EU-U.S. ATLANTIS PROGRAM
Guidelines and Application Information
The European Community-United States of America Cooperation Agreement in Higher Education and Vocational Education and Training aims primarily at promoting understanding between the peoples of the European Union and the United States of America and improving the quality of their human resource development. The Cooperation Agreement includes the Fulbright-Schuman scheme administered by the U.S. Department of State and the European Commission and other cooperation actions in the field of higher education and vocational training grouped under the title of “Atlantis” (Actions for Transatlantic Links and Academic Networks for Training and Integrated Studies) administered by the U.S. Department of Education and the European Commission. The following guidelines describe Atlantis actions (hereafter referred to as Atlantis).
There are three main actions under Atlantis:
ACTION 1 – Transatlantic Degree Consortia Projects
This Action provides support for consortia of EU and U.S. higher education institutions (hereafter called “consortium”) to implement dual/double or joint degree programs referred to in the present document as “Transatlantic Degrees.” Support may include mobility grants for students and members of the academic teaching staff (“faculty”).
ACTION 2 - Excellence (Follow-up) Mobility Projects
This Action provides follow-up funding mainly for student mobility to consortia projects of proven high quality, including those funded under the preceding EU-U.S. Agreements.
ACTION 3 - Policy-oriented Measures
This Action provides support to multilateral EU-US projects and activities designed to enhance collaboration in the higher education and vocational training field.
The present guidelines provide instructions for submitting proposals only for Action 1 and 3. Action 2 projects will not be funded in 2007 but may be supported in future calls for proposals.
The main focus of Atlantis is on supporting innovative projects for cooperation in the higher education field, including vocational training, which are designed to develop and implement double or joint “transatlantic degrees” for students in the EU and U.S. It may also support projects to promote other forms of EU-U.S. cooperation in higher education and vocational training, including mobility projects and policy-oriented measures.
The origin of EU-U.S. cooperation in education and training dates from the 1990 Transatlantic Declaration on EU-U.S. Relations. Following a two-year exploratory phase (1993-95), the Cooperation Agreements between the European Community and the United States signed in 1995 and 2000 enabled a total of 107 transatlantic consortia to be funded, involving 726 European and United States institutions of higher education and vocational education and training. More than 4000 U.S. and EU students were involved with these consortia projects and have participated in the study abroad programs.
The European Community and the government of the United States are in the process of renewing the 2000-2005 agreement.
The new agreement became effective in 2006 for program support until 2013. The new agreement will move the EU-U.S. Program in a new direction. From implementing small curriculum components among consortia composed of six partners, as in the past, the new program pursues the more ambitious aim of implementing joint or dual transatlantic undergraduate degrees within a smaller consortium. The rationale for this is that the growing pace of global interconnectedness in virtually all aspects of human life means that our postsecondary institutions must rethink how best to prepare students for a lifetime of work that will, in all likelihood, be in an international environment. In doing so, the European Commission and FIPSE intend to support collaborative projects that can contribute to innovation and to the acquisition of skills required to meet the challenges of the global knowledge-based economy. The most successful colleges and universities of the future will increasingly define themselves as international in terms of their educational and training activities and the demographic profile of their faculty and students. While the research community has to a large extent taken on board the global dimension, as reflected in broad and intensive international collaborative activity, the study and teaching dimensions of higher education still have to address this challenge in a truly international perspective. In the EU-U.S. context Atlantis seeks to address this challenge by developing and testing a new and more integrated form of international education: transatlantic dual or joint degrees. By implementing transatlantic degree programs that provide students with an education in the United States and in Europe, we shall be helping to create an environment in which professional skills and language capability will better prepare students to participate in the workforce and meet the social challenges of the 21st century.
The objectives of Atlantis are same as those of the 2006-2013 agreement and are divided into general, specific, and operational categories.
The general objectives shall be to:
promote mutual understanding between the peoples of the European Community and the United States of America including broader knowledge of their languages, cultures and institutions;
and improve the quality of human resource development in both the European Community and the United States of America, including the acquisition of skills required to meet the challenges of the global knowledge-based economy;
The specific objectives shall be to:
enhance collaboration between the European Union and the U.S. in the domains of higher education and vocational training;
contribute to the development of higher education and vocational training institutions;
contribute to individual participants’ personal development for their own sake and as a way to achieve the general objective of the program;
and contribute to transatlantic exchanges between EU and U.S. citizens.
The operational objectives shall be to:
support collaboration between higher education and vocational training institutions with a view to promoting joint study programs and mobility;
improve the quality of transatlantic student mobility by promoting transparency, mutual recognition of qualifications and periods of study and training, and, where appropriate, portability of credits;
support collaboration between public and private organizations active in the field of higher education and vocational training with a view to encouraging discussion and exchange of experience on policy issues; and
support transatlantic mobility of professionals with a view to improving mutual understanding of issues relevant to EU-U.S. relations.
Nov-Dec 2006 Publication of the call for proposals
February 2007 Deadline for submission of applications
March 2007 Assessment of applications by independent experts
May 2007 Joint selection by European Commission and FIPSE
June 2007 Awarding of grants to selected consortia.
September 2007 Start of consortia project activities
For EU institutions, the budget available amounts to approximately EUR 2.5 million the majority of which will be devoted to Action 1- Transatlantic Degree Consortia Projects. For U.S. institutions comparable funding will be provided over a period of four years. U.S. awards are made pending annual congressional appropriations.
5.1. General Eligibility
Atlantis is based on the development of a multilateral consortium of postsecondary higher education educational institutions or organizations in the United States and in the twenty-five Member States of the European Union. For the purpose of this action:
“higher education institution” means any recognized establishment according to the applicable laws or practices that offers qualifications or diplomas at the higher education level, whatever such establishment may be called;
“vocational education and training institution” means any type of public, semi-public or private body, which, irrespective of the designation given to it, in accordance with the applicable laws and practices, designs or undertakes vocational education or training, further vocational training, refresher vocational training or retraining; and
“student” means any person following learning or training courses or programs leading to degree completion that are run by higher education or vocational education and training institutions.
All consortia in Atlantis must have a minimum of three higher education or vocational education and training institutions or organizations from at least two different Member States of the European Union and one or more from the United States. If there is more than one partner in the United States, that partner may be from the same state or from a different state. Membership may include higher education or vocational education and training institutions and organizations including industry and business groups, non-governmental organizations, publishers, government departments, chambers of commerce, and research institutes.
All consortia must have a non-profit lead institution or organization in the European Union and in the United States responsible for submitting the common proposal, for coordinating the project, and for grant management and fiscal control. In all projects for-profit partners may represent business and industry groups and that may help give your project the national and international visibility necessary for it to succeed beyond the funding period. These partners may offer internships or may offer professional advice and expertise as part of Atlantis.
With regard to mobility grants/stipends, eligible beneficiaries are students, faculty, and staff selected by transatlantic degree consortia, which will also disburse those grants.
5.2. Eligible countries and individuals
Eligible institutions and organizations must be from the United States and from one of the twenty-five Member States of the European Union (Austria, Belgium, Cyprus, Czech Republic, Denmark, Estonia, Finland, France, Germany, Greece, Hungary, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, the Netherlands, Poland, Portugal, Slovak Republic, Slovenia, Spain, Sweden, and the United Kingdom).
Eligible EU students and faculty must be citizens of the European Union or third-country nationals who had been legal residents in the European Union for at least three years (and for the purpose other than study) before the start of the outgoing mobility. Eligible U.S. students and faculty must be U.S. citizens or resident aliens.
Eligible Activities
Atlantis focuses on supporting multilateral consortia over a four-year grant period for the purpose of developing and implementing at the undergraduate level (or first cycle) dual/double or joint “Transatlantic Degrees”. Support for other combinations of undergraduate and graduate degree programs may be offered under future calls for proposals.
A “Transatlantic Degree” is defined as an undergraduate program of study undertaken at institutions located in the European Union and in the United States that leads to the awarding of two separate degrees (dual or double degree) or a single degree (joint degree) by the participating EU and U.S. award institutions and that students are able to attain in considerably less time and a lower cost than would be required to obtain two separate degrees.
