1

FY 2013

U.S. Department 

of Education

Office of 

Innovation and 

Improvement

Washington, DC

20202-5900

[APPLICATION FOR GRANTS UNDER THE 

INVESTING IN INNOVATION FUND (I3) 

GRANT PROGRAM ]

CFDA Number: 84.411C

Development Full Application

Grants

Form Approved 

OMB No. 1855-0021

Expiration Date: 10/31/2013

Closing Date: 08/16/2013
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Table	of	Contents

I. Letter to Applicant ............................................................................ 3

II. Notice Inviting Applications............................................................... 5

III. Authorizing Legislation...................................................................... 6

IV. Overview of the Application Process................................................. 7

Application Tips .............................................................................................................................. 11

A. Application Narrative Instructions.................................................................................................. 13

Instructions for ED Abstract Narrative............................................................................................ 14

Instructions for Project Narrative................................................................................................... 15

Suggested Point Ranges for Rating Applicant Responses to the Selection Criteria........................ 16

Instructions for Budget Narrative................................................................................................... 17

Instructions for Appendix ............................................................................................................... 19

B. Required Forms .............................................................................................................................. 21

Standard Forms and Instructions.................................................................................................... 21

Application for Federal Assistance SF-424...................................................................................... 22

Instructions for Application for Federal Assistance (SF-424).......................................................... 25

Definitions for ED SF-424................................................................................................................ 27

Supplemental Information Required for Department of Education............................................... 30

Instructions for the SF-424 ............................................................................................................. 31

Budget Information for Non-Construction Programs (SF-524)....................................................... 32

Instructions for ED Budget Summary Form (SF-524)...................................................................... 34

Disclosure of Lobbying Activities (SF-LLL)....................................................................................... 36

Instructions for Disclosure of Lobbying Activities (SF-LLL) ............................................................. 37

C. Assurances and Certifications......................................................................................................... 38

General Education Provisions Act (GEPA) Section 427................................................................... 38

Assurances- Non-Construction Programs....................................................................................... 39

Grants.gov Lobby Form (Formerly ED 80-0013 form) .................................................................... 42

D. i3 Program Forms ........................................................................................................................... 44

Checklist for Local Educational Agency (LEA) Applicants................................................................ 44

Checklist for Partnership Applicants............................................................................................... 45

i3 Applicant Information Sheet....................................................................................................... 46

V. Submitting Your Application............................................................ 49

FY 2013 Optional Application Checklist.......................................................................................... 49

Submission Procedures................................................................................................................... 50

DUNS Number Instructions ............................................................................................................ 54

VI. Additional Information.................................................................... 55

Executive Order 12372 ................................................................................................................... 55

Paperwork Burden Statement........................................................................................................ 55
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I. Letter	to	Applicant

Dear Applicant,

Thank you for your interest in applying for a Development grant under the Investing in Innovation (i3) Fund. In its first three years, 

i3 has generated unprecedented enthusiasm. Thousands of local educational agencies and non-profits have submitted high-quality 

proposals, and the Department of Education has funded 92 of them. The Department is pleased that Congress has appropriated 

new funds that will allow approximately $135 million in new grants this year to support a range of new and evidence-based, 

innovative approaches to improving student achievement and providing every students with access to a world-class education. 

As you know, the Department has implemented the pre-application process for the 2013 Development grant competition. The 

Department received 576 pre-applications. Applicants that submitted the top-scoring pre-applications have been invited to submit a 

full application for the Development competition. If you received a letter informing you that you are a highly rated applicant, please 

use this application package to submit your full application for the Development competition. This year, pre-applicants who were 

not highly rated may also submit a full application if they so choose. 

Please carefully read the Notice Inviting Applications, this Application Package, and other Department documents such as the i3 

Frequently Asked Questions to ensure you understand the i3 Development grant competition. 

The core aim of the i3 program continues: to improve education for our neediest students. The i3 program utilizes a “tiered 

evidence” framework to allocate funds: proposals supported by limited evidence receive the smallest grants, and proposals with the 

most rigorous evidence can receive large grants that enable expansion across the country. All i3 projects are required to conduct an 

independent evaluation in order to expand our understanding of what works in education, and help answer questions about for 

whom and in what contexts specific interventions are most effective. Our sincere hope is that these evaluations are valuable to 

grantees and the broader public alike. 

This year’s i3 Development competition incorporates a few changes to reflect lessons learned from prior i3 competitions, consistent 

with the final priorities, requirements, definitions, and selection criteria for this program, published in the Federal Register (the 

“2013 i3 NFP”). While the Department continues to use broad priorities in the i3 grant competition, the 2013 i3 NFP includes 

subparts under each priority that target specific needs. This structure enables the i3 program to build a portfolio of solutions and 

corresponding evidence for different approaches to addressing key challenges in public education. In addition, we have revised 

evidence standards and definitions so that applicants can better understand what is required to meet each level of evidence.

The i3 program also includes a statutory requirement for a private-sector match for all i3 grantees. We have modified the process 

for applicants to demonstrate evidence of the required private-sector match, with the intent of enabling you to secure more 

meaningful private-sector support for your project. Additional details regarding how this process will work are included in the 

Notice Inviting Applications, this Application Package, and the i3 Frequently Asked Questions.

This application package includes all the instructions and forms you will need to apply for an FY 2013 i3 Development grant. Please 

review the entire application package carefully before preparing and submitting your application. Applications must be submitted 

electronically using Grants.gov (unless you qualify for an exception) and all submissions must be completed by the application 

deadline. Note that Grants.gov requires that you register prior to submitting your application. It is also important to note that in 

previous competitions, some prospective applicants missed the application deadline because they underestimated the amount of 

time needed to complete registration and submission with SAM and Grants.gov. Therefore, you are advised to confirm that you 

have an active record with SAM. If you have an expired record, you will need to activate your record in order to submit an 

application for the i3 competition. If you desire further information concerning this program or the application process, please 

contact the i3 program by e-mail at i3@ed.gov. 

