1

Application for Funding

under the

2019 Emergency Assistance to Institutions of

Higher Education Program

CFDA Number: 84.938T

U.S. Department of Education

Washington, D.C. 20202

OMB Number: 1840-0839

Expiration Date: 12/31/2021
2

Table of Contents

Dear Applicant Letter ............................................................................................................................................. 3

Competition Highlights........................................................................................................................................... 4

Notice Inviting Applications................................................................................................................................... 6

Relevant Legislation ............................................................................................................................................. 18

General Education Provisions Act (GEPA) Section 427 .................................................................................. 18

Government Performance and Results Act (GPRA)......................................................................................... 19

Instructions for Submitting and Completing the Application Package ................................................................ 20

Application Transmittal Instructions................................................................................................................. 20

Instructions for Completing the Application Package ...................................................................................... 21

Instructions for Standard Forms............................................................................................................................ 22

Instructions for the SF-424................................................................................................................................ 22

Instructions for the Department of Education Supplemental Information for SF-424...................................... 25

Definitions for the Department of Education Supplemental Information for SF-424 ...................................... 26

Instructions for ED 524..................................................................................................................................... 29

Instructions for Completion of Disclosure of Lobbying Activities (SF-LLL).................................................. 32

Standard Forms..................................................................................................................................................... 33

2019 Emergency Assistance to Institutions of Higher Education Program Application...................................... 47

Part I: Application Cover Sheet ....................................................................................................................... 47

Part II: Program Budget ................................................................................................................................... 48

Part III: Application Narrative ......................................................................................................................... 49

Part IV: Compliance with Legislative Requirements....................................................................................... 51

Application Checklist............................................................................................................................................ 52

Paperwork Burden Statement ............................................................................................................................... 53
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Dear Applicant Letter

 

UNITED STATES DEPARTMENT OF EDUCATION 

OFFICE OF POSTSECONDARY EDUCATION

September 16, 2019

Dear Applicant:

Thank you for your interest in applying for fiscal year (FY) 2019 funding under the Emergency Assistance to 

Institutions of Higher Education Program (EAI). This application booklet includes the instructions and forms 

needed to submit a complete application to the U.S. Department of Education (the Department).

We highly recommend that you review the entire application package carefully before preparing and submitting 

your application. This letter highlights additional items from the FY 2019 application package that will be 

important to you in applying for funding under this program:

• Information on EAI is accessible at the Department’s website at:

https://www2.ed.gov/programs/eai/index.html.

• The FY 2019 Notice Inviting Applications (NIA) published in the Federal Register is the official 

guidance for the competition. Applicants should not rely upon any information that is inconsistent with 

the official NIA document. For information, including dates and times, about how to submit your 

application electronically, please refer to the Notice.

• In order to submit an application under EAI, all applicants must have an active DUNS number. If you do 

not have an active DUNS number, you may obtain one online at:

http://fedgov.dnb.com/webform.

If you have any questions or require additional information, please contact Beatriz Ceja at Beatriz.Ceja@ed.gov

or by telephone at (202) 453-6239.

For an overview of significant competition elements, we encourage applicants to review the “Competition 

Highlights” section of this application package. We appreciate your interest in the Emergency Assistance to 

Institutions of Higher Education Program and look forward to receiving your application.

Sincerely,

/s/

Robert King

Assistant Secretary for Postsecondary Education
4

Competition Highlights

1. Authorization

Bipartisan Budget Act of 2018, Public Law 115-123. The Additional Supplemental Appropriations for 

Disaster Relief Act, 2019, Public Law 116-20.

2. Program Website

EAI statutory and regulatory requirements and additional information can be found on the Department’s 

website at: https://www2.ed.gov/programs/eai/index.html.

3. Purpose of the Program

Under the Emergency Assistance to Institutions of Higher Education Program (EAI Program or EAI),

the Department will award grants for emergency assistance to eligible institutions of higher education 

(IHEs) affected by a covered disaster or emergency for which the President declared a major disaster or 

emergency under section 401 or 501 of the Robert T. Stafford Disaster Relief and Emergency Assistance 

Act (42 U.S.C. 5170 and 5191) (covered disaster). Funds will be awarded to assist activities directly 

related to mitigating the effects of a covered disaster or emergency on students and institutions. We will 

prioritize, to the extent possible, projects that support students who are homeless or at risk of becoming 

homeless as a result of displacement, and IHEs that have sustained extensive damage, by a covered 

disaster or emergency.

4. Eligible Applicants

Eligible applicants are institutions that (1) meet the definition of “institution of higher education” in

section 101 or section 102(a)(1) of the HEA (20 U.S.C. 1001 and 1002(a)(1)), (2) are located in areas 

directly affected by a covered disaster, and (3) have education-related financial needs resulting from a 

covered disaster.

NOTE: Receiving a grant for emergency assistance under the EAI Program does not affect the 

eligibility of the IHE to apply for funding under any other Department program.

5. Grant Project Period

IHEs must expend funds received under this program within 24 months of obligation by the Department.

6. Budgetary Information

This program does not require cost sharing or matching. 

This program does involve supplement-not-supplant funding requirements. Grantees may not use EAI 

funds to supplant funds that otherwise would have been used for the same purpose, including funds 

made available through an insurance policy, the Federal Emergency Management Agency, a State, or a 

nonprofit relief organization. Grantees may use EAI funds to supplement funds from such sources 

without exceeding the full amount needed to remedy the effects of the covered disaster or emergency. 

(See “Allocation Criteria” in the Notice for more information.)

7. Intergovernmental Review

This program is subject to Executive Order 12372 and the regulations in 34 CFR part 79. However, 

under 34 CFR 79.8(a), we waive intergovernmental review in order to make timely awards.
5

8. Recommended Format

The application narrative (Part III of the application) is where you, the applicant, address the allocation 

criteria that Department staff will use to evaluate your application. We recommend that applicants limit 

the application narrative to no more than 20 pages and use the following standards:

• A “page” is 8.5" x 11", on one side only, with 1" margins at the top, bottom, and on both sides. 

• Double space (no more than three lines per vertical inch) all text in the application narrative. 

Titles, headings, footnotes, quotations, references, and captions, as well as all text in charts, 

tables, figures, and graphs, are excluded and can be single-spaced.

• Use a font that is either 12-point or larger, and no smaller than 10 pitch (characters per inch). We 

recommend that you use one of the following fonts: Times New Roman, Courier, Courier New, 

or Arial.

9. Program-Specific Forms

In addition to the required forms found in this application package, applicants must complete the 

Application Cover Sheet included in Part I and the program assurances included in Part IV of this 

application package.

10. Allocation Criteria

The following criteria will be used in allocating funds under this program: total funds requested, 

expenses already incurred, and funds received through insurance settlements or from any source 

including a Federal organization or organizations to remedy the effects of the covered disaster or 

emergency.

11. Notice to Successful Applicants

If your application is successful, we notify your U.S. Representative and U.S. Senators and send you a 

Grant Award Notification (GAN); or we may send you an email containing a link to access an electronic 

version of your GAN. We may notify you informally, also.

12. Notice to Unsuccessful Applicants

If your application is not evaluated or not selected for funding, we notify you.

13. Contact Information

For EAI program-related questions and assistance, please contact:

Program Lead: Beatriz Ceja

Address: U.S. Department of Education

400 Maryland Avenue, S.W., Room 260-04

Washington, D.C. 20202 

Telephone: (202) 453-6239 

E-mail Address: Beatriz.Ceja@ed.gov.
6

Notice Inviting Applications

4000-01-U

DEPARTMENT OF EDUCATION

Notice Announcing Availability of Funds and Application Deadline; 

Emergency Assistance to Institutions of Higher Education. 

AGENCY: Office of Postsecondary Education, Department of Education.

ACTION: Notice.

SUMMARY: The Department of Education (Department) is issuing a notice 

announcing the availability of funds and the application deadline for new 

grants to institutions of higher education (IHEs) under the Emergency 

Assistance to Institutions of Higher Education (2019 EAI) Program, Catalog 

of Federal Domestic Assistance (CFDA) number 84.938T, under title VIII of 

the Additional Supplemental Appropriations for Disaster Relief Act of 2019 

(hereafter referred to as the Disaster Supplemental), for educationrelated disaster recovery activities related to disasters in 2018 and 2019 

for which a major disaster or emergency has been declared by the 

President. Refer to the Purposes of Program section for more information 

on specific disasters that are covered by this program funding. This 

notice relates to the approved information collection under OMB control 

number 1840–0839.

DATES:

Applications Available: September 16, 2019.

Deadline for Transmittal of Applications: October 28, 2019.