An “undergraduate degree” is defined as any degree or diploma below the master’s level that is recognized by the appropriate authorities in the Member State where the degree awarding institution is located and in the United States. Applicants must clearly stipulate whether a dual/double or joint or degree will be awarded.
Each multilateral consortium must comprise at least one higher education institution from the U.S. (US-1) and at least two such institutions in the EU (EU-1 and EU-2), located in different Member States. If a second U.S. institution is involved, it need not be from a different U.S. State. Each EU or U.S. student must be awarded the Transatlantic Degree by one institution in the U.S. and one of the two institutions in the EU. Another option is to have each of the two EU institutions award the transatlantic degree. Under such an arrangement a EU student would still receive an award from her/his home institution (either EU-1 or EU-2) plus the U.S. institution. A U.S. student would receive a degree from either one of the EU institutions depending on the length of the study at the respective EU institutions. The European Commission and FIPSE will give preference to a consortium in which more than two institutions can award a transatlantic degree.
The key curricular components of the Transatlantic Degree must be included in the proposal and be in place before the application for support is submitted. Agreements on programs of study leading to the Transatlantic Degree must include provisions on credit recognition and/or transfer, tuition and other fees, visa requirements, recruitment, and student services.
Transatlantic degree projects are selected for four years. The Commission and FIPSE reserve the right to increase, decrease or terminate funding for a project based on annual performance reviews. All four years of the grant may be used for student and faculty mobility although it is expected that in the first year some adjustments in the curriculum and in the administration of the project will be made. Disbursement of funding will be made conditional on the consortium providing evidence that the transatlantic degree is operational and that students are selected to undertake the required period of study abroad. It is expected that transatlantic degree programs will be institutionalized at the participating institutions and will be sustained beyond the funding period.
Proposals that focus on implementing a transatlantic degree must describe in detail six components: i) joint study program, ii) student mobility, iii) faculty mobility, iv) language and culture training, v) evaluation, and vi) dissemination.
Joint Study Program
Proposals for Transatlantic Degrees may focus on any undergraduate, postsecondary program of study provided that it clearly demonstrates how such an international degree program will prepare students better for work in an international context. A proposal for a transatlantic degree program should include the following components:
Integrated program of study. The delivery of a jointly developed curriculum or full recognition by the Transatlantic Degree consortium of modules which are developed and delivered separately, but make up a common study program is the central component of the proposal. The program of study (including the courses, methods, modules and internships that students will take in the U.S. and in the EU, leading to the awarding of the Transatlantic Degree) must be fully described in the application.
Duration of the program of study. Applicants must explain how long it will take a full-time student to complete the entire transatlantic degree program. Competitive proposals will make it feasible for students to complete the transatlantic degree as close as possible to the time needed to finish the longer of the two original degree programs. Proposals must also indicate how many months are required to complete the study abroad component of the transatlantic degree.
Integrated admission standards. Students from each participating institution are to be selected for the program through a collaborative process that meets the standards of each partner institution. Students must be able to apply to the degree program through a shared application procedure or through institutional application procedures that are accepted by and meet the requirements of each partner institution in the consortium. Consortia institutions should therefore agree on shared admission standards and entry requirements, a shared application procedure, and a shared student selection process. For EU institutions this must be in accordance with national legislation.
Examinations and progression (transfer) requirements. Consortia institutions must agree that the examinations passed at one institution will be fully and automatically recognized by the partner institutions on the other side of the Atlantic. Whenever possible the use of ECTS is recommended. Consortia institutions must agree on progression and transfer arrangements for students.
Mobility: Students must carry out a period of study in at least three participating institutions (at least two EU institutions located in different Member States, and at least one U.S. institution). This mobility cannot be replaced by virtual mobility and must be at least one full academic year.
Degree award: The awarding of a recognized joint or double/dual degree must be guaranteed by at least one EU and at least one U.S. institution after successful conclusion of a period of study in the three partner institutions. Such a guarantee must be provided through letters of commitments that are attached to the proposal by the appropriate governing persons or bodies from the participating degree-awarding institutions. If required, formal legal agreements may be submitted in the first year of the grant but prior to the first study abroad. The nature and form of the transatlantic degree must be provided in the application. Applying consortia must prove that the participating countries concerned recognize the degrees delivered. For EU applicants the appropriate arrangements must exist at national level if this is a legal requirement for degree award in the countries concerned. Appropriate national or state authorities may be consulted on the formal recognition of the proposed degrees.
Language requirements: Transatlantic degrees must provide EU and U.S. students with the possibility of using at least two European languages spoken in the Member States where the consortia institutions are located.
Selected transatlantic degree consortia projects will receive funding to support the transatlantic mobility of students at the participating institutions. The following aspects of the mobility component of the degrees should be carefully addressed in the project proposal.
The length of the study abroad must be carefully negotiated between the institutional partners in order to meet the requirements for graduation at the institutions issuing the degree. It should be of comparable length and not less than a full academic year. For U.S. students this includes a period of study at two EU institutions, one of which allows the student to earn 20 ECTS credits, with a total of at least 60 ECTS credits for a full academic year. In addition to studying at their home institution and at least one institution in the U.S., EU students must spend a period of study bearing at least 20 ECTS credits at least one additional EU institution in a different Member State. Mobility at an institution other than the home institution cannot be replaced by virtual mobility. Consortia institutions are free to arrange additional sources of funding for students, including the Erasmus/Socrates program, in relation to the period of study to be spent in the second EU institution. See section 9 of these guidelines for more information on mobility budgets.
If the transatlantic degree curriculum involves work placements or training experience, the application for support should describe the objectives and the intended learning outcomes in relation to the proposed double degree, and how the internships or work placements will be organized (how long they will last, how and by whom they will be monitored and assessed, and how they will conform to the applicable laws and regulations of the host country). Inclusion of the names and locations of the host organizations for such placements (industry, business, government, non-government organizations) will be positively assessed when processing the application.
The issue of tuition and fees must be carefully negotiated and finalized before the proposal is submitted, and the application for support must contain a detailed description of the agreed arrangements. We recommend that students studying abroad pay tuition and fees at their home institution and incur no additional payments to the host institution, though other mutually acceptable arrangements are possible.
The arrangements for the award of academic credits for the transatlantic degree program of study must also be agreed between the partners prior to the submission of the proposal and described in detail therein. The text must demonstrate clearly that all participating institutions have agreed on the credits to be awarded.
Student services: Institutions participating in transatlantic degrees will need to pay particular attention to the support and guidance students will need to help navigate these new degree programs. Students will need to be well prepared for foreign study and well received at host institutions. Applications should therefore contain a description of the pre-departure orientation activities at the home institution and arrival orientation activities at the receiving institution. Each partner institution should have an “international office” or equivalent to assist with housing, coaching, language courses, and activities for social integration, visas, health insurance, and special needs.
The application for support should set out the consortium’s plan regarding the number of students they intend to mobilize in the four-year period. Each applicant should decide on the number of students to be exchanged each year and the duration of the study period abroad. The methods used by the Commission and FIPSE for calculating the stipends for students and faculty are set out in section 9 (Funding) of these guidelines.
Faculty mobility
Transatlantic degree projects will be expected to arrange for transatlantic mobility of faculty to carry out teaching and research assignments related to the program, and may receive specific earmarked funding for this purpose. Mobility of administrators is welcome but will be funded from the flat rate in the EU budget and the administrative costs in the U.S. budget. For more budget details for this aspect of the program see section 9.
A key objective of Transatlantic Degrees is to enable students to gain international expertise and competence. Cultural and linguistic preparation and training will therefore be a vital part of each project proposal.
Transatlantic Degrees must provide students with the possibility of using at least two European languages spoken in the Member States where the consortia institutions are located. However, the use of at least two languages does not imply the use of two different languages of instruction. Also, there is no obligation that the institutions use the national language as the language of instruction.
