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Archived Information U.S. DEPARTMENT OF EDUCATION OFFICE OF POSTSECONDARY EDUCATION WASHINGTON, D.C. 20006-8524 http://www2.ed.gov/programs/gearup/index.html FY 2011 APPLICATION FOR GRANTS UNDER THE GAINING EARLY AWARENESS & READINESS FOR UNDERGRADUATE PROGRAMS (GEAR UP) PARTNERSHIP GRANTS CFDA Number 84.334A FORM APPROVED OMB No. 1840-0821, Expiration Date: 6/30/2014 DATED MATERIAL – OPEN IMMEDIATELY CLOSING DATE: July 14, 2011 Contents Dear Applicant Letter…………………………………….………………………………...............4 Competition Highlights…….…………………………….……………………………....................7 Grants.gov Organization Registration Instruction………………………………….…..............13 Grante.gov Submission Procedures and Tips for Applicants……...………………………..….16 Application Transmittal Instructions……….…………………………………………................19 Closing Date Notice…...…………………………………………………………………………...21 GEAR UP Authorizing Legislation……………………………………………………………….56 GEAR UP Program Regulations………………………………………………………………….66 Partnership Grants Program Overview………………….………………………………………80 Evaluation of Project Performance………………………………………………........................89 Selection Criteria for Partnership Grants……………………………………………………….93 Contact Information………………………………………………………………………………96 Instructions for Completing the GEAR UP Application Package Instructions for Completing the Application Package…………………………………………..98 Important Notice to Prospective Participants in ED Contract and Grants Program.………101 Intergovernmental Review of Federal Programs: Executive Order 12372…………………..102 Notice to Applicants: The Government Performance and Results Act (GPRA)……….……103 Application Package Checklist……………………………………………………………….….104 Instructions for Standard and Program Specific forms……………………………………….105 GEAR UP Program Specific Forms 2 Students To Be Served Form…………………………………………………………….............108 Project Budget Summary Form…………………………………………………………............109 Matching Funds Provided by Non-Federal Sources Form…………………………………….110 Applicant Organization Form and Cost Share Worksheet…...……………………………….111 Partnership Identification Form and Cost Share Worksheet…………………………………112 Paperwork Burden Statement……………………………………….…………………………..113 Standard Application Forms Detailed Instructions General Education Provision Act (GEPA) Section 427…….……………………………….…116 Instructions for the SF-424………..…………………….………….……………………………118 Instructions for the Department of Education Supplemental Information for SF-424…..….120 Instructions for Completion of the SF-LLL, Disclosure of Lobbying Activities……………..124 Survey Instructions for Ensuring Equal Opportunity for Applicants………………..………125 Standard Application Forms Application for Federal Assistance (SF-424)……………..…………………………………….127 Supplemental Information Required for Department of Education…….…..………………..130 Certification Regarding Lobbying (formerly ED form 80-0013)….…………………………..131 Assurances – Non-Construction Programs (SF 424B)…………….………….………………..132 Disclosure of Lobbing Activities (SF-LLL)……………………………………………………..134 Survey on Ensuring Equal Opportunity for Applicants……….………………………………137 3 UNITED STATES DEPARTMENT OF EDUCATION OFFICE OF POSTSECONDARY EDUCATION Dear Applicant: Thank you for your interest in the Gaining Early Awareness and Readiness for Undergraduate Programs (GEAR UP) program. We are pleased to provide the application package for the fiscal year (FY) 2011 GEAR UP partnership grant competition. Included in this application package are the program statute and regulations, and the instructions and forms needed to submit a complete partnership application package to the U.S. Department of Education (Department) through Grants.gov. The GEAR UP program is designed to significantly increase the number of low-income students who are prepared to enter and succeed in postsecondary education. GEAR UP provides six- or seven-year grants to partnerships to provide services at high-poverty middle and high schools and through the first year of college. The services include: providing information regarding financial aid for postsecondary education to participating students in the cohort, encouraging student enrollment in rigorous and challenging curricula and coursework, and improving the number of participating students who obtain a secondary school diploma and complete applications for and enroll in a program of postsecondary education. GEAR UP funding can also be used to provide scholarships to students. This letter highlights a few items in the FY 2011 application package that will be important to you in applying for grants under this program. You should review the entire application package carefully before preparing and submitting your application. Information on the GEAR UP program is accessible on the U.S. Department of Education’s web site at: http://www.ed.gov/programs/gearup/index.html In the FY 2011 competition, there is one invitational priority and two competitive preference priorities. Please note that under the invitational priority, an application that meets the priority will not receive a competitive or absolute preference over the other applicants. Under the competitive preference priorities, an applicant is eligible to receive up to an additional six points based on the degree to which the applicant proposes to meet the priorities. For additional information about the FY 2011 priorities, refer to the Federal Register Notice Inviting Applications for New Awards (Notice) for FY 2011 on page 21 of this application booklet. Please be sure to review thoroughly this entire application booklet for information concerning the GEAR UP program. Applicants should pay particular attention to the section entitled “Competition Highlights” that outlines program and competition details. Competition Highlights begin on page 7. 4 The Department is requiring that applications for FY 2011 grants under the GEAR UP program be submitted electronically using Grants.gov. You are urged to acquaint yourself with the requirements of Grants.gov early. A more thorough discussion is included in the application package on page 9. Grants.gov is accessible through its portal page at: http://www.grants.gov. We also urge you to consider the following if you are planning to apply for this program: 1. We strongly encourage you to register in Grants.gov early. The registration procedures may require 5 or more days to complete. 2. We strongly recommend that you submit your application 2-3 days prior to the closing date. The time it takes to upload an application will vary depending on a number of factors, including the size of the files and the speed of your Internet connection. The application submission process must be complete prior to the deadline for transmittal of applications. 3. In order to submit successfully, you must remember to provide on your application the DUNS number that was used when your organization registered with the Central Contractor Registry (CCR). Please carefully review the enclosed materials regarding eligibility and program requirements. Also, please note GEAR UP grantees are obligated to provide at least 50 percent of the total cost of a GEAR UP project (a dollar-for-dollar match) from State, local, institutional, or private funds in the form of cash or documented in-kind contributions. The Notice Inviting Applications for New Awards published in the Federal Register is the official document describing the requirements for applying for a GEAR UP partnership grant and provides application submission procedures. You should not rely upon any information that is inconsistent with the guidance contained within the official document. We appreciate your interest in the GEAR UP program. For further information regarding the program, please contact James Davis, Director, GEAR UP and TRIO Talent Search Division, at (202) 502-7802 or at james.davis@ed.gov. Sincerely, /signed/ Debra Saunders-White, Ed.D. Deputy Assistant Secretary Higher Education Programs 5 COMPETITION HIGHLIGHTS 1. Purpose of the Program The GEAR UP program is a discretionary grant program which encourages applicants to provide support and maintain a commitment to eligible low-income students, including students with disabilities, to assist the students in obtaining a secondary school diploma and preparing for and succeeding in postsecondary education. 