ADDRESSES: The addresses pertinent to this program, including the 

addresses for obtaining and submitting an application, can be found under 

SUPPLEMENTARY INFORMATION. 
7

FOR FURTHER INFORMATION CONTACT: Beatriz Ceja, U.S. Department of 

Education, 400 Maryland Avenue, SW, Room 260-04, Washington, DC 20202. 

Telephone: (202) 453-6239. Email: EAIProgram@ed.gov.

If you use a telecommunications device for the deaf (TDD) or a text 

telephone (TTY), call the Federal Relay Service (FRS), toll free, at 1-

800-877-8339.

SUPPLEMENTARY INFORMATION:

Full Text of Announcement

I. Funding Opportunity Description

Purposes of Program: Under the 2019 EAI Program, we will award grants for 

emergency assistance to eligible IHEs affected by Hurricanes Florence and 

Michael, Typhoon Mangkhut, Super Typhoon Yutu, and wildfires, earthquakes, 

and volcanic eruptions occurring in calendar year 2018 and tornadoes and 

floods occurring in calendar year 2019 for which a major disaster or 

emergency has been declared under section 401 or 501 of the Robert T. 

Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5170 and 

5191) (hereafter referred to as “a covered disaster or emergency”). Funds 

will be awarded to assist activities directly related to mitigating the 

effects of a covered disaster or emergency on students and institutions. 

To the extent possible, we will prioritize projects that support students 

who are homeless or who are at risk of becoming homeless as a result of 

displacement related to a covered disaster or emergency; and IHEs that 

have sustained extensive damage by a covered disaster or emergency. 

Background: The Additional Supplemental Appropriations for Disaster 

Relief Act, 2019 (hereafter referred to as the Disaster Supplemental), 

Pub. L. 116-20, which was signed into law on June 6, 2019, provided a 
8

total of $165 million for education-related disaster recovery programs and 

gave the Secretary of Education discretion regarding how best to 

administer those funds to meet the needs of eligible entities at the 

elementary, secondary, and postsecondary levels of education. The 

Department has determined that the EAI Program is the most flexible and 

efficient authority for addressing the needs of institutions of higher 

education affected by a covered disaster or emergency. The Department 

also is using these funds to provide assistance to public and non-public 

elementary and secondary schools under the Immediate Aid to Restart School 

Operations (Restart) and the Temporary Emergency Impact Aid for Displaced 

Students (EIA) programs.

Exemption from Rulemaking: The 2019 EAI Program is exempt from the 

rulemaking requirements in section 437 of the General Education Provisions 

Act (GEPA) (20 U.S.C. 1232) and section 553 of the Administrative 

Procedure Act (APA) (5 U.S.C. 553), as established in division B, 

subdivision 1, title VIII, “Hurricane Education Recovery” paragraph (6), 

of Pub. Law 115-123, the Bipartisan Budget Act of 2018, and title VIII of 

Pub. Law 116-20, the Disaster Supplemental.

Program Authority: Title VIII of the Disaster Supplemental.

Applicable Regulations: (a) The Education Department General 

Administrative Regulations in 34 CFR parts 75, 77, 79, 81, 82, 84, 97, 98, 

and 99. (b) The Office of Management and Budget Guidelines to Agencies on 

Governmentwide Debarment and Suspension (Nonprocurement) in 2 CFR part 

180, as adopted and amended as regulations of the Department in 2 CFR part 

3485. (c) The Uniform Administrative Requirements, Cost Principles, and 
9

Audit Requirements for Federal Awards in 2 CFR part 200, as adopted and 

amended as regulations of the Department in 2 CFR part 3474. 

Note: The open licensing requirement in 2 CFR 3474.20 does not apply to 

this program.

II. Award Information

Estimated Available Funds: Congress appropriated $165 million to the 

Department under the Disaster Supplemental that will be used to make 

awards under this program and others authorized in the law. Consequently, 

the specific amount available for the 2019 EAI Program will be based on 

the Department’s assessment of relative need across funded programs as 

determined by such factors as the number of applicants and their 

demonstrated need for assistance. The actual amount available for 2019 

EAI awards will depend on funding allocated to the program, and awards to 

eligible applicants may be adjusted downward (or upward) to match 

available funding and award allocations as described in this notice.

Estimated Range of Awards: We will not make an award that, in combination 

with the total amount of reimbursement received by the IHE from insurance 

claims or other relief funds, would exceed the IHE’s total net need.

Estimated Number of Awards: The Department does not yet have reliable 

estimates of the number of institutions that may be eligible or apply for 

2019 EAI awards but intends to make awards to all eligible applicants.

Note: The Department is not bound by any estimates in this notice.

Grant Period under the 2019 EAI Program: IHEs must expend funds received 

under this program within 24 months of obligation by the Department.

Funds are available for obligation by the Department through September 30, 

2020.
10

III. Eligibility Information 

1. Eligible Applicants: Institutions that (1) meet the definition 

of “institution of higher education” in section 101 or section 102(a)(1) 

of the Higher Education Act of 1965, as amended (HEA)(20 U.S.C. 1001 and 

1002(a)(1)), (2) are located in areas directly affected by a covered 

disaster or emergency, and (3) that have education-related financial needs 

resulting from a covered disaster or emergency. A general list of 

disaster declarations and emergency declarations can be found at 

www.fema.gov/disasters.

Note: Receiving a grant for emergency assistance under the 2019 EAI 

Program does not affect the eligibility of the IHE to apply for funding 

under any other Department program.

2. (a) Cost Sharing or Matching: This program does not require 

cost sharing or matching.

(b) Supplement-Not-Supplant: This program involves supplement-notsupplant funding requirements. Grantees may not use 2019 EAI funds to 

supplant funds that otherwise would have been used for the same purpose, 

including funds made available through an insurance policy, the Federal 

Emergency Management Agency, a State, or a nonprofit relief organization. 

Grantees may use 2019 EAI funds to supplement funds from such sources 

without exceeding the full amount needed to remedy the effects of the 

covered disaster or emergency. (See Allocation Criteria.)

3. Subgrantees: A grantee under this competition may not award 

subgrants to entities to directly carry out project activities described 

in its application.

IV. Application and Submission Information
11

1. Application Submission Instructions: Applications for this 

program must be submitted in both of the following ways:

(a) Submit an application in electronic portable document format 

(PDF) or Microsoft Word format via email to EAIProgram@ed.gov. Questions 

regarding application submission can be directed to the program contact 

person listed under FOR FURTHER INFORMATION CONTACT. 

(b) Mail the original and two copies of your application by express 

mail service through the U.S. Postal Service or through a commercial 

carrier to the program contact person listed under FOR FURTHER INFORMATION 

CONTACT. 

2. Intergovernmental Review: This program is subject to Executive 

Order 12372 and the regulations in 34 CFR part 79. However, under 34 CFR 

79.8(a), we waive intergovernmental review in order to make timely awards. 

3. Funding Restrictions: We reference regulations outlining funding 

restrictions in the Applicable Regulations section of this notice. 

4. Recommended Page Limit: The application narrative (Part III of 

the application) is where you, the applicant, address the allocation 

criteria that Department staff will use to evaluate your application. We 

recommend that you (1) limit the application narrative to no more than 20 

pages and (2) use the following standards: 

• A “page” is 8.5" x 11", on one side only, with 1" margins at the 

top, bottom, and both sides. 

• Double space (no more than three lines per vertical inch) all 

text in the application narrative. Titles, headings, footnotes, 

quotations, references, and captions, as well as all text in charts, 

tables, figures, and graphs, are excluded.
12

• Use a font that is either 12 point or larger, and no smaller 

than 10 pitch (characters per inch). 

• Use one of the following fonts: Times New Roman, Courier, 

Courier New, or Arial. 

The recommended page limit does not apply to Part I, the cover sheet; 

Part II, the budget section, including the narrative budget justification; 

Part IV, the assurances and certifications. The page limit is recommended 

and non-binding.

V. Application Review Information

1. Institution’s Data: IHEs which apply for grants must provide the 

following data: the number of days the institution was closed as a result 

of the covered disaster or emergency; the institution’s student enrollment 

prior to the disaster; the institution’s student enrollment after the 

disaster; the number of students to whom the institution intends to 

provide direct assistance using 2019 EAI funding; and the number of 

students the institution knows to be homeless or at risk of being 

homeless.

2. Needs and Severity Narrative: Applicants must describe the 

covered disaster’s or emergency’s impact on the institution and the need 

for funds. Applicants must also describe the severity of the damage to 

the institution’s ability to return to full capacity.

3. Proposed Use of Funds: To the extent possible, applicants must 

identify the proposed or actual services or assistance to be paid for with 

the requested grant funds and explain how the services or assistance is 

consistent with the allowable uses of funds under the 2019 EAI Program. 

