PKG00261356-instructions.pdf

U.S. Department of Education

Office of Elementary and Secondary Education

Office of State Support and Accountability

Washington, D.C. 20202-6200

Fiscal Year 2020

Application for New Grants Under the Competitive Grants for State Assessment Program

CFDA 84.368A

Dated Material - Open Immediately Closing Date: June 30, 2020

Funding Opportunity Number: ED-GRANTS-050120-002

Approved OMB Number: 1894-0006

Expiration Date: 1/31/2021 ii

Paperwork Burden Statement

According to the Paperwork reduction Act of 1995, no persons are required to respond to a collection of information unless such collection displays a valid OMB control number. The valid

OMB control number for this information collection is: 1894-0006. Public reporting burden for this collection of information is estimated to average 40 hours per response, including the time for reviewing instructions, searching existing data resources, gathering and maintaining the data needed, and completing and reviewing the collection of information. The obligation to respond to this collection is voluntary. Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to the U.S.

Department of Education, 400 Maryland Ave., SW, Washington, DC 20210-4537 or email

ICDocketMgr@ed.gov. Please do not return completed applications to this address.

If you have comments or concerns regarding the status of your individual submission of this application, please contact:

Donald Peasley

Competitive Grants for State Assessment Program

U.S. Department of Education

400 Maryland Avenue SW, 3W106

Washington, DC 20202-6200

[Note: Please do not return the completed application to this address.] mailto:ICDocketMgr@ed.gov iii

Table of Contents

Dear Colleague Letter………………………………………………… ………………………4 I. Program Background Information

Program Overview

Application Requirements and Priorities

Applicant Guide

Selection Criteria

Definitions

Technical Assistance Workshops for Prospective Applicants

II. Application Submission Procedures

Notice of Intent to Apply

Application Transmittal Instructions

Helpful Hints When Working with Grants.gov

Electronic Application Submission Checklist

Part 1: Preliminary Documents

Part 2: Budget Information

Part 3: ED Abstract Form

Part 4: Project Narrative Attachment Form

Part 5: Budget Narrative

Part 6: Other Attachment Form

Part 7: Assurances and Certifications

Part 8: Intergovernmental Review of Federal Programs (Executive Order 12372)

III. Reporting and Accountability

Government Performance and Results Act (GPRA) Measures

IV. Legal and Regulatory Information

Notice Inviting Applications

Program Statute

Dear Colleague:

Thank you for your interest in the Competitive Grants for State Assessments (CGSA) program, administered by the Office of Elementary and Secondary Education of the U.S. Department of Education

(Department). This document includes information for applicants seeking funding for new grant projects in Fiscal Year 2020 under the CGSA, authorized under section 1203(b)(1) of the Elementary and

Secondary Education Act of 1965, as amended. The purpose of the CGSA program is to support States' efforts to improve the technical quality of their assessment systems—both the quality of individual State assessments and the overall field of State assessments.

Please take the time to review the applicable priorities, selection criteria, and all the application instructions thoroughly. An application will not be evaluated for funding if the applicant does not comply with all the procedural rules that govern the submission of the application or the application does not contain the information required under the program (34 CFR§75.216 (b) and (c)).

If you are new to or would like a refresher on applying to a grant at the Department, please review our

Common Instructions for Applicants to Department of Education Discretionary Grant Programs, published in the Federal Register on February 13, 2019 (84 FR 3768), and available at www.govinfo.gov/content/pkg/FR-2019-02-13/pdf/2019-02206.pdf

To apply for this competition please use the government-wide website, http://www.grants.gov. We encourage that early in the process of compiling an application for submission you familiarize yourself with Grants.gov and register or identify who has access to your entity’s registration within your entity and become a user or clarify roles for submitting application using grants.gov. We recommend that you submit early. To submit successfully, you must provide the Data Universal Numbering System (DUNS) number on your application that was used when you, or someone in your entity, registered as an

Authorized Organization Representative (AOR) on Grants.gov. This DUNS number is typically the same number used when your organization registered with the System for Award Management (SAM)

(www.sam.gov). If you do not enter the same DUNS number on your application as the DUNS you registered with, Grants.gov will reject your application.

Please note, the narrative portion of an application must be submitted using either read-only, flattened

Portable Document Format (PDF) or a Microsoft Word document. Please see related instructions within this application package.