Projects where English is the language of instruction at the host university but not the language generally spoken in the host country, must provide for students to participate in a program of intensive study of the host country language. Proposals failing to include detailed plans for this language and culture training will not be competitive in the assessment process.
For U.S. students the basic approach to language learning may be defined as “one plus one.” That means that as a result of obtaining a second degree in Europe, the student must gain sufficient knowledge and skill in one of the two EU languages to use that language in a professional capacity. The second language may be more of an introductory nature and based on a lower proficiency. The method of assessing students’ competence in the host country language must be included in the evaluation plan proposed by the project and will be taken into account in selecting the projects to be supported.
As indicated above, applicants should describe what institutional and other resources will be used to prepare students to study abroad within the framework of the program. The language resources at their institutions or elsewhere that will be used for EU and U.S. students should be described, as should the methods to be employed by sending institutions for assessing whether students are ready for instruction in English or the designated European languages.
Evaluation
Consortia should include in their proposals a detailed evaluation plan that states the goals and anticipated outcomes of the project and indicates what qualitative and quantitative indicators will be used to measure the success of your project.
For U.S. applicants: US applicants must follow the instructions for budgeting funds in the budget to support project evaluation throughout the life of the project. Competitive proposals should include detailed evaluation plans plus information about who will conduct the evaluation. U.S. applicants must use an independent evaluator and submit an evaluation progress report as part of their annual performance report as well as a final evaluation report as part of their final performance report.
Dissemination
Strategies for sustainability and dissemination of products, outcomes, and results from the project to a wider public should be incorporated in every proposal.
5.3.2. Policy-oriented measures.
Atlantis may provide financial support to multilateral projects involving institutions or organizations active in the field of higher education and vocational training with a view to enhancing collaboration between the European Community and the United States of America. Policy-oriented measures may include studies, seminars, working groups, benchmarking exercises that address comparative higher education and vocational training issues, including recognition of qualifications and issues of accreditation. The projects may also include comparative studies and analyses, language and content integration, dissemination of projects, software and Web development, e-learning and open education, and infrastructure and resources development.
Competitive proposals for policy and analysis studies are those providing evidence of maximum impact for the future of transatlantic cooperation in education and training. Policy studies grants do not include student mobility but may include faculty and staff exchanges.
Competitive proposals for policy studies must include a project design, an evaluation, and
a plan for dissemination.
Proposals should describe in detail the nature and purpose of the proposed policy studies project. Explain how this will enhance understanding about the proposed issue and how each U.S. and EU institution and organization contributes to the project. This should include a description of the collaborative activities to be carried out, the personnel who will execute these activities and the intended results. Explain how this policy project will increase knowledge within a particular discipline or a group of disciplines. Describe what the consortium expects to accomplish on a two-year schedule. What skills and resources will each partner contribute to the project? How will the requested resources increase knowledge about issues important to the United States and the European Union?
Evaluation
Consortia partners should define the project goals and outline an evaluation plan based on quantitative and qualitative evidence. The evaluation should include both the process of the work and the result of that work. The goal should be to evaluate the entire project. If you engage evaluators in the U.S. and Europe, it is expected that they will work in cooperation. See the budget instructions for more information.
U.S. applicants must follow the instructions for budgeting funds in the budget to support project evaluation throughout the life of the project. Competitive proposals should include detailed evaluation plans plus information about who will conduct the evaluation. U.S. applicants must submit an evaluation progress report as part of the annual performance report as well as a final evaluation report as part of the final performance report.
Dissemination
Strategies for sustainability and dissemination of products, outcomes and results from the project to a wider public should be incorporated in every proposal.
Eligible proposals (for EU applicants)
The selection of Atlantis grants will be a competitive process based on the assessment of the quality of the proposals against the background of the description of the Actions under section 5.3.
8.1. Transatlantic Degree consortia projects
The European Commission and FIPSE will be assisted in their joint selection of projects for funding by panels of independent experts. The quality of the proposals meeting the eligibility and selection criteria will be judged on the basis of the award criteria set out below, which will be the main basis on which the selection decision is taken.
However, when drawing up the final list of projects to be funded, attention will be paid to ensuring the participation of institutions from as many EU Member States as possible and as broad a diversity of U.S. institutions. The final list of selected projects will be such that any EU Member State is not represented with its institutions in the role of coordinator in more than one transatlantic degree consortia project, provided there are other proposals of a sufficient quality where that country is not represented.
The following quality criteria will be applied to determine the overall quality score of each eligible proposal:
The significance of the proposed project, (representing 20% of the total score) as determined by –
the utility of the products (such as information, materials, processes, or techniques) that will result from the proposed project, including the potential for their being used in a variety of other settings; and
the importance or magnitude of the results or outcomes likely to be attained by the proposed project, especially improvements in teaching and student achievement.
In particular proposals will be assessed with regard to:
What are the objectives of the transatlantic degree and what is its contribution to educational excellence and innovation?
What is the significance of the project’s outcomes for improvements in teaching and student achievement?
What is the distinctive transatlantic value for the proposed discipline and profession?
The quality of the proposed project design, (representing 80% of the total score) as determined by –
the extent to which the goals, objectives, and outcomes to be achieved by the proposed project are clearly specified and measurable; and
the extent to which the design of the proposed project is appropriate to, and will successfully address, the needs of the target population or other identified needs.
In particular proposals will be assessed with regard to:
How does the quality and added value of the proposed transatlantic degree compare with courses and programs that may already exist in the same field at national and international levels?
How well integrated is the transatlantic degree among the consortia institutions?
What is the level of commitment for the delivery of the degree as evidenced by the letters from the institutions?
What is the evidence that the proposed degrees granted by the institutions in the EU and the U.S. will be recognized and accredited my Member States and relevant U.S. agencies?
What is the soundness and clarity of the arrangement for academic credits, including, if applicable, the extent to which ECTS mechanisms such as the grading scale and other mechanisms for study periods compatible with ECTS will be used?
If the Diploma Supplement is used, what is the quality of the plan to improve international transparency in order to facilitate academic and professional recognition of qualifications and accreditation?
How well does the proposal describe the cooperation mechanisms and administrative structure of the transatlantic consortium for institutionalization, meetings, defined roles for partners, and communications?
How well does the proposal describe the consortium structure for student and faculty mobility between hosting institutions?
What is the quality of the language plan, particularly, the use of training facilities, mentors and tutors, and local language resources?
How well does the proposal describe the resources available for hosting foreign students and faculty, particularly, the availability of an office and persons dedicated to linguistic assistance, housing, coaching, visas and insurance, and activities for social integration?
What is the quality of the evaluation plan, including formative and summative evaluations, feedback mechanisms, and assessments by independent and external entities?
Policy-oriented Measures
The European Commission and FIPSE may select projects on a bilateral basis for international policy studies. Such projects will be selected for support with the assistance of independent experts. While overall attention will be paid to supporting a diverse range of institutions, the proposals will be judged on the basis of two criteria.
The significance of the proposed project, (representing 20% of the total score) as determined by –
the extent to which the proposed project involves the development or demonstration of promising new ideas or strategies; and
the utility of the products (such as information, materials, processes, or techniques) that will result from the proposed project, including the potential for their being used in a variety of other settings; and
the importance or magnitude of the results or outcomes likely to be attained by the proposed project, especially improvements in teaching and student achievement.
The quality of the project design, (representing 80% of the total score) as determined by-
the extent to which the goals, objectives, and outcomes to be achieved by the proposed project are clearly specified and measurable; and
the extent to which the design of the proposed project is appropriate to, and will successfully address, the needs of the target population or other identified needs.
The European Commission will provide funding for the direct use of the EU partners, and the U.S. Department of Education (FIPSE) will provide funding for the direct use of the United States partner(s). It is anticipated that approximately five to seven degree implementation projects and a small number of policy-oriented measures projects will be funded in 2007.
