#### Instructions for Completing the Application 

#### and Forms

The McNair application consists of the following four parts:

Part I: Application for Federal Assistance (SF 424), and

> Department of Education Supplemental Information for SF 424

Part II: Department of Education Budget Information Non-Construction
Programs (ED 524)

Part III: Program Narrative \--

> *Project Narrative Attachment Form*
>
> *Other Attachments Form*

Part III-A McNair Program Profile

> [NOTE]{.underline}: In Grants.gov, applicants will find a list of
> *Mandatory Documents* which includes all of the required forms,
> assurances, the *Project Narrative* *Attachment Form* and the *Other
> Attachments Form.*
>
> The *Project Narrative Attachment Form* (found in the Grants.gov
> application package) is where applicants will attach their narrative
> responses to the selection criteria that will be used to evaluate
> applications submitted for this competition. **This section has a
> strict page limit of 50 pages. Please see the Notice, published in the
> [Federal]{.underline} [Register]{.underline}, for detailed information
> on page limits.**
>
> The *Other Attachments Form* (found in the Grants.gov application
> package) is where applicants will attach the Part III-A McNair Program
> Profile form. You must copy the McNair Program Profile form from page
> 73 of this booklet.

Part IV: Assurances and Certifications, and Survey Form \-- Applicants
must complete

the following forms included in the application package:

> ◊ Assurances for Non-Construction Programs (SF 424B)

◊ Grants.gov Lobbying Form (formerly Certification Regarding Lobbying ED
80-0013)

◊ Disclosure of Lobbying Activities (SF-LLL)

◊ ED GEPA 427 Form

::: Definition-Term
◊ Survey on Ensuring Equal Opportunity for Applicants
:::

On the following pages, you will find:

1\. [Instructions for the following Standard Forms:]{.underline}

**● APPLICATION FOR FEDERAL ASSISTANCE (SF 424)**

● DEPARTMENT OF EDUCATION SUPPLEMENTAL

INFORMATION FOR (SF 424)

**● DEPARTMENT OF EDUCATION BUDGET INFORMATION NON--- CONSTRUCTION
PROGRAMS (ED 524)**

**● DISCLOSURE OF LOBBYING ACTIVITIES (SF-LLL)**

2\. [Other Information and Guidance:]{.underline}

**● SUPPLEMENTAL INFORMATION AND INSTRUCTIONS FOR PREPARING THE
APPLICATION**

**● PROJECT NARRATIVE ATTACHMENT INSTRUCTIONS**

**● FIRST-YEAR BUDGET AND ADDITIONAL BUDGET INFORMATION**

**INSTRUCTIONS (ED 524)**

## INSTRUCTIONS FOR THE SF-424

> 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.
>
> PLEASE DO NOT RETURN YOUR COMPLETED FORM TO THE OFFICE OF MANAGEMENT
> AND BUDGET. SEND IT TO THE ADDRESS PROVIDED BY THE SPONSORING AGENCY.
>
> 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.

