1

INSTRUCTIONS FOR THE SF-424

This is a standard form required for use as a cover sheet for submission of pre-applications 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 fields on the form are identified with an asterisk (*) and are also specified as “Required” 

in the instructions below. In addition to these instructions, applicants must consult agency instructions to determine other 

specific requirements.

Item Entry: Item: Entry:

1. Type of Submission: (Required) Select one type of 

submission in accordance with agency instructions.

• Pre-application

• Application

• Changed/Corrected Application – Check if this 

submission is to change or correct a previously 

submitted application. Unless requested by the 

agency, applicants may not use this form to submit 

changes after the closing date.

10. Name Of Federal Agency: (Required) Enter the name 

of the federal agency from which assistance is being 

requested with this application.

11. Catalog Of Federal Domestic Assistance 

Number/Title:

Enter the Catalog of Federal Domestic Assistance 

number and title of the program under which assistance 

is requested, as found in the program announcement, if 

applicable.

2. Type of Application: (Required) Select one type of 

application in accordance with agency 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.

• 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 D. Decrease Duration

B. Decrease Award E. Other (specify)

C. Increase Duration

12. Funding Opportunity Number/Title: (Required) 

Enter the Funding Opportunity Number (FON) and title 

of the opportunity under which assistance is requested, 

as found in the program announcement. 

13. Competition Identification Number/Title: Enter the 

competition identification number and title of the 

competition under which assistance is requested, if 

applicable.

14. Areas Affected By Project: This data element is 

intended for use only by programs for which the area(s) 

affected are likely to be different than the place(s) of 

performance reported on the SF-424 

Project/Performance Site Location(s) Form. Add 

attachment to enter additional areas, if needed.

3. Date Received: Leave this field blank. This date will 

be assigned by the Federal agency.

15. Descriptive Title of Applicant’s Project: (Required) 

Enter a brief descriptive title of the project. If 

appropriate, attach a map showing project location (e.g., 

construction or real property projects). For preapplications, attach a summary description of the 

project. 

4. Applicant Identifier: Enter the entity identifier 

assigned buy the Federal agency, if any, or the 

applicant’s control number if applicable.

5a. Federal Entity Identifier: Enter the number assigned 

to your organization by the federal agency, if any.

16. Congressional Districts Of: 16a. (Required) Enter the 

applicant’s congressional district. 16b. Enter all 

district(s) affected by the program or project. Enter in 

the format: 2 characters state abbreviation – 3 characters

district number, e.g., CA-005 for California 5th district, 

CA-012 for California 12 district, NC-103 for North 

5b. Federal Award Identifier: For new applications, 

enter NA. For a continuation or revision to an 

existing award, enter the previously assigned federal 

award identifier number. If a changed/corrected 
2

application, enter the federal identifier in accordance 

with agency instructions.

Carolina’s 103 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. This optional data element is 

intended for use only by programs for which the area(s) 

affected are likely to be different than place(s) of 

performance reported on the SF-424 

Project/Performance Site Location(s) Form. Attach an 

additional list of program/project congressional 

districts, if needed.

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 organization that has registered with the 

System for Award Management (SAM), formerly 

Central Contractor Registry (CCR). Information on 

registering with SAM may be obtained by visiting 

www.Grants.gov. 

17. Proposed Project Start and End Dates: (Required) 

Enter the proposed start date and end date of the project.

b. Employer/Taxpayer Number (EIN/TIN): 

(Required) Enter the employer or taxpayer 

identification number (EIN or TIN) as assigned by the 

Internal Revenue Service. If your organization is not 

in the US, enter 44-4444444.

18. Estimated Funding: (Required) Enter the amount 

requested, or to be contributed during the first 

funding/budget period by each contributor. Value of inkind 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 

www.Grants.gov. 

19. Is Application Subject to Review by State Under 

Executive Order 12372 Process? (Required) 

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. 

d. Address: Enter address: Street 1 (Required); city 

(Required); County/Parish, State (Required if country 

is US), Province, Country (Required), 9-digit 

zip/postal code (Required if country US). 