2. Eligible Applicants A partnership consisting of one or more local educational agencies (LEA); one or more degree granting institutions of higher education (IHE); which may include not less than two other community organizations or entities, such as businesses, professional organizations, State agencies, institutions or agencies sponsoring programs authorized under subpart 4, or other public or private agencies or organizations. 3. Invitational Priority In FY 2011 and any subsequent year in which we make awards from the list of unfunded applicants from this competition, this priority is an invitational priority. Under 34 CFR 75.105(c) (l) we do not give an application that meets this invitational priority a competitive or absolute preference over other applications. This priority is: Financial Access and College Saving Accounts A lack of financial literacy is a barrier to college access and success for many students and families, and research indicates that financial education is more effective when in the context of real-life financial decisions. In addition, studies demonstrate that students with college savings accounts are more likely to attend college, even when controlling for other factors. Therefore, the Secretary invites applications from eligible entities that partner with financial institutions or other stakeholders to provide students and families with safe, affordable, and appropriate deposit accounts at Federally-insured banks or credit unions, and create financial or other incentives to increase savings, in connection with the applicant's proposed financial and economic literacy activities. 4. Competitive Preference Priorities In FY 2011 and any subsequent year in which we make awards from the list of unfunded applicants from this competition, these priorities are competitive preference priorities. Under 34 CFR 75.105(c) (2) (i) we award up to an additional 6 points to an application, depending on how well the application meets these priorities. The Secretary introduces these priorities in an effort to encourage applicants to connect their GEAR UP projects to existing state reforms in the areas of data based decision-making and turning around low-performing schools. In meeting these priorities, applicants should be able to show substantive actions, with plans and documentation, as appropriate, to demonstrate their ability to carry out these priorities. 6 These priorities are: Competitive Preference Priority 1: Projects that are designed to address one or more of the following priority areas: (a) Improving student achievement in persistently lowestachieving schools; (b) Increasing graduation rates and college enrollment rates for students in persistently lowest-achieving schools; and (c) Providing services to students enrolled in persistently lowest-achieving schools. Background on Priority 1: An essential element in strengthening our education system is dramatic improvement of student performance in each State's persistently lowest-achieving schools. These schools often require intensive interventions to improve the school culture and climate, strengthen the school staff and instructional program, increase student attendance and enrollment in advanced courses, provide more time for learning, and ensure that social services and community support are available for students in order to raise student achievement, graduation rates, and college enrollment rates. In addition, students in these schools can benefit from participating in programs that offer additional services designed to increase student success, such as GEAR UP. The Department is interested in seeing strong plans to support improvements in student achievement and outcomes within these schools. For instance, partnership applicants proposing to work in persistently lowest-achieving schools under this priority could provide a list of schools in which the partnership proposes to work along with descriptions of the strategies the partnership proposes to implement within these specific schools, in order to either improve student achievement, graduation outcomes, or both. Note on Priority 1: To identify the persistently lowest-achieving schools, a State must take into account both: (i) the academic achievement of the “all students” group in a school in terms of proficiency on the State’s assessments under section 1111(b)(3) of the Elementary and Secondary Education Act (ESEA) in reading/language arts and mathematics combined; and (ii) the school’s lack of progress on those assessments over a number of years in the “all students” group. A list of each State’s persistently lowest-achieving schools for FY 2009 may be found in the State’s application for the School Improvement Grants (SIG) program at: http://www2.ed.gov/programs/sif/summary/index.html. Please note that these lists may be updated annually. For the purposes of this application, applicants may use schools designated as persistently lowest-achieving schools in the State’s application for the SIG program in FY 2009 or later. Competitive Preference Priority 2: Projects that are designed to collect (or obtain), analyze, and use high-quality and timely data, especially on program participant outcomes, in accordance with privacy requirements, in one or more of the following priority areas: (a) Improving instructional practices, policies and student outcomes in elementary and secondary schools; (b) Improving postsecondary student outcomes relating to enrollment, 7 persistence, and completion and leading to career success; and (c) Providing reliable and comprehensive information on the implementation of Department of Education programs, and participant outcomes in these programs, especially by developing strategies with appropriate State agencies to use data from State longitudinal data systems or by obtaining data from reliable third-party sources. Background on Priority 2: Accurate, timely, relevant, and appropriate data are the key to knowing what is working for students and what is not. Data can tell us which students are on track to college- and career-readiness and which need additional support, which instructional strategies are working, which schools or institutions are successfully improving student learning and performance, and which teachers or faculty excel in increasing student achievement so that they can, for example, be given the opportunity to coach others or to lead communities of professional practice. Data and the effective use of data for informed decision-making are essential to the continuous improvement of educational results. This proposed priority is designed to support projects that provide educators, as well as families and other key stakeholders, with high-quality data, and the capacity and training to use those data to improve school readiness, respond to the learning and academic needs of students, increase student achievement, improve educator effectiveness, inform professional development practices and approaches, understand the culture and climate of their schools and institutions, and make informed decisions that increase overall program effectiveness. Applicants proposing to meet this priority could demonstrate the ability to access the state’s longitudinal data system for reporting collegiate enrollment and outcomes of students. Examples of other data-based activities include using course-taking trend data to structure interventions tailored to keep students ‘on-track’ to graduate from high school prepared for post-secondary education or