+---+----------------+----------------+---+-----------------------------+
| I | Entry:         |                | I | Entry:                      |
| t |                |                | t |                             |
| e |                |                | e |                             |
| m |                |                | m |                             |
+---+----------------+----------------+---+-----------------------------+
| 1 | **Type of      |                | 1 | **Name Of Federal Agency**: |
| \ | Submission:**  |                | 0 | (Required) Enter the name   |
| . | (Required):    |                | \ | of the Federal agency from  |
|   | Select one     |                | . | which assistance is being   |
|   | type of        |                |   | requested with this         |
|   | submission in  |                |   | application.                |
|   | accordance     |                |   |                             |
|   | with agency    |                |   |                             |
|   | instructions.  |                |   |                             |
|   |                |                |   |                             |
|   | -              |                |   |                             |
|   | Preapplication |                |   |                             |
|   |                |                |   |                             |
|   | -              |                |   |                             |
|   |    Application |                |   |                             |
|   |                |                |   |                             |
|   | -   Cha        |                |   |                             |
|   | nged/Corrected |                |   |                             |
|   |                |                |   |                             |
|   |    Application |                |   |                             |
|   |     -- If      |                |   |                             |
|   |     requested  |                |   |                             |
|   |     by the     |                |   |                             |
|   |     agency,    |                |   |                             |
|   |     check if   |                |   |                             |
|   |     this       |                |   |                             |
|   |     submission |                |   |                             |
|   |     is to      |                |   |                             |
|   |     change or  |                |   |                             |
|   |     correct a  |                |   |                             |
|   |     previously |                |   |                             |
|   |     submitted  |                |   |                             |
|   |                |                |   |                             |
|   |   application. |                |   |                             |
|   |     Unless     |                |   |                             |
|   |     requested  |                |   |                             |
|   |     by the     |                |   |                             |
|   |     agency,    |                |   |                             |
|   |     applicants |                |   |                             |
|   |     may not    |                |   |                             |
|   |     use this   |                |   |                             |
|   |     to submit  |                |   |                             |
|   |     changes    |                |   |                             |
|   |     after the  |                |   |                             |
|   |     closing    |                |   |                             |
|   |     date.      |                |   |                             |
+---+----------------+----------------+---+-----------------------------+
|   |                |                | 1 | **Catalog Of Federal        |
|   |                |                | 1 | Domestic Assistance         |
|   |                |                | \ | Number/Title:** Enter the   |
|   |                |                | . | Catalog of Federal Domestic |
|   |                |                |   | Assistance number and title |
|   |                |                |   | of the program under which  |
|   |                |                |   | assistance is requested, as |
|   |                |                |   | found in the program        |
|   |                |                |   | announcement, if            |
|   |                |                |   | applicable.                 |
+---+----------------+----------------+---+-----------------------------+
|   |                |                |   |                             |
+---+----------------+----------------+---+-----------------------------+
| 2 | Type of        |                | 1 | **Funding Opportunity       |
| \ | Application:   |                | 2 | Number/Title:** (Required)  |
| . | (Required)     |                | \ | Enter the Funding           |
|   | Select one     |                | . | Opportunity Number and      |
|   | type of        |                |   | title of the opportunity    |
|   | application in |                |   | under which assistance is   |
|   | accordance     |                |   | requested, as found in the  |
|   | with agency    |                |   | program announcement.       |
|   | instructions.  |                |   |                             |
|   |                |                |   |                             |
|   | -   New -- An  |                |   |                             |
|   |                |                |   |                             |
|   |    application |                |   |                             |
|   |     that is    |                |   |                             |
|   |     being      |                |   |                             |
|   |     submitted  |                |   |                             |
|   |     to an      |                |   |                             |
|   |     agency for |                |   |                             |
|   |     the first  |                |   |                             |
|   |     time.      |                |   |                             |
|   |                |                |   |                             |
|   | -              |                |   |                             |
|   | Continuation - |                |   |                             |
|   |     An         |                |   |                             |
|   |     extension  |                |   |                             |
|   |     for an     |                |   |                             |
|   |     additional |                |   |                             |
|   |                |                |   |                             |
|   | funding/budget |                |   |                             |
|   |     period for |                |   |                             |
|   |     a project  |                |   |                             |
|   |     with a     |                |   |                             |
|   |     projected  |                |   |                             |
|   |     completion |                |   |                             |
|   |     date. This |                |   |                             |
|   |     can        |                |   |                             |
|   |     include    |                |   |                             |
|   |     renewals.  |                |   |                             |
|   |                |                |   |                             |
|   | ```{=html}     |                |   |                             |
|   | <!-- -->       |                |   |                             |
|   | ```            |                |   |                             |
|   | -   Revision - |                |   |                             |
|   |     Any change |                |   |                             |
|   |     in the     |                |   |                             |
|   |     Federal    |                |   |                             |
|   |                |                |   |                             |
|   |   Government's |                |   |                             |
|   |     financial  |                |   |                             |
|   |     obligation |                |   |                             |
|   |     or         |                |   |                             |
|   |     contingent |                |   |                             |
|   |     liability  |                |   |                             |
|   |     from an    |                |   |                             |
|   |     existing   |                |   |                             |
|   |                |                |   |                             |
|   |    obligation. |                |   |                             |
|   |     If a       |                |   |                             |
|   |     revision,  |                |   |                             |
|   |     enter the  |                |   |                             |
|   |                |                |   |                             |
|   |    appropriate |                |   |                             |
|   |     letter(s). |                |   |                             |
|   |     More than  |                |   |                             |
|   |     one may be |                |   |                             |
|   |     selected.  |                |   |                             |
|   |     If         |                |   |                             |
|   |     \"Other\"  |                |   |                             |
|   |     is         |                |   |                             |
|   |     selected,  |                |   |                             |
|   |     please     |                |   |                             |
|   |     specify in |                |   |                             |
|   |     text box   |                |   |                             |
|   |     provided.  |                |   |                             |
|   |                |                |   |                             |
|   | > A. Increase  |                |   |                             |
|   | > Award B.     |                |   |                             |
|   | > Decrease     |                |   |                             |
|   | > Award        |                |   |                             |
|   |                |                |   |                             |
|   | C. Increase    |                |   |                             |
|   | Duration D.    |                |   |                             |
|   | Decrease       |                |   |                             |
|   | Duration       |                |   |                             |
|   |                |                |   |                             |
|   | E. Other       |                |   |                             |
|   | (specify)      |                |   |                             |
+---+----------------+----------------+---+-----------------------------+
|   |                |                | 1 | **Competition               |
|   |                |                | 3 | Identification              |
|   |                |                | \ | Number/Title:** Enter the   |
|   |                |                | . | Competition Identification  |
|   |                |                |   | Number and title of the     |
|   |                |                |   | competition under which     |
|   |                |                |   | assistance is requested, if |
|   |                |                |   | applicable.                 |
+---+----------------+----------------+---+-----------------------------+
|   |                |                | 1 | **Areas Affected By         |
|   |                |                | 4 | 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.                     |
+---+----------------+----------------+---+-----------------------------+
| 3 | **Date         |                | 1 | **Descriptive Title of      |
| \ | Received:**    |                | 5 | Applicant's Project:**      |
| . | Leave this     |                | \ | (Required) Enter a brief    |
|   | field blank.   |                | . | descriptive title of the    |
|   | This date will |                |   | project. If appropriate,    |
|   | be assigned by |                |   | attach a map showing        |
|   | the Federal    |                |   | project location (e.g.,     |
|   | agency.        |                |   | construction or real        |
|   |                |                |   | property projects). For     |
|   |                |                |   | preapplications, attach a   |
|   |                |                |   | summary description of the  |
|   |                |                |   | project.                    |
+---+----------------+----------------+---+-----------------------------+
| 4 | **Applicant    |                |   |                             |
| \ | Identifier**:  |                |   |                             |
| . | Enter the      |                |   |                             |
|   | entity         |                |   |                             |
|   | identifier     |                |   |                             |
|   | assigned by    |                |   |                             |
|   | the Federal    |                |   |                             |
|   | agency, if     |                |   |                             |
|   | any, or        |                |   |                             |
|   | applicant's    |                |   |                             |
|   | control        |                |   |                             |
|   | number, if     |                |   |                             |
|   | applicable.    |                |   |                             |
+---+----------------+----------------+---+-----------------------------+
| 5 | **Federal      |                | 1 | **Congressional Districts   |
| a | Entity         |                | 6 | Of**: (Required) 16a. Enter |
|   | Identifier**:  |                | \ | the applicant's             |
|   | Enter the      |                | . | Congressional District, and |
|   | number         |                |   | 16b. Enter all District(s)  |
|   | assigned to    |                |   | affected by the program or  |
|   | your           |                |   | project. Enter in the       |
|   | organization   |                |   | format: 2 characters State  |
|   | by the Federal |                |   | Abbreviation -- 3           |
|   | Agency, if     |                |   | characters District Number, |
|   | any.           |                |   | e.g., CA-005 for California |
|   |                |                |   | 5th^th^ district, CA-012    |
|   |                |                |   | for California 12^th^       |
|   |                |                |   | district, NC-103 for North  |
|   |                |                |   | Carolina's 103^rd^          |
|   |                |                |   | district.                   |
|   |                |                |   |                             |
|   |                |                |   | -   If all congressional    |
|   |                |                |   |     districts in a state    |
|   |                |                |   |     are affected, enter     |
|   |                |                |   |     "all" for the district  |
|   |                |                |   |     number, e.g., MD-all    |