The Department expects to award approximately $12,327,000 for new grants under this competition. We will award discretionary grants on a competitive basis for a project period of up to 48 months. Grants are expected to be awarded in September 2020.

Please visit our program website at https://oese.ed.gov/offices/office-of-formula-grants/school-support-and-accountability/competitive-grants-for-state-assessments/ for further information. The program website includes helpful information, frequently asked questions, dates of future webinars or workshops, and clarifications. If you have any technical questions about the program after reviewing the application package, please contact Donald Peasley by telephone at (202) 453-7982 or via e-mail at

ESEA.Assessment@ed.gov .

Sincerely, Patrick Rooney

Director, Office of School Support and Accountability

UNITED STATES DEPARTMENT OF EDUCATION

OFFICE OF ELEMENTARY AND SECONDARY EDUCATION

https://www.ecfr.gov/cgi-bin/retrieveECFR?gp=1&SID=367e1f94ddd42a155763f4a7fa1ee269&h=L&mc=true&n=pt34.1.75&r=PART&ty=HTML#se34.1.75_1216 http://www.govinfo.gov/content/pkg/FR-2019-02-13/pdf/2019-02206.pdf http://www.grants.gov/ https://usdedeop-my.sharepoint.com/personal/ryan_tauriainen_ed_gov/Documents/Desktop/App%20Package%20Template/www.sam.gov https://oese.ed.gov/offices/office-of-formula-grants/school-support-and-accountability/competitive-grants-for-state-assessments/ https://oese.ed.gov/offices/office-of-formula-grants/school-support-and-accountability/competitive-grants-for-state-assessments/ mailto:ESEA.Assessment@ed.gov

I. Program Background Information

Program Overview

The purpose of the Competitive Grants for State Assessments (CGSA) program is to support States' efforts to improve the technical quality of their assessment systems—both the quality of individual State assessments and the overall field of State assessments. Proficiency on State assessments required under

Title I, Part A, of the ESEA is the primary indicator in the ESEA of student academic achievement and, hence, the primary measure of State success in meeting the goals of ESEA. In view of the critical importance of these State assessments, section 1201 of the ESEA provides formula grants to all State

Educational Agencies (SEA), and section 1203 authorizes the Secretary to make competitive grant awards to SEAs to help them enhance the quality of assessment and accountability systems.

Note About Award Size

The Department will not make an award for less than the amount specified in section 1203(b)(1)(C) of the

ESEA. Minimum award sizes, based on the FY 2019 appropriations and FY 2019 SEA school-age child counts, are as follows:

State ALABAMA ALASKA ARIZONA ARKANSAS

Minimum Amount $ 181,669 $ 29,806 $ 275,188 $ 116,950

State CALIFORNIA COLORADO CONNECTICUT DELAWARE

Minimum Amount $ 1,493,391 $ 211,713 $ 125,894 $ 33,935

State

DIST.

COLUMBIA

FLORIDA GEORGIA HAWAII

Minimum Amount $ 18,671 $ 703,724 $ 421,505 $ 49,192

State IDAHO ILLINOIS INDIANA IOWA

Minimum Amount $ 75,399 $ 478,132 $ 262,158 $ 121,445

State KANSAS KENTUCKY LOUISIANA MAINE

Minimum Amount $ 117,815 $ 167,253 $ 179,904 $ 42,445

State MARYLAND MASSACHUSETTS MICHIGAN MINNESOTA

Minimum Amount $ 222,492 $ 229,572 $ 363,163 $ 216,033

State MISSISSIPPI MISSOURI MONTANA NEBRASKA

Minimum Amount $ 118,736 $ 228,985 $ 38,061 $ 78,418

State NEVADA

NEW

HAMPSHIRE

NEW JERSEY NEW MEXICO

Minimum Amount $ 114,708 $ 44,275 $ 327,249 $ 81,619

State NEW YORK

NORTH

CAROLINA

NORTH

DAKOTA

OHIO

Minimum Amount $ 667,640 $ 385,514 $ 28,278 $ 432,953

State OKLAHOMA OREGON PENNSYLVANIA

RHODE

ISLAND

Minimum Amount $ 158,733 $ 145,802 $ 443,756 $ 34,389

State

SOUTH

CAROLINA

SOUTH DAKOTA TENNESSEE TEXAS

Minimum Amount $ 185,528 $ 35,456 $ 250,770 $ 1,225,510

State UTAH VERMONT VIRGINIA WASHINGTON

Minimum Amount $ 154,948 $ 19,678 $ 309,884 $ 273,787

State

WEST

VIRGINIA

WISCONSIN WYOMING

PUERTO

RICO

Minimum Amount $ 61,322 $ 214,755 $ 22,545 $ 106,586

Application Requirements and Priorities

There are application requirements for this FY 2020 grant competition and any subsequent year in which awards are made from the list of unfunded applications from this competition. Grant competitions may include “Absolute Priorities,” which must be clearly met in order for an application to be considered, and also “Competitive Preference” or “Invitational Priorities,” which are not required to be met but may increase the likelihood of receiving an award.