using such data to develop early warning indicator systems designed to intervene before students drop out. 5. Electronic Submission of Applications GEAR UP applications submitted for the FY 2011 competition must be submitted electronically using Grants.gov, accessible through its portal page at: http://www.grants.gov You are urged to acquaint yourself with the requirements of Grants.gov early as the registration procedures may require 5 or more days to complete. A more thorough discussion is included later in this application package. For technical support regarding Grants.gov, please email Grants.gov Contact Center at support@grants.gov or by telephone at 1-800-518-4726. Also, refer to “Grants.Gov Submission Procedures and Tips for Applicants” found in this application booklet. Please note, once you download an application from Grants.gov, you will be working offline and saving data on your computer. Please be sure to note where you are saving the Grants.gov file on your computer. You will need to log on to Grants.gov to upload and submit the application. You must provide on your application the Data Universal 8 Numbering System (DUNS) number that was used when your organization registered with the Central Contractor Registry (CCR). Electronic submission of applications is required; therefore, you must submit an electronic application unless you follow the procedures outlined in the Federal Register notice inviting applications for new awards for FY 2011 (the Notice) and qualify for one of the exceptions to the electronic submission requirements. If you think you may need an exception, you are urged to review the requirement promptly. Please note that you must submit your application by 4:30:00 p.m. (Washington, D.C. time) on or before the application deadline date. Late applications will not be accepted. We suggest that you submit your application several days before the deadline. The Department is required to enforce the established deadline to ensure fairness to all applicants. No changes or additions to an application will be accepted after the deadline date and time. 6. Format of Application Applicants must double space the application project narrative and use a font that is either 12-point or larger. However, charts, tables, figures, graphs, footnotes, and endnotes may be single spaced but font must be 12-point or larger. The following fonts are required to be used: Times New Roman, Courier, Courier New, or Arial. Applications submitted in any other font, including Times Roman and Arial Narrow, will not be accepted. All attachments must be in .PDF format only. Other types of files will not be accepted. 7. GEAR UP Program-Specific Forms The following forms are specific to the GEAR UP program and should be reviewed carefully to ensure accuracy of information. Additional information on these documents is provided in this application package. ‰ ‰ ‰ ‰ ‰ Students To Be Served Form Project Budget Summary Form (and Detailed Budget Narrative) Applicant Organization Identification Form and Cost Share Worksheet Partner Identification Form and Cost Share Worksheet Documentation of Student Eligibility for Free or Reduced – Price Lunch Please note that more detailed instructions for attaching these forms are covered in the “INSTRUCTIONS FOR COMPLETING THE APPLICATION PACKAGE” section of the application. 8. Page Limit The “Notice Inviting Applications” for new awards for FY 2011, published in the Federal Register, contains specific information governing page limits for each grant type and formatting instructions. The total page limit for the project narrative portion of the application for the FY 2011 GEAR UP competition is 45 pages. The page limit for the project invitational priority narrative portion only is 4 pages. The page limit for the project competitive preference priorities narrative portion only is 10 pages. 9 9. Project Abstract The project abstract is limited to one page, single spaced. The abstract should include: applicant name, information about the project’s goals and objectives, number of students to be served, the target school(s), a list of partners, and the activities and services that will be implemented during the six- or seven-year performance period. 10. Selection Criteria The selection criteria in EDGAR 34 CFR part 75 sections 75.209(a) and 75.210 are used to evaluate applications. The selection criteria and maximum possible points are included in the Notice. 11. Notice to Successful Applicants The Department’s Office of Legislation and Congressional Affairs will inform the Congress regarding applications approved for new GEAR UP program grants. Successful applicants will receive award notices by mail shortly after the Congress is notified. No funding information will be released before the Congress is notified. 12. Notice to Unsuccessful Applicants Unsuccessful applicants will be notified in writing following the notice to successful applicants. 13. Annual Performance Report Requirements If you receive a FY 2011 new grant award, you will be required to submit annual and final performance reports during the six- or seven-year funding cycle using an Internet-based reporting system. This online system collects narratives and data about funded projects to enable program officers to determine if a grantee is making substantial progress toward meeting approved project objectives. The Annual Performance Report used for this program can be found at http://www.ed.gov/gearup. Partnership grantees providing scholarships must report, annually to the Secretary, information on Federal and non-Federal reserved funds held for GEAR UP scholarships and the disbursement of these funds to eligible students until these funds are fully expended or returned to the Secretary. 14. Contact Information For GEAR UP program-related questions and assistance, please contact: Program Officer: Pariece Wilkins Address: Gaining Early Awareness and Readiness for Undergraduate Programs U.S. Department of Education 1990 K Street, N.W., Room 7025 Washington, D.C. 20006-8524 Telephone: (202) 219-7104 Fax: (202) 219-7074 E-mail Address: Pariece.wilkins@ed.gov For technical support regarding Grants.gov, please contact: 10 Telephone: (800) 518-4726 Email: support@grants.gov Grants.gov Contact Center is open 24 hours a day, 7 days a week. Also, refer to “Grants.gov Submission Procedures and Tips for Applicants” found in this application booklet. You are reminded that the document published in the Federal Register is the official document, and that you should not rely upon any information that is inconsistent with the guidelines contained within the official document. 11 Grants.gov Organization Registration Instructions The following instructions provide registration guidance for a company, academic or research institution, State, local or tribal government, not-for-profit, or other type of organization. Registration is a one-time process that is required before representatives of an organization can submit grant application packages electronically through Grants.gov. The registration process can take up to four weeks depending on your organization and whether all steps are taken in a timely manner. For more information, visit http://www07.grants.gov/applicants/get_registered.jsp. Note: If you are an individual applying for a grant on your own behalf and not on behalf of a company, academic or research institution, state, local or tribal government, not-for-profit, or other type of organization, visit http://www.grants.gov/applicants/individual_registration.jsp. If you apply as an individual to a grant designated for organizations, your application will be rejected. STEP 1: OBTAIN DATA UNIVERSAL NUMBER SYSTEM (DUNS) NUMBER WHY? • The federal government has adopted the use of DUNS numbers to track how federal grant money is allocated. DUNS numbers identify your organization. HOW? • Ask the grant administrator, chief financial officer, or authorizing official of your organization to identify your DUNS number. • If your organization does not know its DUNS number or needs to register for one, visit Dun & Bradstreet at http://fedgov.dnb.com/webform/displayHomePage.do. TIME REQUIRED? • Same day. You will receive DUNS number information online. STEP 2: REGISTER WITH CENTRAL CONTRACTOR REGISTRATION (CCR) WHY? • Registering with the CCR is required for organizations to use Grants.gov. HOW? • Ask the grant administrator, chief financial officer, or authorizing official of your organization if your organization has registered with the CCR. • If your organization is not registered, apply online at http://www.ccr.gov. • When your organization registers with CCR, you must designate an E-Business Point of Contact (E-Biz POC). This person will identify a special password called an MPIN. • This MPIN gives the E-Biz POC authority to designate which staff members from your organization are allowed to submit applications electronically through Grants.gov. These designated staff members are called Authorized Organization Representatives (AORs). 