|   |                |                |   |     for all congressional   |
|   |                |                |   |     districts in Maryland.  |
|   |                |                |   |                             |
|   |                |                |   | -   If nationwide, i.e. all |
|   |                |                |   |     districts within all    |
|   |                |                |   |     states are affected,    |
|   |                |                |   |     enter US-all.           |
|   |                |                |   |                             |
|   |                |                |   | -   If the program/project  |
|   |                |                |   |     is outside the US,      |
|   |                |                |   |     enter 00-000.           |
+---+----------------+----------------+---+-----------------------------+
| 5 | **Federal      |                |   |                             |
| b | 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   |                |   |                             |
|   | cha            |                |   |                             |
|   | nged/corrected |                |   |                             |
|   | application,   |                |   |                             |
|   | enter the      |                |   |                             |
|   | Federal        |                |   |                             |
|   | Identifier in  |                |   |                             |
|   | accordance     |                |   |                             |
|   | with agency    |                |   |                             |
|   | instructions.  |                |   |                             |
+---+----------------+----------------+---+-----------------------------+
| 6 | **Date         |                |   |                             |
| \ | Received by    |                |   |                             |
| . | State:** Leave |                |   |                             |
|   | this field     |                |   |                             |
|   | blank. This    |                |   |                             |
|   | date will be   |                |   |                             |
|   | assigned by    |                |   |                             |
|   | the State, if  |                |   |                             |
|   | applicable.    |                |   |                             |
+---+----------------+----------------+---+-----------------------------+
| 7 | **State        |                |   |                             |
| \ | Application    |                |   |                             |
| . | Identifier:**  |                |   |                             |
|   | Leave this     |                |   |                             |
|   | field blank.   |                |   |                             |
|   | This           |                |   |                             |
|   | identifier     |                |   |                             |
|   | will be        |                |   |                             |
|   | assigned by    |                |   |                             |
|   | the State, if  |                |   |                             |
|   | applicable.    |                |   |                             |
+---+----------------+----------------+---+-----------------------------+
| 8 | **Applicant    |                |   |                             |
| \ | Information**: |                |   |                             |
| . | Enter the      |                |   |                             |
|   | following in   |                |   |                             |
|   | accordance     |                |   |                             |
|   | with agency    |                |   |                             |
|   | instructions:  |                |   |                             |
|   |                |                |   |                             |
|   | **a. Legal     |                |   |                             |
|   | Name**:        |                |   |                             |
|   | (Required):    |                |   |                             |
|   | Enter the      |                |   |                             |
|   | legal name of  |                |   |                             |
|   | applicant that |                |   |                             |
|   | will undertake |                |   |                             |
|   | the assistance |                |   |                             |
|   | activity. This |                |   |                             |
|   | is the 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.       |                |   |                             |
+---+----------------+----------------+---+-----------------------------+
|   |                |                |   |                             |
+---+----------------+----------------+---+-----------------------------+
|   |                |                | 1 | **Proposed Project Start    |
|   |                |                | 7 | and End Dates**: (Required) |
|   |                |                | \ | Enter the proposed start    |
|   |                |                | . | date and end date of the    |
|   |                |                |   | project.                    |
+---+----------------+----------------+---+-----------------------------+
|   | **b.           |                |   |                             |
|   | Emp            |                |   |                             |
|   | loyer/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.    |                |   |                             |
+---+----------------+----------------+---+-----------------------------+
|   |                |                | 1 | **Estimated Funding:**      |
|   |                |                | 8 | (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.     |
+---+----------------+----------------+---+-----------------------------+
|   | **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.       |                |   |                             |
+---+----------------+----------------+---+-----------------------------+
|   | **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).           |                |   |                             |
+---+----------------+----------------+---+-----------------------------+
|   |                |                | 1 | **Is Application Subject to |
|   |                |                | 9 | 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      |
+---+----------------+----------------+---+-----------------------------+
|   | **e.           |                |   |                             |
|   | Organizational |                |   |                             |
|   | Unit:** Enter  |                |   |                             |
|   | the name of    |                |   |                             |
|   | the primary    |                |   |                             |
|   | organizational |                |   |                             |
|   | unit (and      |                |   |                             |
|   | department or  |                |   |                             |
|   | division, if   |                |   |                             |
|   | a              |                |   |                             |
|   | pplicable**)** |                |   |                             |
|   | that will      |                |   |                             |
|   | undertake the  |                |   |                             |
|   | assistance     |                |   |                             |
|   | activity, if   |                |   |                             |
|   | applicable.    |                |   |                             |
+---+----------------+----------------+---+-----------------------------+
|   |                |                |   |                             |
+---+----------------+----------------+---+-----------------------------+
|   |                |                |   |                             |
+---+----------------+----------------+---+-----------------------------+
|   | **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.   |                |   |                             |
+---+----------------+----------------+---+-----------------------------+
|   |                |                | 2 | **Is the Applicant          |
|   |                |                | 0 | 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.         |
+---+----------------+----------------+---+-----------------------------+
|   |                |                |   |                             |
+---+----------------+----------------+---+-----------------------------+
| 9 | Type of        |                | 2 | **Authorized                |
| \ | Applicant:     |                | 1 | Representative**:           |
| . | (Required)     |                | \ | (Required) To be signed and |
|   |                |                | . | dated by the authorized     |
|   | Select up to   |                |   | representative of the       |
|   | three          |                |   | applicant organization.     |
|   | applicant      |                |   | Enter the name (First and   |
|   | type(s) in     |                |   | last name required) title   |
|   | accordance     |                |   | (Required), telephone       |
|   | with agency    |                |   | number (Required), fax      |
|   | instructions.  |                |   | 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.)               |
+---+----------------+----------------+---+-----------------------------+
|   | A.  State      | L.  Nonprofit  |   |                             |
|   |     Government |     with 501C3 |   |                             |
|   |                |     IRS Status |   |                             |
|   | ```{=html}     |     (Other     |   |                             |
|   | <!-- -->       |     than       |   |                             |
|   | ```            |                |   |                             |
|   | A.  County     |    Institution |   |                             |
|   |     Government |     of Higher  |   |                             |
|   |                |     Education) |   |                             |
|   | B.  City or    |                |   |                             |
|   |     Township   | M.  Nonprofit  |   |                             |
|   |     Government |     without    |   |                             |
|   |                |     501C3 IRS  |   |                             |
|   | C.  Special    |     Status     |   |                             |
|   |     District   |     (Other     |   |                             |
|   |     Government |     than       |   |                             |
|   |                |                |   |                             |
|   | D.  Regional   |    Institution |   |                             |
|   |                |     of Higher  |   |                             |
|   |   Organization |     Education) |   |                             |
|   |                |                |   |                             |
|   | E.  U.S.       | N.  Private    |   |                             |
|   |     Territory  |                |   |                             |
|   |     or         |    Institution |   |                             |
|   |     Possession |     of Higher  |   |                             |
|   |                |     Education  |   |                             |
|   | F              |                |   |                             |
|   | .  Independent | O.  Individual |   |                             |
|   |     School     |                |   |                             |
|   |     District   | P.  For-Profit |   |                             |
|   |                |                |   |                             |
|   | G.             |   Organization |   |                             |
|   |   Public/State |     (Other     |   |                             |
|   |     Controlled |     than Small |   |                             |
|   |                |     Business)  |   |                             |
|   |    Institution |                |   |                             |
|   |     of Higher  | Q.  Small      |   |                             |
|   |     Education  |     Business   |   |                             |
|   |                |                |   |                             |
|   | H.             | R.  Hi         |   |                             |
|   |  Indian/Native | spanic-serving |   |                             |
|   |     American   |                |   |                             |
|   |     Tribal     |    Institution |   |                             |
|   |     Government |                |   |                             |
|   |     (Federally | S.             |   |                             |
|   |                |   Historically |   |                             |
|   |    Recognized) |     Black      |   |                             |
|   |                |     Colleges   |   |                             |
|   | I.             |     and        |   |                             |
|   |  Indian/Native |                |   |                             |
|   |     American   |   Universities |   |                             |
|   |     Tribal     |     (HBCUs)    |   |                             |
|   |     Government |                |   |                             |
|   |     (Other     | T.  Tribally   |   |                             |
|   |     than       |     Controlled |   |                             |
|   |     Federally  |     Colleges   |   |                             |
|   |                |     and        |   |                             |
|   |    Recognized) |                |   |                             |
|   |                |   Universities |   |                             |
|   | J.             |     (TCCUs)    |   |                             |
|   |  Indian/Native |                |   |                             |
|   |     American   | U.  Alaska     |   |                             |
|   |     Tribally   |     Native and |   |                             |
|   |     Designated |     Native     |   |                             |
|   |                |     Hawaiian   |   |                             |
|   |   Organization |     Serving    |   |                             |
|   |                |                |   |                             |
|   | K.             |   Institutions |   |                             |
|   |  Public/Indian |                |   |                             |
|   |     Housing    | V.             |   |                             |
|   |     Authority  |   Non-domestic |   |                             |
|   |                |     (non-US)   |   |                             |
|   |                |     Entity     |   |                             |
|   |                |                |   |                             |
|   |                | W.  Other      |   |                             |
|   |                |     (specify)  |   |                             |
+---+----------------+----------------+---+-----------------------------+
|   |                |                |   |                             |
+---+----------------+----------------+---+-----------------------------+
|   |                |                |   |                             |
+---+----------------+----------------+---+-----------------------------+
|   |                |                |   |                             |
+---+----------------+----------------+---+-----------------------------+

