1. State Tribal Education Partnership (STEP) Grant Program CFDA No.: 84.415 Pre-Application Workshop Draft as of 5/30/2012 1

2. Agenda Welcome/Introductions Program Overview Application Process Review Process Selection Criteria Budget Information Grants.gov 2

3. STEP Program Overview Fiscal Year 2012 Appropriations included in Indian Education National Activities of Title VII of ESEA approximately $2 million for a tribal education agency (TEA) pilot – TEAs would enter into agreements with State educational agencies (SEA) to administer State-level functions for State- administered ESEA programs in school districts on Indian reservations (or former reservations in OK) – Funds must be obligated by September 30, 2012 3

4. STEP Program Overview Example activities:  Title I-A: A TEA could apply to the Department to develop a reservation- wide Title I-A plan in collaboration with the SEA. A TEA could also choose to provide technical assistance to LEAs, assist with school improvement activities, or provide or coordinate other services. A TEA could assist LEAs and an SEA with data collection and reporting for students who are Tribal members, and could use the data for program improvement.  Title II-A: TEAs could apply to the Department to work with the SEA on developing teacher evaluation systems and effective teacher definitions, providing training and support to teachers and school leaders, providing technical assistance to LEAs, and other activities. 4

5. STEP Program Objectives Further the Obama Administration’s policy of promoting tribal self-determination by  Providing meaningful opportunities for tribes to participate in the education of their children  Increase tribal/State collaboration  Build TEA capacity to effectively administer SEA-level functions 5

6. Flow of Funds ED will distribute only the appropriated STEP pilot funds (~$2 million) to grant recipients Note: All State-administered formula funds (Titles I, II, III etc.) will continue to go to SEAs (there is no statutory authority to change the ESEA grantees) SEAs will continue to give sub-grants to districts (LEAs) TEA and SEA could agree to share STEP funds TEA and SEA could agree to share the SEA’s administrative set-aside funds under ESEA (e.g. under contract or MOA consistent with State law) 6

7. Major Grant Activities Year one  Develop the final agreement between the TEA or TEA consortium and the SEA  Develop final list of participating LEAs and schools  Conduct capacity-building and technical assistance activities to prepare the TEA’s administration of State-level functions By month 9 of year one, the TEA begins to administer State-level functions for agreed upon ESEA State- administered programs Years two and three  Successful TEA continues to administer State-level functions 7

8. Questions 8

9. STEP Application Process Submit Notice of Intent to Apply Register in CCR Submit applications through Grants.Gov. Submit applications by 4:30 PM EDT on July 13, 2012. 9

10. STEP Application Components Part 1: Preliminary Documents Part 2: Budget Information Part 3: ED Abstract Form Part 4: Project Narrative Attachment Form Part 5: Budget Narrative Attachment Form Part 6: Other Attachments Part 7: Assurances and Certifications 10

11. STEP Application Components Parts 1-3 Part 1: Preliminary Documents  Application for Federal Assistance (form SF 424)  ED Supplemental Information for SF 424 Part 2: Budget Information  ED Budget Information Non-Construction Programs (ED Form 524) Project Abstract (Part 3) Brief (1-2 paragraph) description of the project, including  Project Goals and Objectives  Participating LEAs and eligible schools  State administered formula grant programs  State-level administrative functions  Capacity-building activities 11

12. Application Narrative Narrative must explain how the terms of the preliminary agreement between the TEA and SEA will be met: a) Vision: goals, objectives and timeline for accomplishment over the project period b) Demographics of the participating LEAs and schools c) The ESEA State-administered programs to be included d) The State-level functions the TEA will perform e) How the TEA’s performance of these functions improves services and outcomes for students f) TEA performance of functions by year of the grant g) Use of STEP pilot grant funds to build TEA capacity 12

13. Application Narrative, cont. Narrative must explain how the terms of the preliminary agreement between the TEA and SEA will be met: h) Actions in first 9 months to develop final agreements i) Applicant team members roles and responsibilities j) Project team qualifications and time allotted to project k) SEA contacts and role in the project l) (If applicable) TEA consortium members roles and activities m) (If applicable) Consultants role and qualifications n) Organizational structure to manage project o) Schedule of tasks and timelines p) Documentation of activities, progress and effectiveness q) (If applicable) FERPA compliance 13

14. Formatting Include a Table of Contents Double space all text in the narrative Single spacing of text in charts, graphs, and tables is acceptable 1 inch margin for top, bottom, and sides of narrative Use no less than a 12 point font All documents must be PDF files in order to upload them to Grants.gov 14