Note: Allowable uses of funds include those authorized under the HEA. 
13

However, all activities funded under the program must be in the context of 

emergency assistance. That is, the funding must be used for activities 

directly related to mitigating the effects of a covered disaster or 

emergency on students and institutions. For instance, program funds may 

be used for student financial assistance, faculty and staff salaries, 

equipment, and student supplies and instruments. Grantees may not use 

program funds to supplant funds that otherwise would have been used for 

the same purpose, such as funds made available through an insurance 

policy, the Federal Emergency Management Agency (FEMA), a State, or a 

nonprofit relief organization, or any other third party. Grantees may use 

program funds to supplement funds from such sources up to the full amount 

needed for emergency assistance.

Use of funds for a purpose authorized under the HEA is subject to the 

regulations that pertain to that purpose. For example, if activities 

under a particular grant program or financial aid program were disrupted 

and require emergency aid to become fully operational, program funds for 

this purpose are subject to the regulations for that grant or aid program, 

except that any requirements relating to matching, Federal share, 

reservation of funds, or maintenance of effort under 20 U.S.C. 1087–51 et 

seq. or 1138 et seq. that would otherwise be applicable do not apply.

Information about the Federal Student Aid programs is available at 

studentaid.ed.gov/sa/. The U.S. Code version of the HEA is available at 

uscode.house.gov/view.xhtml?req=granuleid%3AUSC-prelim-title20-

chapter28&edition=prelim. 

4. Compliance Assurance: Applicants must provide an assurance that 

they will comply with all requirements that apply to the 2019 EAI Program, 
14

including but not limited to: providing required certifications that all 

funds are expended on allowable activities; complying with reporting 

requirements; cooperating with any Inspector General inquiries; complying 

with applicable Office of Management and Budget assurances; and providing 

the required certification regarding restrictions on the use of funds for 

lobbying. 

5. Allocation Criteria: The Secretary establishes the following 

factors as criteria that will be used in allocating these funds:

(a) Total funds requested. The amount of funds requested to remedy 

the effects of the covered disaster or emergency, including the uncovered 

costs for renovations, construction, and direct student services. 

Applicants should exclude any costs for which they have received or 

anticipate receiving reimbursement from other sources, including a Federal 

or other relief organization, to remedy the effects of the covered 

disaster or emergency.

Note: For direct student services applicants may only include those 

expenses directed to students who are homeless or at risk of becoming 

homeless, and applicants may not include expenses directed to a larger 

population of students, even if those expenses have aided some students 

who were homeless or at risk of becoming homeless. Applicants may, 

however, include expenses directed toward individual students who are 

homeless or at risk of becoming homeless, even if similar aid or services 

have been made available to other students. 

(b) Funds needed to serve students who are homeless or at risk of 

becoming homeless. From the total disaster-related net expenses provided 

in (a), applicants should identify the funding needed to serve students 
15

who are homeless or at risk of becoming homeless.

(c) Funds received. Any amount of any insurance settlement or other 

funds received by the IHE, from any source including a Federal or other 

relief organization, to remedy the effects of the covered disaster or 

emergency.

6. Risk Assessment and Specific Conditions: Consistent with 2 CFR 

200.205, before awarding grants under this program the Department conducts 

a review of the risks posed by applicants. Under 2 CFR 3474.10, the 

Secretary may impose specific conditions and, in appropriate 

circumstances, high-risk conditions on a grant if the applicant or grantee 

is not financially stable; has a history of unsatisfactory performance; 

has a financial or other management system that does not meet the 

standards in 2 CFR part 200, subpart D; has not fulfilled the conditions 

of a prior grant; or is otherwise not responsible.

7. Additional Monitoring: This program is designated as 

“susceptible to significant improper payments” for purposes of the 

Improper Payments Information Act of 2002 (31 U.S.C. 3321 note). See 

title VIII of the Disaster Supplemental, and Pub. Law 115-123, the 

Bipartisan Budget Act of 2018, division B, subdivision 1, title XII, 

§21208(a), February 9, 2018, 132 Stat. 108. Consequently, if 2019 EAI 

Program grantees expend more than $10,000,000 under this program--a level 

of expenditures that the Department anticipates will be met--there will be 

additional requirements for grantees under the program, including making 

expenditure information and documentation available for review by the 

Department. We will provide additional information about this requirement 

after we make awards, providing advanced notice to ensure grantees 
16

understand their responsibilities for documenting all expenditures of 2019 

EAI Program funds. In general, these documentation requirements are 

identical to those ordinarily required for all Federal education program 

expenditures; the primary impact of the Improper Payments Information Act 

will be increased review of this documentation.

VI. Award Administration Information

1. Award Notices: If you receive a grant award under the 2019 EAI 

Program, we notify your U.S. Representative and U.S. Senators and send you 

a Grant Award Notification (GAN); or we may send you an email containing a 

link to access an electronic version of your GAN. We may notify you 

informally, also. 

2. Reporting: (a) If you apply for a grant under the program, you 

must ensure that you have in place the necessary processes and systems to 

comply with the reporting requirements in 2 CFR part 170 should you 

receive funding. This does not apply if you have an exception under 2 CFR 

170.110(b).

(b) At the end of your project period, you must submit a final 

performance report, including financial information, as directed by the 

Secretary. The Secretary may also require more frequent performance 

reports under 34 CFR 75.720(c).

3. Performance Measure: The Secretary has established the number of 

enrolled students receiving 2019 EAI Program funding as the performance 

measure for assessing the effectiveness of the 2019 EAI Program.

VII. Other Information

Accessible Format: Individuals with disabilities can obtain this document 

and a copy of the application package in an accessible format (e.g., 
17

braille, large print, audiotape, or compact disc) on request to one of the 

persons listed under FOR FURTHER INFORMATION CONTACT. 

Electronic Access to This Document: The official version of this document 

is the document published in the Federal Register. You may access the 

official edition of the Federal Register and the Code of Federal 

Regulations at www.govinfo.gov. At this site you can view this document, 

as well as all other documents of this Department published in the Federal 

Register, in text or PDF. To use PDF you must have Adobe Acrobat Reader, 

which is available free at the site. 

You may also access documents of the Department published in the 

Federal Register by using the article search feature at: 

www.federalregister.gov. Specifically, through the advanced feature at 

this site, you can limit your search to documents published by the 

Department.

Dated:

_ /s/ ___________________________ 

Robert King,

Assistant Secretary for the Office of Postsecondary 

Education.
18

Relevant Legislation

Legislation

• Bipartisan Budget Act of 2018, Public Law 115–123. 

• The Additional Supplemental Appropriations for Disaster Relief Act, 2019, Public Law 116–20.

Regulations

• The Education Department General Administrative Regulations in 34 CFR parts 75, 77, 79, 81, 82, 84, 

97, 98, and 99.

• The Office of Management and Budget Guidelines to Agencies on Governmentwide Debarment and 

Suspension (Nonprocurement) in 2 CFR part 180, as adopted and amended as regulations of the 

Department in 2 CFR part 3485.

Government-Wide Guidance

• The Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal 

Awards in 2 CFR part 200, as adopted and amended as regulations of the Department in 2 CFR part 

3474.

General Education Provisions Act (GEPA) Section 427

Section 427 of GEPA requires all applicants for new awards to include in their applications a description of the 

steps the applicant proposes to take to ensure equitable access to, and participation in, its federally-assisted 

programs for students, teachers, and other program beneficiaries with special needs. The 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. 

A general statement of an applicant’s nondiscriminatory hiring policy is not sufficient to meet this requirement. 

Applicants must identify potential barriers and explain steps they will take to overcome these barriers.

NOTE: Applicants must include information in their applications to address this provision in order to 

receive funding under this program. See Part IV (3).
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Government Performance and Results Act (GPRA)

What is GPRA?

The Government Performance and Results Act of 1993 (GPRA) requires all federal agencies to manage their 

activities with attention to the consequences of those activities. Each agency is to clearly state what it intends to 

accomplish, identify the resources required, and periodically report their progress to Congress. In so doing, it is 

expected that the GPRA will contribute to improvements in accountability for the expenditures of public funds, 

improve Congressional decision-making through more objective information on the effectiveness of federal 

programs, and promote a new government focus on results, service delivery, and customer satisfaction.

How has the Department of Education Responded to the GPRA Requirements?

As required by GPRA, the Department of Education has prepared a strategic plan for 2018–2022. This plan 

reflects the Department’s priorities and integrates them with its mission and program authorities and describes 

how the Department will work to improve education for all children and adults in the U.S. The 2018–2022 plan 

includes the following four goals:

Goal 1: Support state and local efforts to improve learning outcomes for all P-12 students in 

every community.

