative agreement regarding implementation
of the grant.

• Report on Performance Annually ─ Submit to the Department of Education

annual performance reports using the ED Form 524B Grant Performance Report,
available at: http://www.ed.gov/fund/grant/apply/appforms/appforms.html.
Additionally, the annual performance report must report the project’s performance
against the following program performance indicators for the Striving Readers
program:

1. The number/percentage of adolescent students reading

significantly below grade level who demonstrate a gain in their
reading achievement at a minimum of one grade level or its
equivalent after participating in an intensive intervention over an
academic year; and

2. The number/percentage of schools participating in Striving Readers

that demonstrate performance gains on their State’s assessment of
reading/language arts achievement.

• Cooperate with any Department Evaluation, Technical Assistance and Grantee

Coordination Efforts ─ Participate fully in any evaluation of the Striving Readers
program carried out by the Department of Education. The Department intends to
build the evaluation component of Striving Readers into local grants rather than
conduct a national evaluation. Once awards are made, the Department and
grantees will establish cooperative agreements that outline each grantee’s role and
responsibilities, including the evaluation, and the role of Department program
staff in monitoring grant awards. The Department intends to provide technical
assistance to grantees throughout the award period on grantee evaluation plans
and expects to meet with Striving Reader grantees periodically.

• Budget for Project Meetings – Each applicant must budget for (a) the project
director, the project evaluator, and up to two other key staff members to attend a
two-day technical assistance meeting with Department officials in Washington,
D.C. at least twice a year for each year of the project period; and (b) the project
director and the evaluator to attend a two-day post-award conference with
Department officials in Washington, D.C. after the grant award date.

6
Eligible Applicants

Eligible applicants for Striving Readers include:

LEAs that have schools that -–

a. Are eligible to receive funds under Part A of Title I of the ESEA, pursuant to section
1113 of the ESEA, and

b. Serve students in one or more grades in grades 6 through 12.

Eligible LEAs may apply individually, with other eligible LEAs, or in partnership with
one or more of the following entities:
• SEAs,
• Intermediate service agencies,
• Public or private institutions of higher education, and
• Public or private organizations with expertise in adolescent literacy and/or
rigorous evaluation.

In any partnership, the fiscal agent must be an eligible LEA.

Schools that receive support from Striving Readers funds must be eligible for, but not
necessarily receiving, funds under Part A of Title I. Information on Title I eligibility can
be found in Section 1113 of Title I of the Elementary and Secondary Education Act
(ESEA) and the regulations at 34 CFR 200.77 and 200.78. For further information on
Title I eligibility see Title I program guidance (especially Question 10 on middle and
high schools) at:

http://www.ed.gov/programs/titleiparta/wdag.doc

Students who are reading at least two years below grade level expectations would be
eligible to participate in the grantee’s literacy intervention for struggling readers
component of their Striving Readers program. Any student within an eligible school
would benefit from the grantee’s classroom level, cross-disciplinary efforts to improve
literacy skills.

In addition to meeting eligibility requirements, applicants will need to demonstrate that

the schools proposed to be served have significant numbers or percentages of students
reading below grade level and/or are not or are in danger of not meeting Title I adequate
yearly progress requirements under NCLB.

Note:

• Funding Allocation – The Secretary may, if necessary, fund projects out of rank
order in order to ensure that the Striving Readers funding is balanced between
projects serving middle and high school students.

7
 • Literacy Study Participants – Applicants may not apply for Striving Readers
funds on behalf of, or use Striving Readers funds in, schools participating in the
current Smaller Learning Communities Enhanced Reading Opportunities (ERO)
Study, a U.S. Department of Education funded national research evaluation of
supplemental adolescent literacy programs.

Available Funds

The Department will award Striving Readers grants on a competitive basis for a project
period of up to five years. We estimate that we will make approximately 8 grant awards,
ranging between $1,000,000 and $5,000,000 per year, with the average size of award
being $3,000,000 per year. The Department expects to award grants in December 2005.

Application Deadline

The deadline for Striving Readers applications is NOVEMBER 14, 2005.

Additional Information

Additional information on Striving Readers is available on the program’s Web page at:

http://www.ed.gov/programs/strivingreaders/

8
 How The Striving Readers Application Process Will Work
General Award Information

Striving Readers is a national competitive grant program directly administered by the

U.S. Department of Education. The Department will award grants based on the quality of
the applications and regulatory criteria in section 75.217 of the Education Department
General Administrative Regulations (EDGAR). Congress has appropriated $24.8 million
for new awards under this competition for FY 2005.

The Department will award Striving Readers grants on a competitive basis for a project
period of up to five years. We estimate that we will make approximately 8 grant awards,
ranging between $1,000,000 and $5,000,000 per year, with the average size of award
being $3,000,000 per year. The Department expects to award grants in December 2005.

Priorities

For this competition, the Secretary has established two absolute priorities.

The first absolute priority states that the applicant, if awarded a grant under this program,
will implement the proposed project only in schools eligible to receive Title I, Part A
funds under Section 1113 of the Elementary and Secondary Education Act of 1965, as
amended (ESEA), and that only students in grades 6 through 12 attending these schools
will participate in the Striving Readers program.

For more information on determining whether schools are eligible for Title I, please see:

http://www.ed.gov/programs/titleiparta/wdag.doc

This priority is established to ensure that Striving Readers funds will be targeted at
students in grades 6 through 12 attending schools that serve a significant percentage of
children from low-income families, as intended by the authorizing statute.

The second absolute priority is for projects to include three required components. In
order to be considered for funding, proposed projects must include the following three
required components:

1. School level strategies designed to increase reading achievement for students by

improving the quality of literacy instruction across the curriculum – These
strategies must include, at a minimum, a needs assessment, professional
development, and a process for monitoring student performance.

2. Intensive, targeted intervention for struggling readers (i.e., students who read at
least two years below grade level, including limited English proficient students
and students with disabilities) – The intervention must include, at a minimum,
assessments to identify struggling readers, a supplementary literacy intervention
designed to accelerate the development of literacy skills for these readers,

9
 professional development for their teachers, and a process for monitoring student
progress that includes the administration of student assessments.

3. A project evaluation that includes a rigorous experimental research evaluation of

the intensive, targeted intervention for struggling readers. The evaluation of the
intensive, targeted intervention must be conducted by an independent evaluator
and must include a randomized control trial. There must also be a rigorous
evaluation of the school-level strategies designed to increase reading achievement
for students by integrating enhanced literacy instruction throughout the
curriculum and the school. The evaluation of the school-level strategies also must
be conducted by an independent evaluator and may, but need not, include a
randomized control trial.

This priority is established to ensure that Striving Readers projects will result in
accelerated reading achievement for adolescents reading significantly below grade level,
including limited English proficient students and students with disabilities. This absolute
priority is also established to ensure that the evaluations of Striving Readers projects
include rigorous scientifically based research methods and that the evaluations are of
sufficient quality to determine the effectiveness of the interventions provided.

The experimental evaluation design of the targeted intervention must include a

randomized controlled trial – an experimental design in which participants (e.g., schools
or students) are randomly assigned either to participate in the project activities or to a
control group that does not participate in the project activities to be evaluated.

Well-designed and implemented randomized control trials are considered the "gold
standard" for evaluating an intervention's effectiveness. They enable the evaluator to
determine whether the intervention itself, as opposed to other factors, causes the observed
outcomes.

The Institute for Educational Sciences’ (IES) What Works Clearinghouse supports a Help
Desk that applicants may contact to help identify interventions and design evaluations
that meet IES evidence standards. For more information see:
http://www.whatworks.ed.gov

Program Performance Measures

Striving Readers is subject to the Government Performance and Results Act (GPRA).
GPRA requires each agency and program to set targets for its performance, measure
progress toward those targets, report on whether or not the targets have been met, and
describe future strategies for continued striving toward those targets. This process is
designed to improve program management, and to help Congress, the Department of
Education, the Office of Management and Budget, and others review a program’s
progress toward its goals. Under GPRA, the Secretary has established the following two
measures for evaluating the overall effectiveness of the Striving Readers program:

10
 1. The number/percentage of adolescent students reading significantly below
grade level who demonstrate a gain in their reading achievement at a
minimum of one grade level or its equivalent after participating in an intensive
intervention over an academic year; and,

2. The number/percentage of schools participating in the Striving Readers

intervention that demonstrate performance gains on their State’s assessment of
reading/language arts achievement.

All grantees must document their performance in addressing these performance measures
in the required annual performance report.

Application Process

The grant competition will include an application process. Eligible applicants who wish
to receive a Striving Readers grant must submit an application in accordance with the
instructions included in the Federal Register Notice and the application package. The
Department, through a peer review panel of experts, will evaluate each application based
on the application selection criteria (worth up to 100 points). This application must
address both of the absolute priorities in addition to the following seven selection criteria:

1. Need for the Project

2. Quality of the Project Design
3. Quality of the Project Personnel
4. Adequacy of Resources
5. Quality of the Management Plan
6. Evaluation
7. Significance

Awards

The Department will select applicants for funding based on the quality of the
applications, including their rank order based on the application selection criteria.
Additionally, the Department may make awards so that Striving Readers funding is
distributed between projects serving middle school and high school aged students. In
making funding decisions, the Department will use the procedures in section 75.217 of
EDGAR, 34 CFR 75.217.

The Department anticipates making final awards with FY 2005 funds in December 2005.
Contingent upon the availability of funds and quality of applications the Department may
make additional awards with FY 2006 program funds, if available, from the list of
unfunded applicants from this competition.

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 Section B:

FEDERAL REGISTER NOTICE

AND RELEVANT STATUTORY
PROVISIONS

12
4000-01-U

DEPARTMENT OF EDUCATION

Office of Elementary and Secondary Education

Overview Information

Striving Readers

Notice inviting applications for new awards for fiscal year

(FY) 2005.

Catalog of Federal Domestic Assistance (CFDA) Number:

84.371A

Dates:

Applications Available: August 15, 2005.

Deadline for Notice of Intent to Apply: September 14,

2005.

Deadline for Transmittal of Applications: November 14,

2005.

Deadline for Intergovernmental Review: December 13, 2005.

Dates of Pre-Application Meetings: The Department will

conduct a series of briefings on this competition via

conference call to clarify the purposes of the program, the

selection criteria, and the competition process. Consult

the Striving Readers Web site at

www.ed.gov/programs/strivingreaders for dates and times of

the pre-application meetings.

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Eligible Applicants: Local educational agencies (LEAs)

that have schools that –-

1. Are eligible to receive funds under Part A of Title

I of the Elementary and Secondary Education Act of 1965, as

amended (ESEA), pursuant to section 1113 of the ESEA, and

2. Serve students in one or more grades in grades 6

through 12.

Eligible LEAs may apply individually, with other

eligible LEAs, or in partnership with one or more of the

following entities:

o State educational agencies (SEAs),

o Intermediate service agencies,

o Public or private institutions of higher

education, and

o Public or private organizations with expertise

in adolescent literacy and/or rigorous evaluation.

In any partnership, the fiscal agent must be an

eligible LEA.

Estimated Available Funds: $24,000,000. Contingent upon

the availability of funds and quality of applications we

may make additional awards in subsequent years from the

list of unfunded applicants from this competition.

Estimated Range of Awards: $1,000,000-5,000,000 per year.

Estimated Average Size of Awards: $3,000,000 per year.

14
Maximum Award Amount: We do not intend to make any awards

exceeding $5,000,000 per year.

Estimated Number of Awards: 8.

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

notice.

Project Period: Up to 60 months. Continuation awards are

contingent on a grantee’s progress and future Congressional

appropriations.

Full Text of Announcement

I. Funding Opportunity Description

Purpose of Program: The purpose of the Striving Readers

program is to raise the reading achievement levels of

middle and high school-aged students in Title I-eligible

schools with significant numbers of students reading below

grade level. The program supports new comprehensive

reading initiatives or expansion of existing initiatives

that improve the quality of literacy instruction across the

curriculum, provide intensive literacy interventions to

struggling adolescent readers, and help to build a strong,

scientific research base for identifying and replicating

strategies that improve adolescent literacy skills.

Priorities: We are establishing these priorities in

accordance with section 437(d)(1) of the General Education

Provisions Act.

15
Absolute Priorities: For FY 2005 and any subsequent year

in which we make awards based on the list of unfunded

applicants from this competition, these priorities are

absolute priorities. Under 34 CFR 75.105(c)(3) we consider

only applications that meet these priorities.

These priorities are: Priority One -- Students in

Grades 6 through 12 in Title I-eligible schools; and

Priority Two –- Comprehensive Reading Initiative

Components.

Background of Priority One

The first absolute priority is established to ensure

that the funds will be targeted as intended by the

authorizing statute.

Statement of Priority One – Students in Grades 6 through 12

in Title I-eligible Schools

The applicant, if awarded a grant under this program,

will use the funds to serve only students in one or more

grades in grades 6 through 12 in schools eligible to

receive funds under Part A of Title I of the ESEA.

Background of Priority Two

The second absolute priority is established to ensure

that Striving Readers projects will result in accelerated

16
reading achievement for adolescents reading significantly

below grade level, including limited English proficient

students and students with disabilities. This absolute

priority is also established to ensure that the evaluations

of Striving Readers projects include rigorous

scientifically based research methods and that the

evaluations are of sufficient quality to determine the

effectiveness of the interventions provided.

The experimental evaluation design of the targeted

intervention must include a randomized controlled trial –

an experimental design in which participants (e.g., schools

or students) are randomly assigned either to participate in

the project activities or to a control group that does not

participate in the project activities to be evaluated.

Well-designed and implemented randomized control

trials are considered the "gold standard" for evaluating an

intervention's effectiveness. They enable the evaluator to

determine whether the intervention itself, as opposed to

other factors, causes the observed outcomes.

The Institute for Educational Sciences’ (IES) What

Works Clearinghouse supports a Help Desk that applicants

can contact to help identify interventions and design

evaluations that meet IES evidence standards. For more

information see: http://www.whatworks.ed.gov

17
Statement of Priority Two – Comprehensive Reading

Initiative Components

The applicant, if awarded a grant under this program,

will use the funds to support a comprehensive reading

initiative that includes the following components:

1. School-level strategies designed to increase

reading achievement for students by integrating enhanced

literacy instruction throughout the curriculum and the

entire school. These strategies must include, at a

minimum, a needs assessment, professional development, and

a process for monitoring student performance.

2. An intensive, targeted intervention for struggling

readers (i.e., students who read at least two years below

grade level, including limited English proficient students

and students with disabilities). The intervention must

include, at minimum, assessments to identify struggling

readers, a supplementary literacy intervention designed to

accelerate the development of literacy skills for these

readers, professional development for their teachers, and a

process for monitoring student progress that includes the

administration of student assessments.

3. A project evaluation that includes –-

(a) A rigorous experimental research evaluation of the

intensive, targeted intervention for struggling readers.

18
The evaluation of the intensive, targeted intervention must

be conducted by an independent evaluator and must include a

randomized control trial; and

(b) A rigorous evaluation of the school-level

strategies designed to increase reading achievement for

students by integrating enhanced literacy instruction

throughout the curriculum and the school. The evaluation

of the school-level strategies must be conducted by an

independent evaluator and may, but need not, include a

randomized control trial.

To meet this priority, applicants must demonstrate

that they have allocated sufficient program and other funds

to carry out a high-quality evaluation of the proposed

Striving Readers project. Applicants also will need to

include a sufficient number of schools and students to

support an experimental evaluation design of the targeted

intervention.

Other Program Requirements:

1. Funding Allocation: The Secretary may fund

projects out of rank order in order to ensure that the

Striving Readers funding is balanced between projects

serving middle and high school students.

2. Literacy Study Participants: Applicants may not

apply for Striving Readers funds on behalf of, or use

19
Striving Readers funds in, schools participating in the

current Smaller Learning Communities Enhanced Reading

Opportunities (ERO) Study, a U.S. Department of Education

funded national research evaluation of supplemental

adolescent literacy programs.

3. Implementation Schedule: The 2006-2007 school year

will be considered the first year for full Striving Readers

project implementation. A grantee may use that portion of

the 2005-2006 school year that remains after it receives

its award as a planning period to prepare for the full

implementation of its Striving Readers project during the

following school year and to complete the design of

Striving Readers project evaluation. The Department will

provide technical assistance on evaluation plans during the

planning period and throughout the project period.