15. Page Limit Applicants should adhere to a 50 page limit of the Project Narrative Project Narrative includes applicant’s response to the Selection Criteria 50 page limit does not include abstract, budget narrative, or mandatory forms 15

16. STEP Selection Criteria Significance Quality of project design and services Quality of the management plan and personnel Adequacy of resources 20 points 30 points 20 points 30 points 16

17. State Tribal Education Partnership (STEP) Significance Maximum 20 Points 1.Significance of the problem or issue to be addressed by the proposed project 2.The potential replicability of the proposed project or strategies 3.The likelihood that the proposed project will result in system change or improvement 17

18. State Tribal Education Partnership (STEP) Quality of Project Design & Services Maximum 30 Points 1.The goals, objectives and outcomes to be achieved are clearly specified and measurable 2.The design of the proposed project is appropriate to, and will successfully address, the needs of the target population 3.The proposed project is designed to build capacity and yield results that will extend beyond the project period 4.The services to be provided involve the collaboration of appropriate partners for maximizing effectiveness The extent to which: 18

19. State Tribal Education Partnership (STEP) Management Plan Maximum 20 Points 1.The adequacy of the management plan to achieve the objectives on time and on budget 2.Qualifications of key project personnel 3.Qualifications of project consultants or subcontractors 19

20. State Tribal Education Partnership (STEP) Adequacy of Resources Maximum 30 Points 1.The adequacy of support, including facilities, equipment, supplies and other resources from the applicant organization 2.The extent to which costs are reasonable in relation to the objectives, design and potential significance of the project 3.The relevance and demonstrated commitment of each partner in the project 4.The potential for continued support of the project after the project period 5.The potential for the incorporation of project purposes, activities or benefits into the ongoing program of the agency at the end of Federal funding 20

21. Questions 21

22. Budget Estimated available funds: $1,977,000 Contingent upon the quality of applications, we anticipate making 3-5 awards for FY 2012 Estimated range of awards: $400,000 - $500,000 (single TEA in partnership with a single SEA). $500,000 - $750,000 (consortium of TEAs in partnership with a single SEA) All STEP grants will have a October 1, 2012 start date. Grant year will be 12 months Grant period is 3 (grant) years or 36 months Continuation Awards dependent upon availability of funds to grantees who have made substantial progress 22

23. Budget For each year of the project period, applicants must submit a plan for grant activities and a detailed budget narrative Applicants should complete one budget summary using ED Form 524 for all 3 budget years Budget narratives and Indirect Cost Rate Agreement (if your budget includes indirect costs) should be attached to the Budget Narrative Attachment Form, under Optional Budget Narrative Forms All costs must be reasonable and necessary to complete project activities and meet project objectives 23

24. Allowable/Unallowable Costs All project costs must meet the following criteria: Necessary Needed for proper and efficient performance and administration of the grant ReasonableCosts that would be incurred by a prudent person; costs generally recognized as ordinary and necessary for the grant AuthorizedPermitted by Circular A-87 (2 CFR Part 225, Appendix A) or not prohibited by State or local law AllocableChargeable to this grant; not an indirect cost to be shared among programs/projects 24

25. Sample Allowable Costs Compensation of employees (be specific about % of time for each to work on this project) Transportation, meals, and lodging for travel between TEA and SEA for project reps to work on project activities Consultants or contractors to provide specified activities under the project 25

26. Sample Allowable Costs (cont.) Cost of materials, supplies necessary for this project (under $5,000 per item are classified as supplies, not equipment), including software, hardware to be used solely for this project (must compensate ED at end of grant for unused portion of equipment) 26

27. Sample Unallowable Costs Technology purchases that are not directly related to the implementation of the proposed project or administering the grant, such as computers and other equipment for general office use Construction or renovation of building space to house STEP project Books, educational materials, and texts purchased for teachers and related program activities not a part of the grant project Meals and refreshments, if excessive, exorbitant, or not serving grant purpose Student activities Travel costs for trips that the SEA would incur in the absence of this grant (e.g., to monitor the LEA) 27

28. Allowable and Unallowable Cost If you have questions about allowable or unallowable costs please consult OMB Circular A-87 or EDGAR http://www.whitehouse.gov/omb/circulars_a087_2004/ http://www2.ed.gov/policy/fund/reg/edgarReg/edgar.pdf 28