Goal 2: Expand postsecondary educational opportunities, improve outcomes to foster economic 

opportunity and promote informed, thoughtful and productive citizenry.

Goal 3: Strengthen the quality, accessibility and use of education data through better 

management, increased privacy protections and transparency. 

Goal 4: Reform the effectiveness, efficiency and accountability of the Department.

What are the performance indicators for the EAI Program?

The performance indicators for the EAI Program are part of the Department’s plan for meeting Goal 2. The 

specific goal for EAI is “assist activities directly related to mitigating the effects of a covered disaster or 

emergency on students and institutions.” 

How does the Department of Education determine whether performance goals have been met?

An applicant that receives a grant award will be required to submit a final performance report, including

financial information, as directed by the Secretary. If the applicant receives a multiyear award, they must 

submit annual performance reports that provide the most current performance and financial expenditure 

information. 

The key performance measure used to assess the effectiveness of the EAI Program will be the number of 

enrolled students receiving EAI program funding.
20

Instructions for Submitting and Completing the Application Package

Application Transmittal Instructions

Submit an application in electronic portable document format (PDF) or Microsoft Word format via email to 

EAIProgram@ed.gov and mail the original and two copies of your application by express mail service through 

the U.S. Postal Service or through a commercial carrier to the program contact person listed below. 

Program Lead: Beatriz Ceja

Address: U.S. Department of Education

400 Maryland Avenue, S.W., Room 260-04

Washington, D.C. 20202 

Telephone: (202) 453-6239 

E-mail Address: Beatriz.Ceja@ed.gov
21

2019 Emergency Assistance to Institutions of Higher Education Program Application

Instructions for Completing the Application Package

The EAI application consists of the following four parts. These parts are organized in the same manner that the 

submitted application should be organized. All necessary forms are included in this application package. 

Part I: Application Cover Sheet

• Application for Federal Assistance (SF-424)

• Department of Education Supplemental Information for SF-424

• Application Cover Sheet 

Part II: Program Budget

• Department of Education Budget Information Non-Construction Programs Form (ED 

524)

Part III: Application Narrative

• Needs and Severity Narrative

• Proposed Use of Funds 

Part IV: Compliance with Legislative Requirements

• Compliance Assurances 

• Assurances for Non-Construction and Construction Programs (SF-424B and D)

• ED-GEPA 427 Form

• Disclosure Form to Report Lobbying (SF-LLL)

• Certifications Regarding Lobbying (ED 80-0013)
22

Instructions for Standard Forms

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 by 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 Carolina’s 103 district. If all congressional 

districts in a state are affected, enter “all” for the 

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 application, enter 
23

the federal identifier in accordance with agency 

instructions.

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 Central Contractor Registry 

(CCR). Information on registering with CCR 

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. 

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

M. Nonprofit

N. Private 

Institution of 

Higher 

Education
24

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 

Designated 

Organization

L. Public/Indian 

Housing Authority

O. Individual

P. For-Profit 

Organization 

(Other than 

Small 

Business)

Q. Small 

Business

R. Hispanicserving 

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)

[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.]
25

Instructions for the 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.

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 1894-0007. 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, 400 Maryland Avenue, S.W., Washington, D.C. 20202-4537. 

If you have comments or concerns regarding the status of your individual submission of this form write directly to: Application 

Control Center, U.S. Department of Education, Potomac Center Plaza, 550 12th Street, S.W. Room 7076, Washington, D.C. 20202-

4260.
Definitions for the 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 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.
Instructions for ED 524

General Instructions

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. You may access the Education Department General Administrative 

Regulations, 34 CFR 74 – 86 and 97-99, on ED’s website at:

http://www.ed.gov/policy/fund/reg/edgarReg/edgar.html

You must consult with your Business Office prior to submitting this form.

Section A - Budget Summary

U.S. Department of Education Funds

All applicants must complete Section A and provide a break-down 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. 

If you checked “no,” ED generally will authorize grantees to use a temporary rate of 10 percent of budgeted salaries and 

wages subject to the following limitations: 

(a) The grantee must submit an indirect cost proposal to its cognizant agency within 90 days after ED issues a 

grant award notification; and 

(b) If after the 90-day period, the grantee has not submitted an indirect cost proposal to its cognizant agency, the 

grantee may not charge its grant for indirect costs until it has negotiated an indirect cost rate agreement with its cognizant 

agency. 

(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, another Federal agency (Other) or State agency issued the approved 

agreement. If you check “Other,” specify the name of the Federal or other 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

Non-Federal Funds

If you are required to provide or volunteer to provide cost-sharing or 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 this space blank.

Section C - Budget Narrative [Attach separate sheet(s)]

Pay attention to applicable program specific instructions, 

if attached.

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 subprojects, show for each budget category of a project year the breakdown of the specific expenses attributable to each 

sub-project or activity.

2. For non-Federal funds or resources listed in Section B that are used to meet a cost-sharing or matching requirement 

or provided as a voluntary cost-sharing or matching commitment, you must include: 

a. The specific costs or contributions by budget category; 

b. The source of the costs or contributions; and

c. In the case of third-party in-kind contributions, a description of how the value was determined for the donated or 

contributed goods or services.

[Please review ED’s general cost sharing and matching regulations, which include specific limitations, in 34 CFR 

74.23, applicable to non-governmental entities, and 80.24, applicable to governments, and the applicable Office of 

Management and Budget (OMB) cost principles for your entity type regarding donations, capital assets, depreciation 

and use allowances. OMB cost principle circulars are available on OMB’s website at: 

http://www.whitehouse.gov/omb/circulars/index.html]

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

4. 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. 

You may also contact (202) 377-3838 for additional information regarding calculating indirect cost rates or general 

indirect cost rate information.

5. 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 1894-0008. 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, D.C. 20202-4537. If you have comments or concerns regarding the status of your individual 

submission of this form, write directly to U.S. Department of Education, 400 Maryland Avenue, S.W., Washington, D.C. 

20202.
NOTICE TO ALL APPLICANTS

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 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.

(4) An applicant that proposes a project to increase 

school safety might describe the special efforts it 

will take to address concern of lesbian, gay, 

bisexual, and transgender students, and efforts to 

reach out to and involve the families of LGBT 

students.

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. Public reporting burden for this collection of information is estimated to average 1.5 hours 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. The obligation to respond to this collection is required to obtain or retain benefit

(Public Law 103-382). Send comments regarding the burden estimate or any other aspect of this collection of information, including

suggestions for reducing this burden, to the U.S. Department of Education, 400 Maryland Ave., SW, Washington, DC 20210-4537 or email

ICDocketMgr@ed.gov and reference the OMB Control Number 1894-0005.
Instructions for Completion of Disclosure of Lobbying Activities (SF-LLL)

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
33

Standard Forms

The following pages include the standard forms required in completing the 2019 EAI application. These forms

included in this application package may also be found at 

https://www2.ed.gov/fund/grant/apply/appforms/appforms.html
OMB Number: 4040-0004

Expiration Date: 03/31/2012

Application for Federal Assistance SF-424 

*1. Type of Submission:

 Preapplication

 Application

 Changed/Corrected Application

*2. Type of Application:

 New

 Continuation

 Revision 

* If Revision, select appropriate letter(s):

 

*Other (Specify):

* 3. Date Received: 4. Applicant Identifier:

5a. Federal Entity Identifier: *5b. Federal Award Identifier:

State Use Only:

6. Date Received by State: 7. State Application Identifier: 

8. APPLICANT INFORMATION: 

*a. Legal Name: 

*b. Employer/Taxpayer Identification Number (EIN/TIN): *c. Organizational DUNS:

d. Address:

*Street 1:

 Street 2:

*City:

 County/Parish:

*State:

 Province:

*Country:

*Zip / Postal Code:

e. Organizational Unit:

Department Name: Division Name:

f. Name and contact information of person to be contacted on matters involving this application:

Prefix: *First Name: 

Middle Name:

*Last Name:

Suffix:

Title:

Organizational Affiliation:

Completed by Grants.gov upon submission
*Telephone Number: Fax Number: 

*Email: 

Application for Federal Assistance SF-424 

9. Type of Applicant 1: Select Applicant Type:

 

Type of Applicant 2: Select Applicant Type:

 

Type of Applicant 3: Select Applicant Type:

 

*Other (Specify)

*10 Name of Federal Agency:

11. Catalog of Federal Domestic Assistance Number:

CFDA Title:

*12 Funding Opportunity Number:

*Title:

13. Competition Identification Number:

Title:

14. Areas Affected by Project (Cities, Counties, States, etc.):
*15. Descriptive Title of Applicant’s Project:

16. Congressional Districts Of:

*a. Applicant: *b. Program/Project: 

Attach an additional list of Program/Project Congressional Districts if needed. 