Transatlantic degree consortia may apply for three types of funding: i) flat rates/fixed amounts for administering the project, ii) transatlantic mobility grants to EU and U.S. students and iii) transatlantic mobility grants to EU and U.S. faculty.
EU applicants
The overall amount of funding on the EU side for a four-year consortia project cannot exceed a maximum of 696,000 EUR.
The maximum amounts of funding EU consortia institutions can apply for in relation to the three categories mentioned above for a four-year project are fixed as follows:
Flat rates for EU consortia institutions: An annual flat-rate amount of EUR 7,500 per each EU institution sending and/or hosting students will be granted for a four-year period to each selected transatlantic degree consortium. The annual amount will not exceed EUR 15,000.
Transatlantic mobility grants to EU students: Transatlantic mobility grants are set at 12,000 EUR per academic year. For calculation purposes an academic year is considered to be 10 months. Two academic years would normally be 20 months. Student mobility grants for periods between 10 and 20 months will be calculated on a pro-rata basis. Any period of more than 14 calendar days and 10 study days will be considered a month. The amount of the total grant per EU student therefore ranges between EUR 12,000 and 24,000 EUR depending on the actual duration of transatlantic mobility. Students not having succeeded in completing the course within its usual duration will not receive an additional grant for “catching-up”. Scholarships are intended for full-time studies. The maximum amount for a four-year project will not exceed 576,000 EUR.
Transatlantic degree consortia are free to charge tuition and fees to students as they wish according to their national legislation and according to the agreement reached within each consortium. However, all students participating in a joint or dual degree must be treated in the same way regardless of whether or not they receive a stipend or grant. In other words, students receiving a grant must not be charged more than students without a scholarship.
Transatlantic degree consortia must predetermine how grants will be allocated within the
consortia, taking into account the mobility requirements of the double or joint degree as well as an appropriate balance in the distribution of students. However, consortia will have some flexibility for adjustments.
Consortia should plan to mobilize at least six (6) students from each side of the Atlantic for each year of the four-year project duration. Funding will be provided on this basis.
Transatlantic mobility grants to EU faculty: Transatlantic mobility grants are calculated at 1,000 EUR per week plus a fixed amount of 1,000 EUR for travel per scholar in relation to scholarly work at the partner U.S. institutions with a minimum of one week and a maximum of eight weeks. The amount of the grant per EU scholar therefore ranges between 2,000 EUR and 9,000 EUR depending on the actual duration of transatlantic mobility. Within the maximum overall amount of 60,000 EUR, any number of faculty members may participate in mobility provided that the grant allocation and the minimum and maximum duration requirements are respected. The maximum amount for a four-year project will not exceed EUR 60,000.
U.S. Applicants
The range of awards for a four-year degree project based on six students and depending on the length of the study abroad is $408,000 ($102,000 per year) to $696,000 ($174,000 per year). Policy-oriented measures are funded for $50,000 ($25,000 per year).
The fixed amount for administering the project is $15,000 for each of four years or $60,000 total. That administrative budget amount covers salaries and benefits, travel for the project director, evaluation costs, attendance at the annual meeting, and additional consortia meetings. Indirect costs may be applied to this part of the budget. More details are provided in the U.S. budget instructions.
The budget for scholar/faculty mobility stipends in a degree program grant is $15,000 per year or $60,000 total. Teachers, trainers, administrators, and other relevant specialists are encouraged to participate in structured exchanges. Such exchanges for teaching or research assignments must be done within the consortium and be directly related to the project’s focus. Faculty travel stipends are calculated at $1,000 per week plus $1,000 for travel expenses. Faculty travel stipends may support expenses for travel from one to eight weeks. The amount of the grant or stipend per U.S. scholar therefore ranges between $ 2,000 and $ 9,000 depending on the actual duration of transatlantic mobility. Faculty stipends are restricted to travel expenses and may not be used for salaries. See the U.S. budget instructions for additional information.
Transatlantic mobility stipends for U.S. students are based an exchange of at least six students per year. Individual student stipends are calculated at $12,000 for degree programs that require one full academic year abroad (10 months X $1,200/month). For each additional month the stipend is $1,200. The maximum student stipend for a study abroad period of two full academic years is $24,000. Your proposal must clearly indicate how many months are required to earn the European degree. U.S. student mobility stipends are restricted to overseas expenses and may not be used for other budget lines. A proposed budget must be based on a clearly articulated plan of study that defines the extent of the study abroad in terms of required academic credit and the amount of time (in months) needed to earn those credits.
The annual conference
An important part of Atlantis will be the annual conference for running projects. All faculty and staff participants are expected to attend the annual meeting for the first three years of the project. The participation of all U.S. and EU partners at these conferences is essential because it provides the only opportunity for your consortium and both funding agencies to meet together. We recommend that you also arrange for the participation of some selected students to this event. This conference is intended to serve as a medium where EU and U.S. project participants can meet together to share ideas on what works. It is also intended as a forum for discussion to help the EU and U.S. administrations make important decisions on how best to coordinate the program. Project partners are also given ample time during the annual meeting to work as a group by themselves as well as with their program officers. Consortia should make provisions for participation in these meetings with at least one partner from each participating institution. It is also expected that the independent evaluator will be at one of meetings. Participation in this conference may be covered from either the flat rate/administrative costs or grants for faculty mobility. No other specific funding will be provided. The Atlantis meeting is held in the fall or winter and alternates between Europe and the United States.
In the US, policy-oriented measures projects will be funded for two years for a maximum total of $50,000 (or $25,000 for each year). Budgets may be submitted that include all line items except for student stipends. See the U.S. budget instructions for additional information.
The EU side of the consortia implementing policy oriented measures may apply for a funding of up to 75% of the project cost incurred by the EU side up to a maximum of 50,000 EUR, for projects with a maximum duration of two years.
For EU applicants a grant agreement for a transatlantic degree project with a maximum duration of four (4) years will be signed between the Commission and the coordinator of the project. For Policy-oriented measures the grant agreement would normally be two (2) years. For U.S. applicants the grant agreement is with the institutional applicant and the same durations apply.
The EU-U.S. Atlantis Program is administered by the European Commission’s Directorate-General for Education and Culture (DG EAC) and the U.S. Department of Education’s Fund for the Improvement of Postsecondary Education (FIPSE). European partners should read the guidelines and forms published by DG EAC in the official languages of the European Union. Applicants from the European Union and the United States must submit a common proposal narrative with separate applications forms to DG EAC and to FIPSE.
The closing date for receiving proposals is February 16, 2007. Proposal applications not received by both agencies in time for this submission date will not be eligible for funding. Eligible proposals will be reviewed in August and awards will be made by FIPSE and by DG EAC in May or June 2007.
Submission of the grant application in the United States.
The U.S. Department of Education and other U.S. federal agencies and departments have a single point of information and submission for all grant programs. If you are applying to FIPSE for the EU-U.S. Atlantis Program, you will find information and instructions in the application packet at www.grants.gov. The package is available as soon as the Federal Register Notice is published. It is important to note that U.S. institutions must register for this site in order to apply for federal grants. If your institution has not already done so, you should register several weeks in advance of the submission date in order to apply in time for this federal grant program. If you wish to request an exemption from this electronic submission, note the conditions listed on the website. You may also register for email notification for federal grant programs.
For U.S. applicants seeking further information, please contact:
Frank Frankfort, Ph.D.
Coordinator,
EU-U.S. Atlantis Program
U.S. Department of Education
Fund
for the Improvement of Postsecondary Education (FIPSE)
1990 K
Street, NW, 6th Floor
Washington, D.C. 20006-8544
Tel:
202-502-7513
Fax:
202-502-7877
frank.frankfort@ed.gov
The call for proposals is published on the following Internet addresses:
http://europa.eu.int/comm/education/programmes/eu-usa/call_en.html
http://europa.eu.int/comm/education/programmes/calls/callg_en.html
Applications on behalf of the EU lead institution must be submitted on the correct form, duly completed, signed all EU and US consortia and dated. Applications should be sent by electronic mail to: eac-3Ccooperation@cec.eu.int AND by registered mail postmarked no later than February 16, 2007 in one original and three (3) certified copies of the application forms that include the common proposal narrative. Copies should be stapled and not bound in any way. Proposals sent by FAX will not be accepted.