4. Project Meetings: Each applicant must budget

for –-

(a) The project director, the project evaluator, and

up to two other key staff members to attend a two-day

technical assistance meeting with Department officials in

Washington, D.C. at least twice a year for each year of the

project period; and

20
 (b) The project director and the evaluator to attend a

two-day post-award conference with Department officials in

Washington, D.C. after the grant award date.

Waiver of Proposed Rulemaking: Under the Administrative

Procedure Act (APA) (5 U.S.C. 553), the Department

generally offers interested parties the opportunity to

comment on proposed priorities, eligibility requirements,

and other non-statutory program requirements. Section

437(d)(1) of the General Education Provisions Act (20

U.S.C. 1232(d)(1)), however, allows the Secretary to exempt

from rulemaking requirements, regulations governing the

first grant competition under a new or substantially

revised program authority. This is the first grant

competition for this program under section 1502 of the ESEA

and, therefore, qualifies for this exemption. In order to

ensure timely grant awards, the Secretary has decided to

forego public comment on the absolute priorities,

eligibility requirements, and non-statutory program

requirements under section 437(d)(1). These absolute

priorities, eligibility requirements and non-statutory

program requirements will apply to the FY 2005 grant

competition and any subsequent awards we make based on the

list of unfunded applications from this competition.

Program Authority: 20 U.S.C. 6492.

21
Applicable Regulations: The Education Department General

Administrative Regulations (EDGAR) in 34 CFR parts 74, 75,

77, 79, 80, 81, 82, 84, 85, 86, 97, 98, and 99, as

applicable.

Note: The regulations in 34 CFR part 79 apply to all

applicants except federally recognized tribes.

Note: The regulations in 34 CFR part 86 apply to

institutions of higher education only.

II. Award Information

Type of Award: Cooperative agreement.

Estimated Available Funds: $24,000,000. Contingent upon

the availability of funds and quality of applications we

may make additional awards in subsequent years from the

list of unfunded applicants from this competition.

Estimated Range of Awards: $1,000,000-5,000,000 per year.

Estimated Average Size of Awards: $3,000,000 per year.

Maximum Award Amount: We do not intend to make any awards

exceeding $5,000,000 per year.

Estimated Number of Awards: 8.

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

notice.

22
Project Period: Up to 60 months. Continuation awards are

contingent on a grantee’s progress and future Congressional

appropriations.

III. Eligibility Information

1. Eligible Applicants: LEAs that have schools that

-–

a. Are eligible to receive funds under Part A of

Title I of the ESEA, pursuant to section 1113 of the ESEA,

and

b. Serve students in one or more grades in grades 6

through 12.

Eligible LEAs may apply individually, with other

eligible LEAs, or in partnership with one or more of the

following entities:

o SEAs,

o Intermediate service agencies,

o Public or private institutions of higher

education, and

o Public or private organizations with expertise

in adolescent literacy and/or rigorous evaluation.

In any partnership, the fiscal agent must be an

eligible LEA.

Note: For more information on determining Title I

eligibility see:

23
http://www.ed.gov/programs/titleiparta/wdag.doc

2. Cost Sharing or Matching: This program does not

involve cost sharing or matching.

IV. Application and Submission Information

1. Address to Request Application Package: You may

obtain the application package electronically by

downloading it from the Striving Readers Web site:

http://www.ed.gov/programs/strivingreaders/applicant.html

You may also request an application package by

contacting the Striving Readers program contact person

listed in section VII of this notice at (202) 205-6272 or

by e-mail at [email protected].

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 in section VII

of this notice.

2. Content and Form of Application Submission:

Requirements concerning the content of the application,

together with the forms you must submit, are in the

application package for this program.

Page Limits: The application narrative for this program

(Part II of the application) is where you, the applicant,

address the selection criteria that reviewers use to

24
evaluate your application. We strongly encourage

applicants to limit Part II of the application to the

equivalent of no more than 60 pages. Part III of the

application is where you, the applicant, provide a budget

narrative that reviewers use to evaluate your application.

We strongly encourage you to limit the budget narrative in

Part III to the equivalent of no more than five pages.

Part IV of the application is where you, the applicant,

provide the list and a brief description of the schools

included in the proposed Striving Readers project, up to

five resumes (curriculum vitae), and the demonstration of

stakeholder support for the project that reviewers use to

evaluate your application. The Department strongly

encourages applicants to limit the list and the brief

description of the schools to the equivalent of no more

than 10 pages. The Department also strongly encourages

applicants to limit each resume to the equivalent of no

more than three pages each and limit the demonstration of

stakeholder support for the project to the equivalent of no

more than 10 pages. While the Department strongly

encourages applicants to follow page limit recommendations,

applications that exceed these limits will not be excluded

from the competition. For all page limit recommendations,

use the following standards:

25
 • A “page” is 8.5" x 11", on one side only, with 1"

margins at the top, bottom, and both sides.

• Double space (no more than three lines per vertical

inch) all text in the application narrative, including

titles, headings, footnotes, quotations, and references

included in the body of the narrative.

• Text in endnotes, charts, tables, figures, and

graphs may be single-spaced.

• Use a font that is either 12 point or larger or no

smaller than 10 pitch (characters per inch), including text

in endnotes, charts, tables, figures, and graphs.

• The page limits do not apply to Part I, the cover

sheet and the one-page abstract; the budget (ED Form 524);

or the endnotes.

3. Submission Dates and Times:

Applications Available: August 15, 2005.

Deadline for Notice of Intent to Apply: September 14,

2005.

In order to expedite the process for reviewing grant

applications, we strongly encourage each potential

applicant to send a notice of its intent to apply for

funding to the following address: [email protected].

The notice of intent to apply is optional and should not

include information regarding the proposed application.

26
Dates of Pre-Application Meetings: The Department will

conduct a series of briefings on this competition via

conference call to clarify the purposes of the program, the

selection criteria, and the competition process. Consult

the Striving Readers Web site at

www.ed.gov/programs/strivingreaders for dates and times of

the pre-application meetings.

Deadline for Transmittal of Applications: November 14,

2005.

Applications for grants under this program must be

submitted electronically using the Electronic Grant

Application System (e-Application) available through the

Department’s e-Grants system. For information (including

dates and times) about how to submit your application

electronically or by mail or hand delivery if you qualify

for an exception to the electronic submission requirement,

please refer to section IV.

6. Other Submission Requirements in this notice.

Deadline for Intergovernmental Review: December 13, 2005.

We do not consider an application that does not comply

with the deadline for transmittal of applications.

4. Intergovernmental Review: This program is subject

to Executive Order 12372 and the regulations in 34 CFR part

79. Information about Intergovernmental Review of Federal

27
Programs under Executive Order 12372 is in the application

package for this program.

5. Funding Restrictions: We reference regulations

outlining funding restrictions in the Applicable

Regulations section of this notice.

6. Other Submission Requirements: Applications for

grants under this program must be submitted electronically,

unless you qualify for an exception to this requirement in

accordance with the instructions in this section.

We will reject your application if you submit it in

paper format unless, as described elsewhere in this

section, you qualify for one of the exceptions to the

electronic submission requirement and submit, no later than

two weeks before the application deadline date, a written

statement to the Department that you qualify for one of

these exceptions. Further information regarding

calculation of the date that is two weeks before the

application deadline date is provided later in this section

under Exception to Electronic Submission Requirement.

a. Electronic Submission of Applications.

Applications for grants under the Striving Readers

program—CFDA Number 84.371A must be submitted electronically

using e-Application available through the Department’s e-

28
Grants system, accessible through the e-Grants portal page

at: http://e-grants.ed.gov

While completing your electronic application, you will

be entering data online that will be saved into a database.

You may not e-mail an electronic copy of a grant

application to us.

Please note the following:

• You must complete the electronic submission of your

grant application by 4:30 p.m., Washington, DC time, on the

application deadline date. The e-Application system will

not accept an application for this program after 4:30 p.m.,

Washington, DC time, on the application deadline date.

Therefore, we strongly recommend that you do not wait until

the application deadline date to begin the application

process.

• The regular hours of operation of the e-Grants Web

site are 6:00 a.m. Monday until 7:00 p.m. Wednesday; and

6:00 a.m. Thursday until midnight Saturday, Washington, DC

time. Please note that the system is unavailable on

Sundays, and between 7:00 p.m. on Wednesdays and 6:00 a.m.

on Thursdays, Washington, DC time, for maintenance. Any

modifications to these hours are posted on the e-Grants Web

site.

29
 • You will not receive additional point value because

you submit your application in electronic format, nor will

we penalize you if you qualify for an exception to the

electronic submission requirement, as described elsewhere

in this section, and submit your application in paper

format.

• You must submit all documents electronically,

including the Application for Federal Education Assistance

(ED 424), Budget Information--Non-Construction Programs (ED

524), and all necessary assurances and certifications.

• Any narrative sections of your application must be

attached as files in a .DOC (document), .RTF (rich text),

or .PDF (Portable Document) format.

Your electronic application must comply with any

page limit requirements described in this notice.

• Prior to submitting your electronic application,

you may wish to print a copy of it for your records.

• After you electronically submit your application,

you will receive an automatic acknowledgement that will

include a PR/Award number (an identifying number unique to

your application).

• Within three working days after submitting your

electronic application, fax a signed copy of the ED 424 to

the Application Control Center after following these steps:

30
 (1) Print ED 424 from e-Application.

(2) The applicant’s Authorizing Representative must

sign this form.

(3) Place the PR/Award number in the upper right hand

corner of the hard-copy signature page of the ED 424.

(4) Fax the signed ED 424 to the Application Control

Center at (202) 245-6272.

• We may request that you provide us original

signatures on other forms at a later date.

Application Deadline Date Extension in Case of e-

Application System Unavailability: If you are prevented

from electronically submitting your application on the

application deadline date because the e-Application system

is unavailable, we will grant you an extension of one

business day in order to transmit your application

electronically, by mail, or by hand delivery. We will

grant this extension if--

(1) You are a registered user of e-Application and

you have initiated an electronic application for this

competition; and

(2) (a) The e-Application system is unavailable for

60 minutes or more between the hours of 8:30 a.m. and 3:30

p.m., Washington, DC time, on the application deadline

date; or

31
 (b) The e-Application system is unavailable for any

period of time between 3:30 p.m. and 4:30 p.m., Washington,

DC time, on the application deadline date.

We must acknowledge and confirm these periods of

unavailability before granting you an extension. To

request this extension or to confirm our acknowledgement of

any system unavailability, you may contact either (1) the

person listed elsewhere in this notice under For Further

Information Contact (see VII. Agency Contact) or (2) the

e-Grants help desk at 1-888-336-8930. If the system is

down and therefore the application deadline is extended, an

e-mail will be sent to all registered users who have

initiated an e-Application. Extensions referred to in this

section apply only to the unavailability of the

Department’s e-Application system.

Exception to Electronic Submission Requirement: You

qualify for an exception to the electronic submission

requirement, and may submit your application in paper

format, if you are unable to submit an application through

the e-Application system because––

• You do not have access to the Internet; or

• You do not have the capacity to upload large

documents to the Department’s e-Application system;

and

32
 • No later than two weeks before the application

deadline date (14 calendar days or, if the fourteenth

calendar day before the application deadline date falls on

a Federal holiday, the next business day following the

Federal holiday), you mail or fax a written statement to

the Department, explaining which of the two grounds for an

exception prevent you from using the Internet to submit

your application. If you mail your written statement to

the Department, it must be postmarked no later than two

weeks before the application deadline date. If you fax

your written statement to the Department, we must receive

the faxed statement no later than two weeks before the

application deadline date.

Address and mail or fax your statement to: Kathryn

Doherty, U.S. Department of Education, 400 Maryland Avenue,

SW., room 3W309, Washington, DC 20202-6132. FAX: (202)

205-0303.

Your paper application must be submitted in accordance

with the mail or hand delivery instructions described in

this notice.

b. Submission of Paper Applications by Mail.

If you qualify for an exception to the electronic

submission requirement, you may mail (through the U.S.

Postal Service or a commercial carrier) your application to

33
the Department. You must mail the original and two copies

of your application, on or before the application deadline

date, to the Department at the applicable following

address:

By mail through the U.S. Postal Service:

U.S. Department of Education

Application Control Center
Attention: (CFDA Number 84.371A)
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 84.371A)
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, or

(4) Any other proof of mailing acceptable to the

Secretary of the U.S. Department of Education.

34
 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, or

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

Postal Service.

If your application is postmarked after the

application deadline date, we will not consider your

application.

Note: The U.S. Postal Service does not uniformly provide a

dated postmark. Before relying on this method, you should

check with your local post office.

c. Submission of Paper Applications by Hand Delivery.

If you qualify for an exception to the electronic

submission requirement, you (or a courier service) may

deliver your paper application to the Department by hand.

You must deliver the original and two copies of your

application, by hand, on or before the application deadline

date, to the Department at the following address:

U.S. Department of Education

Application Control Center
Attention: (Number 84.371A)
550 12th Street, SW.
Room 7041, Potomac Center Plaza
Washington, DC 20202-4260

35
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 4 of the ED 424 the

CFDA number – and suffix letter, if any – of the

competition under which you are submitting your

application.

(2) The Application Control Center will mail a grant

application receipt acknowledgment to you. If you do not

receive the grant application receipt acknowledgment within

15 business days from the application deadline date, you

should call the U.S. Department of Education Application

Control Center at (202) 245-6288.

V. Application Review Information

Selection Criteria:

The selection criteria for this program are from 34

CFR 75.210 of EDGAR and are as follows. Further

information about each of these selection criteria is in

the application package. The maximum score for each

36
criterion is listed in parentheses next to the title of the

criterion.

(i) Need for project. (5 points) The Secretary

considers the need for the proposed project. In

determining the need for the proposed project, the

Secretary considers the following factors:

(a) The magnitude of the need for the services to be

provided or the activities to be carried out by the

proposed project. (34 CFR 75.210(a)(2)(ii))

(b) The extent to which the proposed project will

provide services or otherwise address the needs of students

at risk of educational failure. (34 CFR 75.210(a)(2)(iii))

(ii) Quality of the project design. (40 points) The

Secretary considers the quality of the design of the

proposed project. In determining the quality of the design

of the proposed project, the Secretary considers the

following factors:

(a) The extent to which the design of the proposed

project is appropriate to, and will successfully address,

the needs of the target population or other identified

needs. (34 CFR 75.210(c)(2)(ii))

(b) The extent to which the proposed project is based

upon a specific research design, and the quality and

37
appropriateness of that design, including the scientific

rigor of the studies involved. (34 CFR 75.210(c)(2)(vi))

(c) The extent to which the design of the proposed

project reflects up-to-date knowledge from research and

effective practice. (34 CFR 75.210(c)(2)(xiii))

(iii) Quality of project personnel. (10 points) The

Secretary considers the quality of the personnel who will

carry out the proposed project. In determining the quality

of project personnel, the Secretary considers the extent to

which the applicant encourages applications for employment

from persons who are members of groups that have

traditionally been underrepresented based on race, color,

national origin, gender, age, or disability. (34 CFR

75.210(e)(1), (2))

In addition, the Secretary considers the following

factors:

(a) The qualifications, including relevant training

and experience, of the project director. (34 CFR

75.210(e)(3)(i))

(b) The qualifications, including relevant training

and experience of key project personnel. (34 CFR

75.210(e)(3)(ii)).

38
 (c) The qualifications, including relevant training

and experience, of project consultants or subcontractors.

(34 CFR 75.210(e)(3)(iii))

(iv) Adequacy of resources. (5 points) The

Secretary considers the adequacy of resources for the

proposed project. In determining the adequacy of resources

for the proposed project, the Secretary considers the

following factors:

(a) The relevance and demonstrated commitment of each

partner in the proposed project to the implementation and

success of the project. (34 CFR 75.210(f)(2)(ii))

(b) The extent to which the costs are reasonable in

relation to the objectives, design, and potential

significance of the proposed project. (34 CFR

75.210(f)(2)(iv))

(v) Quality of the management plan. (5 points) The

Secretary considers the quality of the management plan for

the proposed project. In determining the quality of the

management plan for the proposed project, the Secretary

considers the following factors:

(a) The adequacy of the management plan to achieve

the objectives of the proposed project on time and within

budget, including clearly defined responsibilities,

39
timelines, and milestones for accomplishing project tasks.