To read a list of Absolute Priorities and Invitational Priorities for this grant competition, please reference the Notice Inviting Applications (NIA) for this competition on the Federal Register.

See https://www.federalregister.gov/d/2020-09336 to access the NIA for this competition.

Applicant Guide

Applications are entered into the Grants.gov system; applications submitted via email will not be accepted. For more information, including how to submit a paper application in cases in which electronic submission is not possible, please read the Common Instructions for Applicants to Department of

Education Discretionary Grant Programs, published in the Federal Register on February 13, 2019 (84 FR

3768), and available at www.govinfo.gov/content/pkg/FR-2019-02-13/pdf/2019-02206.pdf.

A completed application will include a program narrative. The program narrative is the section of the application that directly responds to the selection criteria. The program narrative should follow the order of the selection criteria. Applicants should describe, in detail, activities planned for each of the funding periods of the grant. The program office suggests that applicants limit the program narrative to 65 pages.

Narrative attachments must be submitted as files in a read-only, flattened Portable Document Format

(PDF) or as a Microsoft Word document. If applicants upload a different file type or submit a password-protected file, we will not review that material. A minimum of three peer reviewers will evaluate each proposal. Reviewers will be asked to review the applicants’ responses to each criterion and score each of their assigned proposals. Not responding to a specific criterion could negatively the score.

The Notice Inviting Applications for this competition provides the selection criteria, application requirements, eligibility, definitions, and explanations on how each criterion and requirement will be applied during the review process.

Selection Criteria

The selection criteria for this competition are from 34 CFR 75.210. The maximum score for all the selection criteria and the maximum possible score for addressing each selection criterion (indicated in parentheses) is detailed in the Notice Inviting Applications for this grant competition. Each criterion also includes the factors that reviewers will consider in determining the extent to which an applicant meets the criterion. The selection criteria for this competition can be found in the Notice Inviting Applications for this grant competition.

Program Authority: Section 1203(b)(1) of the ESEA (20 U.S.C. 6363(b)(1)) https://www.federalregister.gov/d/2020-09336 http://www.govinfo.gov/content/pkg/FR-2019-02-13/pdf/2019-02206.pdf

Definitions

Definitions for this program are from ECA, CFR, and the Secretary’s Supplemental Priorities. These definitions apply to the FY 2020 grant competition and any subsequent year in which we make awards from the list of unfunded applications from this competition. Definitions can be found in the Notice

Inviting Applications for this grant competition.

Technical Assistance Workshops for Prospective Applicants

One technical assistance webinar for prospective applicants is scheduled. When possible, information from and recordings of the session will be posted on the program website. The date and time for the webinar is:

Tuesday May 12 from 2:00 pm to 3:30 pm eastern

• Please contact Donald Peasley at ESEA.Assessment@ed.gov by 12:00 p.m. May 12, 2020 to receive specific information regarding access to the Applicant Webinar.

• The webinar will be recorded, and a copy of the slide deck and link to the recorded webinar will be posted on the CGSA Resources page at: https://oese.ed.gov/offices/office-of-formula-grants/school-support-and-accountability/competitive-grants-for-state-assessments/resources/

II. Application Submission Procedures

The deadline for submission of Competitive Grants for State Assessment Program applications through Grants.gov is 11:59:59 PM EST on June 30, 2020.

Notice of Intent to Apply

We are better able to develop a more efficient process for reviewing grant applications if we have a better understanding of the number of applicants that intend to apply for funding under this competition.

Therefore, we strongly encourage each potential applicant to notify us of the applicant’s intent to submit an application for funding. This notification should be brief, identify the SEA applicant and, if applicable, the SEA that it will designate as the fiscal agent for an award (e.g., in the case of consortia applicants).