UNITED STATES DEPARTMENT OF EDUCATION

OFFICE OF INNOVATION AND IMPROVEMENT
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Thank you for your interest in the Investing in Innovation Fund. Ensuring that every student receives a world-class education 

requires all of our efforts, and I commend you for taking advantage of this opportunity to help improve education for our nation’s 

students. 

Sincerely,

/s/

Nadya Chinoy Dabby

Acting Assistant Deputy Secretary 

Office of Innovation and Improvement

400 MARYLAND AVE. SW, WASHINGTON, DC 20202

www.ed.gov

The Department of Education’s mission is to promote student achievement and preparation for global competitiveness 

by fostering educational excellence and ensuring equal access.
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II. Notice Inviting Applications

Overview Information: 

Office of Innovation and Improvement 

Investing in Innovation Fund 

CFDA Number: 84.411C

Dates: 

Application Available: 07/08/2013

Date of Information Session: 

The Department plans to host an online information session that is designed to help Development applicants with 

the application process. Interested applicants are encouraged to participate in this session. Further information 

about this session, as it becomes available may be found on the i3 website, at 

http://www2.ed.gov/programs/innovation/index.html.

Deadline for Transmittal of Applications: 08/16/2013

Deadline for Intergovernmental Review: 10/17/2013

The full text of the Notice Inviting Applications for the FY 2013 i3 Development competition can be found on the 

Federal Register Web site at the following URLs:

http://www.gpo.gov/fdsys/pkg/FR-2013-03-27/pdf/2013-07003.pdf (PDF)

http://www.gpo.gov/fdsys/pkg/FR-2013-03-27/html/2013-07003.htm (Text)
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III. Authorizing Legislation

Section 14007 of Division A of Title XIV of the American Recovery and Reinvestment Act of 2009, as 

amended by section 307 of Division D of P.L. 111- 117 (H.R. 3288), the Consolidated Appropriations Act, 

2010

SEC. 14007. INNOVATION FUND.

(a) In General.

(1) Eligible entities. For the purposes of this section, the term 

"eligible entity'' means—

(A) a local educational agency; or

(B) a partnership between a nonprofit organization and—

(i) one or more local educational agencies; or

(ii) a consortium of schools.

(2) Program established. From the total amount reserved under 

section 14001(c), the Secretary may reserve up to $650,000,000 to establish an Innovation Fund, which 

shall consist of academic achievement awards that recognize eligible entities that meet the 

requirements described in subsection (b).

(3) Purpose of Awards. The Secretary shall make awards to eligible entities in order to identify, 

document, and bring to scale innovative best practices based on demonstrated success, to allow such 

eligible entities to—

(A) expand their work and serve as models for best practices; and

(B) work in partnership with the private sector and the philanthropic community.

(b) Eligibility. To be eligible for such an award, an eligible entity shall—

(1)(A) have significantly closed the achievement gaps between groups of students described in section 

1111(b)(2) of the ESEA (20 U.S.C. 6311(b)(2)); or

(B) have demonstrated success in significantly increasing student academic achievement for all groups 

of students described in such section;

(2) have made significant improvement in other areas, such as graduation rates or increased recruitment 

and placement of high-quality teachers and school leaders, as demonstrated with meaningful data; and

(3) demonstrate that it has established one or more partnerships with the private sector, which may 

include philanthropic organizations, and that the private sector will provide matching funds in order to 

help bring results to scale.

(c) Special Rule. In the case of an eligible entity that includes a nonprofit

organization, the eligible entity shall be considered to have met the eligibility requirements of 

paragraphs (1)(A) or (1)(B) and (2) of subsection (b) if the nonprofit organization has a record of 

significantly improving student achievement, attainment, or retention and shall be considered to have 

met the requirements of subsection (b)(3) if it demonstrates that it will meet the requirement relating 

to private-sector matching.

(d) Subgrants. In the case of an eligible entity that is a partnership described in subsection (a)(1)(B), the 

partner serving as the fiscal agent may make subgrants to one or more of the other entities in 

partnership.
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IV. Overview of the Application Process

Thank you for your interest in the Investing in Innovation Fund (i3) grant program. Following is a brief 

overview of the i3 application process.

I. Getting Started

All applicants interested in completing a full Development application should first thoroughly review 

the NIA for FY 2013 published in the Federal Register on March 27, 2013 (78 FR 18710-18723). The 

Department has made several changes to the design of the i3 program to increase the program’s 

effect, so all applicants should carefully review the information provided in the NIA. The NIA will 

orient applicants to the i3 program by providing the following information:

 Background information and purpose of the program;

 Eligibility requirements;

 Absolute Priorities and subparts;

 Selection Criteria and assigned points; 

 Key definitions;

 Evidence Framework;

 Procedural and substantive requirements of both the pre-application and full application 

process, and

 Instructions on how to electronically submit the application.

Applicants should pay close attention to the Selection Criteria as applications will be evaluated and 

scored against these criteria. 

II. Completing and Submitting Your Application

A complete application consists of the following components:

 Part A: Application Narrative

ED Abstract;

Project Narrative;

Budget Narrative; and

Other Attachments (appendices)

 Part B: Required Forms (see page 16 for a complete list of forms)

ED Standard Forms;

Assurances and Certifications; and 

i3 Program Forms.
8

NOTE: References to Part A and B are used strictly for the purpose of guiding applicants to the location 

of application components within this document. Applicants will not find references to Parts A and B 

when submitting in Grants.gov; they will however find each component.