The proposal submitted to the European Commission may be in any of the official languages of the European Community. Applications and supporting documents should be sent by registered mail postmarked to:
European Commission
Directorate General for Education and Culture
Attention of Mr. Augusto Gonzalez, Head of Unit
Unit EAC/B6 Tempus – Erasmus Mundus
B-1049 Brussels, Belgium
Reminder: Late delivery will lead to the application being excluded from the selection procedure
The joint selection of admissible proposals is planned to be completed in May 2007. The grant award procedure for successful applicants is expected for completion by the end of June 2007. All applicants will be informed in due course in writing of whether or not their proposal has been accepted.
The list of accepted applications with details of beneficiary, project description, amount and percentage of subsidy will also be published on DG EAC web site after the completion of the award procedure.
For EU applicants seeking further information, please contact:
Mr. Diego Sammaritano
European Commission
Directorate General for Education and Culture
Unit EAC B6, Office B7 6/06
B 1049 Brussels
Tel: (+32 2) 299 0023, Fax: (+32 2) 295 57 19
Email: eac-3C-cooperation@cec.eu.int
DG EAC and FIPSE carefully monitor the progress of projects towards their goals through communication with their respective lead and partner institutions and through communication among themselves. Although the timing may vary somewhat, both DG EAC and FIPSE require annual performance reports to be submitted to the respective government agency on the project goals, curricular development, student mobility, project expenditures, and a plan for upcoming activities. Both DG EAC and FIPSE require a final report at the conclusion of the project. FIPSE has a website for filing U.S. project descriptions, annual performance reports, final reports, and requests for administrative changes. FIPSE and DG EAC will send instructions for submitting performance reports to the respective lead institutions or organizations. FIPSE annual reports are due July 15 and final reports are due 90 days after the grant ends.
If funded, the applicants will be required to report data on student persistence and graduation/completion rates. In the U.S. this is explained in the application package under the Government Performance and Results Act (GPRA).
EU and U.S. applications packages for Atlantis consist of three components: narrative, forms, and annexes/attachments. It is important to remember that the project narrative must be identical for both submissions. There are differences only in the EU and U.S. forms and required annexes or attachments.
The forms for U.S. applicants and the instructions for filling them out are in www.grants.gov. The forms for EU applicants and the instructions for filling them out are in http://europa.eu.int/comm/education/programmes/eu-usa/call_en.html
http://europa.eu.int/comm/education/programmes/calls/callg_en.html
EU and U.S applicants must submit the identical project narrative in their respective application packages. The requirements for the project narrative that is submitted by EU and U.S. applicants are the same and are listed below. Project narratives for Atlantis grants may not exceed twenty (20) pages (excluding annexes and attachments) and must address the following points.
For a transatlantic degree consortia project:
1. The objectives of the transatlantic degree and its potential contribution to educational excellence and innovation.
2. The project’s outcomes for improving teaching and student achievement.
3. The added value for the proposed discipline and profession and the proposed transatlantic degree compared with courses and programs that may already exist in the same field at national and international levels.
4. The joint study program and how it is integrated among the consortia institutions.
5. The commitment and the formal administrative arrangements for the delivery of the degree as evidenced by letters from the highest administrative and academic levels at the partner institutions.
6. The guarantee that the proposed joint or dual degrees awarded by the institutions in the EU and the U.S. will be recognized and accredited by Member States and relevant U.S. agencies.
7. The arrangement for academic credits, including, if applicable, the extent to which ECTS mechanisms such as the grading scale and other mechanisms for study periods compatible with ECTS will be used.
8. The use of the Diploma Supplement (if applicable) and the plan to improve international transparency in order to facilitate academic and professional recognition of qualifications and accreditation.
9. The cooperative mechanisms and administrative structure for institutionalization, meetings, roles for partners, and communications.
10. The shared arrangements for student selection and admission to the transatlantic degree.
11. The arrangement for tuition and fees.
12. The consortium structure and mechanisms for student and faculty mobility between hosting institutions.
13. The language plan, particularly, the use of training facilities, mentors and tutors, and local language resources.
14. The resources available for hosting foreign students and faculty, particularly, the availability of an office and persons dedicated to linguistic assistance, housing, coaching, visas and insurance, and activities for social integration.
15. The evaluation plan, including formative and summative evaluations, feedback mechanisms, and assessments by independent entities.
16. The plans for promoting and disseminating the results of the project.
For a policy-oriented measures project:
1. The goals, objectives, and activities of the project, including the role of each of the partners in the project.
2. The development or demonstration of innovative ideas or strategies within the proposed discipline or group of disciplines.
3. The utility of the information, materials, processes, or techniques that will result from the proposed project.
4. The impact of the proposed project on improvements in teaching, research, and student achievement.
5. The evaluation and dissemination plan of the project.
Each EU-U.S. consortium must prepare a common proposal narrative submitted to FIPSE and to the Directorate-General for Education and Culture (DG EAC). The U.S. application package contains the elements listed below. The proposal should contain sufficient information and details to allow the evaluators to judge the merits of the project in relation to the criteria and objectives of the EU-U.S. Atlantis Program. You and your European partners should submit to FIPSE and DG EAC proposal narratives that are identical. The differences exist only in the EU and U.S. forms. U.S. applicants must download, complete, and submit the application package found on grants.gov.
Standard Form (SF) 424--Application for Federal Assistance. Please follow the attached instructions.
Supplemental Information (SF 424) required for Department of Education grants. Please follow the attached instructions.
Human subjects regulations. In accordance with Department of Education's policy on the protection of human subjects (CFR 97. 101) FIPSE grants are exempt from the regulations that govern the involvement of human subjects because the projects involve activities, including evaluation, that are defined as "(1) Research conducted in established or commonly accepted educational settings, involving normal educational practices, such as (i) research on regular and special education instructional strategies, or (ii) research on the effectiveness of or the comparison among instructional techniques, curricula, or classroom management methods. (2) Research involving the use of educational tests (cognitive, diagnostic, aptitude, achievement), survey procedures, interview procedures or observation of public behavior." Although FIPSE grants are exempt from federal regulations on human subjects, institutional applicants may involve federal regulations and protocols according to their institutional practices and requirements.
ED FIPSE Project Title. Complete each applicable item using the instructions below.
Program: Select EU-U.S. Program
Consortium Members -- U.S. Partner(s):
Enter the name of the applicant institution or organization after Lead
Enter the name of the second U.S. Partner if applicable or type n/a (You must type something in this space in order to submit a complete application.)
Enter the name of the third U.S. Partner if applicable or leave blank
Consortium Members -- Foreign (EU) Partners:
Enter the name of the EU applicant institution or organization after Lead
Enter the name of the second EU Partner
Enter the name of the third EU partner if applicable or leave blank
Project Title: (60 character limit) Enter the project title.
Abstract of Proposal: (1000 character limit) Enter the project abstract. Do not leave this space blank. The abstract must include the following information:
List of U.S. and EU partner institutions
Summary of program and project activities.
Number of U.S. and EU students proposed for study abroad (if applicable).
Length of study abroad and total time needed to award the degrees (if applicable).
Number of planned consortium meetings among partner institutions for the entire grant period (note: the annual meeting counts as one per year).
Select project format: Select “Four-year” for a degree implementation project or “Two-year” for Policy-oriented measures.
Federal Funds Requested: Enter the amount of federal funds requested from FIPSE for each year of the project. Calculate the budget from the instructions in Section 9 of the guidelines. The total for both budgets will be entered automatically.
ED FIPSE Budget Summary (U.S. Department of Education Budget Summary). Please follow the attached instructions to complete the ED FIPSE Budget Summary form.