# INSTRUCTIONS FOR

**DEPARTMENT OF EDUCATION SUPPLEMENTAL INFORMATION FOR SF 424**

a.  **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.

## *Paperwork Burden Statement*. ***According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless such collection displays a valid OMB control number. The valid OMB control number for this information collection is 1890-0017. The time required to complete this information collection is estimated to average between 15 and 45 minutes per response, including the time to review instructions, search existing data resources, gather the data needed, and complete and review the information collection. If you have any comments concerning the accuracy of the estimate(s) or suggestions for improving this form, please write to: U.S. Department of Education, Washington, DC 20202-4700. If you have comments or concerns regarding the status of your individual submission of this form write directly to: Joyce I. Mays, Application Control Center, U.S. Department of Education, Potomac Center Plaza, 550 12^th^ Street, S.W. Room 7076, Washington, DC 20202-4260***. 

# DEFINITIONS FOR

# DEPARTMENT OF EDUCATION SUPPLEMENTAL INFORMATION FOR SF 424

# (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]{.underline}** 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).

**Instructions for ED 524**

[General Instructions]{.underline}

This form is used to apply to individual U.S. Department of Education
(ED) discretionary grant programs. Unless directed otherwise, provide
the same budget information for each year of the multi-year funding
request. Pay attention to applicable program specific instructions, if
attached. Please consult with your Business Office prior to submitting
this form.

[Section A - Budget Summary]{.underline}

[U.S. Department of Education Funds]{.underline}

All applicants must complete Section A and provide a breakdown by the
applicable budget categories shown in lines 1-11.

Lines 1-11, columns (a)-(e): For each project year for which funding is
requested, show the total amount requested for each applicable budget
category.

Lines 1-11, column (f): Show the multi-year total for each budget
category. If funding is requested for only one project year, leave this
column blank.

Line 12, columns (a)-(e): Show the total budget request for each project
year for which funding is requested.

Line 12, column (f): Show the total amount requested for all project
years. If funding is requested for only one year, leave this space
blank.

Indirect Cost Information:\
If you are requesting reimbursement for indirect costs on line 10, this
information is to be completed by your Business Office. (1): Indicate
whether or not your 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 ED 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 this item is not
applicable.

[Section B - Budget Summary]{.underline}

[Non-Federal Funds]{.underline}

If you are required to provide or volunteer to provide matching funds or
other non-federal resources to the project, these should be shown for
each applicable budget category on lines 1‑11 of Section B.

Lines 1-11, columns (a)-(e): For each project year, for which matching
funds or other contributions are provided, show the total contribution
for each applicable budget category.

Lines 1-11, column (f): Show the multi-year total for each budget
category. If non-federal contributions are provided for only one year,
leave this column blank.

Line 12, columns (a)-(e): Show the total matching or other contribution
for each project year.

Line 12, column (f): Show the total amount to be contributed for all
years of the multi-year project. If non-Federal contributions are
provided for only one year, leave

[Section C - Budget Narrative \[Attach separate sheet(s)\]]{.underline}

[Pay attention to applicable program specific instructions,\
if attached.]{.underline}

1\. Provide an itemized budget breakdown, and justification by project
year, for each budget category listed in Sections A and B. For grant
projects that will be divided into two or more separately budgeted major
activities or sub-projects, show for each budget category of a project
year the breakdown of the specific expenses attributable to each
sub-project or activity.

2\. If applicable to this program, provide the rate and base on which
fringe benefits are calculated.

3\. If you are requesting reimbursement for indirect costs on line 10,
this information is to be completed by your Business Office. Specify the
estimated amount of the

base to which the indirect cost rate is applied and the total indirect
expense. Depending on the grant program to which you are applying and/or
your approved Indirect Cost Rate Agreement, some direct cost budget
categories in your grant application budget may not be included in the
base and multiplied by your indirect cost rate. For example, you must
multiply the indirect cost rates of "Training grants\" (34 CFR 75.562)
and grants under programs with "Supplement not Supplant" requirements
(\"Restricted Rate\" programs) by a "modified total direct cost" (MTDC)
base (34 CFR 75.563 or 76.563). Please indicate which costs are included
and which costs are excluded from the base to which the indirect cost
rate is applied.

> When calculating indirect costs (line 10) for \"Training grants\" or
> grants under \"Restricted Rate\" programs, you must refer to the
> information and examples on ED's website at:
> [http://www.ed.gov/fund/grant/apply/appforms/appforms.html]{.underline}.
>
> You may also contact (202) 377-3838 for additional information
> regarding calculating indirect cost rates or general indirect cost
> rate information.