Components are discussed in detail in the following pages of this document. A detailed discussion of 

the submission process within Grants.gov can be found in this application package. Entities are 

encouraged to familiarize themselves with Grants.gov. 

All i3 applications must be received on or before August 16, 2013.

Please note that U.S. Department of Education grant application deadline is 4:30:00 P.M., Washington, 

DC time. Your application must be fully uploaded and submitted and must be date and time stamped by 

the Grants.gov system no later than 4:30:00 P.M., Washington, DC time, on the application deadline 

date. Late applications will not be accepted. The Department is required to enforce the established 

deadline to ensure fairness to all applicants. No changes or additions to an application will be accepted 

after the deadline date and time.

III. Addressing Your Questions

The Department provides multiple avenues for interested applicants to ask questions and clarify 

their understanding of the i3 competition and process. Applicants should keep in mind that the 

Department cannot provide guidance on specific proposals.

The Department publishes a comprehensive Frequently Asked Questions document on its website, 

at http://www2.ed.gov/programs/innovation/index.html. Applicants should review this document 

carefully to see whether their particular questions have been addressed previously. The 

Department also updates this document in response to applicant questions. Interested applicants 

may send their questions to i3@ed.gov.

The Department plans to host an online information session, designed to help interested applicants 

with the application process. Interested applicants are encouraged to participate in this session. 

Further information about this meeting, as it becomes available, may be found on the i3 website at 

http://www2.ed.gov/programs/innovation/index.html. 
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I3 2013 DEVELOPMENT COMPETITION OVERVIEW

• Pre-application peer review

• Department announces highly rated pre-applications

• Full application peer review

• Department eligibility review, including evidence and applicant’s prior 

record of improvement

• Department announces highest-rated applications

Pre-A

p

plic

a

tio

n

P

erio

d

• Department publishes pre-application package

• Applicants register early on Grants.gov and SAM

• Applicants develop pre-application (7 pages)

• Applicants submit pre-application through Grants.gov

F

ull A

p

plic

a

tio

n

P

erio

d

• Department publishes full application package

• Highly rated pre-applicants and other pre-applicants, if they choose, develop full 

application (25 pages), including project partners and evaluation plans

• Highly rated pre-applicants and other pre-applicants submit full application 

through Grants.gov

M

a

t

c

hin

g

P

erio

d

• Highest-rated applicants secure evidence of required private sector match

• Highest-rated applicants submit evidence of 50 percent of required privatesector match to the Department for approval and confirmation (Applicants 

must provide the remaining 50 percent six months after the project start 

date)

• Department announces awardees
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NEW I3 DEVELOPMENT PROGRAM DESIGN ELEMENTS

In the 2013 i3 NFP, the Department redesigned key aspects of the i3 program to increase the program’s 

effect. The key aspects for the i3 Development competition are that it:

 Identifies eight Absolute Priorities for the FY 2013 Competition, representing a range of 

education topics including subparts under each priority that target specific needs. Applicants 

must identify a subpart under the Absolute Priority they are addressing. There are no longer 

Competitive Preference Priorities.

• Absolute Priority 1—Improving the Effectiveness of Teachers or Principals

• Absolute Priority 2—Improving Low-Performing Schools

• Absolute Priority 3—Improving Science, Technology, Engineering, and Mathematics 

(STEM) Education

• Absolute Priority 4—Improving Academic Outcomes for Students with Disabilities

• Absolute Priority 5—Improving Academic Outcomes for English Learners (ELs)

• Absolute Priority 6—Improving Parent and Family Engagement

• Absolute Priority 7—Effective Use of Technology

• Absolute Priority 8—Serving Rural Communities

• Note that this year’s applicants applying under this priority must address one of 

the other seven absolute priorities for the FY 2013 i3 Development competition 

listed above, while serving students enrolled in rural LEAs.

 Revises the evidence standards and definitions so that applicants can better understand what is 

required to meet each level of evidence. 

• Development applicants must identify the evidence standard under which they are 

submitting their applications (i.e., evidence of promise or strong theory).

 Modifies the process for applicants to secure, and demonstrate evidence of, the required 

private-sector match

• Applicants must still secure 15 percent of its Federal grant award but, the timeframe has 

been expanded.

• Highest-rated applicants must submit evidence of 50 percent of the required privatesector match prior to the awarding of an i3 grant. An applicant must provide evidence 

of the remaining 50 percent of the required private-sector match no later than six 

months after the project start date.

 Allows pre-applicants who were not highly rated to submit a full application if they choose. 
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APPLICATION TIPS

 Register early on grants.gov. The registration process may take up to two weeks to complete. For 

additional information on the registration and submission process please review the resources 

available on the Grants.gov Website. 

 Ensure that your organization is registered and/or up-to-date in the System for Award 

Management (SAM). If your organization is not registered within SAM, an authorizing official of 

your organization must register. The SAM registration process can take approximately seven 

business days, but may take upwards of several weeks, depending on the completeness and 

accuracy of the data entered into the SAM database by an entity. We strongly recommend that 

you register early. Note: Once your SAM registration is active, you will need to allow 24 to 48 

hours for the information to be available in Grants.gov before you can submit an application 

through Grants.gov. 

 Verify that the person assigned to submit the application has been designated as an Authorized 

Organization Representative (AOR). Track your AOR status (see page 44). You must be “active” in 

order to submit an application on behalf of the organization.