12 TIME REQUIRED? • If your organization already has an Employment Identification Number (EIN) or Taxpayer Identification Number (TIN), allow one to three business days to complete the entire CCR registration. • If your organization does not have an EIN or TIN, allow two weeks for obtaining the EIN or TIN from the Internal Revenue Service (IRS) if requested via phone or Internet. • Your organization needs to renew its CCR registration once a year, which may take up to five business days. You will not be able to move on to Step 3 until this step is completed. STEP 3: CREATE GRANTS.GOV USERNAME & PASSWORD WHY? • An AOR username and password serves as an "electronic signature" when submitting a Grants.gov application. HOW? • To create a username and password, AORs must complete a profile on Grants.gov (using their organization’s DUNS number) at https://apply07.grants.gov/apply/OrcRegister. • AORs must wait one business day after their organization registers with the CCR before creating a profile. TIME REQUIRED? • Same day. After the AOR has completed their profile they will be prompted to create a username and password that will allow the user to log in and check their approval status immediately. STEP 4: AOR AUTHORIZATION WHY? • Only the E-Biz POC can approve AORs, who then have the ability to submit applications on behalf of the organization. HOW? • When an AOR registers with Grants.gov, that organization's E-Biz POC is notified by email. • The E-Biz POC must then log in to Grants.gov (using the organization’s DUNS number for the username and the MPIN password obtained in Step 2) and approve the AOR, thereby giving him or her permission to submit applications. • When an E-Biz POC approves an AOR, Grants.gov will send the AOR a confirmation email. 13 TIME REQUIRED? • This depends on how long it takes the E-Biz POC to log in and approve the AOR. Once the approval is completed, the AOR can immediately submit an application. STEP 5: TRACK AOR STATUS WHY? • To verify that the organization’s E-Biz POC has approved the AOR. HOW? • AORs can log in using their username and password (obtained in Step 3) to check if they have been approved by the E-Biz POC. TIME REQUIRED? • Logging in as an applicant is instantaneous. The approval process depends on how long it takes the E-Biz POC to log in and approve the AOR 14 IMPORTANT – PLEASE READ FIRST U.S. Department of Education Grants.gov Submission Procedures and Tips for Applicants To facilitate your use of Grants.gov, this document includes important submission procedures you need to be aware of to ensure your application is received in a timely manner and accepted by the Department of Education. ATTENTION – Adobe Forms and PDF Files Required Applications submitted to Grants.gov for the Department of Education will be posted using Adobe forms. Therefore, applicants will need to download the latest version of Adobe reader (at least Adobe Reader 8.1.2). Information on computer and operating system compatibility with Adobe and links to download the latest version is available on Grants.gov. We strongly recommend that you review these details on www.Grants.gov before completing and submitting your application. In addition, applicants should submit their application a day or two in advance of the closing date as detailed below. Also, applicants are required to upload their attachments in .pdf format only. (See details below under “Attaching Files – Additional Tips.”) If you have any questions regarding this matter please email the Grants.gov Contact Center at support@grants.gov or call 1-800-518-4726. 1) REGISTER EARLY – Grants.gov registration may take five or more business days to complete. You may begin working on your application while completing the registration process, but you cannot submit an application until all of the Registration steps are complete. For detailed information on the Registration Steps, please go to: http://www.grants.gov/applicants/get_registered.jsp. [Note: Your organization will need to update its Central Contractor Registry (CCR) registration annually.] 2) SUBMIT EARLY – We strongly recommend that you do not wait until the last day to submit your application. Grants.gov will put a date/time stamp on your application and then process it after it is fully uploaded. The time it takes to upload an application will vary depending on a number of factors including the size of the application and the speed of your Internet connection, and the time it takes Grants.gov to process the application will vary as well. If Grants.gov rejects your application (see step three below), you will need to resubmit successfully before 4:30:00 p.m. Washington, DC time on the deadline date. Note: To submit successfully, you must provide the DUNS number on your application that was used when your organization registered with the CCR (Central Contractor Registry). 3) VERIFY SUBMISSION IS OK – You will want to verify that Grants.gov and the Department of Education receive your Grants.gov submission timely and that it was validated successfully. To see the date/time your application was received, login to Grants.gov and click on the Track My Application link. For a successful submission, the date/time received should be earlier than 4:30:00 p.m. Washington, DC time, on the 15 deadline date, AND the application status should be: Validated, Received by Agency, or Agency Tracking Number Assigned. If the date/time received is later than 4:30:00 p.m. Washington, D.C. time, on the deadline date, your application is late. If your application has a status of “Received” it is still awaiting validation by Grants.gov. Once validation is complete, the status will either change to “Validated” or “Rejected with Errors.” If the status is “Rejected with Errors,” your application has not been received successfully. Some of the reasons Grants.gov may reject an application can be found on the Grants.gov site: http://www.grants.gov/applicants/applicant_faqs.jsp#54. For more detailed information on troubleshooting Adobe errors, you can review the Adobe Reader Error Messages document at http://www.grants.gov/assets/AdobeReaderErrorMessages.pdf. If you discover your application is late or has been rejected, please see the instructions below. Note: You will receive a series of confirmations both online and via e-mail about the status of your application. Please do not rely solely on e-mail to confirm whether your application has been received timely and validated successfully. Submission Problems – What should you do? If you have problems submitting to Grants.gov before the closing date, please contact Grants.gov Customer Support at 1-800-518-4726 or http://www.grants.gov/contactus/contactus.jsp, or use the customer support available on the Web site: http://www.grants.gov/applicants/applicant_help.jsp. If