4\. Provide other explanations or comments you deem necessary.

Paperwork Burden Statement

According to the Paperwork Reduction Act of 1995, no persons are
required to respond to a collection of information unless such
collection displays a valid OMB control number. The valid OMB control
number for this information collection is **1890-0004**. The time
required to complete this information collection is estimated to vary
from 13 to 22 hours per response, with an average of 17.5 hours per
response, including the time to review instructions, search existing
data sources, gather the data needed, and complete and review the
information collection. If you have any comments concerning the accuracy
of the time estimate(s) or suggestions for improving this form, please
write to: U.S. Department of Education, Washington, DC 20202-4651. If
you have comments or concerns regarding the status of your individual
submission of this form, write directly to (insert program office), U.S.
Department of Education, 400 Maryland Avenue, S.W., Washington, DC
20202.

**INSTRUCTIONS FOR COMPLETION OF SF-LLL, DISCLOSURE OF LOBBYING
ACTIVITIES**

This disclosure form shall be completed by the reporting entity, whether
subawardee or prime Federal recipient, at the initiation or receipt of a
covered Federal action, or a material change to a previous filing,
pursuant to title 31 U.S.C. section 1352. The filing of a form is
required for each payment or agreement to make payment to any lobbying
entity for influencing or attempting to influence an officer or employee
of any agency, a Member of Congress, an officer or employee of Congress,
or an employee of a Member of Congress in connection with a covered
Federal action. Complete all items that apply for both the initial
filing and material change report. Refer to the implementing guidance
published by the Office of Management and Budget for additional
information.

1\. Identify the type of covered Federal action for which lobbying
activity is and/or has been secured to influence the outcome of a
covered Federal action.

2\. Identify the status of the covered Federal action.

3\. Identify the appropriate classification of this report. If this is a
followup report caused by a material change to the information
previously reported, enter the year and quarter in which the change
occurred. Enter the date of the last previously submitted report by this
reporting entity for this covered Federal action.

4\. Enter the full name, address, city, State and zip code of the
reporting entity. Include Congressional District, if known. Check the
appropriate classification of the reporting entity that designates if it
is, or expects to be, a prime or subaward recipient. Identify the tier
of the subawardee, e.g., the first subawardee of the prime is the 1st
tier. Subawards include but are not limited to subcontracts, subgrants
and contract awards under grants.

5\. If the organization filing the report in item 4 checks "Subawardee,"
then enter the full name, address, city, State and zip code of the prime
Federal recipient. Include Congressional District, if known.

6\. Enter the name of the federal agency making the award or loan
commitment. Include at least one organizational level below agency name,
if known. For example, Department of Transportation, United States Coast
Guard.

7\. Enter the Federal program name or description for the covered
Federal action (item 1). If known, enter the full Catalog of Federal
Domestic Assistance (CFDA) number for grants, cooperative agreements,
loans, and loan commitments.

8\. Enter the most appropriate Federal identifying number available for
the Federal action identified in item 1 (e.g., Request for Proposal
(RFP) number; Invitations for Bid (IFB) number; grant announcement
number; the contract, grant, or loan award number; the
application/proposal control number assigned by the Federal agency).
Included prefixes, e.g., "RFP-DE-90-001."

9\. For a covered Federal action where there has been an award or loan
commitment by the Federal agency, enter the Federal amount of the
award/loan commitment for the prime entity identified in item 4 or 5.

10\. (a) Enter the full name, address, city, State and zip code of the
lobbying registrant under the Lobbying Disclosure Act of 1995 engaged by
the reporting entity identified in item 4 to influence the covered
Federal action.

> \(b\) Enter the full names of the individual(s) performing services,
> and include full address if different from 10(a). Enter Last Name,
> First Name, and Middle Initial (MI).

11\. The certifying official shall sign and date the form, print his/her
name, title, and telephone number.

According to the Paperwork Reduction Act, as amended, no persons are
required to respond to a collection of information unless it displays a
valid OMB control Number. The valid OMB control number for this
information collection is OMB No. 0348-0046. Public reporting burden for
this collection of information is estimated to average 10 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 (0348-0046),
Washington, DC 20503

**[Supplemental Information and Instructions]{.underline}**

The following information supplements the information provided in the
"Dear Applicant" letter and the Notice.

*[Please note]{.underline}*: The Notice, published in the Federal
Register, is the official document governing this competition.

**A. Criteria for Funding**

> All applications for grants under the McNair Program will be evaluated
> as new submissions according to the selection criteria listed in the
> program regulations (34 CFR 647.21). Applicants funded in the
> 2003-2007 grant cycle are eligible to receive up to 15 points for
> prior experience (34 CFR 647.22).

# B. McNair Program Assurances

> All applicants must comply with the McNair Program statutory and
> regulatory requirements. The assurances are included in the
> application package. By submitting a McNair Program application, an
> applicant certifies that it has read the assurances and will fully
> comply with the requirements.

**C. McNair Program Profile (Part III-A)**

> All applicants must complete the information requested on this form.
> The McNair Program Profile contains four standardized objectives.
> Applicants are required to propose the percentage at which each of
> these five standardized objectives will be attained. **[You may not
> modify, amend or delete any of these objectives.]{.underline}**
>
> Applicants must copy and paste the McNair Program Profile form into a
> separate document, or recreate the page exactly as it appears.
> Complete the form, save it to your computer and attach it to the
> *Other Attachments Form* as either a .doc, .rtf or .pdf document. Do
> not modify or amend the contents of the form in any way. The form can
> be found on page 73 of these instructions.

**D. Formatting**

> Double-space all text in Part III \-- the Program Narrative
> **[except]{.underline}** titles, headings, footnotes, captions,
> quotations, references, and all text in charts, tables and graphs,
> which may be single-spaced. Applicants may **[only]{.underline}** use
> one of the following fonts: *Times New Roman, Courier, Courier New* or
> *Arial*. Applications submitted in any other font (including Times
> Roman and Arial Narrow) will not be accepted. Applicants must use not
> less than size 12 fonts, **[only]{.underline}**.
>
> Include a Table of Contents. In addition, applicants are strongly
> encouraged to include an identifying header or footer (using the 1"
> margin at either the top or bottom of each page) that contains the
> applicant's name and the page numbers. The pages must be numbered in
> consecutive order.
>
> **The *Project Narrative Attachment Form* is limited to 50 pages**.
> This section is where applicants will attach their narrative responses
> to the selection criteria. Applicants will attach the Program
> Narrative to the *Project Narrative Attachment Form*. **Appendices and
> attachments should not be included. If these items are included, they
> [will be]{.underline} counted as part of the 50-page limit**. The page
> limit does not apply to the following:
>
> Table of Contents;
>
> Part I Application for Federal Assistance Face Sheet Form (SF 424),
> and
>
> Department of Education Supplemental Information for SF 424;
>
> Part II Department of Education Budget Information Non-Construction
> form (ED 524);

Part III-A McNair Program Profile form; and

> Part IV Assurances and Certifications and Survey Forms, including the
>
> ED GEPA form.
>
> The Notice contains specific instructions on page limits.