 Carefully review the FY2013 NIA for eligibility requirements. While applicants do not need to 

address the eligibility requirements for the pre-application, full applications will be deemed 

ineligible if they do not meet all of the eligibility requirements, including the required evidence 

standards and prior record of improvement.

 Clearly state which Absolute Priority you are submitting an application under and identify the 

subpart under the chosen priority your application addresses. Applications will be reviewed and 

ranked by Absolute Priority so it is important that you clearly indicate the Absolute Priority you 

intend the Department to review your application under. Applicants should ensure that the 

Absolute Priority and subpart identified in the application narrative matches that identified on the 

i3 Applicant Information Sheet. 

 Review the submission for clarity. Applications will be read by multiple peer reviewers; therefore,

it is important to ensure that the application can be understood by someone who is unfamiliar 

with your project.

 Submit all files in .PDF format. While Grants.gov may accept other format types, the Department’s 

system, which receives the files from Grants.gov, will only accept .PDF files. Files submitted in 

formats other than .PDF may not convert in a legible manner and, in these instances, cannot be 

reviewed.

 Submit early on Grants.gov. Applications must be finished uploading, and be validated by the 

Grants.gov system, by 4:30:00pm, Washington, DC, time on the deadline date. Validation 

indicates if the submission was successful and may take up to two days. If the submitted 

application is deemed invalid due to an error, applicants may correct the error and resubmit only if 

the 4:30:00pm EDT deadline has not passed. Applicants are encouraged to review the submission 

to be sure that the files transmitted correctly. Grants.gov may not catch all errors. Late 

submissions or modifications to the submitted application will not be accepted after the deadline.
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 NOTE: Applicants will receive multiple emails to confirm submission in Grants.gov, validation, and 

transmission to the Department of Education. Once the application is transmitted to the 

Department, applicants will receive a final email with a unique identifier called a PR Award 

Number. Use this number when making inquiries about the submitted application.
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A. APPLICATION NARRATIVE INSTRUCTIONS

The i3 application will use the following Grants.gov Narrative Forms. 

 ED Abstract Narrative Form; 

 Project Narrative Form; 

 Budget Narrative Form; and 

 Other Attachments Form (upload appendices here) 

The ED Abstract Narrative Form is where you will attach your one-page project abstract. Specific 

instructions are included on page 14 of this application package. 

The Project Narrative Form is where you will attach the responses to the Selection Criteria and the 

Absolute Priority you have selected. Applicants should include a Table of Contents that includes all 

responses to the Selection Criteria. Specific instructions are included on page 15 of this application 

package. 

Eligible applicants should limit the project narrative to the following page limit:

Development Full-Application grants 25 pages

The Budget Narrative Form is where you will attach a line item budget (ED 524) and a detailed line item 

budget narrative that aggregates to the same total amount as on the ED 524. Do not include multiple 

budgets for the LEA or nonprofit organization and partner(s). Only one combined budget should be 

submitted to represent costs for all entities involved in the proposed project. Specific instructions are 

included on page 17 of this application package.

The Other Attachments Form is where you will attach the application appendices. Specific Appendix 

instructions are included on page 19 of this application package.

NOTE: If you have multiple documents to be attached to one of the above narrative sections (except for 

Other Attachments), it is recommended that you merge them into one .PDF file and upload them to the 

appropriate narrative.
14

INSTRUCTIONS FOR ED ABSTRACT NARRATIVE

Eligible applicants must submit a one-page abstract. 

The one-page abstract, limited to 2000 characters, should include the following items:

 Project Title, if applicable;

 Type of Grant Requested (Development);

 Absolute Priority and subpart;

 Brief project description including project activities;

 Summary of project objectives and expected outcomes;

 Target number of students to be served in the project;

 Any special project features; and

 List of partners.
15

INSTRUCTIONS FOR PROJECT NARRATIVE

The Project Narrative should include, in detail, the eligible applicant’s response to the Selection Criteria. 

Eligible applicants should address each of the Selection Criteria since the application will be evaluated 

and scored against these criteria. The maximum possible score for each criterion is indicated in the NIA. 

Absolute Priorities

The FY 2013 i3 NIA includes eight Absolute Priorities. Eligible applicants for all types of grants are 

required to choose one of the eight Absolute Priorities and subpart, and address the priority in the 

application. Eligible applications will address the selected absolute priority in the project narrative by 

addressing the Selection Criteria. The eight Absolute Priorities and subparts are explained in detail in 

the NIA.

Applicants should keep in mind that, to the extent feasible, the Department intends to match peer 

reviewer experience with the Absolute Priority addressed in the application. In addition, the 

Department will rank applications by Absolute Priority. For these reasons, applicants should clearly 

identify the Absolute Priority in both the application narrative and on the i3 Applicant Information 

Sheet. 

Formatting

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

numbers and an identifier may be within the 1” margin. Double- space (no more than three lines per 

vertical inch) all text in the application narrative, including titles, headings, footnotes, quotations, and

references. Use a font size that is either 12-point or larger or no smaller than 10 pitch. Use one of the 

following fonts: Times New Roman, Courier, Courier New, or Arial. 

Page Limits

Eligible applicants should limit the project narrative to 25 pages. The page limits apply to the responses 

to the Selection Criteria and if applicable, the Competitive Preference Priorities. The Table of Contents 

does not count against the page limit.
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SUGGESTED POINT RANGES1FOR RATING APPLICANT RESPONSES TO THE SELECTION 

CRITERIA

All applicants are required to respond to each of the Selection Criteria published in the Notice Inviting Applications 

published in the Federal Register on March 27, 2013 (78 FR 18710-18723). Please assess applications based on the 

selection criteria. No outside factors, such as personal knowledge of past performance, or subjective judgments 

about what an application should contain may be considered. Please note that within each criterion no one factor 

is worth more points than the other. The application should be a comprehensive design for the proposed 

intervention and desired outcomes. Therefore, it is imperative that reviewers read the application in its entirety to 

determine the overall quality of the proposed project and the quality of the applicant’s response to each criterion. 

