Final Applications -- August 15, 2006, via e-mail as instructed in these application materials.
Applicants failing to meet this deadline will be ineligible for an award.
Application Process: Hurricane Katrina Foreign Contributions Awards will be made through a three-stage process:
1. Eligible applicants are informed of the availability of Hurricane Katrina Foreign Contributions Awards through a letter to the institutions chief executive officer.
2. Eligible institutions access the Department of Educations Office of Postsecondary Education Web site to download the Hurricane Katrina Foreign Contributions application title page and budget form, along with their respective instructions, and other forms and information necessary to submit an application.
3. Applicant institutions will then prepare and submit an application via e-mail to email@example.com no later than August 15, 2006. OPE will review the final applications and budgets to ensure compliance with applicable regulations and the requirements in the application materials on this Web site. OPE will allocate approximately $30 million to the applicant institutions. If necessary, OPE will contact the institutions named project director to address questions or concerns about the application. For this reason, it is important that the project director be someone who will be readily available for consultation between August 15 and August 27, 2006. Upon final approval, Grant Award Notification (GAN) documents will be printed and mailed to the named project director and to the authorized institutional representative who signed the application title page. Receipt of the GAN signifies that the award has been officially made and the recipient institution may begin to draw down funds in accordance with its approved grant application.
Required Elements of the Final Application
I. Each application must include the following forms and documents, completed per their instructions:
- A Hurricane Katrina Foreign Contributions title page signed by an authorized institutional representative; MS Word (159K) | PDF (53K)
- A Hurricane Katrina Foreign Contributions budget summary form indicating hurricane-related expenses to be charged to the Award. MS Word (87K) | PDF (33K)
Recipients of Hurricane Katrina Foreign Contributions Awards are not required to provide matching funds;
- A statement in response to the Department of Education's General Education Provisions Act (GEPA), Section 427; MS Word | PDF
- Form 424B - Assurances, Non-construction programs (see note below); MS Word (35K) | PDF | PDF Form
- Certifications form regarding lobbying and other matters; MS Word (35K) | PDF (65K) | PDF Form (104K)
- Certifications form regarding debarment and other matters;
- Form SF-LLL - Disclosure of Lobbying Activities. MS Word | PDF | PDF Form
Regarding the title page, please note that no application can be processed without all the required information. If the organization named as an eligible applicant for an award under this program does not already have D-U-N-S and T-I-N numbers, numbers must be obtained before the application is submitted (see instructions included with the form). The project director named on the application must be someone empowered to negotiate with the Department on the terms and conditions of the award, and should be someone who will be readily available for consultation during the application process. Communications will generally occur through e-mail, so it is important that a valid e-mail address for the project director be recorded on the title page.
The title page requires applicants to designate start and end dates for their Hurricane Katrina Foreign Contribution Awards. The Department expects to finalize these awards in late August, 2006. September 1, 2006 will be the earliest possible start date and is recommended for all applicants. Projects will extend for a maximum of two years, so a typical end date will be August 31, 2008. As these grants are intended to defray expenses already incurred, the Department will not grant no-cost extensions beyond the initial two-year period of the awards.
For the purposes of this program, the Secretary has waived the usual 90-day limitation on pre-award costs that may be charged to project budgets. Applicants may seek to recover/defray expenses incurred as a direct result of hurricane damage occurring in August, 2005 or thereafter.
II. In addition to the required forms and documents noted above, each application must include:
Abstract: A one-paragraph abstract describing the purposes and activities for which the Hurricane Katrina Foreign Contributions Award will provide support. This statement will be sent to your Congressional representatives and should begin: "X (institution) will use its Hurricane Katrina Foreign Contributions Award to..."
Statement of Work: A statement of work (project narrative), not to exceed 15 double-spaced pages, describing how award funds will be spent on hurricane-related recovery activities and the persons responsible for implementing those activities. This narrative should answer the following questions in some detail: What does the institution plan to do with the grant funds? How will these funds serve to defray expenses directly related to damage resulting from hurricanes on the Gulf Coast in calendar year 2005? Who will be responsible for carrying out these activities? What is the project timeline?
Line item budget and budget narrative: The line item budget expands on the summary budget form, breaking down the costs in each budget category into their component parts.
Note: Each applicants budget narrative should record, at the top of the first page of the narrative, the following three figures:
a) the percentage of time the named project director will devote to the project, whether or not a portion of that persons salary is included in the project budget;
b) the amount of the award request that is for non-construction activities;
c) the amount of the award request that is for construction-related activities.