20. Is the Applicant Delinquent on any Federal Debt?

(Required) Select the appropriate box. This question 

applies to the applicant organization, not the person who 

signs as the authorized representative. Categories of 

federal debt include; but, may not be limited to: 

delinquent audit disallowances, loans and taxes. If yes, 

include an explanation in an attachment. 
3

e. Organizational Unit: Enter the name of the 

primary organizational unit, department or division 

that will undertake the assistance activity. 

21. Authorized Representative: To be signed and dated by 

the authorized representative of the applicant 

organization. Enter the first and last name (Required); 

prefix, middle name, suffix. Enter title, telephone 

number, email (Required); and fax number. 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.)

f. Name and contact information of person to be 

contacted on matters involving this application: 

Enter the first and last name (Required); prefix, 

middle name, suffix, title. Enter organizational 

affiliation if affiliated with an organization other than 

that in 7.a. Telephone number and email (Required); 

fax number. 

9. Type of Applicant: (Required) Select up to three 

applicant type(s) in accordance with agency 

instructions. 

A. State Government

B. County 

Government

C. City or Township 

Government

D. Special District 

Government

E. Regional 

Organization

F. U.S. Territory or 

Possession

G. Independent 

School District

H. Public/State 

Controlled 

Institution of 

Higher Education

I. Indian/Native 

American Tribal 

Government 

(Federally 

Recognized)

J. Indian/Native 

American Tribal 

Government 

(Other than 

Federally 

Recognized)

K. Indian/Native 

American Tribally 

M. Nonprofit

N. Private 

Institution of 

Higher Education

O. Individual

P. For-Profit 

Organization 

(Other than Small 

Business)

Q. Small Business

R. Hispanic-serving 

Institution

S. Historically 

Black Colleges 

and Universities 

(HBCUs)

T. Tribally 

Controlled 

Colleges and 

Universities 

(TCCUs)

U. Alaska Native 

and Native 

Hawaiian Serving 

Institutions

V. Non-US Entity

W. Other (specify)
4

Designated 

Organization

L. Public/Indian 

Housing Authority

[U.S Department of Education note: As of spring, 2010, the FON discussed in Block 12 of the instructions can be 

found via the following URL: http://www.grants.gov/applicants/find_grant_opportunities.jsp.]
5

INSTRUCTIONS FOR

DEPARTMENT OF EDUCATION SUPPLEMENTAL INFORMATION FOR SF 424

1. Project Director. Name, address, telephone and fax numbers, and e-mail address of the person to be contacted on 

matters involving this application. Items marked with an asterisk (*) are mandatory.

2. Novice Applicant. Check “Yes” if you meet the definition for novice applicants specified in the regulations in 34 

CFR 75.225 and included on the attached page entitled “Definitions for U.S. Department of Education Supplemental 

Information for the SF-424”). By checking “Yes” the applicant certifies that it meets these novice applicant 

requirements. Check “No” if you do not meet the definition for novice applicants.

This novice applicant information will be used by ED to: 1) determine the amount and type of technical assistance 

that a novice might need, if funded, and 2) determine novice applicant eligibility in discretionary grant competitions 

that give special consideration to novice applications. Certain ED discretionary grant programs give special 

consideration to novice applications, either by establishing a special competition for novice applicants or by giving 

competitive preference to novice applicants under the procedures in 34 CFR 75.105(c)(2). If special consideration is 

being given to novice applications under a particular discretionary grant competition, the application notice for the 

competition published in the Federal Register will specify this information

3. Human Subjects Research. (See I. A. “Definitions” in attached page entitled “Definitions for U.S. Department of 

Education Supplemental Information for the SF-424.”)

3a. 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.

3a. 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 U.S. Department of Education 

Supplemental Information for SF-424.”) 

3b. 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. Check 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 U.S. Department of 

Education Supplemental Information for the SF-424.” 

3b. 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 attached page entitled “Definitions for U.S. Department of Education Supplemental 

Information for the SF-424.”

3b. Human Subjects Assurance Number. If the applicant has an approved Federal Wide Assurance (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. (A list of current FWAs is available at: 

http://ohrp.cit.nih.gov/search/asearch.asp#ASUR) 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 
6

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.

3c. If applicable, please attach your “Exempt Research” or “Nonexempt Research” narrative to your submission of the 

U.S Department of Education Supplemental Information for the SF-424 form as instructed in item II, “Instructions for 

Exempt and Nonexempt Human Subjects Research Narratives” in the attached page entitled “Definitions for U.S. 