The numerical scores assigned to an applicant’s response to the Selection Criteria must be consistent with the 

comments written. Comments and scores should reflect the same overall assessment of the quality of the 

response. It is important that you do not pair a negative comment with a positive score and vice versa. Comments 

indicate why the applicant’s response to each Selection Criterion is fully developed, well developed, adequately 

developed, poorly developed, or not addressed. Scores indicate how well or poorly the applicant responded to a 

Selection Criterion. Shown below are suggested point ranges for an evaluation of fully developed, well developed, 

adequately developed, poorly developed, or not addressed, for each of the criterion.

 

1

This document will be provided to peer reviewers to assist in the reviewing and scoring of the eligible applicant’s 

response to the Selection Criteria. It is included here for the applicants’ reference. 

Maximum 

Point Value

Quality of Applicant’s Response

Not 

Addressed

Poorly 

Developed

Adequately 

Developed

WellDeveloped Fully 

Developed

35 0 1-16 17-27 28-32 33-35

25 0 1-12 13-19 20-23 24-25

15 0 1-7 8-11 12-13 14-15

10 0 1-4 5-7 8-9 10
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INSTRUCTIONS FOR BUDGET NARRATIVE

The Budget Narrative Form should include the eligible applicant’s line item budget (ED form 524) AND

the accompanying detailed budget narrative justification. 

Eligible applicants may request i3 funding for 3, 4, or 5 years and should make this determination at the 

time of application. Eligible applicants must complete ED 524 for all budget years of the proposed 

project. Eligible applicants must also provide a detailed budget narrative that describes their proposed 

multiyear project activities and the costs associated with those activities as well as all costs associated 

with carrying out the proposed project. Section 75.112(b) of EDGAR requires applicants to present “a 

narrative that describes how and when, in each budget period of the project, the applicant plans to 

meet each objective of the project.” EDGAR may be accessed at:

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

In addition, eligible applicants should include costs for four project staff persons (project director, 

evaluator, and two partners) to attend an annual 2-day project directors meeting in Washington, DC.

The budget should include only costs that are allowable, reasonable, and necessary for carrying out the 

objectives of the i3 project. Rules about allowable costs are included both in EDGAR and the Code of 

Federal Regulations (CFR): 2 CFR 220 (formerly OMB Circular A-21) for institutions of higher education; 

2CFR 225 (formerly OMB Circular A-87) for state and local governments; and 2 CFR 230 (formerly OMB 

Circular A-122) for non-profit organizations. The Code of Federal Regulations may be accessed at: 

Type of Entity

Part of EDGAR 

That Applies

CFR That Applies 

Nonprofit 

Organization

34 CFR Part 74

2 CFR 230 (formerly OMB Circular A-122) http://www.ecfr.gov/cgibin/text-idx?c=ecfr&tpl=/ecfrbrowse/Title02/2cfr230_main_02.tpl

IHE 34 CFR Part 74

2 CFR 220 (formerly OMB Circular A-21) http://www.ecfr.gov/cgibin/text-idx?c=ecfr&tpl=/ecfrbrowse/Title02/2cfr220_main_02.tpl

LEA 34 CFR Part 80

2CFR 225 (formerly OMB Circular A-87) http://www.ecfr.gov/cgibin/text-idx?c=ecfr&tpl=/ecfrbrowse/Title02/2cfr225_main_02.tpl

A consortium 

of schools 34 CFR Part 80

2 CFR 225 (formerly OMB Circular A-87)

http://www.ecfr.gov/cgi-bin/textidx?c=ecfr&tpl=/ecfrbrowse/Title02/2cfr225_main_02.tpl
18

For each line item of both Sections A (federal costs) and B (non-federal costs) of the ED 524, provide 

detailed costs (in dollars) accompanied by a narrative justification to support your request. Also, please 

note that, in Section B, an applicant should show the funds or in-kind donations it proposes to use to 

meet the matching requirement as well as any other non-Federal funds or in-kind donations that it 

proposes to use to support its i3 project. An applicant need not have secured matching funds or in-kind 

donations in order to show those funds or donations in Section B. If an applicant is submitting with its 

application a request for a reduction of the private-sector matching requirement, the applicant may 

show in Section B the amount of non-Federal funds or in-kind donations it intends to use to support its 

i3 project consistent with that request. 

Please check all figures and combined totals in the budget narrative, and compare the amounts with 

those reflected on the ED 524. 

 

NOTE: If you have questions about obtaining an approved Indirect Cost Rate or applying your Indirect 

Cost Rate, you may contact a cost negotiator using the information provided at the following URL: 

http://www2.ed.gov/about/offices/list/ocfo/fipao/icgreps.html. If you have further questions about 

Indirect Cost rates, please refer to section K. Allowable Use of Funds, in the i3 FAQs.
19

INSTRUCTIONS FOR APPENDIX 

Eligible applicants should attach all appendices to the Other Attachments Form. For each appendix eligible applicants 

are asked to save files as a .PDF, label each file with the Appendix name (e.g., Appendix A – Eligibility Requirement 

Checklist) and upload the file to the Other Attachments Form. The Grants.gov system will allow applicants to attach as 

many as ten separate appendices in this section; however, applicants are encouraged to limit the number of appendix 

entries to a reasonable number for a reviewer to read.