Submit this notification by email to ESEA.Assessment@ed.gov with “Intent to Apply” in the email subject line or mail to Donald Peasley, U.S. Department of Education, 400 Maryland Avenue, SW, room

3W106, Washington, DC 20202-6132. Applicants that do not provide this notification may still apply for funding.

Application Transmittal Instructions

Attention Electronic Applicants: This program requires the electronic submission of applications--specific requirements and instructions can be found in the Federal Register notice. Please note that you must follow the Application Procedures as described in the Federal Register notice announcing the grant competition.

Applicants are required to follow the Common Instructions for Applicants to Department of Education

Discretionary Grant Programs, published in the Federal Register on February 13, 2019 (84 FR 3768) and available at https://www.govinfo.gov/content/pkg/FR-2019-02-13/pdf/2019-02206.pdf, which contain requirements and information on how to submit an application.

https://oese.ed.gov/offices/office-of-formula-grants/school-support-and-accountability/competitive-grants-for-state-assessments/resources/ https://oese.ed.gov/offices/office-of-formula-grants/school-support-and-accountability/competitive-grants-for-state-assessments/resources/ https://www.govinfo.gov/content/pkg/FR-2019-02-13/pdf/2019-02206.pdf

For additional training resources, including video tutorials, refer to https://www.grants.gov/web/grants/applicants/applicant-training.html

Helpful Reminders

1) REGISTER EARLY – Grants.gov registration involves many steps including registration on SAM

(www.sam.gov) which may take approximately one week to complete, but could take upwards of several weeks to complete, depending upon the completeness and accuracy of the data entered into the SAM database by an applicant. You may begin working on your application while completing the registration process, but you cannot submit an application until all of the Registration steps are complete. Please note that once your SAM registration is active, it will take 24-48 hours for the information to be available in Grants.gov, and before you can submit an application through

Grants.gov. For detailed information on the Registration Steps, please go to:

http://www.grants.gov/web/grants/register.html [Note: Your organization will need to update its

SAM registration annually.]

Primary information about SAM is available at www.sam.gov. However, to further assist you with obtaining and registering your DUNS number and TIN in SAM or updating your existing SAM account the Department of Education has prepared a SAM.gov Tip Sheet which you can find at:

http://www2.ed.gov/fund/grant/apply/sam-faqs.html.

Grants.gov has relaxed the requirement for applicants to have an active registration in the System for

Award Management (SAM) in order to apply for funding during the COVID-19 pandemic. An applicant that does not have an active SAM registration can still register with Grants.gov, but must contact the Grants.gov Support Desk, toll-free, at 1–800–518–4726, in order to take advantage of this flexibility.

2) SUBMIT EARLY – We strongly recommend that you do not wait until the last day to submit your application. Grants.gov will put a date/time stamp on your application and then process it after it is fully uploaded. The time it takes to upload an application will vary depending on a number of factors including the size of the application and the speed of your

Internet connection, and the time it takes Grants.gov to process the application will vary as well.

If Grants.gov rejects your application (see step three below), you will need to resubmit successfully to Grants.gov before 11:59:59 p.m. Eastern Time on the deadline date.

Note: To submit successfully, you must provide the DUNS number on your application that was used when you registered as an Authorized Organization Representative (AOR) on

Grants.gov. This DUNS number is typically the same number used when your organization registered with the SAM. If you do not enter the same DUNS number on your application as the DUNS you registered with, Grants.gov will reject your application.

3) VERIFY SUBMISSION IS OK – You will want to verify that Grants.gov received your application submission on time and that it was validated successfully. To see the date/time your application was received, login to Grants.gov and click on the Track My Application link. For a successful submission, the date/time received should be earlier than 11:59:59 p.m. Eastern Time, on the deadline date, AND the application status should be: Validated, Received by Agency, or

Agency Tracking Number Assigned. Once the Department of Education receives your application from Grants.gov, an Agency Tracking Number (PR/award number) will be assigned to your application and will be available for viewing on Grants.gov’s Track My Application link.

https://www.grants.gov/web/grants/applicants/applicant-training.html http://www.sam.gov/ http://www.grants.gov/web/grants/register.html http://www.sam.gov/ http://www2.ed.gov/fund/grant/apply/sam-faqs.html

If the date/time received is later than 11:59:59 p.m. Eastern Time on the deadline date, your application is late. If your application has a status of “Received” it is still awaiting validation by

Grants.gov. Once validation is complete, the status will either change to “Validated” or “Rejected with Errors.” If the status is “Rejected with Errors,” your application has not been received successfully. Some of the reasons Grants.gov may reject an application can be found on the

Grants.gov site: http://www.grants.gov/web/grants/applicants/encountering-error-messages.html.