Additional notes on the budget form and narrative: The budget categories for "Personnel," "Fringe Benefits," and "Travel" only include payments for services rendered by regular employees of the applicant institution. Salaries, benefits, and travel for any sub-contractors should be included in the "Contractual" category. If any salaries are to be covered by the grant, the budget narrative should indicate whose salaries are included (by title, not name), at what percentage of their time, the base annual salary, and the amount of their salary to be charged to the grant. In the case of equipment purchases (items over $5000 per unit; smaller purchases are included in the supplies category), it is sufficient to describe the equipment/supplies in a general way (e.g., 20 desktop computers) with an approximate cost estimate. It is not necessary to specify manufacturers or model numbers; the Department assumes that you will choose machines appropriate to the task and at the best price available at the time of purchase. Budget figures for student tuition and/or fees are included on the budget line entitled "Training Stipends" and are not to be included in calculations of indirect costs.
See also "Post-Award Information" in these application materials regarding changes in budgets after an award is made.
Special note on construction activities: "Construction" includes construction of new buildings and acquisition, expansion, remodeling, and alteration of existing buildings, and the purchase of initial equipment of any such buildings, or any combination of such activities (including architects and engineering fees and the cost of land acquisition). Applicants that apply for construction funds under the Hurricane Education Recovery Awards program must comply with Executive Order 13202 signed by President George W. Bush on February 17, 2001 and amended on April 6, 2001. This Executive Order provides that recipients of Federal construction funds may not "require or prohibit bidders, offerors, contractors, or subcontractors to enter into or adhere to agreements with one or more labor organizations, on the same or other construction project(s)" or "otherwise discriminate against bidders, offerors, contractors, or subcontractors for becoming or refusing to become or remain signatories or otherwise adhere to agreements with one or more labor organizations, on the same or other construction project(s)." However, the Executive Order does not prohibit contractors or subcontractors from voluntarily entering into these agreements. Projects funded under these programs that include construction activity will be provided a copy of this Executive Order and will be asked to certify that they will adhere to it.
Department of Education regulations generally prohibit the use of grant funds for construction purposes. Consequently, the standard forms included in this application package may describe Department grants as "non-construction" awards. For the purposes of the Hurricane Education Recovery Awards, the Department has waived its limitation on construction to fully implement the Congressional purpose of these awards. Applicants are therefore to read any form headed "non-construction" as "construction and non-construction" for the purposes of this grant program. See, for example, Form 424B above.
III. Special Conditions Applicable to Hurricane Katrina Foreign Contributions Awards:
Under a Memorandum of Understanding between ED and DOS, ED has committed to impose conditions on these awards to promote accountability for and transparency in the use of funds, including, but not limited to, requirements to ensure that recipients:
a) Obligate and expend the funds in accordance with prudent management practices, to include internal controls sufficient to protect against waste, fraud and mismanagement;
b) Maintain records of the use of the funds in accordance with standard accounting practices, so that a clear audit trail is maintained; and
c) Develop performance measures to evaluate the effective use of these funds.
Pursuant to this understanding and to further the objectives of the foreign contributors in providing these funds, the recipient of these funds must comply with the following conditions:
1. General conditions. The recipient must obligate and expend these funds in the same manner as it would administer funds provided by other funding sources, including its regular requirements regarding financial management of funds, payment of funds to contractors and sub-recipients, allowable costs, audit, property standards and management, procurement procedures and standards and retention of records. If the recipient or a sub recipient uses funds to purchase library materials, those materials must be secular, neutral, and non-ideological.
2. Construction. These funds may not be used to construct or repair a building used for a religious purpose (e.g., a chapel). However, the recipient may use these funds to construct or repair a building in which the primary activity is secular and non-religious.
3. Application condition. The recipient must conduct the award consistent with the activities authorized in the cover letter provided to the applicant for this award and with the information in these application materials, as approved by the Secretary.
4. Project income. The recipient and sub-recipients must use all income earned under projects funded in whole or part with funds made available under this award for allowable costs under the applicable cost principles to further the objectives of the award.
5. Changes to awards. Recipient may make changes to the approved application with the approval of the Secretary.
6. Participation of faith-based organizations.
a. Eligibility: A faith-based organization is eligible to receive sub awards from the recipient and contract with the recipient and sub-recipients on the same basis as any other private organization, with respect to sub awards and contracts for which such other organizations are eligible.
b. No recipient, sub-recipient or contractor may use funds under this award to pay for any of the following:
i. Religious worship, instruction, or proselytization; or
ii. Equipment or supplies used for these activities.
c. Independence of Faith-based organizations:
i. A faith-based organization that receives a sub award or contracts with the recipient or a sub-recipient may retain its independence, autonomy, right of expression, religious character, and authority over its governance.
ii. A religious organizations exemption from the Federal prohibition on employment discrimination on the basis of religion, in section 702(a) of the Civil Rights Act of 1964, 42 U.S.C. 2000e-1, is not forfeited when the organization receives an award or sub award or contracts with the recipient or a sub-recipient.