electronic submission is optional and you have problems that you are unable to resolve before the deadline date and time for electronic applications, please follow the transmittal instructions for hard copy applications in the Federal Register notice and get a hard copy application postmarked by midnight on the deadline date. If electronic submission is required, you must submit an electronic application before 4:30:00 p.m., unless you follow the procedures in the Federal Register notice and qualify for one of the exceptions to the electronic submission requirement and submit, no later than two weeks before the application deadline date, a written statement to the Department that you qualify for one of these exceptions. (See the Federal Register notice for detailed instructions.) Helpful Hints When Working with Grants.gov Please note, once you download an application from Grants.gov, you will be working offline and saving data on your computer. Please be sure to note where you are saving the Grants.gov file on your computer. You will need to logon to Grants.gov to upload and submit the application. You must provide on your application the DUNS number that was used when your organization registered with the CCR. Please go to http://www.grants.gov/applicants/applicant_help.jsp for help with Grants.gov. For additional tips related to submitting grant applications, please refer to the Grants.gov Submit Application FAQs found on the Grants.gov http://www.grants.gov/help/submit_application_faqs.jsp. 16 Dial-Up Internet Connections When using a dial up connection to upload and submit your application, it can take significantly longer than when you are connected to the Internet with a high-speed connection, e.g. cable modem/DSL/T1. While times will vary depending upon the size of your application, it can take a few minutes to a few hours to complete your grant submission using a dial up connection. If you do not have access to a high-speed connection and electronic submission is required, you may want to consider following the instructions in the Federal Register notice to obtain an exception to the electronic submission requirement no later than two weeks before the application deadline date. (See the Federal Register notice for detailed instructions.) MAC Users For MAC compatibility information, review the Operating System Platform Compatibility Table at the following Grants.gov link: http://www.grants.gov/help/download_software.jsp. If electronic submission is required and you are concerned about your ability to submit electronically as a non-windows user, please follow instructions in the Federal Register notice to obtain an exception to the electronic submission requirement no later than two weeks before the application deadline date. (See the Federal Register notice for detailed instructions.) Attaching Files – Additional Tips Please note the following tips related to attaching files to your application, especially the requirement that applicants only include .pdf files in their application: 1. Ensure that you attach .pdf files for any narrative attachments. PDF files are the only Education approved file type accepted as detailed in the Federal Register application notice. Also, do not upload any password protected files to your application. Any attachments uploaded that are not .pdf files or are password protected files will not be read. If you need assistance converting your files to a .pdf format, please refer to this Grants.gov webpage with links to conversion programs: http://www.grants.gov/help/download_software.jsp#pdf_conversion_programs 2. Grants.gov cannot process an application that includes two or more files that have the same name within a grant submission. Therefore, each file uploaded to your application package should have a unique file name. 3. When attaching files, applicants should limit the size of their file names. Lengthy file names could result in difficulties with opening and processing your application. We recommend you keep your file names to less than 50 characters. In addition, applicants should avoid including special characters in their file names (for example, %, *, /, etc.) Both of these conditions (lengthy file names and/or special characters including in the file names) could result in difficulties opening and processing a submitted application. 4. Applicants should limit the size of their file attachments. Documents submitted that contain graphics and/or scanned material often greatly increase the size of the file attachments and can result in difficulties opening the files. For reference, the average discretionary grant application package totals 1 to 2 MB. Therefore, you may want to check the total size of your package before submission. 17 APPLICATION TRANSMITTAL INSTRUCTIONS ATTENTION ELECTRONIC APPLICANTS: Please note that you must follow the Application Procedures as described in the Federal Register notice announcing the grant competition. This program requires the electronic submission of applications; specific requirements and waiver instructions can be found in the Federal Register notice. According to the instructions found in the Federal Register notice, those requesting and qualifying for an exception to the electronic submission requirement may submit an application by mail, commercial carrier or by hand delivery. If you want to apply for a grant and be considered for funding, you must meet the following deadline requirements: Applications Submitted Electronically You must submit your grant application through Grants.gov portal site (http://www.grants.gov) by 4:30:00 p.m. (Washington, D.C. time) on or before the deadline date. Applications received by Grants.gov are date and time stamped. Submission of Paper Applications by Mail: If you qualify for an exception to the electronic submission requirement, you may submit your application in paper format by mail (through the U.S. Postal Service or a commercial carrier), you must mail the original and two copies of your application, on or before the application deadline date, to the Department at the following address: U.S. Department of Education Application Control Center Attention: (CFDA Number 84.334A) LBJ Basement Level 1 400 Maryland Avenue, SW Washington, DC 20202-4260 You must show proof of mailing consisting of one of the following: (1) A legibly dated U.S. Postal Service postmark. (2) A legible mail receipt with the date of mailing stamped by the U.S. Postal Service. (3) A dated shipping label, invoice, or receipt from a commercial carrier. (4) Any other proof of mailing acceptable to the Secretary of the U.S. Department of Education. If you mail your application through the U.S. Postal Service, we do not accept either of the following as proof of mailing: (1) A private metered postmark. (2) A mail receipt that is not dated by the U.S. Postal Service. 18 If your application is postmarked after the application deadline date, we will not consider your application. Note: The U.S. Postal Service does not uniformly provide a dated postmark. Before relying on this method, you should check with your local post office. Submission of Paper Applications by Hand Delivery: If you qualify for an exception to the electronic submission requirement, you (or a courier service) may deliver your paper application to the Department by hand. You must deliver the original and two copies of your application by hand, on or before the application deadline date, to the Department at the following address: U.S. Department of Education Application Control Center Attention: (CFDA Number 84.334A) 550 12th Street, SW. Room 7041, Potomac Center Plaza Washington, DC 20202-4260 The Application Control Center accepts hand deliveries daily between 8:00 a.m. and 4:30:00 p.m., Washington, DC time, except Saturdays, Sundays, and Federal holidays. Note for Mail or Hand Delivery of Paper Applications: If you mail or hand deliver your application to the Department-(1) You must indicate on the envelope and--if not provided by the Department--in Item 11 of the SF 424 the CFDA number, including suffix letter, if any, of the competition under which you are submitting your application; and (2) The Application Control Center will mail to you a notification of receipt of your grant application. If you do not receive this notification within 15 business days from the application deadline date, you should call the U.S. Department of Education Application Control Center at (202) 245-6288. 