For more detailed information on troubleshooting Adobe errors, you can review the Adobe

Software Tip Sheet at: http://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html. If you discover your application is late or has been rejected, please see the instructions below. Note: You will receive a series of confirmations both online and via e-mail about the status of your application. Please do not rely solely on e-mail to confirm whether your application has been received timely and validated successfully.

Submission Problems – What should you do?

If you have problems submitting to Grants.gov before the closing date, please contact Grants.gov

Customer Support at 1-800-518-4726 or email at: mailto:support@grants.gov or access the Grants.gov

Self-Service Knowledge Base web portal at:

https://grants-portal.psc.gov/Welcome.aspx?pt=Grants.

Helpful Hints When Working with Grants.gov

Please note, once you download an application from Grants.gov, you will be working offline and saving data on your computer. Please be sure to note where you are saving the Grants.gov file on your computer.

You will need to logon to Grants.gov to upload and submit the application. You must provide the DUNS number on your application that was used when you registered as an Authorized Organization

Representative (AOR) on Grants.gov.

Please go to http://www.grants.gov/web/grants/support.html for help with Grants.gov, or access the

Grants.gov user guide at:

https://www.grants.gov/help/html/help/index.htm#t=GetStarted%2FGetStarted.htm. For additional tips related to submitting grant applications, please refer to the Grants.gov Applicant FAQs found at this

Grants.gov link: http://www.grants.gov/web/grants/applicants/applicant-faqs.html.

Attaching Files – Additional Tips Please note the following tips related to attaching files to your application, especially the requirement that applicants only include read-only, flattened .PDF files or Microsoft Word documents in their application:

• Ensure that you attach .PDF files only or Microsoft Word files for any attachments to your application, and any PDFs must be in a read-only, flattened format (meaning any fillable documents must be saved and submitted as non-fillable PDF files). PDF files and Microsoft Word files are the only Education approved file type accepted as detailed in the common instructions.

Applicants must submit individual .PDF files only when attaching files to their application.

Specifically, the Department will not accept any attachments that contain files within a file, such as PDF Portfolio files, or an interactive or fillable .PDF file. Any attachments uploaded that are not .PDF files or are password protected files will not be read.

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

http://www.grants.gov/web/grants/applicants/encountering-error-messages.html http://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html http://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html mailto:support@grants.gov https://grants-portal.psc.gov/Welcome.aspx?pt=Grants http://www.grants.gov/web/grants/support.html%20for%20help%20with%20Grants.gov https://www.grants.gov/help/html/help/index.htm#t=GetStarted%2FGetStarted.htm http://www.grants.gov/web/grants/applicants/applicant-faqs.html

• When attaching files, applicants should follow the guidelines established by Grants.gov on the size and content of file names. Uploaded file names must be fewer than 50 characters, and, in general, applicants should not use any special characters. However, Grants.gov does allow for the following UTF-8 characters when naming your attachments: A-Z, a-z, 0-9, underscore, hyphen, space, period, parenthesis, curly braces, square brackets, ampersand, tilde, exclamation point, comma, semi colon, apostrophe, at sign, number sign, dollar sign, percent sign, plus sign, and equal sign. Applications submitted that do not comply with the Grants.gov guidelines will be rejected at Grants.gov and not forwarded to the Department.

• Applicants should limit the size of their file attachments. Documents submitted that contain graphics and/or scanned material often greatly increase the size of the file attachments and can result in difficulties opening the files. For reference, the average discretionary grant application package with all attachments is less than 5 MB. Therefore, you may want to check the total size of your package before submission.

Electronic Application Submission Checklist

It is recommended that your electronic application be organized in the following manner and include the following parts in order to expedite the review process. Instructions for all parts and forms of the application are found either on the following pages of the application package or individually for each form on Grants.gov.