Eligible applicants are encouraged to follow the instructions below when uploading information to the Appendix:

Appendix A: Eligibility Requirement Checklist (LEA or Nonprofit Partnership)

Checklist accessed via the following URL: 

http://www2.ed.gov/programs/innovation/applicant.html

NOTE: An applicant applying as a local educational agency (LEA) must use the i3 LEA Eligibility 

Checklist. An applicant applying as a partnership between a nonprofit organization and 1) one 

or more LEAs or 2) a consortium of schools must use the i3 Partnership Eligibility Checklist. An 

eligible applicant that is a partnership between a non-profit organization and (a) one or more 

LEAs or (b) a consortium of schools should provide evidence of its partnership in Appendix A 

following its Eligibility Checklist

Appendix B: Nonprofit 501(c)(3) status verification or Charter School status verification

Appendix C: Response to Statutory Eligibility Requirements

See paragraph (3) of the eligibility requirements in the Notice Inviting Applications (78 FR

18716).

Appendix D: Response to Evidence Standards

See evidence standards under "Other" requirements in the Notice Inviting Applications 

(78 FR 18717).

Appendix E: Waiver Request of 15% Private Sector Match Requirement, if applicable

Appendix F: Resumes of Key Personnel

Appendix G: Letters of Support and Memoranda of Understanding, if applicable

Appendix H: i3 Applicant Information Sheet

To complete this form:

1. Download it from the i3 website: 

http://www2.ed.gov/programs/innovation/applicant.html

2. Complete the form in Adobe Acrobat

3. Save the form in Adobe Acrobat as a PDF

4. Upload the PDF to Other Attachments Form of the application

DO NOT: Print the form, complete it, and scan it as a PDF; Save the form in any format other 

than PDF; Merge with other appendices; Forget to include this form.
20

Appendix I: Eligible Applicant’s list of proprietary information found in the application, if applicable. 

Eligible Applicants should identify the specific information and page numbers in the application 

where it can be found.

Appendix J: Other, if applicable
21

B. REQUIRED FORMS

STANDARD FORMS AND INSTRUCTIONS

Applicants must submit along with their project narratives the required standard forms, assurances, and 

certifications included in the list below. 

• Application for Federal Assistance (SF 424);

NOTE: Please do not attach any narratives, supporting files, or application components to the Standard Form (SF 

424). Although this form accepts attachments, the Department of Education will review only materials/files 

attached to the section labeled “Other Attachments Form.”

• Department of Education Supplemental Information for SF 424;

• Department of Education Budget Summary Form (ED 524) Sections A & B;

• Disclosure of Lobbying Activities (SF-LLL);

• General Education Provisions Act (GEPA) Requirements - Section 427;

• Assurances, Non-Construction Programs (SF 424B); and

• Grants.gov Lobbying form (formerly ED 80-0013 form).

The following pages provide a copy of the required forms as well as the instructions for completing them. Electronic 

copies of the required forms can be found at the following address: 

http://www2.ed.gov/fund/grant/apply/appforms/appforms.html and in the Grants.gov submission package.
22

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:

*Telephone Number: Fax Number: 

*Email: 

Application for Federal Assistance SF-424 

9. Type of Applicant 1: Select Applicant Type:

Completed by Grants.gov upon submission
23

 

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:

Application for Federal Assistance SF-424

16. Congressional Districts Of:

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

Attach supporting documents as specified in agency instructions.
24

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)

 ** 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: 

Completed by Grants.gov upon submission Completed by Grants.gov upon submission
25

INSTRUCTIONS FOR APPLICATION FOR FEDERAL ASSISTANCE (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 pre-applications, attach a summary 

description of the project. 

4. Applicant Identifier: Enter the entity identifier assigned 

buy the Federal agency, if any, or the applicant’s control 

number if applicable.

5a. Federal Entity Identifier: Enter the number assigned to 

your organization by the federal agency, if any.

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

applicant’s congressional district. 16b. Enter all district(s) 

affected by the program or project. Enter in the format: 2 

characters state abbreviation – 3 characters district 

number, e.g., CA-005 for California 5th district, CA-012 for 

California 12 district, NC-103 for North Carolina’s 103 

district. If all congressional districts in a state are affected, 

enter “all” for the district number, e.g., MD-all for all 

congressional districts in Maryland. If nationwide, i.e. all 

districts within all states are affected, enter US-all. If the 

program/project is outside the US, enter 00-000. This 

optional data element is intended for use only by programs 

for which the area(s) affected are likely to be different than 

place(s) of performance reported on the SF-424 

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

additional list of program/project congressional districts, if 

needed.

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 the federal 

identifier in accordance with agency instructions.

6. Date Received by State: Leave this field blank. This date 

will be assigned by the state, if applicable. 

7. State Application Identifier: Leave this field blank. This 

identifier will be assigned by the state, if applicable.

8. Applicant Information: Enter the following in accordance 

with agency instructions: 

a. Legal Name: (Required) Enter the legal name of 

applicant that will undertake the assistance activity. This is 

the 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.
26

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 in-kind contributions should be 

included on appropriate lines, as applicable. If the action 

will result in a dollar change to an existing award, indicate 

only the amount of the change. For decreases, enclose the 

amounts in parentheses.

c. Organizational DUNS: (Required) Enter the 

organization’s DUNS or DUNS+4 number received from 

Dun and Bradstreet. Information on obtaining a DUNS 

number may be obtained by visiting 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

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

M. Nonprofit

N. Private Institution of 

Higher Education

O. Individual

P. For-Profit 

Organization (Other 

than Small 

Business)

Q. Small Business

R. Hispanic-serving 

Institution

S. Historically Black 

Colleges and 

Universities 

(HBCUs)

T. Tribally Controlled 

Colleges and 

Universities 

(TCCUs)

U. Alaska Native and 

Native Hawaiian 

Serving Institutions

V. Non-US Entity

W. Other (specify)

[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.]
27

DEFINITIONS FOR ED SF-424

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.