(34 CFR 75.210(g)(2)(i))

(b) The extent to which the time commitments of the

project director and other key project personnel are

appropriate and adequate to meet the objectives of the

proposed project. (34 CFR 75.210(g)(2)(iv))

(vi) Quality of the project evaluation. (30 points)

The Secretary considers the quality of the evaluation to be

conducted of the proposed project. In determining the

quality of the evaluation of the proposed project, the

Secretary considers the following factors:

(a) The extent to which the methods of evaluation are

thorough, feasible, and appropriate to the goals,

objectives, and outcomes of the proposed project. (34 CFR

75.210(h)(2)(i))

(b) The extent to which the methods of evaluation

provide for examining the effectiveness of project outcomes

and implementation strategies. (34 CFR 75.210(h)(2)(iii))

(c) The extent to which the evaluation will provide

guidance about effective strategies suitable for

replication or testing in other settings. (34 CFR

75.210(h)(2)(vii))

(vii) Significance. (5 points) The Secretary

considers the significance of the proposed project. In

40
determining the significance of the proposed project, the

Secretary considers the following factor:

(a) The potential contribution of the proposed

project to the development and advancement of theory,

knowledge, and practices in the field of study. (34 CFR

75.210(b)(2)(vi))

VI. Award Administration Information

1. Award Notices: If your application is successful,

we notify you in writing and post the list of successful

applicants on the Striving Readers Web site at

http://www.ed.gov/programs/strivingreaders/applicant.html.

If your application is successful, we also 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

41
conditions in the GAN. The GAN also incorporates your

approved application as part of your binding commitments

under the grant.

3. Reporting: At the end of your project period, you

must submit a final performance report, including financial

information, as directed by the Secretary. If you receive

a multi-year award, you must submit an annual performance

report that provides the most current performance and

financial expenditure information as specified by the

Secretary in 34 CFR 75.118.

4. Performance Measures: Under the Government

Performance and Results Act of 1993 (GPRA), the Secretary

has established the following two measures for evaluating

the overall effectiveness of the Striving Readers program:

(1) the percentage of adolescent students reading

significantly below grade level who demonstrate a gain in

their reading achievement, at a minimum of one grade level

or its equivalent after participating in an intensive

intervention over an academic year; and (2) the percentage

of schools participating in the Striving Readers

intervention that demonstrate performance gains on their

State’s assessment of reading or language arts achievement.

We will expect all grantees to document their success

in addressing these performance measures in the annual

42
performance report referred to in section VI. 3. of this

notice.

VII. Agency Contact

For Further Information Contact: Kathryn Doherty, U.S.

Department of Education, 400 Maryland Avenue, SW., room

3W309, Washington, DC 20202-6132. Telephone: (202) 205-

6272 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.

Individuals with disabilities may obtain this document

in an alternative format (e.g., Braille, large print,

audiotape, or computer diskette) on request to the program

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: http://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

43
(GPO), toll free, at 1-888-293-6498; or in the Washington,

DC, area at (202) 512-1530.

Note: The official version of this document is the

document published in the Federal Register. Free Internet

access to the official edition of the Federal Register and

the Code of Federal Regulations is available on GPO Access

at: www.gpoaccess.gov/nara/index.html

Dated:

________________________________
Raymond Simon,
Deputy Secretary.

44
 Authorizing Statutory Language for Striving Readers
Striving Readers is a discretionary grant program authorized as part of the FY 2005
Appropriations Act under the Title I demonstration authority (Part E, Section 1502 of the
Elementary and Secondary Education Act of 1965 as amended by No Child Left Behind
Act, 2001 - PL 107-110).

SEC. 1502. DEMONSTRATIONS OF INNOVATIVE PRACTICES

(a) IN GENERAL- From the funds appropriated for any fiscal year under section
1002(e)(1), the Secretary may award grants to State educational agencies, local
educational agencies, other public agencies, nonprofit organizations, public or private
partnerships involving business and industry organizations, and consortia of such entities
to carry out demonstration projects that show the most promise of enabling children
served under this title to meet challenging State academic content standards and
challenging State student academic achievement standards.

(b) EVALUATION- The Secretary shall evaluate the demonstration projects supported
under this title, using rigorous methodological designs and techniques, including control
groups and random assignment, to the extent feasible, to produce reliable evidence of
effectiveness.

(c) PARTNERSHIPS- From funds appropriated under section 1002(e)(1) for any fiscal
year, the Secretary may, directly or through grants or contracts, work in partnership with
State educational agencies, local educational agencies, other public agencies, and
nonprofit organizations to disseminate and use the highest quality research and
knowledge about effective practices to improve the quality of teaching and learning in
schools assisted under this title.

SEC. 1208. DEFINITIONS (from ESEA, Title I, Part B)

(3) ESSENTIAL COMPONENTS OF READING INSTRUCTION- The term “essential

components of reading instruction” means explicit and systematic instruction in —
(A) phonemic awareness;
(B) phonics;
(C) vocabulary development;
(D) reading fluency, including oral reading skills; and
(E) reading comprehension strategies.

(6) SCIENTIFICALLY BASED READING RESEARCH- The term “scientifically based

reading research” means research that —
(A) applies rigorous, systematic, and objective procedures to obtain valid
knowledge relevant to reading development, reading instruction, and reading difficulties;
and
(B) includes research that —
(i) employs systematic, empirical methods that draw on observation or
experiment;
45
 (ii) involves rigorous data analyses that are adequate to test the stated
hypotheses and justify the general conclusions drawn;
(iii) relies on measurements or observational methods that provide valid
data across evaluators and observers and across multiple measurements
and observations; and
(iv) has been accepted by a peer-reviewed journal or approved by a panel
of independent experts through a comparably rigorous, objective, and
scientific review.

(7)(B) SCREENING READING ASSESSMENT- The term “screening reading

assessment” means an assessment that is —

(i) valid, reliable, and based on scientifically based reading research; and
(ii) a brief procedure designed as a first step in identifying children who may be at high
risk for delayed development or academic failure and in need of further diagnosis of their
need for special services or additional reading instruction.
(7)(C) DIAGNOSTIC READING ASSESSMENT- The term “diagnostic reading
assessment” means an assessment that is —

(i) valid, reliable, and based on scientifically based reading research; and
(ii) used for the purpose of —
(I) identifying a child's specific areas of strengths and weaknesses;
(II) determining any difficulties that a child may have in learning to read and
the potential cause of such difficulties; and
(III) helping to determine possible reading intervention strategies and related
special needs.

SEC. 9101 DEFINITIONS (Title IX General Provisions, ESEA)

(11) CORE ACADEMIC SUBJECTS- The term “core academic subjects” means
English, reading or language arts, mathematics, science, foreign languages, civics and
government, economics, arts, history, and geography.

(23) HIGHLY QUALIFIED- The term “highly qualified” —

(A) when used with respect to any public elementary school or secondary school teacher
teaching in a State, means that —
(i) the teacher has obtained full State certification as a teacher (including
certification obtained through alternative routes to certification) or passed the
State teacher licensing examination, and holds a license to teach in such State,
except that when used with respect to any teacher teaching in a public charter
school, the term means that the teacher meets the requirements set forth in the
State's public charter school law; and
(ii) the teacher has not had certification or licensure requirements waived on an
emergency, temporary, or provisional basis;
(B) when used with respect to —

46
 (i) an elementary school teacher who is new to the profession, means that the
teacher —
(I) holds at least a bachelor's degree; and
(II) has demonstrated, by passing a rigorous State test, subject knowledge
and teaching skills in reading, writing, mathematics, and other areas of the
basic elementary school curriculum (which may consist of passing a State-
required certification or licensing test or tests in reading, writing,
mathematics, and other areas of the basic elementary school curriculum);
or
(ii) a middle or secondary school teacher who is new to the profession, means that
the teacher holds at least a bachelor's degree and has demonstrated a high level of
competency in each of the academic subjects in which the teacher teaches by —
(I) passing a rigorous State academic subject test in each of the academic
subjects in which the teacher teaches (which may consist of a passing level
of performance on a State-required certification or licensing test or tests in
each of the academic subjects in which the teacher teaches); or
(II) successful completion, in each of the academic subjects in which the
teacher teaches, of an academic major, a graduate degree, coursework
equivalent to an undergraduate academic major, or advanced certification
or credentialing; and
(C) when used with respect to an elementary, middle, or secondary school teacher who is
not new to the profession, means that the teacher holds at least a bachelor's degree and —
(i) has met the applicable standard in clause (i) or (ii) of subparagraph (B), which
includes an option for a test; or
(ii) demonstrates competence in all the academic subjects in which the teacher
teaches based on a high objective uniform State standard of evaluation that —
(I) is set by the State for both grade appropriate academic subject matter
knowledge and teaching skills;
(II) is aligned with challenging State academic content and student
academic achievement standards and developed in consultation with core
content specialists, teachers, principals, and school administrators;
(III) provides objective, coherent information about the teacher's
attainment of core content knowledge in the academic subjects in which a
teacher teaches;
(IV) is applied uniformly to all teachers in the same academic subject and
the same grade level throughout the State;
(V) takes into consideration, but not be based primarily on, the time the
teacher has been teaching in the academic subject;
(VI) is made available to the public upon request; and
(VII) may involve multiple, objective measures of teacher competency.

(29) OTHER STAFF- The term “other staff” means pupil services personnel, librarians,
career guidance and counseling personnel, education aides, and other instructional and
administrative personnel.

47
(34) PROFESSIONAL DEVELOPMENT- The term `professional development'--

(A) includes activities that--

(i) improve and increase teachers' knowledge of the academic subjects the
teachers teach, and enable teachers to become highly qualified;
(ii) are an integral part of broad schoolwide and districtwide educational
improvement plans;
(iii) give teachers, principals, and administrators the knowledge and skills to
provide students with the opportunity to meet challenging State academic content
standards and student academic achievement standards;
(iv) improve classroom management skills;
(v)(I) are high quality, sustained, intensive, and classroom-focused in order to
have a positive and lasting impact on classroom instruction and the teacher's
performance in the classroom; and
(II) are not 1-day or short-term workshops or conferences;
(vi) support the recruiting, hiring, and training of highly qualified teachers,
including teachers who became highly qualified through State and local
alternative routes to certification;
(vii) advance teacher understanding of effective instructional strategies that are--
(I) based on scientifically based research (except that this subclause shall
not apply to activities carried out under part D of title II); and
(II) strategies for improving student academic achievement or
substantially increasing the knowledge and teaching skills of teachers; and
(viii) are aligned with and directly related to--
(I) State academic content standards, student academic achievement
standards, and assessments; and
(II) the curricula and programs tied to the standards described in subclause
(I) except that this subclause shall not apply to activities described in
clauses (ii) and (iii) of section 2123(3)(B);
(ix) are developed with extensive participation of teachers, principals, parents,
and administrators of schools to be served under this Act;
(x) are designed to give teachers of limited English proficient children, and other
teachers and instructional staff, the knowledge and skills to provide instruction
and appropriate language and academic support services to those children,
including the appropriate use of curricula and assessments;
(xi) to the extent appropriate, provide training for teachers and principals in the
use of technology so that technology and technology applications are effectively
used in the classroom to improve teaching and learning in the curricula and core
academic subjects in which the teachers teach;
(xii) as a whole, are regularly evaluated for their impact on increased teacher
effectiveness and improved student academic achievement, with the findings of
the evaluations used to improve the quality of professional development;
(xiii) provide instruction in methods of teaching children with special needs;
(xiv) include instruction in the use of data and assessments to inform and instruct
classroom practice; and
(xv) include instruction in ways that teachers, principals, pupil services personnel,
and school administrators may work more effectively with parents; and

48
(B) may include activities that--
(i) involve the forming of partnerships with institutions of higher education to
establish school-based teacher training programs that provide prospective teachers
and beginning teachers with an opportunity to work under the guidance of
experienced teachers and college faculty;
(ii) create programs to enable paraprofessionals (assisting teachers employed by a
local educational agency receiving assistance under part A of title I) to obtain the
education necessary for those paraprofessionals to become certified and licensed
teachers; and
(iii) provide follow-up training to teachers who have participated in activities
described in subparagraph (A) or another clause of this subparagraph that are
designed to ensure that the knowledge and skills learned by the teachers are
implemented in the classroom.

(38) SECONDARY SCHOOL- The term secondary school' means a nonprofit

institutional day or residential school, including a public secondary charter school, that
provides secondary education, as determined under State law, except that the term does
not include any education beyond grade 12.

(42) TEACHER MENTORING- The term teacher mentoring' means activities that —
(A) consist of structured guidance and regular and ongoing support for teachers,
especially beginning teachers, that —
(i) are designed to help the teachers continue to improve their practice of teaching and to
develop their instructional skills; and
part of an ongoing developmental induction process —
(I) involve the assistance of an exemplary teacher and other appropriate individuals from
a school, local educational agency, or institution of higher education; and
(II) may include coaching, classroom observation, team teaching, and reduced teaching
loads; and
(B) may include the establishment of a partnership by a local educational agency with an
institution of higher education, another local educational agency, a teacher organization,
or another organization.

49
 Section C:

STRIVING READERS
APPLICATION

CFDA No. 84.371A

The Application Process

Application Deadline
Application Procedures and Instructions

Application Selection Criteria

Application Budget Information

Application Final Checklist

Application Forms and Notice:

ED Form 424 (Application For Federal Assistance – CFDA # 84.371A)

ED Form 524 (Budget Information Form – CFDA # 84.371A)
Assurances – Non-Construction Programs (Standard Form 424B)
Certification Regarding Lobbying; Debarment, Supervision and Other
Responsibility Matters; and Drug Free Workplace Requirements
(ED Form 80-0013)
Disclosure of Lobbying Activities (SF LLL) (submit if applicable)
Notice to All Applicants (Section 427, GEPA)

Other Important Information:

Executive Order 12372 (Intergovernmental Review of Federal Programs)
Single State Point of Contact List
Important Notice to Prospective Participants in U.S. Department of
Education Contract and Grant Programs
 The Application Process

In the Striving Readers application process, peer reviewers will evaluate applications based on
the application selection criteria. Before each application is reviewed, Department program staff
will screen applications to ensure that they meet the absolute priorities included in the Federal
Register notice. The Department will prepare a rank order of the applications as determined by
the total score assigned by peer reviewers against the selection criteria.

The Secretary then determines which applications will be selected for funding, considering the
quality of the applications, including their rank order. The Secretary may make awards so that
Striving Readers funding is balanced between projects serving middle and high school students.
The Department will make award determinations under section 75.217 of the Education
Department General Administrative Regulations (EDGAR).

Application Deadline

Applications for grants under this program must be submitted electronically using the
Department’s e-Grants system, accessible through the e-Grants portal page at: http://e-
grants.ed.gov. The deadline for electronic submission of Striving Readers program
applications is 4:30 p.m. (Washington, DC time) on November 14, 2005.

Instructions for Electronic Submission of Your Application

Applications for grants under this program must be submitted electronically using the
Department’s e-Grants system, accessible through the e-Grants portal page at: http://e-
grants.ed.gov, unless you qualify for an exception to this requirement. While completing your
electronic application, you will be entering data online that will be saved into a database. You
may not e-mail an electronic copy of an application to us.

We will reject your application if you submit it in paper format unless you qualify for one of the
exceptions to the electronic submission requirement and submit, no later than two weeks before
the application deadline date, a written statement to the Department that you qualify for one of
these exceptions.

You must submit all documents electronically, including the Application for Federal Education
Assistance (ED 424). Any narrative sections of your application should be attached as files in a
.DOC (document), .RTF (rich text), or .PDF (Portable Document) format. Your electronic
application must comply with any page limit requirements described in the Federal Register
Notice.

Deadline for Electronic Submission

You must complete the electronic submission of your grant application by 4:30 p.m.,
Washington, DC time, on November 14, 2005. The e-Grants system will not accept an
application for this program after 4:30 p.m., Washington, DC time, on November 14, 2005.
Therefore, we strongly recommend that you do not wait until the application deadline date to
begin the application process.
51
The regular hours of operation of the e-Grants Web site are 6:00 a.m. Monday until 7:00 p.m.
Wednesday; and 6:00 a.m. Thursday until midnight Saturday, Washington, DC time. Please note
that the system is unavailable on Sundays, and between 7:00 p.m. on Wednesdays and 6:00 a.m.
on Thursdays, Washington, DC time, for maintenance. Any modifications to these hours are
posted on the e-Grants Web site.

After Submitting Your Application Electronically

After you electronically submit your application, you will receive an automatic
acknowledgement that will include a PR/Award number (an identifying number unique to your
application).