Project Narrative Attachment Form. You will attach your project narrative to this form. The U.S. Department of Education can only accept attachments in the following formats, .doc, .rtf., or .pdf. Documents formatted in any other manner will not be accepted. Follow the instructions provided in the guidelines and in the Federal Register Notice. Page Limit: Twenty pages. All pages must be formatted with one (1) inch 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, reference, and captions, as well as all text in charts, tables, figures, and graphs. Use 12-point font. The 20-page limit applies to the project narrative and not the budget section, budget narrative, assurances and certifications, personnel descriptions, bibliography, or letters of commitment.
Budget Narrative Attachment Form. You may attach an optional budget narrative that explains any expenses in the project and how budget figures have been calculated. U.S. applicants must submit budget figures in whole U.S. dollars.
Other Attachments Form. You must attach the following documents to this form: one-page resumes or biographies for all relevant U.S. and EU personnel; a timetable with benchmarks for each year of the project; and letters of commitment from each partner institution. Please create electronic documents in .doc, .pdf. or .rtf formats, and attach each document to the Other Attachments Form. The following information should be attached here:
Personnel: State the qualifications of the project director and other U.S. and EU personnel related to the project. Submit only short personnel descriptions, highlighting relevant skills and experience. Do not submit resumes.
Timetable: Please include a chart listing goals and planned outcomes. This chart should correspond to your evaluation plan.
Letters of Commitment: Attach letters of commitment from the senior executive or academic officer of each partner in the consortium, indicating the commitment of the institution to implement an international degree program or a policy project. We recommend that you submit signed letters in pdf.
Public reporting burden for this collection of information is estimated to average 60 minutes per response, including time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to the Office of Management and Budget, Paperwork Reduction Project (0348-0043), Washington, DC 20503.
This is a standard form (including the continuation sheet) required for use as a cover sheet for submission of preapplications and applications and related information under discretionary programs. Some of the items are required and some are optional at the discretion of the applicant or the Federal agency (agency). Required items are identified with an asterisk on the form and are specified in the instructions below. In addition to the instructions provided below, applicants must consult agency instructions to determine specific requirements.
Item |
Entry: |
Item |
Entry: |
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1. |
Type of Submission: (Required): Select one type of submission in accordance with agency instructions.
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10. |
Name Of Federal Agency: (Required) Enter the name of the Federal agency from which assistance is being requested with this application. |
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11. |
Catalog Of Federal Domestic Assistance Number/Title: Enter the Catalog of Federal Domestic Assistance number and title of the program under which assistance is requested, as found in the program announcement, if applicable.
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2. |
Type of Application: (Required) Select one type of application in accordance with agency instructions.
A. Increase Award B. Decrease Award C. Increase Duration D. Decrease Duration E. Other (specify) |
12. |
Funding Opportunity Number/Title: (Required) Enter the Funding Opportunity Number and title of the opportunity under which assistance is requested, as found in the program announcement. |
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13. |
Competition Identification Number/Title: Enter the Competition Identification Number and title of the competition under which assistance is requested, if applicable. |
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14. |
Areas Affected By Project: List the areas or entities using the categories (e.g., cities, counties, states, etc.) specified in agency instructions. Use the continuation sheet to enter additional areas, if needed. |
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3. |
Date Received: Leave this field blank. This date will be assigned by the Federal agency.
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15. |
Descriptive Title of Applicant’s Project: (Required) Enter a brief descriptive title of the project. If appropriate, attach a map showing project location (e.g., construction or real property projects). For preapplications, attach a summary description of the project. |
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4. |
Applicant Identifier: Enter the entity identifier assigned by the Federal agency, if any, or applicant’s control number, if applicable. |
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5a |
Federal Entity Identifier: Enter the number assigned to your organization by the Federal Agency, if any. |
16. |
Congressional Districts Of: (Required) 16a. Enter the applicant’s Congressional District, and 16b. Enter all District(s) affected by the program or project. Enter in the format: 2 characters State Abbreviation – 3 characters District Number, e.g., CA-005 for California 5thth district, CA-012 for California 12th district, NC-103 for North Carolina’s 103rd district.
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5b. |
Federal Award Identifier: For new applications leave blank. For a continuation or revision to an existing award, enter the previously assigned Federal award identifier number. If a changed/corrected application, enter the Federal Identifier in accordance with agency instructions. |
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6. |
Date Received by State: Leave this field blank. This date will be assigned by the State, if applicable. |
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7. |
State Application Identifier: Leave this field blank. This identifier will be assigned by the State, if applicable. |
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8. |
Applicant Information: Enter the following in accordance with agency instructions:
a. Legal Name: (Required): Enter the legal name of applicant that will undertake the assistance activity. This is the name that the organization has registered with the Central Contractor Registry. Information on registering with CCR may be obtained by visiting the Grants.gov website. |
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17. |
Proposed Project Start and End Dates: (Required) Enter the proposed start date and end date of the project. |
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b. Employer/Taxpayer Number (EIN/TIN): (Required): Enter the Employer or Taxpayer Identification Number (EIN or TIN) as assigned by the Internal Revenue Service. If your organization is not in the US, enter 44-4444444. |
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18. |
Estimated Funding: (Required) Enter the amount requested or to be contributed during the first funding/budget period by each contributor. Value of in-kind contributions should be included on appropriate lines, as applicable. If the action will result in a dollar change to an existing award, indicate only the amount of the change. For decreases, enclose the amounts in parentheses. |
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c. Organizational DUNS: (Required) Enter the organization’s DUNS or DUNS+4 number received from Dun and Bradstreet. Information on obtaining a DUNS number may be obtained by visiting the Grants.gov website. |
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d. Address: Enter the complete address as follows: Street address (Line 1 required), City (Required), County, State (Required, if country is US), Province, Country (Required), Zip/Postal Code (Required, if country is US). |
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19. |
Is Application Subject to Review by State Under Executive Order 12372 Process? Applicants should contact the State Single Point of Contact (SPOC) for Federal Executive Order 12372 to determine whether the application is subject to the State intergovernmental review process. Select the appropriate box. If “a.” is selected, enter the date the application was submitted to the State |
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e. Organizational Unit: Enter the name of the primary organizational unit (and department or division, if applicable) that will undertake the assistance activity, if applicable. |
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f. Name and contact information of person to be contacted on matters involving this application: Enter the name (First and last name required), organizational affiliation (if affiliated with an organization other than the applicant organization), telephone number (Required), fax number, and email address (Required) of the person to contact on matters related to this application. |
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20. |
Is the Applicant Delinquent on any Federal Debt? (Required) Select the appropriate box. This question applies to the applicant organization, not the person who signs as the authorized representative. Categories of debt include delinquent audit disallowances, loans and taxes.
If yes, include an explanation on the continuation sheet. |
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9. |
Type of Applicant: (Required) Select up to three applicant type(s) in accordance with agency instructions. |
21. |
Authorized Representative: (Required) To be signed and dated by the authorized representative of the applicant organization. Enter the name (First and last name required) title (Required), telephone number (Required), fax number, and email address (Required) of the person authorized to sign for the applicant. A copy of the governing body’s authorization for you to sign this application as the official representative must be on file in the applicant’s office. (Certain Federal agencies may require that this authorization be submitted as part of the application.)
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1. Project Director. Name, address, telephone and fax numbers, and e-mail address of the person to be contacted on matters involving this application.
2. Novice Applicant. Check “Yes” or “No” only if assistance is being requested under a program that gives special consideration to novice applicants. Otherwise, leave blank.
Check “Yes” if you meet the requirements for novice applicants specified in the regulations in 34 CFR 75.225 and included on the attached page entitled “Definitions for Department of Education Supplemental Information for SF 424.” By checking “Yes” the applicant certifies that it meets these novice applicant requirements. Check “No” if you do not meet the requirements for novice applicants.
3. Human Subjects Research. (See I. A. “Definitions” in attached page entitled “Definitions for Department of Education Supplemental Information For SF 424.”)
If Not Human Subjects Research. Check “No” if research activities involving human subjects are not planned at any time during the proposed project period. The remaining parts of Item 3 are then not applicable.