**E. Length of New Award**

> Applicants may apply for a maximum of five years of funding. However,
> only applicants that score in the highest ten percent of all
> applications will be awarded five-year grants; all other selected
> applicants will be funded for four years (34 CFR 647.5).

**F. Evaluation of Applications for Awards**

> A three-member panel of non-federal reviewers will read each
> application. Each reviewer will prepare a written evaluation of the
> application and assign points for each selection criterion.

# G. Selection of Grantees

> The Secretary will select an application for funding in rank order,
> based on the application's total score for the selection criteria and
> prior experience (34 CFR 647.20 -- 647.22). If the total scores of two
> or more applications are the same and there are insufficient funds for
> these applications after the approval of higher-ranked applications,
> the Secretary uses the remaining funds to achieve an equitable
> distribution of all new projects. In making an equitable geographic
> distribution of new projects, the Secretary considers only the
> locations of new projects (34 CFR 647.20).

# H. Applicant Funding

> The Department is often unable to award the full amount of funds
> requested. Applicants should pay close attention to the "Maximum
> Award" section of the Notice. The Department will not fund any
> application at an amount exceeding the maximum amounts specified in
> the Notice.

**I. Notice to Successful Applicants**

> The Department\'s Office of Legislation and Congressional Affairs will
> inform the Congress regarding applicants approved for new McNair
> Program grants. Successful applicants will receive award notices by
> mail shortly after the Congress is notified. No funding information
> will be released before the Congress is notified.

**J. Notice to Unsuccessful Applicants**

> Unsuccessful applicants will be notified in writing following the
> notice to successful applicants.

**[Part III Program Narrative Instructions]{.underline}**

**[*Important Note*: The program narrative is to be attached to the
*Project Narrative Attachment Form* in Grants.gov.]{.underline}**

Before preparing the Program Narrative, applicants should review the
Dear Applicant Letter, Notice, authorizing legislation, and program
regulations for specific guidance and requirements. [Please
note]{.underline}: applications will be evaluated according to the
specific selection criteria specified in the Notice and this application
package.

The Secretary evaluates an application on the basis of the selection
criteria in the McNair Program regulations, a copy of which is included
in this application package. *See* 34 CFR 647.21. The Program Narrative
should provide, in detail, the information that addresses each selection
criterion. The maximum possible score for each selection criterion
category is indicated in parenthesis. The McNair Program selection
criteria contain weighted sub-criteria. Applicants [must]{.underline}
address each sub-criterion, specifically.

You must limit the Program Narrative to 50 pages, double-spaced using
one of the acceptable font types, and number the pages consecutively.
The narrative should be written concisely. Only the required information
should be submitted. If appendices or other supplemental materials are
included, they will count as part of the 50-page limit. Please refer to
the Notice for specific page limit instructions and additional
application submission requirements.

To facilitate the review of the application, provide responses to each
of the following selection criteria in the following order:

1\. [Need]{.underline} (34 CFR 647.21(a)) (16 points)

2\. [Objectives]{.underline} (34 CFR 647.21(b)) ( 9 points)

3\. [Plan of Operation]{.underline} (34 CFR 647.21(c)) (44 points)

4\. [Quality of Key Personnel]{.underline} (34 CFR 647.21(d)) ( 9
points)

5\. [Adequacy of Resources and Budget]{.underline} (34 CFR 647.21(e)) (
15 points)

6\. [Evaluation Plan]{.underline} (34 CFR 647.21(f)) ( 7 points)

\_\_\_\_\_\_\_\_\_

::: Definition-Term
Total Maximum Score for Selection Criteria 100 points
:::

**[The following guidance may assist you in addressing each of the
selection criteria]{.underline}:**

**[1. Need]{.underline}**: In responding to this criterion, you must
provide data to define the target population: the academic, financial
and other problems encountered by eligible project participants to
prevent their completing baccalaureate programs and continuing to
postbaccalaureate programs. Also, you must provide data to demonstrate
that the proposed target population is underrepresented in graduate
education.

**[2. Objectives]{.underline}**: All applicants must include the four
objectives listed on the Part III-A McNair Program Profile form. On the
Profile form, you must fill-in the blanks indicating the percentage
level of achievement for each of these four objectives. These objectives
cannot be rewritten, restated or reworded.

In the Program Narrative, you must address each of these four
objectives, and explain how these objectives are ambitious and
attainable. Applicants should use comparative data to show why the
proposed percentages are ambitious and attainable, based on information
provided in the [Need]{.underline} section of the Program Narrative.
Applicants may add additional objectives, but are not required to do so.
Applicants will not receive additional points or penalties for proposing
additional objectives.

**[3. Plan of Operation]{.underline}**: This criterion contains nine
sub-criteria, and applicants must address all nine sub-criteria. This
part of the application should provide information on who, what, when
and how the project will provide services to meet its goals and
objectives. If the applicant proposes to serve students from other
institutions of higher education exclusively, or along with students
from its campus, the application must include information that
specifically addresses how the project will coordinate pre and
post-service activities for the students at the other participating
institutions both during the academic year and during the summer
research component of the project activity. In addition, the applicant
must include details of the follow-up activities that will be
undertaken, including tracking mechanisms that will be employed, which
are integral to the long-range success of the project activities.
Applicants must also provide information on how they will ensure that
sufficient resources are available to effectively and efficiently serve
the students selected from other institutions of higher education.

Further, the applicant must also provide information on: how faculty
members will be involved in the planning of research activities for the
students; its plan for providing sound research experiences and other
educational activities; individual or group services specifically
designed to enhance the students' entry into postbaccalaureate
education; its plan to inform the institutional community of the goals
and objectives of the project; its plan to ensure proper and efficient
administration of the project in all manners including management of
financial records, student record, personnel, organizational matters,
and the coordination of the McNair project with other programs for
disadvantaged students on the applicant's campus, both federal and
non-federal. Finally, the applicant must present its follow-up plan to
track the participants after their tenure with the McNair project
proposed is completed.