Within three working days after submitting your electronic application, fax a signed copy of the
ED 424 to the Application Control Center after following these steps:

1. Print ED 424 from e-Application.

2. The applicant’s Authorizing Representative must sign this form.
3. Place the PR/Award number in the upper right hand corner of the hard-copy
signature page of the ED 424.
4. Fax the signed ED 424 to the Application Control Center at (202) 245-6272.

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

Tips for Electronic Submission

• We strongly recommend that you do not wait until the application deadline date to
begin the application process.

• Prior to submitting your electronic application, we recommend that you print a copy
of it for your records.

• For technical assistance with the e-Application system, contact the e-Grants Help
Desk at 1-888-336-8930.

Application Deadline Date Extension in Case of System Unavailability

If you are prevented from electronically submitting your application on the application deadline
date because the e-Application system is unavailable, we will grant you an extension of one
business day in order to transmit your application electronically, by mail, or by hand delivery.

We will grant this extension if--

You are a registered user of e-Application and you have initiated an electronic
application for this competition;

And

52
 The e-Application system is unavailable for 60 minutes or more between the hours of
8:30 a.m. and 3:30 p.m., Washington, DC time, on the application deadline date;

Or

The e-Application system is unavailable for any period of time between 3:30 p.m. and
4:30 p.m., Washington, DC time, on the application deadline date.

We must acknowledge and confirm these periods of unavailability before granting you an
extension. To request this extension or to confirm our acknowledgement of any system
unavailability, you may contact either

Striving Readers Program Office

(202) 205-6272
[email protected]

Or

e-Grants Help Desk

1-888-336-8930.

If the system is down and therefore the application deadline is extended, an e-mail will be sent to
all registered users who have initiated an e-Application. Extensions referred to in this section
apply only to the unavailability of the Department’s e-Application system.

Exception to Electronic Submission Requirement

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

You do not have access to the Internet;

Or

You do not have the capacity to upload large documents to the Department’s e-
Application system;

And

No later than two weeks before the application deadline date you mail or fax a written
statement to the Department, explaining which of the two grounds for an exception
prevent you from using the Internet to submit your application.

53
Address and mail or fax your statement to:

Kathryn Doherty
Striving Readers
Office of Elementary and Secondary Education
400 Maryland Ave, SW
Room 3W309
Washington DC, 20202-6132

Fax: (202) 205-0303

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

Submission of Paper Applications by Mail

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

By mail through the U.S. Postal Service:

U.S. Department of Education
Application Control Center
Attention: CFDA Number 84.371A
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 84.371A
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, or
(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:

54
 (1) A private metered postmark, or
(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 for mail delivery applications: The U.S. Postal Service does
not uniformly provide a dated postmark. Before relying on this
method, you should check with your local post office.

Submission of Paper Applications by Hand Delivery

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

U.S. Department of Education

Application Control Center
Attention: CFDA Number 84.371A
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 4 of the ED 424 the CFDA
number – and suffix letter, if any – of the competition under which
you are submitting your application.
(2) The Application Control Center will mail a grant
application receipt acknowledgment to you. If you do not receive
the grant application receipt acknowledgment 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.

55
 The Application Contents

Applicants must submit an Abstract, an Application Narrative addressing the application

selection criteria, and the additional forms/materials indicated below and in the Application Final
Checklist.

Part I of the Application – ED Form 424 and Abstract

ED FORM 424
Applicants must complete and submit ED Form 424 with their application narrative.

Abstract
Applicants must submit a one-page, double-spaced Abstract, briefly describing their proposed
project. Do not number this page. Place the name of the applicant at the top of the page.

Part II of the Application - Narrative

Application Narrative
Peer reviewers will evaluate each application on how well it responds to the seven application
selection criteria. The maximum number of points that an application may receive on the
application selection criteria is 100. We strongly encourage applicants to limit the narrative to
60 pages and to respond to the application selection criteria and factors in the order in which they
are listed.

Absolute Priority 2 -- Projects that include three required components

In order to be considered for funding, proposed projects must include three required components.
These components are:

1. School level strategies designed to increase reading achievement for students by

improving the quality of literacy instruction across the curriculum – These strategies
must include, at a minimum, a needs assessment, professional development, and a
process for monitoring student performance.

2. Intensive, targeted intervention for struggling readers (i.e., students who read at least two
years below grade level, including limited English proficient students and students with
disabilities) – The intervention must include, at a minimum, assessments to identify
struggling readers, a supplementary literacy intervention designed to accelerate the
development of literacy skills for these readers, professional development for their
teachers, and a process for monitoring student progress that includes the administration of
student assessments.

3. A project evaluation that includes a rigorous experimental evaluation of the targeted

intervention for struggling readers. The evaluation of the intensive, targeted intervention
must be conducted by an independent evaluator and must include a randomized control
trial. There also must be a rigorous evaluation of the school-level strategies designed to
increase reading achievement for students by improving literacy instruction throughout
the curriculum. The evaluation of the school-level strategies must be conducted by an
independent evaluator and may, but need not, include a randomized control trial.
56
While not required, it would be helpful and would expedite the review process if applicants
could highlight either with titles, underlining, or bold font type where they have addressed these
requirements in their application.

Place the name of the applicant and the page number at the top of each page of the Application
Narrative.

Part III of the Application – Budget and Budget Narrative

For the Application Budget, applicants must use ED Form 524, Section A only, which is attached
and also available on ED’s website. Applicants must complete Section A, columns for the all
years of the proposed project (up to 5 years), and the total column. Section B is not applicable to
these grants.

This Budget must be accompanied by a Budget Narrative (which serves to meet the requirements
of ED Form 524, Section C) that is no more than five double-spaced pages. Place the name of
the applicant and the page number at the top of each page of the Budget Narrative. Number each
page consecutively with the first page of the Budget Narrative listed as page 1. In the budget
narrative, identify the general nature and amounts of proposed expenditures within budget
categories and provide a brief justification of how you intend to spend the funds requested for
each budget category. Include enough detail to enable reviewers and project staff to understand
what the funds will be used for, how much will be expended, and the relationship between
expended funds and project activities and outcomes.

Part IV of the Application – Appendices

Additional Information Supporting Selection Criterion One, Need for the Project

Include:

a) The names, addresses, and instructional level of each of the schools to be included in the
project.
b) Information that addresses Absolute Priority 1 – Schools Eligible to Receive Title I
Funds. Include assurances of each participating school’s eligibility for Title I, Part A
funding.
c) The demographics of the entire population of each of the schools to be included in the
project. Include at a minimum data on poverty, ethnicity, number of English language
learners, and children with special needs
d) Information regarding the qualification of the schools’ teachers and instructional staff.
Include information regarding the percentage of highly qualified teachers.
e) Information regarding the overall level of achievement in reading for the entire school
population, the number of struggling readers, and any information related to the school’s
AYP status.
f) The current reading instructional program implemented at each school if there is one.
g) Any recent or current initiatives undertaken by each school included in the application to
raise reading achievement.
h) Any federal, state, or local programs with which the proposed project will coordinate or
collaborate.
57
While applicants are not required to do so, some of this information may be provided in chart
format or by submitting copies of school report cards.

Additional Information Supporting Selection Criterion Two, Quality of the Project Design

Include endnote citations for research cited specifically in the Application Narrative. A specific
citation style is not required, however, each reference should include at a minimum the author(s),
the title of the book, or journal and article, and the date of publication.

Curriculum Vitae or Resumes of Five Key Persons

Submit curriculum vitae for key personnel including key contract personnel and consultants.
Include no more than 3 one-sided pages for each curriculum vita submitted.

Demonstration of Stakeholder Support

Include documentation that demonstrates the support of the application by those stakeholders
who would implement it, and may include principals, teachers, and paraprofessionals. This
documentation should reflect an understanding of the proposed project and the stakeholders’
willingness to carry out and participate in the proposed project’s activities.

58
 Page and Formatting Standards

• A page is 8.5”, on one side only, with 1” margins at the top, bottom, and both sides. The
name of the applicant and the page number should be placed in the header of the document.
Headers may be placed in the margins.

• Double space (no more than three lines per vertical inch) all text in the application narrative,
including titles, headings, quotations, and references included in the body of the narrative.

• Text in endnotes, charts, tables, figures and graphs may be single-spaced.

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

NOTE: Do not include any enclosures or appendices other than those

listed on the “Application Final Checklist.” The Department will
instruct peer reviewers to base their evaluations and scoring only on the
information contained in the Application Narrative and the other limited
materials listed in the Application Final Checklist. Any other materials,
including non-print materials such as videotapes or CDs, will not be
considered.

If you receive an exception to submit your application in paper format: Submit the signed
original application in a format that will ensure that the application stays intact (such as staples
or binder clips), and that no pages are lost during our handling and review processes (for
example, do not use rubber bands or paper clips). Although not required, it will facilitate the
application review process if applicants include two additional copies for a total of one original
and four copies of their application. Please do not submit your application bound or in a three-
ring binder.

59
 Application Selection Criteria

Each of the selection criteria listed below is critical to the design and implementation of high-
quality Striving Readers projects. This application must address both of the absolute priorities in
addition to the seven selection criteria listed below.

Department program staff will review applications to ensure that applicants are eligible and that
they meet the absolute priorities included in the Federal Register notice. The Department,
through a peer review panel of experts, will evaluate each application based on the application
selection criteria (worth up to 100 points).

The Department will select applicants for funding based on the quality of the applications,
including their rank order based on the application selection criteria. Additionally, the
Department may make awards so that Striving Readers funding is balanced between projects
serving middle school and high school students. In making funding decisions, the Department
will use the procedures in section 75.217 of EDGAR, 34 CFR 75.217.

Selection Criteria Maximum Points

1. Need for Project 5 points

2. Quality of the Project Design 40 points

3. Quality of Project Personnel 10 points

4. Adequacy of Resources 5 points

5. Quality of Management Plan 5 points

6. Quality of the Project Evaluation 30 points

7. Significance 5 points

60
 Reminder to Applicants: The applicant should prepare the Application
Narrative to respond to the Application Selection Criteria in the order in
which they are listed. Applicants should ensure that their applications
include all information needed by the reviewers to evaluate their
proposals. To avoid redundancy within the application, information that
the applicant provides in one section of the application may be cross-
referenced in another section. Reviewers will base their evaluation of
the application on the Application Narrative, the Budget and the Budget
Narrative and other limited materials listed in the Application Final
Checklist.

Detailed Application Selection Criteria for the Striving Readers Program

PART II - APPLICATION NARRATIVE- ADDRESS EACH OF THE FOLLOWING

APPLICATION SELECTION CRITERIA

The Secretary will use the following selection criteria in Section 75.210 of EDGAR (34 CFR
75.210) to evaluate applications under this competition. The maximum score for all of these
selection criteria is 100 points. The maximum score for each criterion is indicated below. The
Department strongly recommends using no more than a total of 60 double-spaced pages to
address all of the following application selection criteria. The criteria follow in the boxes below.

1. NEED FOR PROJECT (0-10 points)

The Secretary considers the need for the proposed project. In

determining the need for the proposed project, the Secretary
considers the following factors:

Selection Criterion 1, Factor 1: The magnitude of the need for the

services to be provided or the activities to be carried out by the
proposed project. (34 CFR 75.210(a)(2)(ii))

Selection Criterion 1, Factor 2: The extent to which the proposed

project will provide services or otherwise address the needs of
students at risk of educational failure. (34 CFR 75.210(a)(2)(iii))

NOTE: Applicants may address this selection criterion in any way they choose. However, the
Secretary believes that high-quality applications addressing the above criterion likely will –

1) DESCRIBE SETTING(S) IN WHICH THE PROPOSED PROJECT WILL BE IMPLEMENTED AND

DEMONSTRATE SPECIFC LITERACY NEEDS OF STUDENTS. INCLUDE:

a) The names, addresses, and instructional level of each of the schools to be included in the
project.

61
 b) Information that addresses absolute priority 1, Schools Eligible to Receive Title I Funds.
Include information confirming each participating school’s eligibility for Title I, Part A
funding.

c) The demographics of the population of each of the schools to be included in the project.
Include at a minimum data on poverty, ethnicity, number of English language learners,
and children with special needs.

d) Information regarding the qualification of the schools’ teachers and instructional staff.
Include information regarding the percentage of highly qualified teachers.

e) Information regarding the overall level of achievement in reading for the entire school
population, the number of struggling readers, and any information related to the school’s
AYP status.

f) The current reading instructional program implemented at each school, if applicable.

g) Any recent or current initiatives undertaken by the SEA, the LEA or each school to raise
reading achievement in each of the schools to be included in the project.

h) Any federal, state, or local programs with which the proposed project will coordinate or
collaborate.

While applicants are not required to do so, this information may be provided in chart
format.

2. QUALITY OF THE PROJECT DESIGN. (0 to 40 points)

The Secretary considers the quality of the design of the proposed

project. In determining the quality of the design of the proposed
project, the Secretary considers the following factors:

Selection Criterion 2, Factor 1: The extent to which the design of the

proposed project is appropriate to, and will successfully address,
the needs of the target population or other identified needs. (34
CFR 75.210(c)(2)(ii))

Selection Criterion 2, Factor 2: The extent to which the proposed

project is based upon a specific research design, and the quality and
appropriateness of that design, including the scientific rigor of the
studies involved. (34 CFR 75.210(c)(2)(vi))

Selection Criterion 2, Factor 3: The extent to which design of the

proposed project reflects up-to-date knowledge from research and
effective practice. (34 CFR 75.210(c)(2)(xiii))

62
NOTE: Applicants may address this selection criterion in any way they choose. However, the
Secretary believes that high-quality applications addressing the above criterion likely will –

1) DESCRIBE THE PROGRAM DESIGNED TO INCREASE READING ACHIEVEMENT THROUGHOUT

THE SCHOOL BY IMPROVING THE QUALITY OF LITERACY INSTRUCTION ACROSS THE
CURRICULUM. INCLUDE:

a) The assessment process that the proposed project will use to inform the planning and
implementation of the program designed to increase reading achievement throughout the
school.

b) The goals of the proposed program designed to increase reading achievement throughout
the school. Describe the extent to which program will address:
i) Reading comprehension – Understanding, remembering, and communicating with
others about what has been read. Comprehension strategies are sets of steps that
purposeful, active readers use to make sense of text.
ii) Reading fluency, including oral reading skills – Fluency is the ability to read text
accurately and quickly. It provides a bridge between word recognition and
comprehension. Fluent readers recognize words and comprehend at the same time.
iii) Vocabulary – Development of stored information about the meanings and
pronunciation of words necessary for communication. There are four types of
vocabulary: listening, speaking, reading and writing.
iv) Motivation and self directed learning – building motivation to read and learn and
providing students with the instructions and supports needed for continued
independent learning.
v) Phonemic awareness and phonics if necessary.

c) An outline of the instructional strategies of the proposed research-based program

designed to increase reading achievement throughout the school. Describe the extent to
which the program will include

i) Direct, explicit instruction.

ii) Reading instruction that uses texts and content from student’s content-area courses.

d) A description of the professional development for the teachers or other instructional staff
this is designed to increase reading achievement throughout the school. Include:
i) An outline of the goals for the project’s proposed professional development program.
ii) The expected participants.
iii) A description of the content and scope and sequence of the professional development
to be provided.
iv) An explanation of the strategies and materials that will be implemented in the
professional development that will ensure that it will be classroom focused and will
enhance the implementation of the curricula, materials and instructional strategies
adopted.
v) The number of hours, the frequency, and the method of delivery of the professional
development for each teacher and the extent to which the professional development
will be high quality, sustained and intensive.

63
 vi) If literacy coaching is provided as part of the professional development plan, the
qualifications and responsibilities of the literacy coach(es) and explain the link
between the literacy coaching and any professional development delivered in a
classroom or workshop setting.

e) A description of the process that the proposed project will use to monitor the progress of
the research-based program designed to increase reading achievement throughout the
school.