19 4000-01-U DEPARTMENT OF EDUCATION Applications for New Awards; Gaining Early Awareness and Readiness for Undergraduate Programs AGENCY: Office of Postsecondary Education, Department of Education ACTION: Notice. Overview Information: Gaining Early Awareness and Readiness for Undergraduate Programs; Notice inviting applications for new awards for fiscal year (FY) 2011. Catalog of Federal Domestic Assistance (CFDA) Number: 84.334A (Partnership grants). Dates: Applications Available: June 14, 2011. Deadline for Transmittal of Applications: Deadline for Intergovernmental Review: July 14, 2011. September 12, 2011. Full Text of Announcement I. Funding Opportunity Description Purpose of Program: The GEAR UP program is a discretionary grant program that provides financial support for academic and related support services that eligible low-income students, including students with disabilities, need to enable them to obtain a 20 secondary school diploma and to prepare for and succeed in postsecondary education. Priorities: This notice contains two competitive preference priorities and one invitational priority. Background: system: The President has set a clear goal for our education By 2020, the United States will once again lead the world in college completion. To achieve this goal, the Department has consistently encouraged four key reforms to improve elementary and secondary education--in particular the Department is seeking to: improve the effectiveness of teachers and school leaders and promote equity in the distribution of effective teachers and school leaders; strengthen the use of data to improve teaching and learning; provide high-quality instruction based on rigorous college- and career-ready standards and measure students’ mastery of standards using high-quality assessments aligned with those standards; and turn around the lowest-performing schools. The Department views the GEAR UP program as a critical component in the effort to improve the quality of secondary schools so that more students are well prepared for college and careers. In order to more strategically align GEAR UP with these overarching reform strategies for school improvement, the Department is announcing two competitive preference priorities for this competition. The Department also proposes one invitational priority for this competition. 21 We are using two priorities from the Department’s notice of final supplemental priorities and definitions for discretionary grant programs, published in the Federal Register on December 15, 2010 (75 FR 78486). The Department is using Competitive Preference Priority 1-Turning Around Persistently Lowest-Achieving Schools because an essential element in strengthening our education system is dramatic improvement of student performance in each State's persistently lowest-achieving schools. These schools often require intensive interventions to improve the school culture and climate, strengthen the school staff and instructional program, increase student attendance and enrollment in advanced courses, provide more time for learning, and ensure that social services and community support are available for students in order to raise student achievement, graduation rates, and college enrollment rates. In addition, students in these schools can benefit from participating in programs, such as GEAR UP, that offer additional services designed to increase student success. The Department is interested in seeing strong plans to support improvements in student achievement and outcomes within these schools. The Department is using Competitive Preference Priority 2-Enabling More Data-Based Decision-Making because the Department believes that the effective use of data for informed decisionmaking is essential to the continuous improvement of educational 22 results. Specifically, this priority is for projects that are designed to provide educators, as well as families and other key stakeholders, with high-quality data and the capacity and training to use those data. The data may be used to respond to the learning and academic needs of students, increase student achievement (as defined in this notice), improve educator effectiveness, inform professional development practices and approaches, understand the culture and climate of their schools and institutions, and make informed decisions that increase overall program effectiveness. We believe that inclusion of this competitive preference priority is important because accurate, timely, relevant, and appropriate data are key to knowing what is working for students and what is not. Data can tell us which students are on track to college- and career-readiness and which students need additional support, which instructional strategies are working, which schools or institutions are successfully improving student learning and performance, and which teachers or faculty excel in increasing student achievement so that they can, for example, be given the opportunity to coach others or to lead communities of professional practice. Competitive Preference Priorities. The competitive preference priorities are from the notice of final supplemental priorities and definitions for discretionary grant programs, published in the Federal Register on December 15, 2010 (75 FR 78486). 23 For FY 2011 and any subsequent year in which we make awards from the list of unfunded applicants from this competition, these priorities are competitive preference priorities. Under 34 CFR 75.105(c)(2)(i) we award up to an additional 6 points (up to 3 points for each competitive preference priority) to an application, depending on how well the application meets these priorities. These priorities are: Competitive Preference Priority 1--Turning Around Persistently Lowest-Achieving Schools (Up to 3 additional points). Projects that are designed to address one or more of the following priority areas: (a) Improving student achievement (as defined in this notice) in persistently lowest-achieving schools (as defined in this notice). (b) Increasing graduation rates (as defined in this notice) and college enrollment rates for students in persistently lowestachieving schools (as defined in this notice). (c) Providing services to students enrolled in persistently lowest-achieving schools (as defined in this notice). Competitive Preference Priority 2--Enabling More Data-Based Decision-Making (Up to 3 additional points). Projects that are designed to collect (or obtain), analyze, and use high-quality and timely data, including data on program participant outcomes, in accordance with privacy requirements (as 24 defined in this notice), in one or more of the following priority areas: (a) Improving instructional practices, policies, and student outcomes in elementary or secondary schools. (b) Improving postsecondary student outcomes relating to enrollment, persistence, and completion and leading to career success. (c) Providing reliable and comprehensive information on the implementation of Department of Education programs, and participant outcomes in these programs, by using data from State longitudinal data systems or by obtaining data from reliable third-party sources. Note: Applicants proposing to use data to improve decision-making might want to consider demonstrating their ability to access the State’s longitudinal data system for reporting postsecondary student outcomes and student