Department of Education Supplemental Information for the SF-424.” 

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.

No covered human subjects research can be conducted until the study has ED clearance for 

protection of human subjects in research.

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 1890-0619. 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, D.C. 20202-0170. If you have comments or concerns regarding the status of 

your individual submission of this form write directly to: Student Service Office, U.S. Department of Education, 400 

Maryland Avenue, S.W., Washington, D.C. 20202.
7

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, 
8

or by communicating or interacting with the individual, as occurs with surveys and interviews, the definition of 

human subject is met. (2) If an activity involves obtaining private information about a living person in such a way 

that the information can be linked to that individual (the identity of the subject is or may be readily determined by 

the investigator or associated with the information), the definition of human subject is met. [Private information 

includes information about behavior that occurs in a context in which an individual can reasonably expect that no 

observation or recording is taking place, and information which has been provided for specific purposes by an 

individual and which the individual can reasonably expect will not be made public (for example, a school health 

record).]

B. Exemptions.

Research activities in which the only involvement of human subjects will be in one or more of the following six 

categories of exemptions are not covered by the regulations:

(1) Research conducted in established or commonly accepted educational settings, involving normal educational 

practices, such as (a) research on regular and special education instructional strategies, or (b) research on the 

effectiveness of or the comparison among instructional techniques, curricula, or classroom management methods.

(2) Research involving the use of educational tests (cognitive, diagnostic, aptitude, achievement), survey procedures, 

interview procedures or observation of public behavior, unless: (a) information obtained is recorded in such a 

manner that human subjects can be identified, directly or through identifiers linked to the subjects; and (b) any 

disclosure of the human subjects’ responses outside the research could reasonably place the subjects at risk of 

criminal or civil liability or be damaging to the subjects’ financial standing, employability, or reputation. If the 

subjects are children, exemption 2 applies only to research involving educational tests and observations of public 

behavior when the investigator(s) do not participate in the activities being observed. 

Exemption 2 does not apply if children are surveyed or interviewed or if the research involves observation of 

public behavior and the investigator(s) participate in the activities being observed. [Children are defined as 

persons who have not attained the legal age for consent to treatments or procedures involved in the research, under 

the applicable law or jurisdiction in which the research will be conducted.]

(3) Research involving the use of educational tests (cognitive, diagnostic, aptitude, achievement), survey procedures, 

interview procedures or observation of public behavior that is not exempt under section (2) above, if the human 

subjects are elected or appointed public officials or candidates for public office; or federal statute(s) require(s) 

without exception that the confidentiality of the personally identifiable information will be maintained throughout 

the research and thereafter.

(4) Research involving the collection or study of existing data, documents, records, pathological specimens, or 

diagnostic specimens, if these sources are publicly available or if the information is recorded by the investigator in a 

manner that subjects cannot be identified, directly or through identifiers linked to the subjects.

(5) Research and demonstration projects which are conducted by or subject to the approval of department or agency 

heads, and which are designed to study, evaluate, or otherwise examine: (a) public benefit or service programs; (b) 

procedures for obtaining benefits or services under those programs; (c) possible changes in or alternatives to those 

programs or procedures; or (d) possible changes in methods or levels of payment for benefits or services under those 

programs.

(6) Taste and food quality evaluation and consumer acceptance studies, (a) if wholesome foods without additives are 

consumed or (b) if a food is consumed that contains a food ingredient at or below the level and for a use found to be 

safe, or agricultural chemical or environmental contaminant at or below the level found to be safe, by the Food and 
9

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.
10

(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 U.S. Department 

of Education, Protection of Human Subjects Coordinator, Office of the Chief Financial Officer, LBJ Building, 

400 Maryland Avenue, SW, Washington, D.C. 20202-4250, telephone: (202) 260-3353, 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).
11

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 follow up 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.
12

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.
13

SURVEY INSTRUCTIONS ON ENSURING EQUAL OPPORTUNITY FOR 

APPLICANTS

Provide the applicant’s (organization) name and DUNS number and the grant name and CFDA 

number. 

1.Self-explanatory.

2.Self-identify.

3.Self-identify.