2) DESCRIBE THE RESEARCH-BASED SUPPLEMENTARY LITERACY INTERVENTION DESIGNED TO

ACCELERATE THE DEVELOPMENT OF LITERACY SKILLS FOR STRUGGLING ADOLESCENT
READERS. INCLUDE:

a) A description of the process that the proposed project will use to identify struggling
readers.

b) The assessment process that the proposed project will use to plan instruction for each
struggling reader.

c) The goals of the proposed supplementary literacy intervention designed to accelerate the
development of literacy skills for struggling adolescent readers. Describe the extent to
which the intervention will address:
i) Reading comprehension – Understanding, remembering, and communicating with
others about what has been read. Comprehension strategies are sets of steps that
purposeful, active readers use to make sense of text.
ii) Reading fluency, including oral reading skills – Fluency is the ability to read text
accurately and quickly. It provides a bridge between word recognition and
comprehension. Fluent readers recognize words and comprehend at the same time.
iii) Vocabulary – Development of stored information about the meanings and
pronunciation of words necessary for communication. There are four types of
vocabulary: listening, speaking, reading and writing.
iv) Phonics - The understanding that there is a predictable relationship between
phonemes – the sounds of spoken language – and graphemes – the letters and
spellings representing those sounds in written language. Readers use these
relationships to recognize familiar words accurately and automatically and to decode
unfamiliar words.
v) Phonemic Awareness – The ability to hear, identify and manipulate the individual
sounds – phonemes – in spoken words. Phonemic awareness is the understanding
that the sounds of spoken language work together to make words.
vi) Motivation and self directed learning – Building motivation to read and learn and
providing students with the instructions and supports needed for continued
independent learning.

d) An outline of the instructional strategies of the proposed intervention for struggling

readers. Describe the extent to which the proposed intervention for struggling readers
will include:
i) Extended instructional time.
ii) Direct, explicit instruction.

64
 iii) Intensive, individualized instruction.
iv) Reading instruction that utilizes texts and content from student’s content-area
courses.

e) A description of the professional development for the teachers or other instructional staff
providing the intervention to struggling readers. Include:
i) An outline of the goals for the project’s proposed professional development program.
ii) The expected participants.
iii) A description of the content and scope and sequence of the professional development
to be provided.
iv) An explanation of the strategies and materials that will be implemented in the
professional development that will ensure that it will be classroom focused and will
enhance the implementation of the curricula, materials and instructional strategies.
v) The number of hours, the frequency, and the method of delivery of the professional
development for each teacher and the extent to which the professional development
will be high quality, sustained and intensive.
vi) If literacy coaching is provided as part of the professional development plan, the
qualifications of the literacy coach(es) and explain the link between the literacy
coaching and any professional development delivered in a classroom or workshop
setting.

f) A description of the process that the proposed project will use to monitor the progress of
struggling readers and how instructional decisions will be made based on data.

3) DESCRIBE EVIDENCE THAT THE PROPOSED INTERVENTION AND PROGRAM SHOW PROMISE
IN SUBSTANTIALLY RAISING STUDENT ACHIEVEMENT IN READING. INCLUDE:

a) A description of evaluations or research studies that have been conducted of the proposed
intervention and school level program.
b) Information about the design and methodology of these studies, such as the use of
random assignment versus a comparison group, the sample sizes, and the analysis
techniques employed.
c) Information about the results from the studies, including the evidence of effectiveness or
successful outcomes and any implementation lessons that would be useful for the
applicant to take into account.
d) Include, as needed, in the appendices, full endnote citations supporting the research basis
for the Quality of Project Design (Selection Criterion 2) narrative. Do not include a
general reference bibliography.
e) Explain the extent to which the body of research on which the project is based meets the
definition of scientifically based reading research in Section 1208 of the ESEA.

65
 3. QUALITY OF PROJECT PERSONNEL (0-10 points)

The Secretary considers the quality of personnel who will carry out
the proposed project. In determining the quality of project
personnel, the Secretary considers the extent to which the applicant
encourages applications for employment from persons who are
members of groups that have traditionally been underrepresented
based on race, color, national origin, gender, age, or disability. (34
CFR 75.210(e)(1),(2)) In addition, the Secretary considers the
following factors:

Selection Criterion 3, Factor 1: The qualifications, including

relevant training and experience, of the project director or
principal investigator. (34 CFR 75.210(e)(3)(i))

Selection Criterion 3, Factor 2: The qualifications, including

relevant training and additional experience, of key project
personnel. (34 CFR 75.210(e)(3)(ii))

Selection Criterion 3, Factor 3: The qualifications, including relevant

training and experience, of project consultants or subcontractors.
(34 CFR 75.210(e)(3)(iii))

NOTE: Applicants may address this selection criterion in any way they choose. However, the
Secretary believes that high-quality applications addressing the above criterion likely will –

1) Specify the steps the proposed project will take to ensure equitable employment practices.
The response to this selection criterion, along with the applicant’s response to Quality of the
Project Design (Selection Criterion 2), will constitute the applicant’s response to Section 427
of the General Education Provisions Act.

2) Demonstrate the leadership experience of the proposed project director, including his/her past
success with implementing large projects, bringing together different entities to work
together towards a common goal, and building capacity for sustained improvement within an
organization.

3) Demonstrate the qualifications of the project director to serve as the instructional leader for a
project grounded in scientifically based reading research and adolescent literacy practices.

4) Discuss the training, qualifications, and experience of the principal investigator/evaluator,

including his/her experience in designing and conducting randomized control trials in the
education field.

5) Discuss the training, qualifications, and experience of any other key personnel, including any
professional development providers.

66
6) Discuss the training, qualifications, and experience of all entities with whom the proposed
project will contract, especially those providing the professional development and evaluation
services, if applicable.

4. ADEQUACY OF RESOURCES (0-5 points)

The Secretary considers the adequacy of resources for the proposed

project. In determining the adequacy of resources for the proposed
project, the Secretary considers the following factors:

Selection Criterion 4, Factor 1: The relevance and demonstrated

commitment of each partner in the proposed project to the
implementation and success of the project. (34 CFR 75.210(f)(2)(ii))

Selection Criterion 4, Factor 2: The extent to which the costs are

reasonable in relation to the objectives, design, and potential
significance of the proposed project. (34 CFR 75.210(f)(2)(iv))

NOTE: Applicants may address this selection criterion in any way they choose. However, the
Secretary believes that high-quality applications addressing the above criterion likely will –

1) Demonstrate the support of the application by those stakeholders who would implement it,
particularly teachers, principals and their local professional organizations. The Secretary
considers “partners” in the context of this factor to mean those stakeholders. If the successful
implementation of the application requires the involvement or commitment of individuals or
entities (for example, attending a certain number of hours of professional development,
implementing new curriculum, or providing a certain number of release hours, etc.), then
demonstrate their understanding of the proposed project and the willingness of the
individuals and entities involved to carry it out. While not required, 10 one-sided pages of
documentation providing evidence that the individuals and entities whose cooperation is
crucial to the successful implementation of the proposed project understand it and are willing
to support it may be included in the appendices.

2) Some LEAs require that any research activities carried out in the district be reviewed and
approved by their research office or an Institutional Review Board (IRB). Districts must
submit letters of approval from these offices or boards in support of their applications.

3) Explain the adequacy of the proposed costs in relation to the proposed activities, the number
of persons to be served, and the anticipated results and benefits.

4) Explain the adequacy of the proposed costs in relation to the significance of improvements of
the proposed project over the existing school program.

67
5) Explain the adequacy of the proposed costs in relation to the increases in student
achievement that would likely be attained by adolescents who are served by the proposed
project.

6) Explain the adequacy of the proposed costs in relation to the scope and scale of the
evaluation to be conducted, particularly the randomized control trial.

5. QUALITY OF MANAGEMENT PLAN (0-5 points)

The Secretary considers the quality of the management plan for the
proposed project. In determining the quality of the management
plan for the proposed project, the Secretary considers the following
factors:

Selection Criterion 5, Factor 1: The adequacy of the management

plan to achieve the objectives of the proposed project on time and
within budget, including clearly defined responsibilities, timelines,
and milestones for accomplishing project tasks. (34 CFR
75.210(g)(2)(i))

Selection Criterion 5, Factor 2: The extent to which the time

commitments of the project director and principal investigator and
other key project personnel are appropriate and adequate to meet
the objectives of the proposed project. (34 CFR 75.210(g)(2)(iv))

NOTE: Applicants may address this selection criterion in any way they choose. However, the
Secretary believes that high-quality applications addressing the above criterion likely will –

1) Provide a management plan for achieving the proposed project’s goals.

2) Include benchmarks for each goal, project activities that support each benchmark, and a
timeline that indicates when each of the activities will begin and target dates for completion.

3) Specify objective indicators of achievement for each benchmark.

4) Assign responsibility for each activity.

5) Specify the number of hours per week each key person will dedicate to project activities.
Applicants may consider anyone who has oversight or project-wide responsibilities a key
person, including when applicable, the project director, the principal investigator/evaluator,
the project manager or coordinator, and the provider(s) of the professional development.

68
 6. QUALITY OF THE PROJECT EVALUATION (0-30 points)

The Secretary considers the quality of the evaluation to be

conducted of the proposed project. In determining the quality of
the evaluation, the Secretary considers the following factors:

Selection Criterion 6, Factor 1: The extent to which the methods of

evaluation are thorough, feasible, and appropriate to the goals,
objectives, and outcomes of the proposed project. (34 CFR
75.210(h)(2)(i))

Selection Criterion 6, Factor 2: The extent to which the methods of

evaluation provide for examining the effectiveness of project
outcomes and implementation strategies. (34 CFR 75.210(h)(2)(iii))

Selection Criterion 6, Factor 3: The extent to which the evaluation

will provide guidance about effective strategies suitable for
replication or testing in other settings. (34 CFR 75.210(h)(2)(vii))

NOTE: Applicants may address this selection criterion in any way they choose. However, the
Secretary believes that high-quality applications addressing the above criterion likely will –

1) Describe a project evaluation that includes a rigorous experimental design that will evaluate
the effectiveness of the intervention for struggling readers and an evaluation of the program
designed to increase reading achievement throughout the school by improving the quality of
literacy instruction across the curriculum. In the description of the evaluations, include:

a) The extent to which the evaluation will employ systematic, empirical methods consistent
with a rigorous experimental design.

b) How schools and/or students will be recruited to participate in the evaluation.

c) When applicable, the number of schools or students that will be randomly assigned and
the extent to which the numbers provide sufficient statistical power to detect reasonable
effect sizes or impacts.

d) When applicable, the procedures that will be used to randomly assign schools or students
to the treatment or the control group and any procedures that will be instituted to prevent
undermining of the randomization process.

e) The baseline data that will be collected before the intervention.

69
 f) A description of the valid and reliable assessments that will be used to measure the extent
to which the proposed project attained each of its goals.

g) The timing of assessments and who will administer them.

h) A description of the extent to which the evaluation involves rigorous data analyses
adequate to test the stated hypotheses and justify the conclusions drawn.

i) The extent to which the trial will evaluate long-term student outcomes.

j) The procedures that will be used to reduce attrition of students from both the program
and the evaluation’s data collection.

7. SIGNIFICANCE (0-10 points)

The Secretary considers the significance of the proposed project. In

determining the significance of the proposed project, the Secretary
considers the following factor:

Selection Criterion 7, Factor 1: The potential contribution of the

proposed project to the development and advancement of theory,
knowledge, and practices in the field of study. (34 CFR
75.210(b)(2)(vi))

NOTE: Applicants may address this selection criterion in any way they choose. However, the
Secretary believes that high-quality applications addressing the above criterion likely will –

1) Demonstrate that the proposed project is likely to result in significant improvement in

adolescent literacy and that the materials, programs, and procedures implemented could be
replicated.

2) Demonstrate that the implementation of the proposed project has the potential to suggest new
best practices and effective strategies in the field of adolescent literacy that are tied to
scientifically based reading research.

70
 PART III-BUDGET INFORMATION

In order to be considered for Federal funding each applicant must provide the following
with its application:
• ED Form 524 Section A
• A descriptive Budget Narrative (up to 5 double-spaced pages and serves to meet
the requirements of ED Form 524, Section C) that explains the requested Federal
amounts for individual cost categories, for all proposed project years.

ED FORM 524
ED Form 524 Section A is used to apply to individual U.S. Department of Education
discretionary grant programs. All applicants must complete Section A, including
columns a-e (one for each proposed project year), and column f. (the total column). (Do
not complete Section B.)

Instruction to Complete ED Form 524, Section A

Name: Enter the name of the applicant organization(s) or institution(s) in the blank
space provided.

Personnel (line 1): Enter project personnel salaries and wages only. Include fees and
expenses for consultants on line 6.

Fringe Benefits (line 2): The institution’s normal fringe benefit contribution may be
charged to the program. Leave this line blank if fringe benefits applicable to direct
salaries and wages are treated as part of the indirect cost.

Travel (line 3): Indicate the travel costs of employees and participants only. (Please
include travel to at least one Striving Readers conference in Year 1 of your project.)
Include travel of such persons as consultants and trainees on line 6.

Equipment (line 4): Indicate the cost of non-expendable personal property that has a
usefulness of greater than one year, and acquisition cost that is the lesser of the
capitalization level established by the applicant entity for financial statement purposes, or
$5,000 per article. Lower limits may be established to maintain consistency with the
applicant’s policy.

Supplies (line 5): Show all tangible personal property except that included on line 4.

Contractual (line 6): Include consultant travel costs and fees.

Construction (line 7): Not applicable.

Other (line 8): Indicate all direct costs not covered on lines 1-6. Examples are
equipment rental, required fees, communication costs, or printing costs.

Total Direct Costs (line 9): The sum of lines 1-8.

71
Indirect Costs (line 10): Indicate the applicant’s approved, unrestricted, indirect cost
rate, per sections 75.560 – 75.580 of EDGAR. If an applicant does not have an approved
indirect cost rate agreement with a cognizant Federal agency, the applicant must apply to
ED for a temporary indirect cost rate if it wishes to charge indirect costs to the grant.

For more information, go to ED’s website at:

http://www.ed.gov/about/offices/list/ocfo/fipao/icgindex.html

or call the Indirect Cost group at (202) 708-8787.

Training Stipends (line 11): Indicate the level of awards given to participants either in
the forms of stipends (non-repayable), or in the form of scholarships for tuition and fees.

Total Cost (line 12): This should equal the sum of lines 9-11 (total direct costs + indirect
+ stipends). The sum for column F, labeled Total, should also be equal to item 14(g) on
the application face sheet (ED Form 424)

DETAILED BUDGET NARRATIVE

Each application must provide a Budget Narrative (which serves to meet the requirements
of Form 524, Section C) for requested Federal funds. We strongly encourage you to limit
your Budget Narrative to the equivalent of no more than 5 double-spaced pages, using a
font that is either 12-point or larger or no smaller than 10 pitch (characters per inch).

The Budget Narrative for requested Federal funds should provide a justification of how
money requested per budget category is intended to be spent. This Budget Narrative
provides an opportunity for the applicant to identify the nature and amount of the
proposed expenditures. There should be enough detail to enable reviewers and project
staff to understand what funds will be used for, how much will be expended, and the
relationship between expended funds and project activities and outcomes. Applicants’
narratives should contain the following information:

Personnel
• Provide the title of each position.
• Provide the salary for each position.
• Provide the amount of time each person will devote to the project.
• Explain the importance of each position to the success of the project.

Fringe Benefits
• Give the fringe benefit percentages of all personnel in the project.

Travel
• Explain the purpose of the travel and how it relates to project success, and which
staff will participate. Please include travel to at least one Striving Readers grantee
conference in Year 1 of your project.

Equipment
• Identify each type of equipment.
• Provide the cost per equipment item.
72
 • Explain the purpose of the equipment, and how it relates to project success.

Supplies
• Identify the type of supplies by general category (e.g. instructional materials,
office supplies, etc.)
• Provide the purpose for purchasing the supplies.

Contractual
• Provide the purpose and relation to project success.
• Identify the name(s) of the contracting party, including consultants, if available.
• Provide the cost per contractor.
• Provide the amount of time that the project will be working with the contractor(s).

Construction
No costs allowed.

Other Direct Costs

• Identify each type of cost in the Other category (e.g., communications, printing,
postage, equipment rental).
• Provide the cost per item (printing = $500, postage = $750).
• Provide the purpose for the expenditures and relation to project success.

Total Direct Costs

The amount that is the sum of expenditures, per budget category, of lines 1-8.

Indirect Costs
See previous reference to Indirect Costs.

Training Stipends (Scholarships)

• Identify who will benefit from a scholarship/stipend.
• Provide the purpose of the scholarship/stipend award.
• Identify the cost per scholarship/stipend.
• Explain the importance of the scholarship/stipend to the success of the project.