If Human Subjects Research. Check “Yes” if research activities involving human subjects are planned at any time during the proposed project period, either at the applicant organization or at any other performance site or collaborating institution. Check “Yes” even if the research is exempt from the regulations for the protection of human subjects. (See I. B. “Exemptions” in attached page entitled “Definitions for Department of Education Supplemental Information For SF 424.”)
3a. If Human Subjects Research is Exempt from the Human Subjects Regulations. Check “Yes” if all the research activities proposed are designated to be exempt from the regulations. Insert the exemption number(s) corresponding to one or more of the six exemption categories listed in I. B. “Exemptions.” In addition, follow the instructions in II. A. “Exempt Research Narrative” in the attached page entitled “Definitions for Department of Education Supplemental Information For SF 424.”
3a. If Human Subjects Research is Not Exempt from Human Subjects Regulations. Check “No” if some or all of the planned research activities are covered (not exempt). In
addition, follow the instructions in II. B. “Nonexempt Research Narrative” in the page entitled “Definitions for Department of Education Supplemental Information For SF 424
3a. Human Subjects Assurance Number. If the applicant has an approved Federal Wide (FWA) on file with the Office for Human Research Protections (OHRP), U.S. Department of Health and Human Services, that covers the specific activity, insert the number in the space provided. If the applicant does not have an approved assurance on file with OHRP, enter “None.” In this case, the applicant, by signature on the SF-424, is declaring that it will comply with 34 CFR 97 and proceed to obtain the human subjects assurance upon request by the designated ED official. If the application is recommended/selected for funding, the designated ED official will request that the applicant obtain the assurance within 30 days after the specific formal request.
Note about Institutional Review Board Approval. ED does not require certification of Institutional Review Board approval with the application. However, if an application that involves non-exempt human subjects research is recommended/selected for funding, the designated ED official will request that the applicant obtain and send the certification to ED within 30 days after the formal request.
(Attachment to Instructions for Supplemental Information for SF 424)
Definitions:
Novice Applicant (See 34 CFR 75.225). For discretionary grant programs under which the Secretary gives special consideration to novice applications, a novice applicant means any applicant for a grant from ED that—
Has never received a grant or subgrant under the program from which it seeks funding;
Has never been a member of a group application, submitted in accordance with 34 CFR 75.127-75.129, that received a grant under the program from which it seeks funding; and
Has not had an active discretionary grant from the Federal government in the five years before the deadline date for applications under the program. For the purposes of this requirement, a grant is active until the end of the grant’s project or funding period, including any extensions of those periods that extend the grantee’s authority to obligate funds.
In the case of a group application submitted in accordance with 34 CFR 75.127-75.129, a group includes only parties that meet the requirements listed above.
PROTECTION OF HUMAN SUBJECTS IN RESEARCH
I. Definitions and Exemptions
A. Definitions.
A research activity involves human subjects if the activity is research, as defined in the Department’s regulations, and the research activity will involve use of human subjects, as defined in the regulations.
—Research
The ED Regulations for the Protection of Human Subjects, Title 34, Code of Federal Regulations, Part 97, define research as “a systematic investigation, including research development, testing and evaluation, designed to develop or contribute to generalizable knowledge.” If an activity follows a deliberate plan whose purpose is to develop or contribute to generalizable knowledge it is research. Activities which meet this definition constitute research whether or not they are conducted or supported under a program that is considered research for other purposes. For example, some demonstration and service programs may include research activities.
—Human Subject
The regulations define human subject as “a living individual about whom an investigator (whether professional or student) conducting research obtains (1) data through intervention or interaction with the individual, or (2) identifiable private information.” (1) If an activity involves obtaining information about a living person by manipulating that person or that person’s environment, as might occur when a new instructional technique is tested, or by communicating or interacting with the individual, as occurs with surveys and interviews, the definition of human subject is met. (2) If an activity involves obtaining private information about a living person in such a way that the information can be linked to that individual (the identity of the subject is or may be readily determined by the investigator or associated with the information), the definition of human subject is met. [Private information includes information about behavior that occurs in a context in which an individual can reasonably expect that no observation or recording is taking place, and information which has been provided for specific purposes by an individual and which the individual can reasonably expect will not be made public (for example, a school health record).]
B. Exemptions.
Research activities in which the only involvement of human subjects will be in one or more of the following six categories of exemptions are not covered by the regulations:
(1) Research conducted in established or commonly accepted educational settings, involving normal educational practices, such as (a) research on regular and special education instructional strategies, or (b) research on the effectiveness of or the comparison among instructional techniques, curricula, or classroom management methods.
(2) Research involving the use of educational tests (cognitive, diagnostic, aptitude, achievement), survey procedures, interview procedures or observation of public behavior, unless: (a) information obtained is recorded in such a manner that human subjects can be identified, directly or through identifiers linked to the subjects; and (b) any disclosure of the human subjects’ responses outside the research could reasonably place the subjects at risk of criminal or civil liability or be damaging to the subjects’ financial standing, employability, or reputation. If the subjects are children, exemption 2 applies only to research involving educational tests and observations of public behavior when the investigator(s) do not participate in the activities being observed. Exemption 2 does not apply if children are surveyed or interviewed or if the research involves observation of public behavior and the investigator(s) participate in the activities being observed. [Children are defined as persons who have not attained the legal age for consent to treatments or procedures involved in the research, under the applicable law or jurisdiction in which the research will be conducted.]
(3) Research involving the use of educational tests (cognitive, diagnostic, aptitude, achievement), survey procedures, interview procedures or observation of public behavior that is not exempt under section (2) above, if the human subjects are elected or appointed public officials or candidates for public office; or federal statute(s) require(s) without exception that the confidentiality of the personally identifiable information will be maintained throughout the research and thereafter.
(4) Research involving the collection or study of existing data, documents, records, pathological specimens, or diagnostic specimens, if these sources are publicly available or if the information is recorded by the investigator in a manner that subjects cannot be identified, directly or through identifiers linked to the subjects.
(5) Research and demonstration projects which are conducted by or subject to the approval of department or agency heads, and which are designed to study, evaluate, or otherwise examine: (a) public benefit or service programs; (b) procedures for obtaining benefits or services under those programs; (c) possible changes in or alternatives to those programs or procedures; or (d) possible changes in methods or levels of payment for benefits or services under those programs.
(6) Taste and food quality evaluation and consumer acceptance studies, (a) if wholesome foods without additives are consumed or (b) if a food is consumed that contains a food ingredient at or below the level and for a use found to be safe, or agricultural chemical or environmental contaminant at or below the level found to be safe, by the Food and Drug Administration or approved by the Environmental Protection Agency or the Food Safety and Inspection Service of the U.S. Department of Agriculture.
II. Instructions for Exempt and Nonexempt Human Subjects Research Narratives
If the applicant marked “Yes” for Item 3 of Department of Education Supplemental Information for SF 424, the applicant must provide a human subjects “exempt research” or “nonexempt research” narrative. Insert the narrative(s) in the space provided. If you have multiple projects and need to provide more than one narrative, be sure to label each set of responses as to the project they address.
A. Exempt Research Narrative.
If you marked “Yes” for item 3 a. and designated exemption numbers(s), provide the “exempt research” narrative. The narrative must contain sufficient information about the involvement of human subjects in the proposed research to
allow a determination by ED that the designated exemption(s) are appropriate. The narrative must be succinct.
B. Nonexempt Research Narrative.
If you marked “No” for item 3 a. you must provide the “nonexempt research” narrative. The narrative must address the following seven points. Although no specific page limitation applies to this section of the application, be succinct.
(1) Human Subjects Involvement and Characteristics: Provide a detailed description of the proposed involvement of human subjects. Describe the characteristics of the subject population, including their anticipated number, age range, and health status. Identify the criteria for inclusion or exclusion of any subpopulation. Explain the rationale for the involvement of special classes of subjects, such as children, children with disabilities, adults with disabilities, persons with mental disabilities, pregnant women, prisoners, institutionalized individuals, or others who are likely to be vulnerable
(2) Sources of Materials: Identify the sources of research material obtained from individually identifiable living human subjects in the form of specimens, records, or data. Indicate whether the material or data will be obtained specifically for research purposes or whether use will be made of existing specimens, records, or data.