outcomes in elementary and secondary schools. Examples of other data-based activities could include using course-taking trend data to structure interventions tailored to keep students ‘on-track’ to graduate from high school and prepared for postsecondary education or using such data to develop early warning indicator systems designed to prevent students from dropping out. Invitational Priority: For FY 2011 and any subsequent year in which we make awards from the list of unfunded applicants from 25 this competition, this priority is an invitational priority. Under 34 CFR 75.105(c)(1), we do not give an application that meets this invitational priority a competitive or absolute preference over other applications. This priority is: Invitational Priority--Financial Access and College Savings Accounts. Background: Research indicates that students with savings accounts may be up to seven times more likely to attend college, even when controlling for other factors (Elliot, Jung, and Friedline, 2010: http://csd.wustl.edu/Publications/Documents/WP10-01.pdf). Yet 25 percent of U.S. households (and 50 percent of Black and Hispanic households) are unbanked or underbanked, meaning that they either do not have a Federally-insured deposit account, or that they have an account but still rely on costly alternative financial services. Young adults are disproportionately unbanked and underbanked (http://www.economicinclusion.gov/). At the same time, a lack of financial literacy –- such as overestimating the price of college, not applying for Federal student aid, and taking private education loans before exhausting Federal loans -- is a major roadblock on the path to college access and success for too many students and families (http://www2.ed.gov/legislation/FedRegister/announcements/2010- 26 3/072610c.html). Partially as a result of these findings, the Secretary of Education and the Chairmen of the Federal Deposit Insurance Corporation and the National Credit Union Administration announced, in November 2010, a new interagency agreement to increase partnerships among schools, financial institutions, and other stakeholders to help students gain access to deposit accounts, learn about money, and save for college. The Department’s press statement on this partnership can be found at: http://www.ed.gov/news/press-releases/fdic-and-ncua-chairsjoin-education-secretary-announce-partnership-promote-finan and the Secretary’s recently recorded video encouraging participation at: http://www.youtube.com/watch?v=uxOoXeOkh_w. Section 404D(b)(10)(E) of the HEA expressly authorizes GEAR UP program grantees to design projects that promote participating students’ secondary school completion and enrollment in postsecondary education by means that include promotion of financial literacy and economic literacy education or counseling. Accordingly, and in keeping with the goals of the new interagency agreement, the Secretary specifically invites applications that address the following invitational priority. Invitational Priority: The Secretary invites applications that propose, as part of their strategy for ensuring secondary school completion and 27 postsecondary education enrollment of participating students, financial and economic literacy activities that include: • Creation or enhancement of partnerships with financial institutions and/or other stakeholders that would (1) provide students with safe and affordable deposit accounts at Federallyinsured banks or credit unions or other safe, affordable, and appropriate financial services, and (2) evaluate the success of these partnerships in meeting this objective; and • Creation of financial or other incentives to increase savings by GEAR UP students and families of participating GEAR UP students. Definitions: These definitions are from the notice of final supplemental priorities and definitions for discretionary grant programs, published in the Federal Register on December 15, 2010 (75 FR 78486) and apply to the competitive preference priorities in this notice. Graduation rate means a four-year adjusted cohort graduation rate consistent with 34 CFR 200.19(b)(1), and may also include an extended-year adjusted cohort graduation rate consistent with 34 CFR 200.19(b)(1)(v) if the State in which the proposed project is implemented has been approved by the Secretary to use such a rate under Title I of the Elementary and Secondary Education Act of 1965 (ESEA), as amended. Persistently lowest-achieving schools means, as determined by 28 the State: (i) Any Title I school in improvement, corrective action, or restructuring that: (a) is among the lowest-achieving five percent of Title I schools in improvement, corrective action, or restructuring or the lowest-achieving five Title I schools in improvement, corrective action, or restructuring in the State, whichever number of schools is greater; or (b) is a high school that has had a graduation rate as defined in 34 CFR 200.19(b) that is less than 60 percent over a number of years; and (ii) any secondary school that is eligible for, but does not receive, Title I funds that: (a) is among the lowest-achieving five percent of secondary schools or the lowest-achieving five secondary schools in the State that are eligible for, but do not receive, Title I funds, whichever number of schools is greater; or (b) is a high school that has had a graduation rate as defined in 34 CFR 200.19(b) that is less than 60 percent over a number of years. To identify the persistently lowest-achieving schools, a State must take into account both: (i) the academic achievement of the “all students” group in a school in terms of proficiency on the State’s assessments under section 1111(b)(3) of the ESEA in reading/language arts and mathematics combined; and (ii) the school’s lack of progress on those assessments over a number of years in the “all students” group. Privacy requirements means the requirements of the Family Educational Rights and Privacy Act (FERPA), 20 U.S.C. 1232g, and 29 its implementing regulations in 34 CFR part 99, the Privacy Act, 5 U.S.C. 552a, as well as all applicable Federal, State and local requirements regarding privacy. Student achievement means-(a) For tested grades and subjects: (1) a student’s score on the State’s assessments under the ESEA; and, as appropriate, (2) other measures of student learning, such as those described in paragraph (b) of this definition, provided they are rigorous and comparable across schools. (b) For non-tested grades and subjects: alternative measures of student learning and performance, such as student scores on pre-tests and end-of-course tests; student performance on English language proficiency assessments; and other measures of student achievement that are rigorous and comparable across schools. Program Authority: 20 U.S.C. 1070a-21 – 1070a-28. Applicable Regulations: (a) 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. (b) The regulations for this program in 34 CFR part 694. (c) The notice of final supplemental priorities and definitions for discretionary grant programs, published in the Federal Register on December 15, 2010 (75 FR 78486). 