17. Proposed Project:

*a. Start Date: *b. End Date: 

18. Estimated Funding ($):

*a. Federal

*b. Applicant

*c. State

*d. Local

*e. Other

*f. Program Income

*g. TOTAL

*19. Is Application Subject to Review By State Under Executive Order 12372 Process?

 a. This application was made available to the State under the Executive Order 12372 Process for review on 

 b. Program is subject to E.O. 12372 but has not been selected by the State for review.

 c. Program is not covered by E.O. 12372.

*20. Is the Applicant Delinquent On Any Federal Debt? (If “Yes,” provide explanation in attachment.)

 Yes No

If “Yes”, provide explanation and attach.

21. *By signing this application, I certify (1) to the statements contained in the list of certifications** and (2) that the 

statements herein are true, complete and accurate to the best of my knowledge. I also provide the required assurances** 

and agree to comply with any resulting terms if I accept an award. I am aware that any false, fictitious, or fraudulent 

statements or claims may subject me to criminal, civil, or administrative penalties. (U. S. Code, Title 218, Section 1001)

Attach supporting documents as specified in agency instructions.
 ** I AGREE

** The list of certifications and assurances, or an internet site where you may obtain this list, is contained in the announcement or 

agency specific instructions.

Authorized Representative:

Prefix: *First Name: 

Middle Name:

*Last Name:

Suffix:

*Title: 

*Telephone Number: Fax Number: 

* Email: 

*Signature of Authorized Representative: *Date Signed: 
U.S. Department of Education

Supplemental Information for the SF-424

1. Project Director:

Prefix: * First Name: Middle Name: * Last Name: Suffix:

 

 Address:

 * Street1:

 Street2:

 * City:

 County:

 * State: * Zip Code: Country:

 * Phone Number (give area code): Fax Number (give area code):

 * Email Address:

2. Novice Applicant:

Are you a novice applicant as defined in the regulations in 34 CFR 75.225 (and included in the definitions page 

in the attached instructions)? 

 Yes No

3. Human Subjects Research:

a. Are any research activities involving human subjects planned at any time during the proposed Project 

Period?

Yes No

b. Are ALL the research activities proposed designated to be exempt from the regulations?

Yes Provide Exemption(s) # (s): ⁪ 1 ⁪ 2 ⁪ 3 ⁪ 4 ⁪ 5 ⁪ 6 7 8

No Provide Assurance #(s), if available:

c. If applicable, please attach your “Exempt Research” or “Nonexempt Research” narrative to this form as 

indicated in the definitions page in the attached instructions. 

OMB Number: 1894-0007 

Expiration Date: 9/30/2020

 
Previous Edition Usable Standard Form 424B (Rev. 7-97)

Authorized for Local Reproduction Prescribed by OMB Circular A-102

OMB Approval No. 0348-0040

ASSURANCES - NON-CONSTRUCTION PROGRAMS

Public reporting burden for this collection of information is estimated to average 15 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 (0348-0040), 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.

Note: Certain of these assurances may not be applicable to your project or program. If you have questions, please contact the awarding 

agency. Further, certain Federal awarding agencies may require applicants to certify to additional assurances. If such is the case, you 

will be notified.

As the duly authorized representative of the applicant I certify that the applicant:

1. Has the legal authority to apply for Federal assistance, and the 

institutional, managerial and financial capability (including 

funds sufficient to pay the non-Federal share of project cost) 

to ensure proper planning, management, and completion of the 

project described in this application.

2. Will give the awarding agency, the Comptroller General of the 

United States, and if appropriate, the State, through any 

authorized representative, access to and the right to examine 

all records, books, papers, or documents related to the award; 

and will establish a proper accounting system in accordance 

with generally accepted accounting standards or agency 

directives.

3. Will establish safeguards to prohibit employees from using 

their positions for a purpose that constitutes or presents the 

appearance of personal or organizational conflict of interest, 

or personal gain.

4. Will initiate and complete the work within the applicable time 

frame after receipt of approval of the awarding agency.

5. Will comply with the Intergovernmental Personnel Act of 

1970 (42 U.S.C. ∋∋4728-4763) relating to prescribed standards 

for merit systems for programs funded under one of the 19 

statutes or regulations specified in Appendix A of OPM's 

Standards for a Merit System of Personnel Administration (5 

C.F.R. 900, Subpart F).

6. Will comply with all Federal statutes relating to 

nondiscrimination. These include but are not limited to: (a) 

Title VI of the Civil Rights Act of 1964 (P.L. 88-352) which 

prohibits discrimination on the basis of race, color or national 

origin; (b) Title IX of the Education Amendments of 1972, as 

amended (20 U.S.C. ∋∋1681-1683, and 1685-1686), which 

prohibits discrimination on the basis of sex; (c) Section 504 of 

the Rehabilitation Act of 1973, as amended (29 U.S.C. ∋794), 

which prohibits discrimination on the basis of handicaps; (d) 

the Age Discrimination Act of 1975, as amended (42 U.S.C. 

∋∋ 6101-6107), which prohibits discrimination on the basis of 

age; (e) the Drug Abuse Office and Treatment Act of 1972 

(P.L. 92-255), as amended, relating to nondiscrimination on 

the basis of drug abuse; (f) the Comprehensive Alcohol Abuse 

and Alcoholism Prevention, Treatment and Rehabilitation Act 

of 1970 (P.L. 91-616), as amended, relating to 

nondiscrimination on the basis of alcohol abuse or alcoholism; 

(g) ∋∋ 523 and 527 of the Public Health Service Act of 1912 

(42 U.S.C. ∋∋ 290 dd-3 and 290 ee 3), as amended, relating to 

confidentiality of alcohol and drug abuse patient records; (h) 

Title VIII of the Civil Rights Act of 1968 (42 U.S.C. ∋ 3601 et 

seq.), as amended, relating to nondiscrimination in the sale, 

rental or financing of housing; (i) any other nondiscrimination 

provisions in the specific statute(s) under which application 

for Federal assistance is being made; and (j) the requirements 

of any other nondiscrimination statute(s) which may apply to 

the application.

7. Will comply, or has already complied, with the requirements 

of Titles II and III of the uniform Relocation Assistance and 

Real Property Acquisition Policies Act of 1970 (P.L. 91-646) 

which provide for fair and equitable treatment of persons 

displaced or whose property is acquired as a result of Federal 

or federally assisted programs. These requirements apply to all 

interests in real property acquired for project purposes 

regardless of Federal participation in purchases.

8. Will comply, as applicable, with the provisions of the Hatch 

Act (5 U.S.C. ∋∋1501-1508 and 7324-7328) which limit the 

political activities of employees whose principal employment 

activities are funded in whole or in part with Federal funds.
9. Will comply, as applicable, with the provisions of the DavisBacon Act (40 U.S.C. ∋∋276a to 276a-7), the Copeland Act (40 

U.S.C. ∋276c and 18 U.S.C. ∋∋874) and the Contract Work 

Hours and Safety Standards Act (40 U.S.C. ∋∋ 327-333), 

regarding labor standards for federally assisted construction 

subagreements.

10. Will comply, if applicable, with flood insurance purchase 

requirements of Section 102(a) of the Flood Disaster 

Protection Act of 1973 (P.L. 93-234) which requires recipients 

in a special flood hazard area to participate in the program and 

to purchase flood insurance if the total cost of insurable 

construction and acquisition is $10,000 or more. 

11. Will comply with environmental standards which may be 

prescribed pursuant to the following: (a) institution of 

environmental quality control measures under the National 

Environmental Policy Act of 1969 (P.L. 91-190) and 

Executive Order (EO) 11514; (b) notification of violating 

facilities pursuant to EO 11738; (c) protection of wetlands 

pursuant to EO 11990; (d) evaluation of flood hazards in 

floodplains in accordance with EO 11988; (e) assurance of 

project consistency with the approved State management 

program developed under the Coastal Zone Management Act 

of 1972 (16 U.S.C. ∋∋1451 et seq.); (f) conformity of Federal 

actions to State (Clear Air) Implementation Plans under 

Section 176(c) of the Clear Air Act of 1955, as amended (42 

U.S.C. ∋∋7401 et seq.); (g) protection of underground sources 

of drinking water under the Safe Drinking Water Act of 1974, 

as amended, (P.L. 93-523); and (h) protection of endangered 

species under the Endangered Species Act of 1973, as 

amended, (P.L. 93-205).