DEFINITIONS FOR

DEPARTMENT OF EDUCATION SUPPLEMENTAL INFORMATION FOR SF 424

(Attachment to Instructions for Supplemental Information for SF 424)
28

(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 
29

with disabilities, adults with disabilities, persons with 

mental disabilities, pregnant women, prisoners, 

institutionalized individuals, or others who are likely to 

be vulnerable.

(2) Sources of Materials: Identify the sources of research 

material obtained from individually identifiable living 

human subjects in the form of specimens, records, or 

data. Indicate whether the material or data will be 

obtained specifically for research purposes or whether 

use will be made of existing specimens, records, or data.

(3) Recruitment and Informed Consent: Describe plans 

for the recruitment of subjects and the consent 

procedures to be followed. Include the circumstances 

under which consent will be sought and obtained, who 

will seek it, the nature of the information to be provided 

to prospective subjects, and the method of documenting 

consent. State if the Institutional Review Board (IRB) has 

authorized a modification or waiver of the elements of 

consent or the requirement for documentation of 

consent.

(4) Potential Risks: Describe potential risks (physical, 

psychological, social, legal, or other) and assess their 

likelihood and seriousness. Where appropriate, describe 

alternative treatments and procedures that might be 

advantageous to the subjects.

(5) Protection Against Risk: Describe the procedures for 

protecting against or minimizing potential risks, including 

risks to confidentiality, and assess their likely 

effectiveness. Where appropriate, discuss provisions for 

ensuring necessary medical or professional intervention 

in the event of adverse effects to the subjects. Also, 

where appropriate, describe the provisions for 

monitoring the data collected to ensure the safety of the 

subjects.

(6) Importance of the Knowledge to be Gained: Discuss 

the importance of the knowledge gained or to be gained 

as a result of the proposed research. Discuss why the 

risks to subjects are reasonable in relation to the 

anticipated benefits to subjects and in relation to the 

importance of the knowledge that may reasonably be 

expected to result.

(7) Collaborating Site(s): If research involving human 

subjects will take place at collaborating site(s) or other 

performance site(s), name the sites and briefly describe 

their involvement or role in the research.

Copies of the Department of Education’s Regulations for 

the Protection of Human Subjects, 34 CFR Part 97 and 

other pertinent materials on the protection of human 

subjects in research are available from the Grants Policy 

and Oversight Staff, Office of the Chief Financial Officer, 

U.S. Department of Education, Washington, D.C. 20202-

4250, telephone: (202) 245-6120, and on the U.S. 

Department of Education’s Protection of Human 

Subjects in Research Web Site: 

http://www.ed.gov/about/offices/list/OCFO/humansu

b.html

NOTE: The State Applicant Identifier on the SF 424 is for State 

Use only. Please complete it on the OMB Standard 424 in the 

upper right corner of the form (if applicable).
30

SUPPLEMENTAL INFORMATION REQUIRED FOR DEPARTMENT OF EDUCATION

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. Applicant Experience:

 Novice Applicant Yes No Not applicable to this program

3. Human Subjects Research:

 Are any research activities involving human subjects planned at any time during the

 proposed project Period?

 Yes No

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

 Yes Provide Exemption(s) #: 

 No Provide Assurance #, if available: 

Please attach an explanation Narrative:

Standard Form 424B (Rev. 7-97) Back Add Attachment Delete Attachment View Attachment
31

INSTRUCTIONS FOR THE SF-424

INSTRUCTIONS FOR DEPARTMENT OF EDUCATION SUPPLEMENTAL INFORMATION FOR SF 424

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

involving this application.

2. Novice Applicant. Check “Yes” or “No” only if assistance is being requested under a program that gives special consideration to 

novice applicants. Otherwise, leave blank.

Check “Yes” if you meet the requirements for novice applicants specified in the regulations in 34 CFR 75.225 and included on the 

attached page entitled “Definitions for Department of Education Supplemental Information for SF 424.” By checking “Yes” the 

applicant certifies that it meets these novice applicant requirements. Check “No” if you do not meet the requirements for novice 

applicants.

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

Supplemental Information For SF 424.”)

If Not Human Subjects Research. Check “No” if research activities involving human subjects are not planned at any time during the 

proposed project period. The remaining parts of Item 3 are then not applicable.

If Human Subjects Research. Check “Yes” if research activities involving human subjects are planned at any time during the proposed 

project period, either at the applicant organization or at any other performance site or collaborating institution. Check “Yes” even if 

the research is exempt from the regulations for the protection of human subjects. (See I. B. “Exemptions” in attached page entitled 

“Definitions for Department of Education Supplemental Information For SF 424.”) 

3a. If Human Subjects Research is Exempt from the Human Subjects Regulations. Check “Yes” if all the research activities proposed 

are designated to be exempt from the regulations. Insert the exemption number(s) corresponding to one or more of the six 

exemption categories listed in I. B. “Exemptions.” In addition, follow the instructions in II. A. “Exempt Research Narrative” in the 

attached page entitled “Definitions for Department of Education Supplemental Information For SF 424.” 