73
 Application Final Checklist

Part I: Preliminary Documents (required for all applicants, except as indicated below)
ED 424 Form, Application for Federal Assistance, CFDA No. 84.371A (Face Sheet) (in
Forms section of this guide), including human subjects research narrative if applicable.
Title Page
Table of Contents
Abstract briefly describing proposed project (1 page only, double-spaced, not numbered, with
project name at top)

Part II: Application Narrative (required for all applicants)

Application Narrative (the equivalent of approximately 60 pages, double-spaced, 12-point
font, addressing the application selection criteria.
Highlight either with titles, underlining, or bold font type narrative that addresses Absolute
Priority 2 -- Projects that include three required components

Part III: Budget Information (required for all applicants)

ED 524 Form, Budget Information – Non Construction Programs, Part A only, columns for
Project Years 1, 2, and 3, and total column.
Budget Narrative (ED Form 524, Section C) (Explanation of proposed costs in narrative form
– this is in addition to the above estimated budget ─ the equivalent of no more than 5 pages,
double-spaced, 12 point font)

Part IV The Appendices and Assurance and Certifications (required for all applicants,
except as indicated below or on the form)
Provide the list and the brief description of the schools that will participate in the proposed
Striving Readers project. Include a brief description indicated under Need For Project.
Include information that addresses Absolute Priority 1 – Students in Grades 6-12.
Curriculum vitae of key personnel – no more than 5 people (including key contract personnel
and consultants). Include no more than 3 one-sided pages for each curriculum vita submitted.
Numbered endnote citations (Do not include a general reference bibliography.)
SF 424B Form - Assurance - Non-Construction Programs
Demonstration of Stakeholder Support – limited to five (10) one sided pages. (no form)
ED 80-0013 Form - Certifications Regarding Lobbying; Debarment, Supervision and other
Responsibility Matters; and Drug-free Workplace Requirements
SF LLL Form - Disclosure of Lobbying Activities (SF LLL) (submit if applicable)
Response to Notice to All Applicants (Section 427, GEPA)

Please check to make sure that you have done the following:
The Application for Federal Assistance ED Form 424 (CFDA No. 84.371A) has been signed
and dated by an authorized official and you have included the signed original with your
submission. Those applicants submitting their applications electronically must fax a signed
ED Form 424 to the Application Control Center at (202) 245-6272.
For those submitting an application in paper format, you have included the signed original
and at least two copies of your complete application. (Although not required, it will facilitate
the application review process if you include two additional copies of your complete
application for a total of one original and four copies.)
 Application Forms

For those applicants submitting their full application electronically, these forms are
available at the e-Grants website: http://e-grants.ed.gov

All of the forms listed and attached below can be downloaded as Word,
Wordperfect, or PDF files from:

http://www.ed.gov/offices/OCFO/grants/appforms.html.

They appear in the same sequence here as they appear on that website.

1. ED 424 Form and Instructions– Application Form for Federal Assistance (CFDA #
84.371A)

2. ED 524 Form and Instructions – Budget Information, Non–Construction Programs

3. SF 424B Form – Assurances, Non-Construction Programs

4. ED 80–0013 Form – Certifications Regarding Lobbying; Debarment, Suspension and

Other Responsibility Matters; and Drug-Free Workplace Requirements

5. SF LLL Form – Disclosure of Lobbying Activities (submit if applicable)

Information on the following is also attached below:

1. Executive Order 12372 (Intergovernmental Review of Federal Programs)

2. Single State Point of Contact List

1. Important Notice to Prospective Participants in U.S. Department of Education

Grant and Contract Programs

Application for Federal U.S. Department of Education
Form Approved
Education Assistance (ED 424) OMB No. 1890-0017
Exp. 02/28/2005

Applicant Information Organizational Unit

1. Name and Address
Legal Name:________________________________________________________________

Address: __________________________________________________________________

______________________________________________________________________________________________________________

_______________________________________________ _______ ______________________ ____________ - ________

City State County ZIP Code + 4

2. Applicant’s D-U-N-S Number |___|___|___|___|___|___|___|___|___| 6. Novice Applicant ___Yes ___No

3. Applicant’s T-I-N |___|___| - |___|___|___|___|___|___|___| 7. Is the applicant delinquent on any Federal debt? ___Yes ___No
(If “Yes,” attach an explanation.)
4. Catalog of Federal Domestic Assistance #: 84.____|____|____|____|

Title: ____________________________________________________ 8. Type of Applicant (Enter appropriate letter in the box.) |____|

____________________________________________________ A - State F - Independent School District

B - Local G - Public College or University
5. Project Director:___________________________________________ C - Special District H - Private, Non-profit College or University
D - Indian Tribe I - Non-profit Organization
Address:_________________________________________________ E - Individual J - Private, Profit-Making Organization

K - Other (Specify): ______________________________________

_____________________________ ______ _________ _______
City State Zip code + 4
Tel. #: ( ) _______-________ Fax #: ( )_______-________
9. State Application Identifier _______________________________
E-Mail Address: __________________________________________
_____________________________________________
Application Information
10. Type of Submission: 13. Are any research activities involving human subjects planned at
-PreApplication -Application any time during the proposed project period?
___ Construction ___ Construction ___ Yes (Go to 13a.) ___ No (Go to item 14.)
___ Non-Construction ___ Non-Construction
13a. Are all the research activities proposed designated to be
11. Is application subject to review by Executive Order 12372 process? exempt from the regulations?
___ Yes (Date made available to the Executive Order 12372 ___ Yes (Provide Exemption(s) #): _______________________
process for review): ____/____/_________
___ No (Provide Assurance #): __________________________
___ No (If “No,” check appropriate box below.)
___ Program is not covered by E.O. 12372. 14. Descriptive Title of Applicant’s Project:
___ Program has not been selected by State for review.
________________________________________________________
12. Proposed Project Dates: ____/____/________ ____/____/_________
Start Date: End Date: ________________________________________________________

Estimated Funding Authorized Representative Information

16. To the best of my knowledge and belief, all data in this pre-application/application are true
15a. Federal $ ________________. 00 and correct. The document has been duly authorized by the governing body of the applicant
b. Applicant $ ________________. 00 and the applicant will comply with the attached assurances if the assistance is awarded.
c. State $ ________________. 00 a. Authorized Representative (Please type or print name clearly.)
d. Local $ ________________. 00 ________________________________________________________________________________
e. Other $ ________________. 00 b. Title: _________________________________________________________________________
f. Program Income $ ________________. 00 c. Tel. #: ( ) ________-____________ Fax #: ( ) ________-____________
d. E-Mail Address: _______________________________________________________________
g. TOTAL $ ________________. 00 e. Signature of Authorized Representative

_____________________________________________________________ Date:___/____/______
 Instructions for Form ED 424

1. Legal Name and Address. Enter the legal name of 12. Proposed Project Dates. Please enter the month, day, and
applicant and the name of the primary organizational unit four (4) digit year (mm/dd/yyyy).
which will undertake the assistance activity.
13. Human Subjects Research. (See I.A. “Definitions” in
2. D-U-N-S Number. Enter the applicant’s D-U-N-S Number. attached page entitled “Definitions for Form ED 424.”)
If your organization does not have a D-U-N-S Number, you
can obtain the number by calling 1-800-333-0505 or by If Not Human Subjects Research. Check “No” if research
completing a D-U-N-S Number Request Form. The form activities involving human subjects are not planned at
can be obtained via the Internet at the following URL: any time during the proposed project period. The
http://www.dnb.com. remaining parts of Item 12 are then not applicable.

3. Tax Identification Number. Enter the taxpayer’s If Human Subjects Research. Check “Yes” if research activities
identification number as assigned by the Internal Revenue involving human subjects are planned at any time
Service. during the proposed project period, either at the
applicant organization or at any other performance
4. Catalog of Federal Domestic Assistance (CFDA) site or collaborating institution. Check “Yes” even if
Number. Enter the CFDA number and title of the program the research is exempt from the regulations for the
under which assistance is requested. The CFDA number can protection of human subjects. (See I.B. “Exemptions”
be found in the federal register notice and the application in attached page entitled “Definitions for Form ED
package. 424.”)

5. Project Director. Name, address, telephone and fax 13a. If Human Subjects Research is Exempt from the Human
numbers, and e-mail address of the person to be contacted Subjects Regulations. Check “Yes” if all the research
on matters involving this application. activities proposed are designated to be exempt from the
regulations. Insert the exemption number(s) corresponding
6. Novice Applicant. Check “Yes” or “No” only if assistance to one or more of the six exemption categories listed in I.B.
is being requested under a program that gives special “Exemptions.” In addition, follow the instructions in II.A.
consideration to novice applicants. Otherwise, leave blank. “Exempt Research Narrative” in the attached page entitled
“Definitions for Form ED 424.” Insert this narrative
Check “Yes” if you meet the requirements for novice immediately following the ED 424 face page.
applicants specified in the regulations in 34 CFR 75.225 and
included on the attached page entitled “Definitions for Form 13a. If Human Subjects Research is Not Exempt from Human
ED 424.” By checking “Yes” the applicant certifies that it Subjects Regulations. Check “No” if some or all of the
meets these novice applicant requirements. Check “No” if planned research activities are covered (not exempt). In
you do not meet the requirements for novice applicants. addition, follow the instructions in II.B. “Nonexempt
Research Narrative” in the page entitled “Definitions for
7. Federal Debt Delinquency. Check “Yes” if the applicant’s Form ED 424.” Insert this narrative immediately following
organization is delinquent on any Federal debt. (This the ED 424 face page.
question refers to the applicant’s organization and not to the
person who signs as the authorized representative. 13a. Human Subjects Assurance Number. If the applicant has
Categories of debt include delinquent audit disallowances, an approved Federal Wide (FWA) or Multiple Project
loans and taxes.) Otherwise, check “No.” Assurance (MPA) with the Office for Human Research
Protections (OHRP), U.S. Department of Health and Human
8. Type of Applicant. Enter the appropriate letter in the box Services, that covers the specific activity, insert the number
provided. in the space provided. If the applicant does not have an
approved assurance on file with OHRP, enter “None.” In
9. State Application Identifier. State use only (if applicable). this case, the applicant, by signature on the face page, is
declaring that it will comply with 34 CFR 97 and proceed to
10. Type of Submission. See “Definitions for Form ED 424” obtain the human subjects assurance upon request by the
attached. designated ED official. If the application is
recommended/selected for funding, the designated ED
11. Executive Order 12372. See “Definitions for Form ED official will request that the applicant obtain the assurance
424” attached. Check “Yes” if the application is subject to within 30 days after the specific formal request.
review by E.O. 12372. Also, please enter the month, day,
and four (4) digit year (mm/dd/yyyy). Otherwise, check
“No.”
Note about Institutional Review Board Approval. ED does not 16. Certification. To be signed by the authorized
require certification of Institutional Review Board approval representative of the applicant. A copy of the governing
with the application. However, if an application that body’s authorization for you to sign this application as
involves non-exempt human subjects research is official representative must be on file in the applicant’s
recommended/selected for funding, the designated ED office. Be sure to enter the telephone and fax number and e-
official will request that the applicant obtain and send the mail address of the authorized representative. Also, in item
certification to ED within 30 days after the formal request. 15e, please enter the month, day, and four (4) digit year
(mm/dd/yyyy) in the date signed field.
14. Project Title. Enter a brief descriptive title of the project.
If more than one program is involved, you should append an Paperwork Burden Statement. According to the Paperwork
explanation on a separate sheet. If appropriate (e.g., Reduction Act of 1995, no persons are required to respond to a
construction or real property projects), attach a map showing collection of information unless such collection displays a valid
project location. For preapplications, use a separate sheet to OMB control number. The valid OMB control number for this
provide a summary description of this project. information collection is 1875-0106. The time required to
15. Estimated Funding. Amount requested or to be complete this information collection is estimated to average
contributed during the first funding/budget period by each between 15 and 45 minutes per response, including the time to
contributor. Value of in-kind contributions should be review instructions, search existing data resources, gather the data
included on appropriate lines as applicable. If the action needed, and complete and review the information collection. If
will result in a dollar change to an existing award, indicate you have any comments concerning the accuracy of the
only the amount of the change. For decreases, enclose the estimate(s) or suggestions for improving this form, please
amounts in parentheses. If both basic and supplemental write to: U.S. Department of Education, Washington, D.C.
amounts are included, show breakdown on an attached 20202-4700. If you have comments or concerns regarding the
sheet. For multiple program funding, use totals and show status of your individual submission of this form write
breakdown using same categories as item 15. directly to: Joyce I. Mays, Application Control Center, U.S.
Department of Education, Potomac Center Plaza, 550 12th Street
SW, Room 7076, Washington, DC 20202-4260
 Definitions for Form ED 424

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

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

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

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

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

Type of Submission. “Construction” includes construction of new buildings and acquisition, expansion, remodeling,
and alteration of existing buildings, and initial equipment of any such buildings, or any combination of such activities
(including architects’ fees and the cost of acquisition of land). “Construction” also includes remodeling to meet
standards, remodeling designed to conserve energy, renovation or remodeling to accommodate new technologies, and
the purchase of existing historic buildings for conversion to public libraries. For the purposes of this paragraph, the
term “equipment” includes machinery, utilities, and built-in equipment and any necessary enclosures or structures to
house them; and such term includes all other items necessary for the functioning of a particular facility as a facility for
the provision of library services.

Executive Order 12372. The purpose of Executive Order 12372 is to foster an intergovernmental partnership and
strengthen federalism by relying on State and local processes for the coordination and review of proposed Federal
financial assistance and direct Federal development. The application notice, as published in the Federal Register,
informs the applicant as to whether the program is subject to the requirements of E.O. 12372. In addition, the
application package contains information on the State Single Point of Contact. An applicant is still eligible to apply
for a grant or grants even if its respective State, Territory, Commonwealth, etc. does not have a State Single Point of
Contact. For additional information on E.O. 12372 go to http://www.cfda.gov/public/eo12372.htm.
PROTECTION OF HUMAN SUBJECTS IN RESEARCH

I. Definitions and Exemptions

A. Definitions.

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

—Research

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

—Human Subject

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

B. Exemptions.

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

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

(2) Research involving the use of educational tests (cognitive, diagnostic, aptitude, achievement), survey procedures,
interview procedures or observation of public behavior, unless: (a) information obtained is recorded in such a manner
that human subjects can be identified, directly or through identifiers linked to the subjects; and (b) any disclosure of
the human subjects’ responses outside the research could reasonably place the subjects at risk of criminal or civil
liability or be damaging to the subjects’ financial standing, employability, or reputation. If the subjects are children,
exemption 2 applies only to research involving educational tests and observations of public behavior when the
investigator(s) do not participate in the activities being observed. Exemption 2 does not apply if children are
surveyed or interviewed or if the research involves observation of public behavior and the investigator(s)
participate in the activities being observed. [Children are defined as persons who have not attained the legal age for
consent to treatments or procedures involved in the research, under the applicable law or jurisdiction in which the
research will be conducted.]
(3) Research involving the use of educational tests (cognitive, diagnostic, aptitude, achievement), survey procedures,
interview procedures or observation of public behavior that is not exempt under section (2) above, if the human
subjects are elected or appointed public officials or candidates for public office; or federal statute(s) require(s) without
exception that the confidentiality of the personally identifiable information will be maintained throughout the research
and thereafter.

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

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

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

II. Instructions for Exempt and Nonexempt Human Subjects Research Narratives

If the applicant marked “Yes” for Item 12 on the ED 424, the applicant must provide a human subjects “exempt
research” or “nonexempt research” narrative and insert it immediately following the ED 424 face page.

A. Exempt Research Narrative.

If you marked “Yes” for item 12 a. and designated exemption numbers(s), provide the “exempt research” narrative.
The narrative must contain sufficient information about the involvement of human subjects in the proposed research
to allow a determination by ED that the designated exemption(s) are appropriate. The narrative must be succinct.

B. Nonexempt Research Narrative.

If you marked “No” for item 12 a. you must provide the “nonexempt research” narrative. The narrative must address
the following seven points. Although no specific page limitation applies to this section of the application, be succinct.