12 Will comply with the Wild and Scenic Rivers Act of 1968 (16 

U.S.C. ∋∋1721 et seq.) related to protecting components or 

potential components of the national wild and scenic rivers 

system.

13. Will assist the awarding agency in assuring compliance with 

Section 106 of the National Historic Preservation Act of 1966, 

as amended (16 U.S.C. ∋470), EO 11593 (identification and 

protection of historic properties), and the Archaeological and 

Historic Preservation Act of 1974 (16 U.S.C. ∋∋469a-1 et seq.).

14. Will comply with P.L. 93-348 regarding the protection of 

human subjects involved in research, development, and related 

activities supported by this award of assistance. 

15. Will comply with the Laboratory Animal Welfare Act of 1966 

(P.L. 89-544, as amended, 7 U.S.C. ∋∋2131 et seq.) pertaining 

to the care, handling, and treatment of warm blooded animals 

held for research, teaching, or other activities supported by this 

award of assistance.

16. Will comply with the Lead-Based Paint Poisoning Prevention 

Act (42 U.S.C. ∋∋4801 et seq.) which prohibits the use of leadbased paint in construction or rehabilitation of residence 

structures.

17. Will cause to be performed the required financial and 

compliance audits in accordance with the Single Audit Act 

Amendments of 1996 and OMB Circular No. A-133, ΑAudits 

of States, Local Governments, and Non-Profit Organizations.≅

18. Will comply with all applicable requirements of all other 

Federal laws, executive orders, regulations and policies 

governing this program.

SIGNATURE OF AUTHORIZED CERTIFYING OFFICIAL TITLE

APPLICANT ORGANIZATION DATE SUBMITTED
OMB Number: 4040-0009

Expiration Date: 02/28/2022

ASSURANCES - CONSTRUCTION PROGRAMS

Note: Certain of these assurances may not be applicable to your project or program. If you have questions, please contact the awarding agency. Further, 

certain Federal awarding agencies may require applicants to certify to additional assurances. If such is the case, you will be notified.

As the duly authorized representative of the applicant, I certify that the applicant:

1. Has the legal authority to apply for Federal assistance, and 

the institutional, managerial and financial capability 

(including funds sufficient to pay the non-Federal share of 

project costs) to ensure proper planning, management and 

completion of project described in this application.

2. Will give the awarding agency, the Comptroller General of 

the United States and, if appropriate, the State, the right to 

examine all records, books, papers, or documents related to 

the assistance; and will establish a proper accounting system 

in accordance with generally accepted accounting standards 

or agency directives.

3. Will not dispose of, modify the use of, or change the terms 

of the real property title or other interest in the site and 

facilities without permission and instructions from the 

awarding agency. Will record the Federal awarding agency 

directives and will include a covenant in the title of real 

property acquired in whole or in part with Federal assistance 

funds to assure non- discrimination during the useful life of 

the project.

4. Will comply with the requirements of the assistance 

awarding agency with regard to the drafting, review and 

approval of construction plans and specifications.

5. Will provide and maintain competent and adequate 

engineering supervision at the construction site to ensure 

that the complete work conforms with the approved plans 

and specifications and will furnish progressive reports and 

such other information as may be required by the assistance 

awarding agency or State.

6. Will initiate and complete the work within the applicable 

time frame after receipt of approval of the awarding agency.

7. Will establish safeguards to prohibit employees from using 

their positions for a purpose that constitutes or presents the 

appearance of personal or organizational conflict of interest, 

or personal gain.

8. Will comply with the Intergovernmental Personnel Act of 

1970 (42 U.S.C. §§4728-4763) relating to prescribed 

standards of merit systems for programs funded under one of 

the 19 statutes or regulations specified in Appendix A of 

OPM's Standards for a Merit System of Personnel 

Administration (5 C.F.R. 900, Subpart F).

9. Will comply with the Lead-Based Paint Poisoning 

Prevention Act (42 U.S.C. §§4801 et seq.) which prohibits 

the use of lead-based paint in construction or rehabilitation 

of residence structures.

10. Will comply with all Federal statutes relating to nondiscrimination. These include but are not limited to: (a) Title 

VI of the Civil Rights Act of 1964 (P.L. 88-352) which 

prohibits discrimination on the basis of race, color or 

national origin; (b) Title IX of the Education Amendments 

of 1972, as amended (20 U.S.C. §§1681 1683, and 1685-

1686), which prohibits discrimination on the basis of sex; (c) 

Section 504 of the Rehabilitation Act of 1973, as amended 

(29) U.S.C. §794), which prohibits discrimination on the 

basis of handicaps; (d) the Age Discrimination Act of 1975, 

as amended (42 U.S.C. §§6101-6107), which prohibits 

discrimination on the basis of age; (e) the Drug Abuse Office 

and Treatment Act of 1972 (P.L. 92-255), as amended 

relating to nondiscrimination on the basis of drug abuse; (f) 

the Comprehensive Alcohol Abuse and Alcoholism 

Prevention, Treatment and Rehabilitation Act of 1970 (P.L. 

91-616), as amended, relating to nondiscrimination on the 

basis of alcohol abuse or alcoholism; (g) §§523 and 527 of 

the Public Health Service Act of 1912 (42 U.S.C. §§290 dd3 and 290 ee 3), as amended, relating to confidentiality of 

alcohol and drug abuse patient records; (h) Title VIII of the 

Civil Rights Act of 1968 (42 U.S.C. §§3601 et seq.), as 

amended, relating to nondiscrimination in the sale, rental or 

financing of housing; (i) any other nondiscrimination 

provisions in the specific statue(s) under which application 

for Federal assistance is being made; and (j) the requirements 

of any other nondiscrimination statue(s) which may apply to 

the application.

Public reporting burden for this collection of information is estimated to average 15 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 (0348-0042), 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.
11. Will comply, or has already complied, with the requirements 

of Titles II and III of the Uniform Relocation Assistance and 

Real Property Acquisition Policies Act of 1970 (P.L. 91-

646) which provide for fair and equitable treatment of 

persons displaced or whose property is acquired as a result 

of Federal and federally-assisted programs. These 

requirements apply to all interests in real property acquired 

for project purposes regardless of Federal participation in

purchases.

12. Will comply with the provisions of the Hatch Act (5 U.S.C.

§§1501-1508 and 7324-7328) which limit the political 

activities of employees whose principal employment 

activities are funded in whole or in part with Federal funds.

13. Will comply, as applicable, with the provisions of the DavisBacon Act (40 U.S.C. §§276a to 276a-7), the Copeland Act 

(40 U.S.C. §276c and 18 U.S.C. §874), and the Contract 

Work Hours and Safety Standards Act (40 U.S.C. §§327-

333) regarding labor standards for federally-assisted 

construction subagreements.

14. Will comply with flood insurance purchase requirements of 

Section 102(a) of the Flood Disaster Protection Act of 1973 

(P.L. 93-234) which requires recipients in a special flood 

hazard area to participate in the program and to purchase 

flood insurance if the total cost of insurable construction and 

acquisition is $10,000 or more.

15. Will comply with environmental standards which may be 

prescribed pursuant to the following: (a) institution of 

environmental quality control measures under the National 

Environmental Policy Act of 1969 (P.L. 91-190) and 

Executive Order (EO) 11514; (b) notification of violating 

facilities pursuant to EO 11738; (c) protection of wetlands 

pursuant to EO 11990; (d) evaluation of flood hazards in 

floodplains in accordance with EO 11988; (e) assurance of 

project consistency with the approved State management 

program developed under the Coastal Zone Management 

Act of 1972 (16 U.S.C. §§1451 et seq.); (f) conformity of

Federal actions to State (Clean Air) implementation Plans under 

Section 176(c) of the Clean Air Act of 1955, as amended (42 

U.S.C. §§7401 et seq.); (g) protection of underground 

sources of drinking water under the Safe Drinking Water Act 

of 1974, as amended (P.L. 93-523); and, (h) protection of 

endangered species under the Endangered Species Act of 

1973, as amended (P.L. 93-205).

16. Will comply with the Wild and Scenic Rivers Act of 1968 

(16 U.S.C. §§1271 et seq.) related to protecting components 

or potential components of the national wild and scenic 

rivers system.

17. Will assist the awarding agency in assuring compliance with 

Section 106 of the National Historic Preservation Act of 

1966, as amended (16 U.S.C. §470), EO 11593 

(identification and protection of historic properties), and the 

Archaeological and Historic Preservation Act of 1974 (16 

U.S.C. §§469a-1 et seq).

18. Will cause to be performed the required financial and 

compliance audits in accordance with the Single Audit Act 

Amendments of 1996 and OMB Circular No. A-133, "Audits 

of States, Local Governments, and Non-Profit 

Organizations."