(3) Recruitment and Informed Consent: Describe plans for the recruitment of subjects and the consent procedures to be followed. Include the circumstances under which consent will be sought and obtained, who will seek it, the nature of the information to be provided to prospective subjects, and the method of documenting consent. State if the Institutional Review Board (IRB) has authorized a modification or waiver of the elements of consent or the requirement for documentation of consent.
(4) Potential Risks: Describe potential risks (physical, psychological, social, legal, or other) and assess their likelihood and seriousness. Where appropriate, describe alternative treatments and procedures that might be advantageous to the subjects.
(5) Protection Against Risk: Describe the procedures for protecting against or minimizing potential risks, including risks to confidentiality, and assess their likely effectiveness. Where appropriate, discuss provisions for ensuring necessary medical or professional intervention in the event of adverse effects to the subjects. Also, where appropriate, describe the provisions for monitoring the data collected to ensure the safety of the subjects.
(6) Importance of the Knowledge to be Gained: Discuss the importance of the knowledge gained or to be gained as a result of the proposed research. Discuss why the risks to subjects are reasonable in relation to the anticipated benefits to subjects and in relation to the importance of the knowledge that may reasonably be expected to result.
(7) Collaborating Site(s): If research involving human subjects will take place at collaborating site(s) or other performance site(s), name the sites and briefly describe their involvement or role in the research.
Copies of the Department of Education’s Regulations for the Protection of Human Subjects, 34 CFR Part 97 and other pertinent materials on the protection of human subjects in research are available from the Grants Policy and Oversight Staff, Office of the Chief Financial Officer, U.S. Department of Education, Washington, DC 20202-4250, telephone: (202) 245-6120, and on the U.S. Department of Education’s Protection of Human Subjects in Research Web Site: http://www.ed.gov/about/offices/list/OCFO/humansub.html
NOTE: The State Applicant Identifier on the SF 424 is for State Use only. Please complete it on the OMB Standard 424 in the upper right corner of the form (if applicable).
(U.S. Department of Education Budget Summary)
General Information. The budget for a four-year consortia degree project is divided into three general categories. First, the amount budgeted for student mobility depends on the number of students selected for the program and the length of their study abroad. You may chose at least six (6) each year for the U.S. The length of the study abroad is determined by the description of the degree program. Taken together this determines the amount of the student mobility budget spread out over four years. Second, travel stipends for U.S. faculty for the entire four years are $60,000. Third, all other administrative costs for four years (salaries, benefits, supplies, evaluation, and administrative travel) are also $60,000. Indirect costs are limited to items 1-10 below and included in the $120,000 budgeted for travel stipends and administration of the project. See section nine (9) of the guidelines for more information. You may attach a budget narrative for an explanation of your budget. No separate budget is required if there is a second U.S. partner. Cost sharing is not required for this grant competition and does have to be documented or reported. Institutional contributions are described in the project design.
1. Program: Select EU-U.S. Program.
2. Select One: Select Lead (applicant institution/fiscal agent).
3. Name of Institution/Organization: Enter the name of the applicant institution/organization.
4. Personnel (salaries & wages): Enter annual and total amounts. The evaluator (contractual line) is not included here.
5. Fringe Benefits (employee benefits): Enter annual and total amounts.
6. Travel: A total amount $60,000 (minus indirect costs) for faculty travel should be entered here. We recommend dividing this amount equally over the four years. Two-year projects should calculate less for travel. Travel funds include funds for the project director and faculty to attend the annual program meeting, attend other consortium meetings, and receive mobility stipends to teach and conduct research at EU partner institutions. See section five of the guidelines for details. Travel funds for administrators should be budgeted below under “Other.” Annual meetings of the Atlantis program alternate between Europe and the United States. Typically a consortium meets twice in each year of the grant—once at the annual program meeting in the fall and once at a separate meeting for the individual consortium.
7. Equipment (purchase). FIPSE does not fund equipment purchases.
8. Supplies and materials: Enter annual and total amounts.
9. Contractual: Enter annual and total amounts for evaluation. A minimum of $10,000 should be entered. For four-year projects we recommend $4000 for the first year and $2000 for each of the following three years. For two-year projects we recommend up to $5000 for each year.
10. Other (equipment rental, printing, administrative travel, etc.): Enter annual and total amounts. Enter amount for administrative travel here.
11. Total Direct Cost. Field is calculated automatically. The total may not exceed $120,000 for a four-year grant and $50,000 for a two-year grant.
12. Indirect Costs: Indirect costs are limited to items totaled under line 11 (Total Direct Cost). The U.S. Department of Education uses a training rate of 8 percent for grants in the EU-U.S. Atlantis Program. The 8 percent training rate also applies to any additional U.S. partners.
13. Mobility Stipends: Read section nine (9) of the guidelines carefully to determine the budget for mobility stipends. The budget for mobility stipends is based on the number of students in the program and the length of the study abroad. U.S. students may use a portion of the mobility stipend for language instruction. Mobility stipends are considered “training stipends” and are restricted to student use only. Note: Consistent with EDGAR 75.562, c, and 75.564, training stipends are not subject to indirect cost.
14. Language Stipends: Leave blank.
15. Subtotal of Stipends (lines 13 + 14): Field is calculated automatically.
16. Total requested from FIPSE (lines 11 + 12+ 15) (These figures should appear on the Title Form): Field is calculated automatically.
17. Lead Partner Non-Federal Funds: Leave blank. The Atlantis program does not require matching or cost sharing. Applicants should describe in the narrative what institutional or organizational contributions form part of the project. No budget documentation or financial reporting is required.
18. Subcontractor(s) Partner Non-Federal Funds: Leave blank
19a. Total Requested from Canada: Leave blank.
19b. Total Requested from Mexico: Leave blank.
19c. Total Requested from Brazil: Leave blank.
19d. Total Requested from Europe: Leave blank.
Indirect Cost Information: If you are requesting reimbursement for indirect costs on line 12, (1): Indicate whether or not your institution/organization has an Indirect Cost Rate Agreement that was approved by the federal government. (2): If you checked “yes” in (1), indicate in (2) the beginning and ending dates covered by the Indirect Cost Rate Agreement. In addition, indicate whether Education or another federal agency (Other) issued the approved agreement. If you check “Other,” specify the name of the federal agency that issued the approved agreement. (3): If you are applying for a grant under a Restricted Rate Program (34 CFR 75.563 or 76.563), indicate whether you are using a restricted indirect cost rate that is included on your approved Indirect Cost Rate Agreement or whether you are using a restricted indirect cost rate that complies with 34 CFR 76.564(c)(2). Note: State or local government agencies may not use the provision for a restricted indirect cost rate specified in 34 CFR 76.564(c)(2). Check only one response. Leave blank if not applicable.
Use this checklist for your U.S. application package: All items listed on this checklist are required.
Standard Form 424 Request for Federal Assistance
Department of Education Supplemental Information for Standard Form 424
ED FIPSE Project Title form
ED FIPSE Budget Summary form
Project Narrative Attachment Form:
Attach Project Description (in .doc, .rtf, or .pdf format)
Budget Narrative Attachment Form:
Attach optional Budget Narrative (in .doc, .rtf, or .pdf format)
Other Attachments Form:
Attach Personnel Information,
Timetable, and/or
Letters of Commitment (in .doc, .rtf, or .pdf format)
Assurances-Non-Construction Programs Standard From 424B
Grants.gov Lobbying form
ED GEPA 427 form
Survey Ensuring Equal Opportunity
| File Type | application/msword |
| File Title | EU-U |
| Author | Frank.frankfort |
| Last Modified By | joe.schubart |
| File Modified | 2006-09-15 |
| File Created | 2006-09-15 |