7. Reporting program performance.
a. The recipient is responsible for managing and monitoring each project, program, sub-award, function, or activity supported by the award.
b. The recipient shall submit performance reports on a quarterly basis containing the same information as would be included in reports required by other funding sources.
c. The recipient may require sub-recipients to provide performance reports as needed for the recipient to meet its reporting responsibilities under this award.
d. The recipient shall immediately notify the Secretary of developments that have a significant impact on the award-supported activities. Also, the recipient must notify the Secretary in the case of problems, delays, or adverse conditions which materially impair the recipient's ability to meet the objectives of the award. This notification must include a statement of the action taken or contemplated, and any assistance needed to resolve the situation.
e. The Secretary may make site visits, as needed.
8. Financial reporting. The Recipient and sub-recipients must use the financial reports prescribed by the Secretary for this award and any sub-awards made by the recipient. The Secretary may request information in addition to that required in any report if needed to ensure funds are being used as required under the award and sub-awards. Financial reports are due with the same frequency and on the same date as performance reports are due under these conditions.
a. Awards may be terminated in whole or in part only--
i. By the Secretary, if a recipient materially fails to comply with the terms and conditions of an award;
ii. By the Secretary with the consent of the recipient, in which case the two parties shall agree upon the termination conditions, including the effective date and, in the case of partial termination, the portion to be terminated.
iii. By the recipient, upon sending to the Secretary written notification containing the reasons for the termination, the effective date, and, in the case of partial termination, the portion to be terminated. However, if the Secretary determines in the case of partial termination that the reduced or modified portion of the award will not accomplish the purposes for which the award was made, the Secretary may terminate the grant in its entirety under either paragraph a i or ii of this paragraph.
b. The recipient shall provide final performance and financial reports as required under paragraphs 7 and 8 of these conditions within 180 days after the effective date of the termination.
a. Remedies for noncompliance. If the recipient or any sub-recipient
materially fails to comply with the terms or conditions of an award, whether stated in an assurance, application, or grant award notice, the Secretary may, in addition to imposing any of the special conditions outlined in paragraph 11 of these conditions, take one or more
of the following actions, as appropriate in the circumstances:
i. Temporarily withhold cash payments pending correction of the deficiency by the recipient or more severe enforcement action by the Secretary.
ii. Disallow (that is, deny both use of funds and any applicable matching credit for) all or part of the cost of the activity or action not in compliance.
iii. Wholly or partly suspend or terminate the current award.
iv. Withhold further awards for the project.
v. Take other remedies that may be legally available.
b. Appeals. In taking an enforcement action, the Secretary provides the recipient an opportunity for appeal as follows:
i. In a decision to terminate or suspend the award or withhold or recover funds, the initial decision shall be made by an Officer of the Department below the Assistant Secretary level.
ii. The notice regarding the initial decision must contain, at a minimum --
1. The facts and reasons for the suspension, termination, withholding or recovery;
2. The effective date of the suspension, termination or withholding or the amount the Department seeks to recover and the date by which the recipient must repay those funds to the award account in GAPS;
3. A note indicating the grantee's right to request appeal of the suspension, termination withholding or recovery to the assistant secretary;
4. The address where the appeal must be sent;
5. The date by which the grantee must submit its appeal;
6. That the assistant secretary to whom the appeal is made will reach a decision on the appeal and notify the grantee of the decision within a reasonable period of time, as specified in the notice.
iii. The decision of the assistant secretary is the final decision of the Department in any termination, suspension, withholding or recovery.
c. Effects of suspension and termination. Costs of a recipient resulting from obligations incurred by the recipient during a suspension or after termination of an award are not allowable unless the Secretary expressly authorizes them in the notice of suspension or termination or subsequently. Other recipient costs during
suspension or after termination which are necessary and not reasonably avoidable are allowable if--
i. The costs result from obligations which were properly incurred by the recipient before the effective date of suspension or termination, were not in anticipation of it, and in the case of a termination, are noncancellable; and
ii. The costs would be allowable if the award were not suspended or expired normally at the end of the funding period in which the termination takes effect.
d. Relationship to debarment and suspension. The enforcement remedies identified in this section, including suspension and termination, do not preclude ED from initiating a debarment or suspension action against a recipient, sub-recipient or principal under 34 CFR part 85 (see Sec. 74.13).