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

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

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

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

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

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

(7) Collaborating Site(s): If research involving human subjects will take place at collaborating site(s) or other
performance site(s), name the sites and briefly describe their involvement or role in the research.
 U.S. DEPARTMENT OF EDUCATION OMB Control Number: 1890-
BUDGET INFORMATION 0004
NON-CONSTRUCTION PROGRAMS Expiration Date: 10-31-2007
Applicants requesting funding for only one year should complete the
Name of Institution/Organization column under "Project Year 1." Applicants requesting funding for multi-
year grants should complete all applicable columns. Please read all
instructions before completing form.
SECTION A - BUDGET SUMMARY
U.S. DEPARTMENT OF EDUCATION FUNDS

Budget Categories Project Year 1 Project Year 2 Project Year 3 Project Year 4 Project Year 5 Total
(a) (b) (c) (d) (e) (f)
1. Personnel
2. Fringe Benefits
3. Travel
4. Equipment
5. Supplies
6. Contractual
7. Construction
8. Other
9. Total Direct Costs (lines
1-8)
10. Indirect Costs*
11. Training Stipends
12. Total Costs (lines 9-11)
*Indirect Cost Information (To Be Completed by Your Business Office):
If you are requesting reimbursement for indirect costs on line 10, please answer the following questions:
(1) Do you have an Indirect Cost Rate Agreement approved by the Federal government? ____Yes ____ No
(2) If yes, please provide the following information:
Period Covered by the Indirect Cost Rate Agreement: From: ___/___/______ To: ___/___/______ (mm/dd/yyyy)
Approving Federal agency: ____ ED ____ Other (please specify): __________________________
(3) For Restricted Rate Programs (check one) -- Are you using a restricted indirect cost rate that:
___ Is included in your approved Indirect Cost Rate Agreement? or ___ Complies with 34 CFR 76.564(c)(2)?
 Applicants requesting funding for only one year should complete the column
Name of Institution/Organization
under
"Project Year 1." Applicants requesting funding for multi-year grants should
complete all applicable columns. Please read all instructions before completing
form.
SECTION B - BUDGET SUMMARY
NON-FEDERAL FUNDS
Project Year 1 Project Year 2 Project Year 3 Project Year 4 Project Year 5 Total
Budget Categories (a) (b) (c) (d) (e) (f)
1. Personnel
2. Fringe Benefits
3. Travel
4. Equipment
5. Supplies
6. Contractual
7. Construction
8. Other
9. Total Direct
Costs
(Lines 1-8)
10. Indirect Costs
11. Training
Stipends
12. Total Costs
(Lines 9-11)

SECTION C – BUDGET NARRATIVE (see instructions)

 Instructions for ED 524
General Instructions Section B - Budget Summary (34 CFR 75.562) and grants under
Non-Federal Funds programs with “Supplement not
This form is used to apply to individual U.S. Supplant” requirements ("Restricted
Department of Education (ED) discretionary If you are required to provide or volunteer to Rate" programs) by a “modified total
grant programs. Unless directed otherwise, provide matching funds or other non-Federal direct cost” (MTDC) base (34 CFR
provide the same budget information for each resources to the project, these should be 75.563 or 76.563). Please indicate
year of the multi-year funding request. Pay shown for each applicable budget category on which costs are included and which
attention to applicable program specific lines 1-11 of Section B. costs are excluded from the base to
instructions, if attached. Please consult with which the indirect cost rate is applied.
your Business Office prior to submitting this Lines 1-11, columns (a)-(e): For each project
form. year, for which matching funds or other When calculating indirect costs (line 10)
contributions are provided, show the total for "Training grants" or grants under
Section A - Budget Summary contribution for each applicable budget "Restricted Rate" programs, you must
U.S. Department of Education Funds category. refer to the information and examples on
ED’s website at:
All applicants must complete Section A and Lines 1-11, column (f): Show the multi-year http://www.ed.gov/fund/grant/apply/app
provide a breakdown by the applicable total for each budget category. If non- forms/appforms.html.
budget categories shown in lines 1-11. Federal contributions are provided for only You may also contact (202) 708-7770
one year, leave this column blank. for additional information regarding
Lines 1-11, columns (a)-(e): For each project calculating indirect cost rates or general
year for which funding is requested, show the Line 12, columns (a)-(e): Show the total indirect cost rate information.
total amount requested for each applicable matching or other contribution for each
budget category. project year. 4. Provide other explanations or
comments you deem necessary.
Lines 1-11, column (f): Show the multi-year Line 12, column (f): Show the total amount
total for each budget category. If funding is to be contributed for all years of the multi- Paperwork Burden Statement
requested for only one project year, leave this year project. If non-Federal contributions are
column blank. provided for only one year, leave this space According to the Paperwork Reduction Act
blank. of 1995, no persons are required to respond
Line 12, columns (a)-(e): Show the total to a collection of information unless such
budget request for each project year for Section C - Budget Narrative [Attach collection displays a valid OMB control
which funding is requested. separate sheet(s)] number. The valid OMB control number for
Pay attention to applicable program specific this information collection is 1890-0004.
Line 12, column (f): Show the total amount instructions, if attached. The time required to complete this
requested for all project years. If funding is information collection is estimated to vary
requested for only one year, leave this space 1. Provide an itemized budget from 13 to 22 hours per response, with an
blank. breakdown, and justification by project average of 17.5 hours per response, including
year, for each budget category listed in the time to review instructions, search
Indirect Cost Information: Sections A and B. For grant projects existing data sources, gather the data needed,
If you are requesting reimbursement for that will be divided into two or more and complete and review the information
indirect costs on line 10, this information is separately budgeted major activities or collection. If you have any comments
to be completed by your Business Office. (1): sub-projects, show for each budget concerning the accuracy of the time
Indicate whether or not your organization has category of a project year the breakdown estimate(s) or suggestions for improving this
an Indirect Cost Rate Agreement that was of the specific expenses attributable to form, please write to: U.S. Department of
approved by the Federal government. (2): If each sub-project or activity. Education, Washington, D.C. 20202-4651. If
you checked “yes” in (1), indicate in (2) the you have comments or concerns regarding
beginning and ending dates covered by the 2. If applicable to this program, provide the status of your individual submission of
Indirect Cost Rate Agreement. In addition, the rate and base on which fringe this form, write directly to (insert program
indicate whether ED or another Federal benefits are calculated. office), U.S. Department of Education, 400
agency (Other) issued the approved Maryland Avenue, S.W., Washington, D.C.
agreement. If you check “Other,” specify the 3. If you are requesting reimbursement 20202.
name of the Federal agency that issued the for indirect costs on line 10, this
approved agreement. (3): If you are applying information is to be completed by your
for a grant under a Restricted Rate Program Business Office. Specify the estimated
(34 CFR 75.563 or 76.563), indicate whether amount of the base to which the indirect
you are using a restricted indirect cost rate cost rate is applied and the total indirect
that is included on your approved Indirect expense. Depending on the grant
Cost Rate Agreement or whether you are program to which you are applying
using a restricted indirect cost rate that and/or your approved Indirect Cost Rate
complies with 34 CFR 76.564(c)(2). Note: Agreement, some direct cost budget
State or Local government agencies may not categories in your grant application
use the provision for a restricted indirect cost budget may not be included in the base
rate specified in 34 CFR 76.564(c)(2). Check and multiplied by your indirect cost rate.
only one response. Leave blank, if this item is For example, you must multiply the
not applicable. indirect cost rates of “Training grants"
OMB Approval No. 0348-0040

ASSURANCES - NON-CONSTRUCTION PROGRAMS

Public reporting burden for this collection of information is estimated to average 15 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 (0348-0040), Washington, DC 20503

PLEASE DO NOT RETURN YOUR COMPLETED FORM TO THE OFFICE OF MANAGEMENT AND
BUDGET. SEND IT TO THE ADDRESS PROVIDED BY THE SPONSORING AGENCY.

Note: Certain of these assurances may not be applicable to your project or program. If you have questions, please contact the awarding
agency. Further, certain Federal awarding agencies may require applicants to certify to additional assurances. If such is the case,
you will be notified.

As the duly authorized representative of the applicant I certify that the applicant:

1. Has the legal authority to apply for Federal assistance, and amended (20 U.S.C. 1681-1683, and 1685-1686), which
the institutional, managerial and financial capability prohibits discrimination on the basis of sex; (c) Section 504
(including funds sufficient to pay the non-Federal share of of the Rehabilitation Act of 1973, as amended (29 U.S.C.
project cost) to ensure proper planning, management, and 794), which prohibits discrimination on the basis of
completion of the project described in this application. handicaps; (d) the Age Discrimination Act of 1975, as
amended (42 U.S.C.  6101-6107), which prohibits
2. Will give the awarding agency, the Comptroller General of discrimination on the basis of age; (e) the Drug Abuse Office
the United States, and if appropriate, the State, through any and Treatment Act of 1972 (P.L. 92-255), as amended,
authorized representative, access to and the right to examine relating to nondiscrimination on the basis of drug abuse; (f)
all records, books, papers, or documents related to the award; the Comprehensive Alcohol Abuse and Alcoholism
and will establish a proper accounting system in accordance Prevention, Treatment and Rehabilitation Act of 1970 (P.L.
with generally accepted accounting standards or agency 91-616), as amended, relating to nondiscrimination on the
directives. basis of alcohol abuse or alcoholism; (g)  523 and 527 of the
Public Health Service Act of 1912 (42 U.S.C.  290 dd-3 and
3. Will establish safeguards to prohibit employees from using 290 ee 3), as amended, relating to confidentiality of alcohol
their positions for a purpose that constitutes or presents the and drug abuse patient records; (h) Title VIII of the Civil
appearance of personal or organizational conflict of interest, Rights Act of 1968 (42 U.S.C.  3601 et seq.), as amended,
or personal gain. relating to nondiscrimination in the sale, rental or financing
of housing; (i) any other nondiscrimination provisions in the
4. Will initiate and complete the work within the applicable specific statute(s) under which application for Federal
time frame after receipt of approval of the awarding agency. assistance is being made; and (j) the requirements of any
other nondiscrimination statute(s) which may apply to the
5. Will comply with the Intergovernmental Personnel Act of application.
1970 (42 U.S.C. 4728-4763) relating to prescribed standards
for merit systems for programs funded under one of the 19 7. Will comply, or has already complied, with the requirements
statutes or regulations specified in Appendix A of OPM's of Titles II and III of the uniform Relocation Assistance and
Standards for a Merit System of Personnel Administration (5 Real Property Acquisition Policies Act of 1970 (P.L. 91-646)
C.F.R. 900, Subpart F). which provide for fair and equitable treatment of persons
displaced or whose property is acquired as a result of Federal
6. Will comply with all Federal statutes relating to or federally assisted programs. These requirements apply to
nondiscrimination. These include but are not limited to: (a) all interests in real property acquired for project purposes
Title VI of the Civil Rights Act of 1964 (P.L. 88-352) which regardless of Federal participation in purchases.
prohibits discrimination on the basis of race, color or national
origin; (b) Title IX of the Education Amendments of 1972, as

Previous Edition Usable Standard Form 424B (Rev. 7-97)

Authorized for Local Reproduction Prescribed by OMB Circular A-102
 8. Will comply, as applicable, with the provisions of the Hatch political activities of employees whose principal employment
Act (5 U.S.C. 1501-1508 and 7324-7328) which limit the activities are funded in whole or in part with Federal funds.
9. Will comply, as applicable, with the provisions of the Davis- potential components of the national wild and scenic rivers
Bacon Act (40 U.S.C. 276a to 276a-7), the Copeland Act (40 system.
U.S.C. 276c and 18 U.S.C. 874) and the Contract Work Hours
and Safety Standards Act (40 U.S.C.  327-333), regarding labor 13. Will assist the awarding agency in assuring compliance with
standards for federally assisted construction subagreements. Section 106 of the National Historic Preservation Act of 1966,
as amended (16 U.S.C. 470), EO 11593 (identification and
10. Will comply, if applicable, with flood insurance purchase protection of historic properties), and the Archaeological and
requirements of Section 102(a) of the Flood Disaster Protection Historic Preservation Act of 1974 (16 U.S.C. 469a-1 et seq.).
Act of 1973 (P.L. 93-234) which requires recipients in a special
flood hazard area to participate in the program and to purchase 14. Will comply with P.L. 93-348 regarding the protection of
flood insurance if the total cost of insurable construction and human subjects involved in research, development, and related
acquisition is $10,000 or more. activities supported by this award of assistance.
11. Will comply with environmental standards which may be
15. Will comply with the Laboratory Animal Welfare Act of 1966
prescribed pursuant to the following: (a) institution of
(P.L. 89-544, as amended, 7 U.S.C. 2131 et seq.) pertaining to
environmental quality control measures under the National
the care, handling, and treatment of warm blooded animals held
Environmental Policy Act of 1969 (P.L. 91-190) and Executive
for research, teaching, or other activities supported by this award
Order (EO) 11514; (b) notification of violating facilities
of assistance.
pursuant to EO 11738; (c) protection of wetlands pursuant to EO
11990; (d) evaluation of flood hazards in floodplains in
16. Will comply with the Lead-Based Paint Poisoning Prevention
accordance with EO 11988; (e) assurance of project consistency
Act (42 U.S.C. 4801 et seq.) which prohibits the use of lead-
with the approved State management program developed under
based paint in construction or rehabilitation of residence
the Coastal Zone Management Act of 1972 (16 U.S.C. 1451 et
structures.
seq.); (f) conformity of Federal actions to State (Clear Air)
Implementation Plans under Section 176(c) of the Clear Air Act
17. Will cause to be performed the required financial and
of 1955, as amended (42 U.S.C. 7401 et seq.); (g) protection of
compliance audits in accordance with the Single Audit Act
underground sources of drinking water under the Safe Drinking
Amendments of 1996 and OMB Circular No. A-133, Audits
Water Act of 1974, as amended, (P.L. 93-523); and (h)
of States, Local Governments, and Non-Profit Organizations.
protection of endangered species under the Endangered Species
Act of 1973, as amended, (P.L. 93-205).
18. Will comply with all applicable requirements of all other
12 Will comply with the Wild and Scenic Rivers Act of 1968 (16
Federal laws, executive orders, regulations and policies
U.S.C. 1721 et seq.) related to protecting components or
governing this program

SIGNATURE OF AUTHORIZED CERTIFYING OFFICIAL

TITLE

APPLICANT ORGANIZATION DATE SUBMITTED

Standard Form 424B (Rev. 7-97) Back

 CERTIFICATION REGARDING LOBBYING
Applicants must review the requirements for certification regarding lobbying included in the regulations cited
below before completing this form. Applicants must sign this form to comply with the certification requirements
under 34 CFR Part 82, "New Restrictions on Lobbying." This certification is a material representation of fact
upon which the Department of Education relies when it makes a grant or enters into a cooperative agreement.

As required by Section 1352, Title 31 of the U.S. Code, and implemented at 34 CFR Part 82, for persons entering
into a Federal contract, grant or cooperative agreement over $100,000, as defined at 34 CFR Part 82, Sections
82.105 and 82.110, the applicant certifies that:

(a) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any
person 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 the making of any
Federal grant, the entering into of any cooperative agreement, and the extension, continuation, renewal,
amendment, or modification of any Federal grant or cooperative agreement;

(b) If any funds other than Federal appropriated funds have been paid or will be paid to any person 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 this Federal grant or cooperative
agreement, the undersigned shall complete and submit Standard Form - LLL, "Disclosure Form to Report
Lobbying," in accordance with its instructions;

(c) The undersigned shall require that the language of this certification be included in the award documents for all
subawards at all tiers (including subgrants and contracts under grants and cooperative agreements) and that all
subrecipients shall certify and disclose accordingly.

As the duly authorized representative of the applicant, I hereby certify that the applicant will comply with the
above certification.

NAME OF APPLICANT PR/AWARD NUMBER AND / OR PROJECT NAME

PRINTED NAME AND TITLE OF AUTHORIZED REPRESENTATIVE

SIGNATURE DATE

ED 80-0013 06/04
 Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion -- Lower Tier Covered Transactions

This certification is required by the Department of Education regulations implementing Executive Order 12549, Debarment and Suspension, 34 CFR Part 85, for all
lower tier transactions meeting the threshold and tier requirements stated at Section 85.110.