4.501(c)(3) status is a legal designation provided on application to the Internal Revenue Service 

by eligible organizations. Some grant programs may require nonprofit applicants to have 

501(c)(3) status. Other grant programs do not.

5.Self-explanatory.

6.For example, two part-time employees who each work half-time equal one full-time equivalent 

employee. If the applicant is a local affiliate of a national organization, the responses to survey

questions 2 and 3 should reflect the staff and budget size of the local affiliate. 

7.Annual budget means the amount of money your organization spends each year on all of its 

activities.

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 1890-0619. 

The time required to complete this information collection is estimated to average five (5) 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 time estimate(s) or suggestions for improving this form,

please write to: The Agency Contact listed in this grant application package.
14

NOTICE TO ALL APPLICANTS - GEPA

The purpose of this enclosure is to inform you about a new provision in the Department of 

Education's General Education Provisions Act (GEPA) that applies to applicants for new grant 

awards under Department programs. This provision is Section 427 of GEPA, enacted as part of 

the Improving America's Schools Act of 1994 (Public Law (P.L.) 103-382).

To Whom Does This Provision Apply?

Section 427 of GEPA affects applicants for new grant awards under this program. ALL 

APPLICANTS FOR NEW AWARDS MUST INCLUDE INFORMATION IN THEIR 

APPLICATIONS TO ADDRESS THIS NEW PROVISION IN ORDER TO RECEIVE 

FUNDING UNDER THIS PROGRAM.

(If this program is a State-formula grant program, a State needs to provide this description only

for projects or activities that it carries out with funds reserved for State-level uses. In addition, 

local school districts or other eligible applicants that apply to the State for funding need to 

provide this description in their applications to the State for funding. The State would be 

responsible for ensuring that the school district or other local entity has submitted a sufficient 

section 427 statement as described below.)

What Does This Provision Require?

Section 427 requires each applicant for funds (other than an individual person) to include in its 

application a description of the steps the applicant proposes to take to ensure equitable access to, 

and participation in, its Federally-assisted program for students, teachers, and other program 

beneficiaries with special needs. This provision allows applicants discretion in developing the 

required description. The statute highlights six types of barriers that can impede equitable access 

or participation: gender, race, national origin, color, disability, or age. Based on local 

circumstances, you should determine whether these or other barriers may prevent your students, 

teachers, etc. from such access or participation in, the Federally-funded project or activity. The 

description in your application of steps to be taken to overcome these barriers need not be 

lengthy; you may provide a clear and succinct description of how you plan to address those 

barriers that are applicable to your circumstances. In addition, the information may be provided 

in a single narrative, or, if appropriate, may be discussed in connection with related topics in the 

application.

Section 427 is not intended to duplicate the requirements of civil rights statutes, but rather to 

ensure that, in designing their projects, applicants for Federal funds address equity concerns that 

may affect the ability of certain potential beneficiaries to fully participate in the project and to 
15

achieve to high standards. Consistent with program requirements and its approved application, 

an applicant may use the Federal funds awarded to it to eliminate barriers it identifies.

What are Examples of How an Applicant Might Satisfy the Requirement of This Provision?

The following examples may help illustrate how an applicant may comply with Section 427.

(1) An applicant that proposes to carry out an adult literacy project serving, among others, adults 

with limited English proficiency, might describe in its application how it intends to distribute a 

brochure about the proposed project to such potential participants in their native language.

(2) An applicant that proposes to develop instructional materials for classroom use might 

describe how it will make the materials available on audio tape or in braille for students who are 

blind.

(3) An applicant that proposes to carry out a model science program for secondary students and 

is concerned that girls may be less likely than boys to enroll in the course, might indicate how it 

intends to conduct "outreach" efforts to girls, to encourage their enrollment.

We recognize that many applicants may already be implementing effective steps to ensure equity 

of access and participation in their grant programs, and we appreciate your cooperation in 

responding to the requirements of this provision.

Estimated Burden Statement for GEPA Requirements

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 1894-0008. 

The time required to complete this information collection is estimated to average 1.5 hours 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 time estimate(s) or suggestions for improving this form, please write to: 

U.S. Department of Education, 400 Maryland Avenue, S.W., Washington, D.C. 20202-4537.