30 Note: The regulations in 34 CFR part 79 apply to all applicants except federally recognized Indian tribes. Note: The regulations in 34 CFR part 86 apply to institutions of higher education (IHEs) only. II. Award Information Type of Award: Discretionary grants. Estimated Available Funds: $102,211,000. Contingent upon the availability of funds and the quality of applications, we may make additional awards in FY 2012 from the list of unfunded applicants from this competition. Estimated Range of Awards: $100,000-$7,000,000. Estimated Average Size of Awards: Maximum Award: $1,161,489. We will reject any application for a partnership grant that proposes a budget exceeding $800 per student for a single budget period of 12 months. We also will reject any partnership grant application that proposes an increase in its budget after the first 12-month budget period. The Assistant Secretary for Postsecondary Education may change the maximum amounts through a notice published in the Federal Register. Estimated Number of Awards: Note: 88. The Department is not bound by any estimates in this notice. Project Period: III. Up to 84 months. Eligibility Information 31 1. Eligible Applicants: Partnership consisting of (A) one or more local educational agencies (LEA), and (B) one or more degree granting institutions of higher education (IHE). Partnerships may also contain not less than two other community organizations or entities, such as businesses, professional organizations, State agencies, institutions or agencies sponsoring programs authorized under the Leveraging Educational Assistance Partnership (LEAP) Program authorized in part A, subpart 4, of title IV of the Higher Education Act of 1965, as amended (HEA) (20 U.S.C. 1070c et seq.), or other public or private agencies or organizations. Note: The fiscal agent/applicant must be either an IHE or an LEA (see 34 CFR 694.10). 2. a. Cost Sharing or Matching: Section 404C(b)(1) of the HEA requires partnership grantees under this program to provide from State, local, institutional, or private funds not less than 50 percent of the cost of the program (or $1 of non-Federal funds for every $1 of Federal funds awarded), which may be provided in cash or in-kind. The provision also provides that the match may be accrued over the full duration of the grant award period, except that the grantee must make substantial progress toward meeting the matching requirement in each year of the grant award period. 32 Section 404C(b)(2) further provides that the Secretary may approve a partnership’s request for a reduced match percentage at the time of application if the partnership demonstrates significant economic hardship that precludes the partnership from meeting the matching requirement, or if the partnership requests that contributions to the scholarship fund be matched on a twoto-one basis. (See 34 CFR § 694.8(a)-(c) for implementing regulations.) In addition, a partnership that includes three or fewer institutions of higher education as members and meets the high-need criteria in 34 CFR 694.8(d)(2) may provide a reduced level of match as specified in 34 CFR § 694.8(d). b. Supplement-Not-Supplant: This program includes supplement-not-supplant funding requirements. Under section 404B(e) of the HEA, grant funds awarded under this program must be used to supplement, and not supplant, other Federal, State, and local funds that would otherwise be expended to carry out activities assisted under this program (20 U.S.C. 1070a-22). IV. Application and Submission Information 1. Address to Request Application Package: You can obtain an application package via the Internet by downloading the package from the program Web site at: http://www2.ed.gov/programs/gearup/index.html. You also can request a copy of the application package from the following: Pariece Wilkins, Gaining Early Awareness and 33 Readiness for Undergraduate Programs, U.S. Department of Education, 1990 K Street, NW., room 7025, Washington, DC 200068524. Telephone: (202) 219-7104 or by e-mail: pariece.wilkins@ed.gov. If you use a telecommunications device for the deaf (TDD), call the Federal Relay Service (FRS), toll free, at 1-800-8778339. Individuals with disabilities can obtain a copy of the application package in an accessible format (e.g., braille, large print, audiotape, or computer diskette) by contacting the program contact person listed in this section. 2. Content and Form of Application Submission: Requirements concerning the content of an application, together with the forms you must submit, are in the application package for this program. Page Limit: The application narrative is where you, the applicant, address the selection criteria that reviewers use to evaluate your application. You must limit the application narrative (Part II) to no more than 45 pages. However, if you choose to address the invitational priority and/or the competitive preference priorities, you must limit your discussion on the invitational priority to only 4 additional pages and discussion on the competitive preference priorities to only 10 additional pages above the 45-page narrative limitation. For purpose of determining compliance with the page limit, each page on which 34 there are words will be counted as one full page. Applicant must use the following standards: • 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, except titles, headings, footnotes, quotations, references, and captions, as well as all text in charts, tables, figures, and graphs. • Use a font that is either 12-point or larger, or no smaller than 10 pitch (characters per inch). • Use one of the following fonts: Courier New, or Arial. Times New Roman, Courier, An application submitted in any other font (including Times Roman and Arial Narrow) will not be accepted. The page limits do not apply to the cover sheet; the budget section, including the budget narrative and summary form; the assurances and certifications; or the one-page abstract. We will reject your application if you exceed the page limit. 3. Submission Dates and Times: Applications Available: June 14, 2011. Deadline for Transmittal of Applications: July 14, 2011. Applications for grants under this program must be submitted electronically using the Grants.gov Apply site (Grants.gov). For information (including dates and times) about how to submit your application electronically, or in paper format by mail or hand 35 delivery if you qualify for an exception to the electronic submission requirement, please refer to section IV. 7. Other Submission Requirements of this notice. We do not consider an application that does not comply with the deadline requirements. Individuals with disabilities who need an accommodation or auxiliary aid in connection with the application process should contact the person listed under For Further Information Contact in section VII of this notice. If the Department provides an accommodation or auxiliary aid to an individual with a disability in connection with the application process, the individual’s application remains subject to all other requirements and limitations in this notice. Deadline for Intergovernmental Review: 4. Intergovernmental Review: September 12, 2011. This program is subject to Executive Order 12372 and the regulations in 34 CFR part 79. Information about Intergovernmental Review of Federal Programs under Executive Order 12372 is in the application package for this program. 5. Funding Restrictions: We reference regulations outlining funding restrictions in the Applicable Regulations section of this notice. 36 6. Data Universal Numbering System Number, Taxpayer Identification Number, and Central Contractor Registry: To do business with the Department of Education, you must-a. Have a Data Universal Numbering System (DUNS) number and a Taxpayer Identification Number (TIN); b. Register both your DUNS number and TIN with the Central Contractor Registry (CCR), the Government’s primary registrant database; c. Provide your DUNS number and TIN on your application; and d. Maintain an active CCR registration with current information while your application is under review by the Department and, if you are awarded a grant, during the project period. You can obtain a DUNS number from Dun and Bradstreet. A DUNS number can be created within one business day. If you are a corporate entity, agency, institution, or organization, you can obtain a TIN from the Internal Revenue Service. If you are an individual, you can obtain a TIN from the Internal Revenue Service or the Social Security Administration. If you need a new TIN, please allow 2-5 weeks for your TIN to become active. The CCR registration process may take five or more business days to complete. If you are