Instructions for Certification 6. The prospective lower tier participant further agrees by submitting this
proposal that it will include the clause titled Certification Regarding
1. By signing and submitting this proposal, the prospective lower tier Debarment, Suspension, Ineligibility, and Voluntary Exclusion-Lower Tier
participant is providing the certification set out below. Covered Transactions, without modification, in all lower tier covered
transactions and in all solicitations for lower tier covered transactions.
2. The certification in this clause is a material representation of fact upon
which reliance was placed when this transaction was entered into. If it is later 7. A participant in a covered transaction may rely upon a certification of a
determined that the prospective lower tier participant knowingly rendered an prospective participant in a lower tier covered transaction that it is not
erroneous certification, in addition to other remedies available to the Federal debarred, suspended, ineligible, or voluntarily excluded from the covered
Government, the department or agency with which this transaction originated transaction, unless it knows that the certification is erroneous. A participant
may pursue available remedies, including suspension and/or debarment. may decide the method and frequency by which it determines the eligibility of
its principals. Each participant may but is not required to, check the
3. The prospective lower tier participant shall provide immediate written Nonprocurement List.
notice to the person to which this proposal is submitted if at any time the
prospective lower tier participant learns that its certification was erroneous 8. Nothing contained in the foregoing shall be construed to require
when submitted or has become erroneous by reason of changed establishment of a system of records in order to render in good faith the
circumstances. certification required by this clause. The knowledge and information of a
participant is not required to exceed that which is normally possessed by a
4. The terms "covered transaction," "debarred," "suspended," "ineligible," prudent person in the ordinary course of business dealings.
"lower tier covered transaction," "participant," " person," "primary covered
transaction," " principal," "proposal," and "voluntarily excluded," as used in 9. Except for transactions authorized under paragraph 5 of these instructions,
this clause, have the meanings set out in the Definitions and Coverage if a participant in a covered transaction knowingly enters into a lower tier
sections of rules implementing Executive Order 12549. You may contact the covered transaction with a person who is suspended, debarred, ineligible, or
person to which this proposal is submitted for assistance in obtaining a copy voluntarily excluded from participation in this transaction, in addition to other
of those regulations. remedies available to the Federal Government, the department or agency with
which this transaction originated may pursue available remedies, including
5. The prospective lower tier participant agrees by submitting this proposal suspension and/or debarment.
that, should the proposed covered transaction be entered into, it shall not
knowingly enter into any lower tier covered transaction with a person who is
debarred, suspended, declared ineligible, or voluntarily excluded from
participation in this covered transaction, unless authorized by the department
or agency with which this transaction originated.

Certification

(1) The prospective lower tier participant certifies, by submission of this proposal, that neither it nor its principals are presently debarred, suspended, proposed for
debarment, declared ineligible, or voluntarily excluded from participation in this transaction by any Federal department or agency.

(2) Where the prospective lower tier participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to
this proposal.

NAME OF APPLICANT PR/AWARD NUMBER AND/OR PROJECT NAME

PRINTED NAME AND TITLE OF AUTHORIZED REPRESENTATIVE

SIGNATURE DATE

ED 80-0014, 9/90 (Replaces GCS-009 (REV.12/88), which is obsolete)

 OMB Control No. 1890-0007 (Exp. 11/30/2007)
NOTICE TO ALL APPLICANTS
The purpose of this enclosure is to inform you about to address those barriers that are applicable to your
a new provision in the Department of Education's circumstances. In addition, the information may be
General Education Provisions Act (GEPA) that provided in a single narrative, or, if appropriate, may
applies to applicants for new grant awards under be discussed in connection with related topics in the
Department programs. This provision is Section 427 application.
of GEPA, enacted as part of the Improving America's
Schools Act of 1994 (Public Law (P.L.) 103-382). Section 427 is not intended to duplicate the
requirements of civil rights statutes, but rather to
To Whom Does This Provision Apply? ensure that, in designing their projects, applicants for
Federal funds address equity concerns that may affect
Section 427 of GEPA affects applicants for new grant the ability of certain potential beneficiaries to fully
awards under this program. ALL APPLICANTS participate in the project and to achieve to high
FOR NEW AWARDS MUST INCLUDE standards. Consistent with program requirements and
INFORMATION IN THEIR APPLICATIONS its approved application, an applicant may use the
TO ADDRESS THIS NEW PROVISION IN Federal funds awarded to it to eliminate barriers it
ORDER TO RECEIVE FUNDING UNDER THIS identifies.
PROGRAM.
What are Examples of How an Applicant Might
(If this program is a State-formula grant program, a Satisfy the Requirement of This Provision?
State needs to provide this description only for
projects or activities that it carries out with funds The following examples may help illustrate how an
reserved for State-level uses. In addition, local applicant may comply with Section 427.
school districts or other eligible applicants that apply
to the State for funding need to provide this (1) An applicant that proposes to carry out an
description in their applications to the State for adult literacy project serving, among others,
funding. The State would be responsible for ensuring adults with limited English proficiency, might
that the school district or other local entity has describe in its application how it intends to
submitted a sufficient section 427 statement as distribute a brochure about the proposed project
described below.) to such potential participants in their native
language.
What Does This Provision Require?
(2) An applicant that proposes to develop
Section 427 requires each applicant for funds (other instructional materials for classroom use might
than an individual person) to include in its describe how it will make the materials available
application a description of the steps the applicant on audio tape or in braille for students who are
proposes to take to ensure equitable access to, and blind.
participation in, its Federally-assisted program for
students, teachers, and other program beneficiaries (3) An applicant that proposes to carry out a
with special needs. This provision allows applicants model science program for secondary students
discretion in developing the required description. and is concerned that girls may be less likely
The statute highlights six types of barriers that can than boys to enroll in the course, might indicate
impede equitable access or participation: gender, how it intends to conduct "outreach" efforts to
race, national origin, color, disability, or age. Based girls, to encourage their enrollment.
on local circumstances, you should determine
whether these or other barriers may prevent your We recognize that many applicants may already be
students, teachers, etc. from such access or implementing effective steps to ensure equity of
participation in, the Federally-funded project or access and participation in their grant programs, and
activity. The description in your application of steps we appreciate your cooperation in responding to the
to be taken to overcome these barriers need not be requirements of this provision.
lengthy; you may provide a clear and succinct
description of how you plan
 Estimated Burden Statement for GEPA Requirements
According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless such collection
displays a valid OMB control number. The valid OMB control number for this information collection is 1890-0007. The time required to
complete this information collection is estimated to average 1.5 hours per response, including the time to review instructions, search existing
data resources, gather the data needed, and complete and review the information collection. If you have any comments concerning the
accuracy of the time estimate(s) or suggestions for improving this form, please write to: Director, Grants Policy and Oversight Staff,
U.S. Department of Education, 400 Maryland Avenue, SW,. Washington, DC 20202-4250.
This publication by the U.S. Department of Education is an unofficial version of the State Single Point of Contact
(SPOC) List published by the Office of Management and Budget (OMB). This publication incorporates the most
recent revisions made by OMB. The Department has made every effort to ensure the accuracy of the information
contained in this unofficial version. However, the only official version of the State Single Point of Contact (SPOC)
List is posted on the Grants Management section of the OMB web site
http://www.whitehouse.gov/omb/grants/spoc.html. You may save a text version of this document at the
aforementioned site. Please note it will be necessary to put a row of space between each state listing.

STATE SINGLE POINTS OF CONTACT (SPOCs)

It is estimated that in 2001, the Federal Government will outlay $305.6 billion in grants to State and local
governments. Executive Order 12372, “Intergovernmental Review of Federal Programs,” was issued with the desire
to foster the intergovernmental partnership and strengthen federalism by relying on State and local processes for the
coordination and review of proposed Federal financial assistance and direct Federal development. The Order allows
each State to designate an entity to perform this function. Below is the official list of those entities. For those States
that have a home page for their designated entity, a direct link has been provided on the official version
http://www.whitehouse.gov/omb/grants/spoc.html.

States that are not listed on this page have chosen not to participate in the intergovernmental review
process, and therefore do not have a SPOC. If you are located within one of these States, you may still send
application material directly to a Federal awarding agency.

Contact information for Federal agencies that award grants can be found in Appendix IV of the Catalog of
Federal Domestic Assistance. [http://www.cfda.gov/public/cat-app4-index.htm]

ARKANSAS CALIFORNIA

Tracy L. Copeland Grants Coordination

Manager, State Clearinghouse State Clearinghouse
Office of Intergovernmental Services Office of Planning and Research
Department of Finance and Administration P.O. Box 3044, Room 222
1515 7th Street, Room 412 Sacramento, California 95812-3044
Little Rock, Arkansas 72203 Telephone: (916) 445-0613
Telephone: (501) 682-1074 FAX: (916) 323-3018
FAX: (501) 682-5206 [email protected]
[email protected]
DELAWARE DISTRICT OF COLUMBIA

Charles H. Hopkins Luisa Montero-Diaz

Executive Department Office of Partnerships and Grants
Office of the Budget Development
540 S. Dupont Highway , 3rd Floor Executive Office of the Mayor
Dover, Delaware 19901 District of Columbia Government
Telephone: (302) 739-3323 414 4th Street, NW, Suite 530 South
FAX: (302) 739-5661 Washington, DC 20001
[email protected] Telephone: (202) 727-8900
FAX: (202) 727-1652
[email protected]
FLORIDA GEORGIA

Jasmin Raffington Georgia State Clearinghouse

Florida State Clearinghouse 270 Washington Street, SW
Department of Community Affairs Atlanta, Georgia 30334
2555 Shumard Oak Blvd. Telephone: (404) 656-3855
Tallahassee, Florida 32399-2100 FAX: (404) 656-7901
Telephone: (850) 922-5438 [email protected]
FAX: (850) 414-0479
[email protected]

ILLINOIS IOWA

Virginia Bova Steven R. McCann

Department of Commerce and Community Division of Community and Rural
Affairs Development
James R. Thompson Center Iowa Department of Economic Development
100 West Randolph, Suite 3-400 200 East Grand Avenue
Chicago, Illinois 60601 Des Moines, Iowa 50309
Telephone: (312) 814-6028 Telephone: (515) 242-4719
FAX: (312) 814-8485 FAX: (515) 242-4809
[email protected] [email protected]

KENTUCKY MAINE

Ron Cook Joyce Benson

Department for Local Government State Planning Office
1024 Capital Center Drive, Suite 340 184 State Street
Frankfort, Kentucky 40601 38 State House Station
Telephone: (502) 573-2382 Augusta, Maine 04333
FAX: (502) 573-2512 Telephone: (207) 287-3261
[email protected] Telephone: (207) 1461 (direct)
FAX: (207) 287-6489
[email protected]

MARYLAND MICHIGAN

Linda Janey Richard Pfaff

Manager, Clearinghouse and Plan Review Unit Southeast Michigan Council of Governments
Maryland Office of Planning 535 Griswold, Suite 300
301 West Preston Street – Room 1104 Detroit, Michigan 48226
Baltimore, Maryland 21201-2305 Telephone: (313) 961-4266
Telephone: (410) 767-4490 FAX: (313) 961-4869
FAX: (410) 767-4480 [email protected]
[email protected]
MISSISSIPPI MISSOURI

Mildred Tharpe Federal Assistance Clearinghouse

Clearinghouse Officer Office of Administration
Department of Finance and Administration P.O. Box 809
1301 Woolfolk Building, Suite E Truman Building, Room 840
501 North West Street Jefferson City, Missouri 65102
Jackson, Mississippi 39201 Telephone: (573) 751-4834
Telephone: (601) 359-6762 FAX: (573) 522-4395
FAX: (601) 359-6758 [email protected]

NEVADA NEW HAMPSHIRE

Heather Elliott MaryAnn Manoogian

Department of Administration Director, New Hampshire Office of
State Clearinghouse Energy and Planning
209 E. Musser Street, Room 200 Attn: Intergovernmental Review Process
Carson City, Nevada 89701-4298 Benjamin Frost
Telephone: (775) 684-0209 57 Regional Drive
FAX: (775) 684-0260 Concord, New Hampshire 03301-8519
[email protected] Telephone: (603) 271-2155
FAX: (603) 271-2615
[email protected]
NEW MEXICO NORTH CAROLINA

Ken Hughes Jeanette Furney

Local Government Division Department of Administration
Room 201, Bataan Memorial Building 1302 Mail Service Center
Santa Fe, New Mexico 87503 Raleigh, North Carolina 27699-1302
Telephone: (505) 827-4370 Telephone: (919) 807-2323
FAX: (505) 827-4948 FAX: (919) 733-9571
[email protected] [email protected]

NORTH DAKOTA RHODE ISLAND

Jim Boyd Kevin Nelson

Division of Community Services Department of Administration
600 East Boulevard Ave, Dept 105 Statewide Planning Program
Bismarck, North Dakota 58505-0170 One Capitol Hill
Telephone: (701) 328-2094 Providence Rhode Island 02908-5870
FAX: (701) 328-2308 Telephone: (401) 222-2093
[email protected] FAX: (401) 222-2083
[email protected]
SOUTH CAROLINA TEXAS

Omeagia Burgess Denise S. Francis

Budget and Control Board Director, State Grants Team
Office of State Budget Governor’s Office of Budget and Planning
1122 Ladies Street – 12th Floor P.O. Box 12428
Columbia, South Carolina 29201 Austin, Texas 78711
Telephone: (803) 734-0494 Telephone: (512) 305-9415
FAX: (803) 734-0645 FAX: (512) 936-2681
[email protected] [email protected]

UTAH WEST VIRGINIA

Carolyn Wright Fred Cutlip, Director

Utah State Clearinghouse Community Development Division
Governor’s Office of Planning and Budget West Virginia Development Office
State Capitol, Room 114 Building #6, Room 553
Salt Lake City, Utah 84114 Charleston, West Virginia 25305
Telephone: (801) 538-1535 Telephone: (304) 558-4010
FAX: (801) 538-1547 FAX: (304) 558-3248
[email protected] [email protected]

WISCONSIN AMERICAN SAMOA

Jeff Smith Pat M. Galea'i

Section Chief, Federal/State Relations Federal Grants/Programs Coordinator
Wisconsin Department of Administration Office of Federal Programs
101 East Wilson Street – 6th Floor Office of the Governor/Department
P.O. Box 7868 of Commerce
Madison, Wisconsin 53707 American Samoa Government
Telephone: (608) 266-0267 Pago Pago, American Samoa 96799
FAX: (608) 267-6931 Telephone: (684) 633-5155
[email protected] Fax: (684) 633-4195
[email protected]
 GUAM PUERTO RICO

Director Jose Caballero / Mayra Silva

Bureau of Budget and Management Research Puerto Rico Planning Board
Office of the Governor Federal Proposals Review Office
P.O. Box 2950 Minillas Government Center
Agana, Guam 96910 P.O. Box 41119
Telephone: 011-671-472-2285 San Juan, Puerto Rico 00940-1119
FAX: 011-671-472-2825 Telephone: (787) 723-6190
[email protected] FAX: (787) 722-6783

NORTHERN MARIANA ISLANDS VIRGIN ISLANDS

Ms. Jacoba T. Seman Ira Mills

Federal Programs Coordinator Director, Office of Management & Budget
Office of Management and Budget # 41 Norre Gade Emancipation Garden Station,
Office of the Governor Second Floor
Saipan, MP 96950 Saint Thomas, Virgin Islands 00802
Telephone: (670) 664-2289 Telephone: (340) 774-0750
FAX: (670) 664-2272 FAX: (787) 776-0069
[email protected] [email protected]

Changes to this list can be made only after OMB is notified by a State’s officially designated representative. E-mail
messages can be sent to [email protected]. If you prefer, you may send correspondence to the following postal
address:

Attn: Grants Management

Office of Management and Budget
New Executive Office Building, Suite 6025
725 17th Street, NW
Washington, DC 20503

Please note: Inquiries about obtaining a Federal grant should not be sent to the OMB e-mail or postal address shown above. The best source
for this information is the CFDA.
 IMPORTANT NOTICE TO PROSPECTIVE PARTICIPANTS
IN U.S. DEPARTMENT OF EDUCATION
GRANT AND CONTRACT PROGRAMS

GRANTS

Applicants for grants from the U.S. Department of Education (ED) have to compete for limited
funds. Deadlines assure all applicants that they will be treated fairly and equally, without last
minute haste. For these reasons, ED must set strict deadlines for grant applications. Prospective
applicants can avoid disappointment if they understand that:

Failure to meet a deadline will mean that an applicant will be rejected without any
consideration.

The rules, including the deadline, for applying for each grant are published, individually, in the
Federal Register. A one-year subscription to the Register may be obtained by sending $555.00 to:
Superintendent of Documents, U.S. Government Printing Office, Washington, D.C. 20402-9371.
(Send check or money order only, no cash or stamps.) In addition, the Federal Register is available
on-line for free on Government Printing Office (GPO) Access: http://www.access.gpo.gov/nara.
Depository Library location and Federal Register services: http://www.nara.gov/fedreg.

The instructions in the Federal Register must be followed exactly. Do not accept any other
advice you may receive. No ED employee is authorized to extend any deadline published in the
Register. No ED employees are authorized to extend any deadline published in the Federal
Register. Questions regarding submission of applications may be addressed to:

U.S. Department of Education

Application Control Center
Washington, D.C. 20202-4725