Review your electronic application to ensure you have completed the following forms and sections:

Part 1: Preliminary Documents

❑ Application for Federal Assistance (Form SF 424) – Note: must complete this form first

❑ ED Supplemental Information for SF 424

Part 2: Budget Information

❑ ED Budget Information Non-Construction Programs (ED Form 524)

Part 3: ED Abstract Form

❑ Project Abstract

Part 4: Project Narrative Attachment Form

❑ Application Narrative

Part 5: Budget Narrative Attachment Form

❑ Budget Narrative

Part 6: Other Attachments Form

❑ Individual Resumes for Project Directors & Key Personnel

❑ Copy of Indirect Cost Rate Agreement

❑ Letters of Support

❑ References/Bibliography

Part 7: Assurances and Certifications

❑ Disclosure of Lobbying Activities (Standard Form LLL)

❑ Grants.Gov Lobbying Form – “Certification Regarding Lobbying” (ED 80-013 Form)

❑ General Education Provisions Act (GEPA) Requirements – Section 427

(ED GEPA427 form)

❑ MOU/MOA or Consortium Agreement Documentation; all group applicants

Part 8: Intergovernmental Review (Executive Order 12372)

❑ Not applicable

Part 1: Preliminary Documents ❑ Application for Federal Assistance (Form SF 424)

❑ ED Supplemental Information for SF 424

These forms require basic identifying information about the applicant and the application. Please provide all requested applicant information (including name, address, e-mail address and DUNS number).

When applying electronically via Grants.gov, you will need to ensure that the DUNS number you enter on your application is the same as the DUNS number your organization used when it registered with the System for Award Management.

Applicants are advised to complete the Application for Federal Assistance (Form SF 424) first.

Grants.gov will automatically insert the correct CFDA and program name automatically wherever needed on other forms.

NOTE: Please do not attach any narratives, supporting files, or application components to the Standard

Form (SF 424). Although this form accepts attachments, the Department of Education will only review materials/files attached in accordance with the instructions provided within this application.

INSTRUCTIONS FOR THE SF-424

https://www.grants.gov/web/grants/forms/sf-424-family.html This is a standard form required for use as a cover sheet for submission of pre-applications and applications and related information under discretionary programs. Some of the items are required and some are optional at the discretion of the applicant or the federal agency (agency). Required fields on the form are identified with an asterisk (*) and are also specified as “Required” in the instructions below. In addition to these instructions, applicants must consult agency instructions to determine other specific requirements.

Item Entry: Item: Entry:

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

• Pre-application

• Application

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

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

11. Catalog of Federal Domestic Assistance Number/Title:

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

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

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

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

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

A. Increase Award D. Decrease Duration

B. Decrease Award E. Other (specify)

C. Increase Duration

12. Funding Opportunity Number/Title: (Required) Enter the

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

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

14. Areas Affected by Project: This data element is intended for use only by programs for which the area(s) affected are likely to be different than the place(s) of performance reported on the SF-424

Project/Performance Site Location(s) Form. Add attachment to enter additional areas, if needed.

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

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

4. Applicant Identifier: Enter the entity identifier assigned by the

Federal agency, if any, or the applicant’s control number if applicable.

5a. Federal Entity Identifier: Enter the number assigned to your organization by the federal agency, if any.

16. Congressional Districts Of: 16a. (Required) Enter the applicant’s congressional district. 16b. Enter all district(s) affected by the program or project. Enter in the format: 2 characters state abbreviation – 3 characters district number, e.g., CA-005 for

California 5th district, CA-012 for California 12 district, NC-103 for North Carolina’s 103 district. If all congressional districts in a state are affected, enter “all” for the district number, e.g., MD-all for all congressional districts in Maryland. If nationwide, i.e. all districts within all states are affected, enter US-all. If the program/project is outside the US, enter 00-000. This optional data element is intended for use only by programs for which the area(s) affected are likely to be different than place(s) of performance reported on the SF-424 Project/Performance Site Location(s) Form.

Attach an additional list of program/project congressional districts, if needed.

5b. Federal Award Identifier: For new applications, enter NA. For a continuation or revision to an existing award, enter the previously assigned federal award identifier number. If a changed/corrected application, enter the federal identifier in accordance with agency instructions.

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

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

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

a. Legal Name: (Required) Enter the legal name of applicant that will undertake the assistance activity. This is the organization that has registered with the Central Contractor Registry (CCR).

Information on registering with CCR may be obtained by visiting www.Grants.gov.

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

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

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

https://www.grants.gov/web/grants/forms/sf-424-family.html

Item Entry: Item: Entry:

c. Organizational DUNS: (Required) Enter the organization’s

DUNS or DUNS+4 number received from Dun and Bradstreet.