**[4. Quality of Key Personnel]{.underline}**: Applicants must address
all of the sub-criteria under this criterion. Applicants must provide
the minimum qualifications for all project personnel positions. The
minimum educational qualifications must include the type of degree
required and the acceptable field(s) of study. The type and minimum
amount of work-related experience should also be described for each
position. In addressing this criterion, you must not provide the
qualifications of current staff: you must detail the qualifications
required for each position. [Applicants are not required to submit
resumes or job descriptions in the application---this information can be
described or summarized.]{.underline} The "plan to employ personnel who
have succeeded in overcoming barriers similar to the target population
to be served" must be specific. The inclusion of an equal employment
opportunity statement and/or a non-discriminatory employment practices
policy alone is not an adequate response to this criterion.

**[5. Adequacy of the Resources and Budget]{.underline}**: Applicants
must address all three sub-criteria. In addressing this criterion, the
applicant must provide information on its financial plan for carrying
out the project, including the applicant's proposed commitment of
institutional resources to the McNair participants.

[For the first year (12-month budget period) only]{.underline},
applicants must submit (1) a budget summary form to categorize requested
funds (ED 524), [AND]{.underline} (2) a detailed itemized budget, as
part of the Part III Program Narrative, for the first 12-month budget
period, [AND]{.underline} (3) a budget narrative, as part of the Part
III Program Narrative, to explain or justify costs. Provide the
first-year (12-month budget period) summary on the Part II - Budget
Information Non-Construction Programs form (ED 524). The instructions
for completing the form are located on page 62 of the application
booklet

Both the detailed, itemized budget and budget narrative for the first
12-month budget period, only, are to be included as part of the Part
III-Program Narrative.

For this competition, applicants may receive funding for up to five
years. The Department is requesting that you complete the Budget Summary
form (ED 524) for the 2007-2008 year and provide both an itemized budget
and a detailed budget narrative only for the first 12-month budget
period. It is not necessary to provide a budget summary for the total
grant period requested, up to five years. The funding level for the
first year is stipulated in the "Maximum Award" section of the Notice:
Currently-funded projects will receive a maximum which is the greater of
(a) \$220,000 or (b) an amount equal to \$9,000 times the number of
participants, not to exceed 105 percent of the applicant's grant award
amount for FY 2006 for the first year. "New" projects will receive a
maximum of \$220,000 for the first year to serve a minimum of 25
participants. The Department will determine the funding levels for each
additional year of the grant award. [The budget period dates should
begin on October 1 and end on September 30. All currently funded
applicants' budget period dates should remain the same as the current
grant budget period dates.]{.underline}

The McNair Program selection criteria provide for an applicant to
receive up to 15 points for its proposed resources and budget. The
budget must include all costs that are allowable, reasonable, and
necessary for carrying out the objectives of the McNair Program. Among
the costs that may be supported with grant funds are:

1.  [Personnel]{.underline}: On line 1 (ED 524), enter only the total
    cost for project personnel salaries and wages. \[Fees and expenses
    for consultants should be included on line 8.\] The itemized budget
    should include the total commitment of time and the total salary to
    be charged to the project for each staff member. You should provide
    a breakdown of project personnel that includes: the position titles,
    the percent of time and number of months committed to the project
    for each staff member, the salary for each staff member, and the
    total salary costs to be charged to the grant. [Note]{.underline}:
    The total federal time commitment for project administration
    ([e.g.]{.underline}, project director, principal investigator,
    assistant director, coordinator, etc.) cannot exceed 100%.

2.  [Fringe Benefits]{.underline}: On line 2 (ED 524), enter the total
    amount of fringe benefits. The institution/agency's normal fringe
    benefit contribution may be charged to the grant. Leave this blank
    if fringe benefits applicable to direct salaries and wages are
    treated as part of the indirect costs. In the narrative, include an
    explanation and appropriate justification if the
    institution/agency's normal fringe benefit contribution exceeds 20
    percent of salaries.

##### [Travel]{.underline}: On line 3 (ED 524), provide the total cost of travel expenses for project personnel and student participants. \[Consultants' travel should be included on line 8.\] In the itemized budget, you should detail the proposed travel costs, i.e., for each trip, explain the purpose and objective of the travel and provide the number of persons traveling. Transportation costs should not exceed tourist class airfare. For automobile mileage, the established institution/agency rate should be used. Reimbursement is allowed for taxicab, bus, train, or limousine transportation. Per diem at the established institution/agency rate is permitted when an individual is away from home overnight on official project business (see OMB Circular A-21, J.48.c - Commercial Air Travel). No foreign travel will be authorized under the grant.

> The Federal TRIO Programs has developed the following guidelines for
> recommending approval of travel. All travel must be related to the
> project's overall purpose and proposed activities.

-   [Project Director's Travel -- Per Year]{.underline}

A.  One National Conference;

> One Regional Meeting;
>
> One State Meeting; **and**

B.  Travel for participation in [one]{.underline} staff development
    training opportunity under the Training Program for Federal TRIO
    Programs.

-   [Full-time Professional Staff Travel -- Per Year]{.underline}

A.  One National, Regional, **or** State Meeting; **and**

B.  Travel for participation in [one]{.underline} staff development
    training opportunity under the Training Program for Federal TRIO
    Programs.

##### 

> 4\. [Equipment]{.underline}: On line 4 (ED 524), indicate the total
> cost of equipment -- which is defined as non-expendable personal
> property, which has a usefulness of greater than one year and an
> acquisition cost of \$5,000 or more per unit.
>
> \[Consistent with an applicant's policy, a lower dollar amount may be
> used to define equipment.\] In the detailed budget, include a list of
> all equipment in the following format: item, quantity, cost per unit,
> and total cost. In the narrative, explain why the requested equipment
> is necessary to carry out project activities.

##### 5. [Supplies]{.underline}: On line 5 (ED 524), include the total cost of all other tangible personal property that was not included as "equipment" on line 4. In the detailed budget, provide an itemized list of the supplies.

6\. [Contractual]{.underline}: Not applicable. Leave line 6 (ED 524)
blank.

7\. [Construction]{.underline}: Not applicable. Leave line 7 (ED 524)
blank.

> 8\. [Other]{.underline}: On line 8 (ED 524), indicate all total direct
> costs not covered on lines 1 through 5. The costs/fees for consultants
> and consultants' travel should be included here. Examples of "other"
> costs are: equipment rental, required fees, communication costs, and
> printing costs. In the detailed budget, provide a breakdown of all
> direct costs not clearly covered by other budget categories.
>
> Consultants: If the project proposes to use consultants, identify the
> consultants who will work on the project, the scope of work to be
> performed by each consultant, and justify why project personnel cannot
> perform this work in the narrative. Also, provide a detailed breakdown
> of the costs (daily fees to be paid, estimated number of days of
> services, and all travel expenses, including per diem). Cost
> allowances for consultant fees, honoraria, per diem, and travel should
> not exceed amounts permitted by comparable institutional/agency
> policies.
>
> 9\. [Total Direct Costs]{.underline}: On line 9 (ED 524), provide the
> total direct costs requested -- the sum of lines 1 through 8.