11. Special conditions.
a. The recipient may impose special award conditions on a sub award, if a sub recipient of this award
i. Has a history of poor performance;
ii. Is not financially stable;
iii. Has a management system that does not meet the standards prescribed in this part;
iv. Has not conformed to the terms and conditions of a previous award; or
v. Is not otherwise responsible.
b. If special award conditions are established under paragraph (a) of this section, the recipient must notify the sub recipient of--
i. The nature of the additional requirements;
ii. The reason why the additional requirements are being imposed;
iii. The nature of the corrective action needed;
iv. The time allowed for completing the corrective actions; and
v. The method for requesting reconsideration of the additional requirements imposed.
c. Any special conditions must be promptly removed once the conditions that prompted them have been corrected.
12. Limitations on the award. The Secretary has no obligation to increase the amount of this award after it is made based on increased needs of the recipient or its sub-recipients or for any other reason.
a. The recipient shall insure that the total costs obligated under this award are not more than the amount stated in the notification of grant award or an amendment to the award approved by the Secretary.
b. This award binds the recipient, any sub-recipients and the Secretary to the conditions of the award.
13. Sub awards.
a. Recipient may make sub awards of assistance under this award only if it proposed to make sub awards in its application to the Secretary for receipt of these funds.
b. The recipient shall administer any sub-awards under the same conditions as it administers awards it makes using funds provided by other sources.
14. Obligations. When obligations made under this award are determined under the rule in 34 CFR 75.707.
15. Performance measures.
a. The recipient must establish performance measures to determine the extent to which these funds have been used effectively by the recipient and sub recipients, if authorized, to assist in the recovery of educational institutions affected by Hurricane Katrina.
b. The recipient must develop the performance measures required by this condition within 60 days after the date of this award in coordination with ED.
IV. PREPARING THE APPLICATION BUDGET: WHAT EXPENSES CAN BE COVERED BY THE GRANT?
The basic principle is that all expenses charged to the grant must be reasonably and directly related to damage caused by hurricanes on the Gulf Coast in calendar year 2005. It is the applicant's responsibility, in the required budget narrative, to relate each claimed expense item to hurricane damage, and to retain original documents justifying their award request.
Pre-award costs: Project expenses incurred before Departmental approval of your application may be reimbursed from the grant award if those expenses were the direct result of hurricane damage in 2005.
Indirect costs: Recipients of Hurricane Katrina Foreign Contributions awards may charge indirect costs to the grant to the extent permitted in the regulations, if the organization has a current indirect cost rate agreement.
Matching requirement: Recipients of Hurricane Education Recovery Awards are not required to contribute any matching costs.
V. POST-AWARD INFORMATION: PROJECT MONITORING; BUDGET CHANGES; NO-COST EXTENSIONS; DRAWING DOWN YOUR GRANT FUNDS
A. Project Monitoring: Your Grant Award Notification (GAN) will identify an OPE program officer as the "Education Program Contact" for the award. Any questions or requests for changes to the approved project application must be directed to the monitoring program officer identified there. Be sure to include your project number (assigned when you complete the online application, it will begin with P940F06----) so the program officer can easily locate your project files.
Due to the large volume of grants and a shortage of staff and travel monies for their oversight, it is unlikely that a Department staff person will visit your project during its short lifetime. Site visits will be made, however, to institutions that fail to conform to the requirements of the grant, such as by not submitting required quarterly progress or final reports.
B. Post-Award Budget Changes: Changes in approved project budgets are not uncommon. As a general rule, moving funds from one budget category to another (e.g., from "equipment" to "salaries") can be made without prior consultation with the Department, so long as: a) the amount of money involved does not exceed 10 percent of the total project budget; b) the budget changes are intended to address the goals and objectives set for the award; and c) the budget changes lie within the scope of project activities previously approved by the Department. In such a case, the project director should simply make a formal note about the change and the reasons for it, email a copy to the monitoring OPE program officer, and include a copy in the institution's file on the project. Where the amount exceeds 10 percent of the project budget, prior approval for budget changes must be obtained from your monitoring program officer.
Certain other changes always require prior approval fro the Education Program Contact: changes in key personnel, including the project director; post-award decisions to transfer or contract-out any work; and post-award requests for international travel.
C. Extensions of the Project Period: As noted previously in these materials, the expectation is that all activities funded with Hurricane Katrina Foreign Contributions Awards will be completed within two years of the project starting date. Since these awards are to defray expenses already incurred, the Department of Education does not anticipate approving requests for no-cost extensions to these awards.
D. Drawing Down Project Funds: Recipient institutions will not receive a check for the full amount of their awards. Department regulations forbid the earning of interest on grant awards, so funds are disbursed as they are spent or in the form of reimbursements. Your business office must set up an account with the government so that funds can be transferred electronically. Contact the GAPS Payee Hotline for information on how to set up and draw down from an account, at 888-336-8930. Your Education Program Contact cannot assist with this aspect of grant management.