29. Questions 29

30. Indirect Costs Rates The applicant must attach an ICR Agreement. If your tribe or TEA does not have an ICR, it must obtain an ICR Agreement from its cognizant agency. Consortia Partners may charge indirect cost but those should be included in the partner contract Applicants should submit a copy of their approved ICR Agreement with its application (Other Narrative Attachment Form) ED’s Indirect Cost Group Office http://www.ed.gov/about/offices/list/ocfo/fipao/icgindex.html 30

31. How Can Indirect Cost Be Used? Indirect costs are any costs incurred that may not be directly attributable to the project, such as: Utilities Maintenance fees Rent Internet Fees 31

32. Part 6 : Other Attachments Individual Resumes for Project Directors & Key Personnel Preliminary Agreement Certification by the tribe that the applicant is an eligible TEA Certification by the tribe that its reservation is eligible Confirmation by the SEA that the schools are eligible

33. Part 7: Assurances Assurances for Non-Construction Programs (SF 424B Form) Disclosure of Lobbying Activities (SF LLL Form) Certification Regarding Lobbying (ED 80-0013 Form) General Education Provisions Act (GEPA) Requirements – Section 427 Survey on Ensuring Equal Opportunity for Applicants (Form 1890-0014)

34. General Education Provisions Act (GEPA Section 427) All applicants seeking federal funding must submit a GEPA statement Applicants must identify one or more of the six (6) types of barriers that may prevent participation in this grant and how they will overcome the barrier(s): race, gender, national origin, color, disability and age 34

35. General Education Provisions Act (GEPA Section 427) Carefully read the GEPA instructions included in the STEP application instructions Include GEPA statement in the Table of Contents GEPA statement should be presented as a separate narrative GEPA statement should be 1-2 succinct and clearly identifiable paragraphs 35

36. OH NO… They DID NOT Read My Application! Applications will not be read if: Application is not time and date stamped by Grants.gov on or before 4:30:00 PM on July 13, 2012, Wash, D.C. time (EDT) Applicant is not a TEA or consortium of TEAs supported by required certifications Applicant does not include a preliminary agreement with application Applicant submits a paper copy of an application without obtaining a waiver 36

37. Questions 37

38. www.Grants.gov All FY 2012 STEP applications MUST be submitted electronically via Grants.gov on or before July 13, 2012 at 4:30:00 pm, Washington, D.C. time. ! 38

39. Exceptions for Electronic Submission You may qualify for an electronic submission waiver if: -You do not have Internet access -You do not have the capacity to upload large documents to the Grants.gov system If you are submitting a waiver, you must: -Mail or fax a written statement to the Department of Education explaining your need for a waiver -If mailing, your letter must be postmarked no later than two weeks (14 calendar days) before the application deadline date July 13 2012 39

40. Exceptions for Electronic Submission Submit all Electronic Submission Waivers to: Mia Howerton US Department of Education 400 Maryland Ave., SW, Room 4C123 Washington, DC 20202-5960 202-401-8466 fax Deadline: 14 calendar days prior to July 13, 2012 40

41. Get Registered The Grants.gov registration process Includes five (5) basic steps. 1. Obtain a DUNS# 2. Register with CCR 3. Set up your Authorized Organization Representative (AOR) profile 4. Get authorized as an AOR by your LEA’s e-Biz POC 5. Track your AOR status The Grants.gov registration process takes 3-14 business days to complete. You do not have to register with Grants.gov if you only want to find grant opportunities or to download application packages. 41

42. Step 1: Register Your TEA 1.To register, your TEA will need to obtain a DUNS#. If your TEA doesn’t have a DUNS#, you can call 1-866-705-5711. Check with your TEA grants office before obtaining a DUNS# Use the same DUNS# used on the SF 424 form. Step 2: CCR Registration 2. Your TEA must register with the Central Contractor Registry (CCR) at http://www.ccr.gov. Your TEA must have a DUNS# to register with CCR. CCR registration takes 3-14 days to complete. CCR requires an annual registration.http://www.ccr.gov 42

43. Step 3: AOR Registration 3.Create your Authorized Organization Representative (AOR) registration to obtain your username and password. You will need your DUNS# to complete the profile. Step 4: Confirm AOR Registration 4. Your E-Business Point of Contact will receive your registration from Grants.gov. The E-Biz POC will then authorize you as an AOR. The E-Biz POC is usually someone in your grants office. Only an AOR may submit an application. 43

44. Step 5: Track AOR Registration 5.Track your AOR status. The length of time is contingent upon how long it takes your E-Biz POC to authorize you as an AOR. The tribe may have more than one AOR. Once all registration steps are COMPLETE, you are GOOD TO GO! All 5 registration steps can be found on the Grants.gov website. http://www.grants.gov/applicants/organization_registration.jsp 44