Information on obtaining a DUNS number may be obtained by visiting www.Grants.gov.

19. Is Application Subject to Review by State Under Executive

Order 12372 Process? (Required) Applicants should contact the

State Single Point of Contact (SPOC) for Federal Executive Order

12372 to determine whether the application is subject to the State intergovernmental review process. Select the appropriate box. If

“a.” is selected, enter the date the application was submitted to the

State.

d. Address: Enter address: Street 1 (Required); city (Required);

County/Parish, State (Required if country is US), Province, Country (Required), 9-digit zip/postal code (Required if country

US).

20. Is the Applicant Delinquent on any Federal Debt?

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

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

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

f. Name and contact information of person to be contacted on matters involving this application: Enter the first and last name

(Required); prefix, middle name, suffix, title. Enter organizational affiliation if affiliated with an organization other than that in 7.a. Telephone number and email (Required); fax number.

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

A. State Government

B. County Government

C. City or Township

Government

D. Special District

Government

E. Regional Organization

F. U.S. Territory or

Possession

G. Independent School

District

H. Public/State Controlled

Institution of Higher

Education

I. Indian/Native American

Tribal Government

(Federally Recognized)

J. Indian/Native American

Tribal Government

(Other than Federally

Recognized)

K. Indian/Native American

Tribally Designated

Organization

L. Public/Indian Housing

Authority

M. Nonprofit

N. Private Institution of

Higher Education

O. Individual

P. For-Profit Organization

(Other than Small

Business)

Q. Small Business

R. Hispanic-serving

Institution

S. Historically Black

Colleges and

Universities (HBCUs)

T. Tribally Controlled

Colleges and

Universities (TCCUs)

U. Alaska Native and

Native Hawaiian

Serving Institutions

V. Non-US Entity

W. Other (specify)

[U.S Department of Education note: As of summer, 2019, the FON discussed in Block 12 of the instructions can be found via the following

URL: https://www.grants.gov/web/grants/search-grants.html.]

Instructions for U.S. Department of Education Supplemental Information for the SF-424 https://www.grants.gov/web/grants/forms/sf-424-family.html

1. Project Director. Name, address, telephone and fax numbers, and e-mail address of the person to be contacted on matters involving this application. Items marked with an asterisk (*) are mandatory.

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

This novice applicant information will be used by ED to: 1) determine the amount and type of technical assistance that a novice might need, if funded, and 2) determine novice applicant eligibility in discretionary grant competitions that give special consideration to novice applications.

Certain ED discretionary grant programs give special consideration to novice applications, either by establishing a special competition for novice applicants or by giving competitive preference to novice applicants under the procedures in 34 CFR 75.105(c)(2). If special consideration is being given to novice applications under a particular discretionary grant competition, the application notice for the competition published in the Federal Register will specify this information

3. Human Subjects Research. (See I. A. “Definitions” in attached page entitled “Definitions for U.S. Department of Education Supplemental

Information for the SF-424.”)

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

3a. If Human Subjects Research. Check “Yes” if research activities involving human subjects are planned at any time during the proposed project period, either at the applicant organization or at any other performance site or collaborating institution. Check “Yes” even if the research is exempt from the regulations for the protection of human subjects. (See I. B. “Exemptions” in attached page entitled “Definitions for

U.S. Department of Education Supplemental Information for SF-424.”)

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

“Definitions for U.S. Department of Education Supplemental Information for the SF-424.”

3b. If Human Subjects Research is Not Exempt from Human Subjects Regulations. Check “No” if some or all of the planned research activities are covered (not exempt). In addition, follow the instructions in II. B. “Nonexempt Research Narrative” in the attached page entitled

“Definitions for U.S. Department of Education Supplemental Information for the SF-424.”

3b. Human Subjects Assurance Number. If the applicant has an approved Federal Wide Assurance (FWA) on file with the Office for

Human Research Protections (OHRP), U.S. Department of Health and Human Services, that covers the specific activity, insert the number in the space provided. (A list of current FWAs is available at: http://ohrp.cit.nih.gov/search/asearch.asp#ASUR) If the applicant does not have an approved assurance on file with OHRP, enter “None.” In this case, the applicant, by signature on the SF-424, is declaring that it will comply with 34 CFR 97 and proceed to obtain the human subjects’ assurance upon request by the designated ED official. If the application is recommended/selected for funding, the designated ED official will request that the applicant obtain the assurance within 30 days after the specific formal request.