19. Will comply with all applicable requirements of all other 

Federal laws, executive orders, regulations, and policies 

governing this program.

20. Will comply with the requirements of Section 106(g) of the 

Trafficking Victims Protection Act (TVPA) of 2000, as 

amended (22 U.S.C. 7104) which prohibits grant award 

recipients or a sub-recipient from (1) Engaging in severe 

forms of trafficking in persons during the period of time that 

the award is in effect (2) Procuring a commercial sex act 

during the period of time that the award is in effect or (3) 

Using forced labor in the performance of the award or 

subawards under the award.

SIGNATURE OF AUTHORIZED CERTIFYING OFFICIAL TITLE

APPLICANT ORGANIZATION DATE SUBMITTED

SF-424D (Rev. 7-97) Back
Approved by OMB 0348-0046

Disclosure of Lobbying Activities

Complete this form to disclose lobbying activities pursuant to 31 U.S.C. 1352

(See reverse for public burden disclosure)

1. Type of Federal Action:

 a. contract

____ b. grant

 c. cooperative agreement

 d. loan

 e. loan guarantee

 f. loan insurance 

2. Status of Federal Action:

 a. bid/offer/application

 _____ b. initial award

 c. post-award 

3. Report Type:

 a. initial filing

_____ b. material change

For material change only:

Year _______ quarter _______

Date of last report___________

 

4. Name and Address of Reporting Entity:

 ____ Prime _____ Subawardee

 Tier______, if Known: 

 Congressional District, if known: 

5. If Reporting Entity in No. 4 is Subawardee, 

Enter Name and Address of Prime: 

 Congressional District, if known: 

6. Federal Department/Agency: 7. Federal Program Name/Description: 

CFDA Number, if applicable: ____________

8. Federal Action Number, if known: 9. Award Amount, if known: 

$ 

10. a. Name and Address of Lobbying Registrant

(if individual, last name, first name, MI): 

b. Individuals Performing Services (including address if 

different from No. 10a)

 (last name, first name, MI): 

11. Information requested through this form is 

authorized by title 31 U.S.C. section 1352. This 

disclosure of lobbying activities is a material 

representation of fact upon which reliance was placed 

by the tier above when this transaction was made or 

entered into. This disclosure is required pursuant to 31 

U.S.C. 1352. This information will be reported to the 

Congress semi-annually and will be available for public 

inspection. Any person who fails to file the required 

disclosure shall be subject to a civil penalty of not less 

than $10,000 and not more than $100,000 for each such 

failure.

Signature: __________________________________

Print Name: _____

Title: _____

Telephone No.: ____________ Date: _______

Federal Use Only Authorized for Local Reproduction

Standard Form - LLL (Rev. 7-97)
CERTIFICATION REGARDING LOBBYING (80-0013)

Certification for Contracts, Grants, Loans, and Cooperative Agreements 

The undersigned certifies, to the best of his or her knowledge and belief, that: 

(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any 

person for influencing or attempting to influence an officer or employee of an agency, a Member of 

Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with 

the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the 

entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or 

modification of any Federal contract, grant, loan, or cooperative agreement. 

(2) If any funds other than Federal appropriated funds have been paid or will be paid to any person 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 this Federal 

contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard 

Form-LLL, ''Disclosure of Lobbying Activities,'' in accordance with its instructions. 

(3) The undersigned shall require that the language of this certification be included in the award documents 

for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and 

cooperative agreements) and that all subrecipients shall certify and disclose accordingly. This certification 

is a material representation of fact upon which reliance was placed when this transaction was made or 

entered into. Submission of this certification is a prerequisite for making or entering into this transaction 

imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required certification shall be 

subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. 

Statement for Loan Guarantees and Loan Insurance 

The undersigned states, to the best of his or her knowledge and belief, that: 

If any funds have been paid or will be paid to any person 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 this commitment providing for the United States to insure or 

guarantee a loan, the undersigned shall complete and submit Standard Form-LLL, ''Disclosure of Lobbying 

Activities,'' in accordance with its instructions. Submission of this statement is a prerequisite for making or 

entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the 

required statement shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 

for each such failure. 

* APPLICANT’S ORGANIZATION

* PRINTED NAME AND TITLE OF AUTHORIZED REPRESENTATIVE

 

Prefix: * First Name: Middle Name: 

* Last Name: Suffix: 

* Title: 

* SIGNATURE: * DATE: 
U.S. DEPARTMENT OF EDUCATION

BUDGET INFORMATION NON-CONSTRUCTION PROGRAMS

OMB Control Number: 1894-0008

Expiration Date: 08/31/2020

Name of Institution/Organization Applicants requesting funding for only one year should complete the column under 

"Project Year 1." Applicants requesting funding for multi-year grants should complete all 

applicable columns. Please read all instructions before completing form.

SECTION A - BUDGET SUMMARY U.S. DEPARTMENT OF EDUCATION FUNDS

Budget Categories Project Year 1

(a)

Project Year 2

(b)

Project Year 3

(c)

Project Year 4

(d)

Project Year 5

(e)

Total

(f)

1. Personnel

2. Fringe Benefits

3. Travel

4. Equipment

5. Supplies

6. Contractual

7. Construction

8. Other

9. Total Direct Costs (lines 1-8)

10. Indirect Costs

 *Enter Rate Applied

11. Training Stipends

12. Total Costs (lines 9-11)

*Indirect Cost Information (To Be Completed by Your Business Office):

If you are requesting reimbursement for indirect costs on line 10, please answer the following questions:

(1) Do you have an Indirect Cost Rate Agreement approved by the Federal government? ____Yes ____No. 

(2) If yes, please provide the following information:

 Period Covered by the Indirect Cost Rate Agreement: From: ___/___/______ To: ___/___/______ (mm/dd/yyyy)

 Approving Federal agency: ____ED ____Other (please specify): __________________________ The Indirect Cost Rate is _________%

(3) If this is your first Federal grant, and you do not have an approved indirect cost rate agreement, are not a State, Local government or Indian Tribe, and are not funded 

under a training rate program or a restricted rate program, do you want to use the de minimis rate of 10% of MTDC? ____Yes ____No. If yes, you must comply 

with the requirements of 2 CFR § 200.414(f).

(4) If you do not have an approved indirect cost rate agreement, do you want to use the temporary rate of 10% of budgeted salaries and wages? ____Yes ____No. If

yes, you must submit a proposed indirect cost rate agreement within 90 days after the date your grant is awarded, as required by 34 CFR § 75.560.

(5) For Restricted Rate Programs (check one) -- Are you using a restricted indirect cost rate that:___ Is included in your approved Indirect Cost Rate Agreement? 

 Or ___ Complies with 34 CFR 76.564(c)(2)? The Restricted Indirect Cost Rate is _________%

(6) For Training Rate Programs (check one) -- Are you using a rate that: ____Is based on the training rate of 8 percent of MTDC (See EDGAR § 75.562(c)(4))? Or 

____Is included in your approved Indirect Cost Rate Agreement, because it is lower than the training rate of 8 percent of MTDC (See EDGAR § 75.562(c)(4)).

 ED 524
46

 ED 524

Name of Institution/Organization Applicants requesting funding for only one year should complete the column under 

"Project Year 1." Applicants requesting funding for multi-year grants should complete all applicable 

columns. Please read all instructions before completing form.

SECTION B - BUDGET SUMMARY

NON-FEDERAL FUNDS

Budget Categories

Project Year 1

(a)

Project Year 2

(b)

Project Year 3

(c)

Project Year 4

(d)

Project Year 5

(e)

Total

(f)

1. Personnel

2. Fringe Benefits

3. Travel

4. Equipment

5. Supplies

6. Contractual

7. Construction

8. Other

9. Total Direct Costs

(Lines 1-8)

10. Indirect Costs

11. Training Stipends

12. Total Costs

(Lines 9-11)

SECTION C – BUDGET NARRATIVE (see instructions)
2019 Emergency Assistance to Institutions of Higher Education Program Application

Part I: Application Cover Sheet

All applicants must complete this page. 

DO NOT MODIFY OR AMEND THESE PAGES.

Applicant’s Information

Institution (Legal Name) ____________________________________________________________________

Are you applying as a branch campus? ____ YES ____ NO Address _______________________________ 

City_________________________ State ____ Zip ____________ DUNS Number _____________________ 

Institution’s Data

Number of Days Closed as a Result of the Covered Disaster ________________________________________

Institution’s Enrollment: Prior to the Disaster ___________________ After the Disaster _________________

Number of Students the Institution Knows to be Homeless or at Risk of Being Homeless _________________

NOTE: The Department will prioritize, to the extent possible, projects that support institutions serving 

students who are homeless or at risk of being homes as a result of displacement, and institutions that have 

sustained extensive damage, as a result of the covered disaster.