45. IMPORTANT NOTE: CCR Registration The Central Contractor Registration (CCR) system has been experiencing performance issues. While these issues have been resolved, there remains a potential delay in processing both new CCR registrations and updates to existing CCR registrations This may or may not effect you as a perspective STEP applicant, however, please check the status of your new or updated CCR registrations If you think the submission of your STEP application may be adversely effected by the CCR delays, please email your concerns to Mia.Howerton@ed.gov as soon as possibleMia.Howerton@ed.gov Once we know more about these CCR delays, the Department will make adjustments, if necessary 45

46. Adobe Reader 8.1.1-9.4 Applicant must download the correct version of Adobe in order to read any Grants.gov application packages Using Adobe, applicants must move all mandatory forms from left to right, in order to open each form Once form is on the right side, applicant can complete each form and SAVE There is a final SAVE & SUBMIT button to be used before the final submission of the application 46

47. FIND the STEP Application Use the following steps to find the STEP application: Log onto www.Grants.gov Find Grant Opportunities (on the left) Advanced Search In the key word search, type State Tribal Education Partnership and select Department of Education under Agency search. The STEP application will be the only one listed. Select that title. 47

48. FIND the STEP Application Click Application (across the top of the page) Click Download (towards the bottom of the page) At the bottom of the page, you will find the Application Package AND the Application Instructions. These are two separate folders and you should download BOTH folders. The Application Package is a complete PDF file of the entire package. The Application Instructions contain all the mandatory forms you will need to submit and the forms you will use to upload your application narrative. You may download both folders to your desktop or some other place on your computer. You may then work offline and save and submit the application when you are finished. 48

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53. Grants.gov Helpful Hints IMPORTANT: Grants.gov will TIME and DATE stamp all applications when the upload is FINISHED! The time it takes to upload an application may vary. IMPORTANT: Late applications will not be reviewed for funding. IMPORTANT: All documents uploaded to Grants.gov must be PDF files. Submit EARLY!! 53

54. Grants.gov Helpful Hints IMPORTANT: Start NOW, preparing your application so you can submit before July 13, 2012. IMPORTANT: Slow internet connections and/or network outages could lead to longer than normal downloads or uploads. Submit EARLY! 54

55. Grants.gov Emails Yes, we are Good to Go ! Applicants should receive a confirmation email with a time and date stamp and an assigned tracking number from Grants.gov Applicants should receive a validation email from Grants.gov. This means the application is ready for Department pickup Applicant should receive an email with their assigned PR Award # (U215X11….) Houston, We have a problem… Applicants will still receive a confirmation email with a time and date stamp and an assigned tracking number from Grants.gov However, If the application is received after 4:30:00 pm on July 13, 2012 or validation is not successful, applicant should receive an error email Email may list the error, or applicant can use their tracking number to find the submission error 55

56. Problems with Grants.gov If you have technical difficulties that are the fault of Grant.gov, please contact the Grants.gov Help Desk Please keep all tracking numbers, emails, and complaints filed with Grants.gov If the problem is really a Grants.gov problem, your application may be accepted, but you must provide proof for resolution 56

57. On-line support is available at: http://www.grants.gov/CustomerSupport For phone assistance call: 1-800-518-4726 www.Grants.gov 57

58. DON’T WAIT Until the closing date… It might be too late! Submit EARLY! www.Grants.gov 58

59. Questions 59

60. What Happens Next? ED Staff screen each application to make sure that all program eligibility requirements are met and that all forms are included and signed. (Estimated dates – could change) Panel Review - Mid August ED Budget Review – Early to Mid September ED Staff submit recommended award slate to the Secretary – Mid September Successful candidates will receive a Grant Award Notification – Late September, Start project October 1 Unsuccessful applicants will receive a notification letter – Early October Both successful and unsuccessful applicants will receive peer reviewers’ comments – November

61. STEP Resources STEP Website http://www2.ed.gov/programs/step/index.html STEP FAQs http://www2.ed.gov/programs/step/faq.html STEP Federal Register Notice http://www.gpo.gov/fdsys/pkg/FR-2012-05-29/pdf/2012-12835.pdf OMB Circulars www.whitehouse.gov/omb/circulars/index.html Grants.gov http://www.grants.gov/ FOIA Reading Room http://www2.ed.gov/policy/gen/leg/foia/readingroom_oii.html Questions?: Email them to the STEP Staff at step@ed.gov 61

62. Thank You 62