3c. If applicable, please attach your “Exempt Research” or “Nonexempt Research” narrative to your submission of the U.S Department of

Education Supplemental Information for the SF-424 form as instructed in item II, “Instructions for Exempt and Nonexempt Human Subjects

Research Narratives” in the attached page entitled “Definitions for U.S. Department of Education Supplemental Information for the SF-424.”

Note about Institutional Review Board Approval. ED does not require certification of Institutional Review Board approval with the application. However, if an application that involves non-exempt human subjects research is recommended/selected for funding, the designated

ED official will request that the applicant obtain and send the certification to ED within 30 days after the formal request.

No covered human subjects research can be conducted until the study has ED clearance for protection of human subjects in research.

Paperwork Burden Statement. According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless such collection displays a valid OMB control number. The valid OMB control number for this information collection is

1894-0006. The time required to complete this information collection is estimated to average between 15 and 45 minutes per response, including the time to review instructions, search existing data resources, gather the data needed and complete and review the information collection. If you have any comments concerning the accuracy of the estimate(s) or suggestions for improving this form, please write to: U.S.

Department of Education, Washington, D.C. 20202-0170. If you have comments or concerns regarding the status of your individual submission of this form write directly to: Competitive Grants for State Assessments, U.S. Department of Education, 400 Maryland Avenue S.W., Washington, D.C. 20202.

https://www.grants.gov/web/grants/forms/sf-424-family.html http://ohrp.cit.nih.gov/search/asearch.asp#ASUR

Definitions for U.S. Department of Education

Supplemental Information for the SF-424

Definitions:

Novice Applicant (See 34 CFR 75.225)

For discretionary grant programs, novice applicant means any applicant for a grant from ED that—

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

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

• Has not had an active discretionary grant from the

Federal government in the five years before the deadline date for applications under the program. For the purposes of this requirement, a grant is active until the end of the grant’s project or funding period, including any extensions of those periods that extend the grantee’s authority to obligate funds.

In the case of a group application submitted in accordance with

34 CFR 75.127-75.129, a group includes only parties that meet the requirements listed above.

PROTECTION OF HUMAN SUBJECTS IN RESEARCH

I. Definitions and Exemptions

A. Definitions.

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

—Research

The ED Regulations for the Protection of Human Subjects, Title

34, Code of Federal Regulations, Part 97, define research as “a systematic investigation, including research development, testing and evaluation, designed to develop or contribute to generalizable knowledge. Activities which meet this definition constitute research whether or not they are conducted or supported under a program that is considered research for other purposes. For example, some demonstration and service programs may include research activities.

—Human Subject

The regulations define human subject as “a living individual about whom an investigator (whether professional or student) conducting research obtains (1) data through intervention or interaction with the individual, or (2) identifiable private information.” (1) If an activity involves obtaining information about a living person by manipulating that person or that person’s environment, as might occur when a new instructional technique is tested, or by communicating or interacting with the individual, as occurs with surveys and interviews, the definition of human subject is met. (2) If an activity involves obtaining private information about a living person in such a way that the information can be directly or indirectly linked to that individual, 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. If an educational practice is being introduced to the site and is not widely used for similar populations, it is not covered by this exemption.

(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. [This exemption applies only to retrospective studies using data collected before the initiation of the research.]

(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. [The standards of this exemption are rarely met because it was designed to apply only to specific research conducted by HHS at the time the regulations were established. We will strictly construe this exemption because it was not intended to apply to ED research.]

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

Safety and Inspection Service of the U.S. Department of

Agriculture.

II. Instructions for Exempt and Nonexempt Human

Subjects Research Narratives

If the applicant marked “Yes” for Item 3.b. of the U.S.

Department of Education Supplemental Information for the SF

424, the applicant must attach a human subjects “exempt research” or “nonexempt research” narrative to the U.S.

Department of Education Supplemental Information for the SF-

424 form. If you have multiple projects and need to provide more than one narrative, be sure to label each set of responses as to the project they address.

A. Exempt Research Narrative.

If you marked “Yes” for item 3.b. and designated exemption numbers(s), attach the “exempt research” narrative to the U.S.

Department of Education Supplemental Information for the SF-

424. The narrative must contain sufficient information about the involvement of human subjects…