10. [Indirect Costs]{.underline}: On line 10 (ED 524), provide the total
    amount of indirect costs that you propose to charge against the
    grant.

> All grants awarded under the McNair Program (84.217A) are designated
> training grants. The Education Department Administrative Regulations
> (EDGAR) limit reimbursement to grantees for indirect costs they incur
> under training grants to the grantee's actual indirect costs as
> determined by the grantee's negotiated indirect costs agreement or a
> maximum of 8% of a modified total direct costs base, whichever is
> less. ([Note]{.underline}**:** This limitation does not apply to State
> agencies, local governments, or federally recognized Indian tribal
> governments. \[§75.562(c)(2)\])
>
> Grantees charging indirect costs to a Department of Education grant
> are required to have a negotiated rate with their *cognizant agency*
> (*i.e*., either the Federal agency from which it has received the most
> direct funding that is subject to indirect costs support, or a
> particular agency specifically assigned cognizance by the Office of
> Management and Budget). Although applicants are not required to submit
> with their application a copy of their indirect costs agreement to
> claim the 8% rate for funding received in this program, they are
> required to have documentation available for audit that shows that
> their negotiated indirect costs rate is at least 8% \[34 CFR
> 75.563(d)\]. In the event that they receive an award under this
> program, applicants without a negotiated indirect costs rate with its
> cognizant agency should seek to identify that agency and contact it to
> obtain an approved rate as soon as possible after award notification.
>
> Applicants should be aware that amounts representing the difference
> between the 8% rate and a greater indirect costs rate negotiated with
> a cognizant agency may not be charged to direct costs categories, used
> to satisfy matching or cost-sharing requirements, or charged to
> another Federal award \[34 CFR 75.563(c)(3)\].

11. [Training Stipends]{.underline}: On line 11 (ED 524) provide the
    total amount of student stipends. The McNair Program regulations,
    34CFR 647.30(b), establish the maximum federal stipend amount of
    \$2,800 per year per student.

12. [Total Costs]{.underline}: On line 12 (ED 524), provide the total
    amount that you are requesting -- the sum of lines 9, 10 and 11.
    Note: This amount should also be the same as that shown as item 18a
    on the Application for Federal Assistance (SF 424).

**[6. Evaluation Plan]{.underline}**: The applicant must address all
three sub-criteria. A strong evaluation plan should be included and
should be used, as appropriate, to shape the development of the project
from the beginning of the grant period. The evaluation plan should
include benchmarks to monitor progress toward meeting specific project
objectives and should include program measures to assess the impact on
teaching and learning or other important outcomes for project
participants. The plan should describe the evaluation design,
indicating: (1) what types of data will be collected; (2) when various
types of data will be collected; (3) what methods will be used; (4) what
instruments will be developed and when; (5) how the data will be
analyzed; (6) when reports and outcomes will be available; and (7) how
the applicant will use the information collected through evaluation to
monitor progress of the funded project and to provide accountability
information. Applicants are encouraged to devote an appropriate level of
resources to project evaluation. The use of an outside evaluator is not
required.

#### Part III-A

#### McNair Program Profile

[INSTRUCTIONS]{.underline}: ALL applicants must complete this page*.*
The completed page must be attached to the *Other Attachments Form* in
the application package in Grants.gov {as either a .doc, .rtf or. pdf
document} in the application. *[DO NOT MODIFY OR AMEND THE CONTENTS OF
THIS PAGE]{.underline}.*

1\. Institution (Legal Name):
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

2\. Applicants must indicate the address where the project will be
located:

Project Address:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

> City:
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

State: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Zip:
\_\_\_\_\_\_\_\_\_\_\_

3\. Applicants currently funded under the McNair Program must provide
their current award number located in Item 5 of the current Grant Award
Notification document. **(New applicants should leave this item blank).
P217A0** \_\_\_\_\_\_\_\_

4\. Proposed total number of McNair Program participants to be served
each year: \_\_\_\_\_\_

5\. Program Objectives: (Please fill in the proposed percent (%) for
each of the four objectives).

> **Research:**
>
> \_\_\_\_\_% of McNair participants will complete research \* and
> scholarly activities that will directly impact their educational
> progression each McNair Program academic year\*\*.
>
> *(\*A structured research activity must be definitive in its start and
> end dates and contain appropriate benchmarks for completion of the
> various components. In addition, the activity should be conducted
> under the guidance of an appropriate faculty member with experience in
> the discipline selected by the McNair participant.)*
>
> *(\*\* [The McNair Program academic year]{.underline} is the period
> that most closely aligns with the first 12-month budget period for
> which this new award will be made. The 2007-08 McNair Program academic
> year is roughly August/September 2007 through August 2008.)*
>
> **Degree Attainment:**
>
> \_\_\_\_\_% of new participants served in each McNair Program academic
> year\*\* will attain a baccalaureate degree within three (3)
> years\*\*\*.
>
> \_\_\_\_\_% of bachelor\'s degree recipients will enroll in a post
> baccalaureate program by the fall term of the academic year
> immediately following completion of that degree.\*\*
>
> *(\*\*\*[Dual Degree Programs]{.underline}: Students enrolled in dual
> degree programs may be classified as graduate enrollees after
> completing four (4) years of undergraduate study at institutions of
> higher education.)*

\_\_\_\_\_% of McNair Program participants will attain a doctoral degree
within ten (10) years of the attainment of the bachelor's degree.

#### Application Checklist

[Use This Checklist While Preparing Your Application.]{.underline} All
items listed on this checklist are required.

 Application for Federal Assistance (SF 424)

 Department of Education Supplemental Information for SF 424

 Department of Education Budget Information Non-Construction Programs
form (ED 524) Sections A & B

 Program Narrative (Narrative addressing the selection criteria limited
to 50 pages.)

> Attach this document to the *Project Narrative Attachment Form* in the
> Grants.gov application package

 McNair Program Profile form. Attach this document to the *Other
Attachments Form* in the Grants.gov application package

 Assurances and Certifications (These documents are included as
"Mandatory Documents" in the "Application Package" in Grants.gov.)

>  GEPA Section 427 Requirement. Attach the response to the GEPA Form
> in the Grants.gov application package

 Assurances -- Non-Construction Programs (ED 424B)

 Disclosure of Lobbying Activities (SF LLL)

 Grants.gov Lobbying Form (Formerly ED Form 80-0013)

 Survey on Ensuring Equal Opportunity for Applicant