Applicant’s Assurance

To the best of my knowledge and belief, all the information and data in this application are true and correct.

President/Chancellor or Authorized Representative (Print) _________________________________________

Signature of President/Chancellor or Authorized Representative ____________________________________

Telephone ____________________________ Date ______________________________________________
48

2019 Emergency Assistance to Institutions of Higher Education Program Application

Part II: Program Budget

Part II of the 2019 EAI Application involves completing the Department of Education Budget Information NonConstruction Programs Form (ED 524) included in this application package, with the other required standard 

forms.
49

2019 Emergency Assistance to Institutions of Higher Education Program Application

Part III: Application Narrative

All applicants must complete this page. 

DO NOT MODIFY OR AMEND THESE PAGES.

1. Needs and Severity Narrative: Applicants must describe the covered disaster’s or emergency’s 

impact on the institution and the need for funds. Applicants must also describe the severity of the 

damage to the institution’s ability to return to full capacity.

2. Proposed Use of Funds: To the extent possible, applicants must identify the proposed or actual 

services or assistance to be paid for with the requested grant funds and explain how the services or 

assistance is consistent with the allowable uses of funds under the 2019 EAI Program.

3. Compliance Assurance: Applicants must provide an assurance that they will comply with all 

requirements that apply to the 2019 EAI Program, including but not limited to: providing required 

certifications that all funds are expended on allowable activities; complying with reporting 

requirements; cooperating with any Inspector General inquiries; complying with applicable Office of 

Management and Budget assurances; and providing the required certification regarding restrictions 

on the use of funds for lobbying and a description of the steps the Applicant is taking to ensure 

accountability for the use of Program funds and compliance with legislative requirements.

4. Allocation Criteria: The Secretary establishes the following factors as criteria that will be used in 

allocating these funds:

a. Total funds requested: $____________

The amount of funds requested to remedy the effects of the covered disaster or emergency, including 

the uncovered costs for renovations, construction, and direct student services. Applicants should 

exclude any costs for which they have received or anticipate receiving reimbursement from other 

sources, including a Federal or other relief organization, to remedy the effects of the covered disaster 

or emergency.

Note: For direct student services applicants may only include those expenses directed to students 

who are homeless or at risk of becoming homeless, and applicants may not include expenses directed 

to a larger population of students, even if those expenses have aided some students who were 

homeless or at risk of becoming homeless. Applicants may, however, include expenses directed 

toward individual students who are homeless or at risk of becoming homeless, even if similar aid or 

services have been made available to other students. 

NOTE: Additional information and validation of data may be required.
50

b. Funds needed to serve students who are homeless or at risk of becoming homeless: 

$____________

From the total disaster-related net expenses provided in (a), applicants should identify the funding 

needed to serve students who are homeless or at risk of becoming homeless. 

c. Funds received: $____________

Any amount of any insurance settlement or other funds received by the IHE, from any source 

including a Federal or other relief organization, to remedy the effects of the covered disaster or 

emergency. A description of the Applicant’s strategies for becoming fully operational, prioritizing, 

to the extent possible, students who are homeless or at risk of becoming homeless as a result of 

displacement due to the covered disaster or emergency.

5. The total amount of aid requested (indicate below).

Requested Aid

Total Amount of Aid Requested: 

__________________________________________________

Note: Allowable uses of funds include those authorized under the HEA. However, all activities funded under the program must be in 

the context of emergency assistance. That is, the funding must be used for activities directly related to mitigating the effects of a 

covered disaster or emergency on students and institutions. For instance, program funds may be used for student financial assistance, 

faculty and staff salaries, equipment, and student supplies and instruments. Grantees may not use program funds to supplant funds 

that otherwise would have been used for the same purpose, such as funds made available through an insurance policy, the Federal 

Emergency Management Agency (FEMA), a State, or a nonprofit relief organization, or any other third party. Grantees may use 

program funds to supplement funds from such sources up to the full amount needed for emergency assistance.

Use of funds for a purpose authorized under the HEA is subject to the regulations that pertain to that purpose. For example, if 

activities under a particular grant program or financial aid program were disrupted and require emergency aid to become fully 

operational, program funds for this purpose are subject to the regulations for that grant or aid program, except that any requirements 

relating to matching, Federal share, reservation of funds, or maintenance of effort under 20 U.S.C. 1087–51 et seq. or 1138 et seq. that 

would otherwise be applicable do not apply.

Information about the Federal Student Aid programs is available at studentaid.ed.gov/sa/. The U.S. Code version of the HEA is 

available at uscode.house.gov/view.xhtml?req=granuleid%3AUSC-prelim-title20-chapter28&edition=prelim. 

President/Chancellor or Authorized Representative (Print) _______________________________________

Signature _________________________________________ Date ________________________________
51

2019 Emergency Assistance to Institutions of Higher Education Program Application

Part IV: Compliance with Legislative Requirements

Part IV of the 2019 EAI Application involves (1) certifying the following assurances as well as (2) completing 

the forms listed below, included earlier in this application package.

1. The Applicant assures the Secretary that it will comply with all of the fiscal, transparency, and reporting 

requirements that apply to the Program, including the following:

For each year of the Program, the Applicant will submit a report to the Secretary, at such time and in such 

manner as the Secretary may require, that describes:

• how the Applicant distributed the funds it received, including the amounts of funds used for each 

authorized activity;

• the activities performed under the Program;

• the number of enrolled students;

• the number of enrolled students who received financial assistance from Program funds;

• a description of the internal controls the Applicant had in place to ensure that funds were used for 

allowable purposes and in accordance with cash management principles; and

The Applicant will cooperate with any evaluation of the uses of funds including any Inspector General 

examination of records under the program.

2. The Applicant assures the Secretary that it is an eligible Institution of Higher Education (IHE) as defined in 

Section 101 or Section 102(a) of the Higher Education Act of 1965, as amended; that it is located in an area 

affected by a covered disaster or emergency; and that it will notify the Department immediately if it no 

longer meets the definition of an IHE, relocates its operations, or permanently leaves the affected area.

3. The Applicant will comply with the following regulations, as applicable: (a) The Education Department 

General Administrative Regulations in 34 C.F.R. parts 75, 77, 79, 81, 82, 84, 97, 98, and 99. (b) The Office 

of Management and Budget Guidelines to Agencies on Governmentwide Debarment and Suspension 

(Nonprocurement) in 2 C.F.R. part 180, as adopted and amended as regulations of the Department in 2 

C.F.R. part 3485. (c) The Uniform Administrative Requirements, Cost Principles, and Audit Requirements 

for Federal Awards in 2 C.F.R. part 200, as adopted and amended as regulations of the Department in 2 

C.F.R. part 3474.

Assurances and certifications to be completed, included earlier in this application package: 

• Assurances for Non-Construction Programs (SF-424B)

• Assurances for Construction Programs (SF-424D)

• Lobbying Form (ED 80-0013)

• Disclosure of Lobbying Activities (SF-LLL)

• ED GEPA 427 Form

President/Chancellor or Authorized Representative (Print) _______________________________________

Signature _________________________________________ Date ________________________________
52

Application Checklist

 Part I: Application Cover Sheet

 Application for Federal Assistance (SF-424)

 Department of Education Supplemental Information for SF-424

 Application Cover Sheet

 Part II: Program Budget

 Department of Education Budget Information Non-Construction Programs Form (ED 524) 

 Part III: Application Narrative

 Needs and Severity Narrative

 Proposed Use of Funds 

 Part IV: Compliance with Legislative Requirements

 Regulatory Assurances 

 Assurances for Non-Construction Programs (SF-424B)

 Assurances for Construction Programs (SF-424D)

 Certifications Regarding Lobbying (ED 80-0013)

 Disclosure of Lobbying Activities (SF-LLL)

 ED GEPA 427 Form

Use this checklist while preparing your application package. All items listed on this checklist are required. 
53

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. Public reporting burden for this 

collection of information is estimated to average 30 hours 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. The obligation to respond to this collection is required to obtain or 

retain benefit (Bipartisan Budget Act of 2018). Send comments regarding the burden estimate or any other 

aspect of this collection of information, including suggestions for reducing this burden, to regulations.gov 

during the public comment period for this collection of information. If you have specific questions about the 

form, instrument or survey, please contact Higher Education Programs, Office of Postsecondary Education, 

U.S. Department of Education, 400 Maryland Avenue SW, Washington DC 20202.