3a. If Human Subjects Research is Not Exempt from Human Subjects Regulations. Check “No” if some or all of the planned research 

activities are covered (not exempt). In addition, follow the instructions in II. B. “Nonexempt Research Narrative” in the page entitled 

“Definitions for Department of Education Supplemental Information For SF 424

3a. Human Subjects Assurance Number. If the applicant has an approved Federal Wide (FWA) on file with the Office for Human 

Research Protections (OHRP), U.S. Department of Health and Human Services, that covers the specific activity, insert the number in 

the space provided. If the applicant does not have an approved assurance on file with OHRP, enter “None.” In this case, the 

applicant, by signature on the SF-424, is declaring that it will comply with 34 CFR 97 and proceed to obtain the human subjects 

assurance upon request by the designated ED official. If the application is recommended/selected for funding, the designated ED 

official will request that the applicant obtain the assurance within 30 days after the specific formal request.

Note about Institutional Review Board Approval. ED does not require certification of Institutional Review Board approval with the 

application. However, if an application that involves non-exempt human subjects research is recommended/selected for funding, the 

designated ED official will request that the applicant obtain and send the certification to ED within 30 days after the formal request.

Paperwork Burden Statement. According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information 

unless such collection displays a valid OMB control number. The valid OMB control number for this information collection is 1890-0017. The time 

required to complete this information collection is estimated to average between 15 and 45 minutes per response, including the time to review 

instructions, search existing data resources, gather the data needed, and complete and review the information collection. If you have any comments 

concerning the accuracy of the estimate(s) or suggestions for improving this form, please write to: U.S. Department of Education, Washington, D.C. 

20202-4700. If you have comments or concerns regarding the status of your individual submission of this form write directly to: Joyce I. Mays, 

Application Control Center, U.S. Department of Education, Potomac Center Plaza, 550 12th Street, S.W. Room 7076, Washington, D.C. 20202-4260.
tment of Education 

DGET INFORMATION FOR NON-CONSTRUCTION PROGRAMS (SF-524)

OMB Control Number: 1894-0008

Expiration Date: 04/30/2014

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

Project Year 1

(a)

Project Year 2

(b)

Project Year 3

(c)

Project Year 4

(d)

Project Year 5

(e)

Total

(f)

Completed by Your Business Office):

nt for indirect costs on line 10, please answer the following questions:

t Rate Agreement approved by the Federal government? ____Yes ____ No 

owing information:

ct Cost Rate Agreement: From: ___/___/______ To: ___/___/______ (mm/dd/yyyy)

___ ED ____ Other (please specify): __________________________

s (check one) -- Are you using a restricted indirect cost rate that:

ved Indirect Cost Rate Agreement? or ___ Complies with 34 CFR 76.564(c)(2)?
33

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)
34

INSTRUCTIONS FOR ED BUDGET SUMMARY FORM (SF-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 sub-projects, 

show for each budget category of a project year the 

breakdown of the specific expenses attributable to each 

sub-project or activity.

2. 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 
35

“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.h

tml. 

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 (insert 

program office), U.S. Department of Education, 400 Maryland Avenue, S.W., Washington, D.C. 20202. 
DISCLOSURE OF LOBBYING ACTIVITIES (SF-LLL)

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: __________________

7. 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)
INSTRUCTIONS FOR DISCLOSURE OF LOBBYING ACTIVITIES (SF-LLL)

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

This disclosure form shall be completed by the reporting entity, whether subawardee or prime Federal recipient, at the initiation or receipt 

of a covered Federal action, or a material change to a previous filing, pursuant to title 31 U.S.C. section 1352. The filing of a form is 

required for each payment or agreement to make payment to any lobbying entity for influencing or attempting to influence an officer or 

employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in 

connection with a covered Federal action. Complete all items that apply for both the initial filing and material change report. Refer to the 

implementing guidance published by the Office of Management and Budget for additional information.

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

of a covered Federal action.

2. Identify the status of the covered Federal action.

3. Identify the appropriate classification of this report. If this is a followup report caused by a material change to the 

information previously reported, enter the year and quarter in which the change occurred. Enter the date of the last previously submitted 

report by this reporting entity for this covered Federal action.

4. Enter the full name, address, city, State and zip code of the reporting entity. Include Congressional District, if known. 

Check the appropriate classification of the reporting entity that designates if it is, or expects to be, a prime or subaward recipient. Identify 

the tier of the subawardee, e.g., the first sub awardee of the prime is the 1st tier. Sub awards include but are not limited to subcontracts, 

sub grants 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
C. ASSURANCES AND CERTIFICATIONS

GENERAL EDUCATION PROVISIONS ACT (GEPA) SECTION 427

*ALL APPLICANTS MUST INCLUDE INFORMATION IN THEIR APPLICATIONS TO ADDRESS THIS PROVISION IN ORDER TO 

RECEIVE FUNDING UNDER THIS PROGRAM.

Section 427 requires each applicant 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 

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 might prevent your 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 in your circumstances.

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.

First, applicants must identify at least one barrier that would prevent teachers, and other program beneficiaries 

from participating in grant activities. The statute highlights six types of barriers that can impede access to 

participation: gender, race, national origin, color, disability, or age. However, applicants can take a fairly broad 

view of what constitutes a barrier and may address a barrier that is not among these six. Nor does the barrier 

have to be related to an applicant’s own operation or way of conducting business. The barrier could be an 

attitude or perception held by people that the grant project is intended to serve. For example, an organization 

could be free of any discriminatory policies but still have trouble getting immigrant parents involved because 

these parents are reluctant to work with any official group or agency.

Second, applicants must explain what they will do to overcome the barrier.

Here are two examples of identifying a barrier and its solution:

 Barrier—Low-income parents cannot participate in grant activities held in the evening at a local school because they 

lack babysitting and transportation.

Solution—Grant money will be spent to carry out a detailed plan (explained within the applicant’s GEPA statement) 

to help the parents overcome their babysitting and transportation difficulties.

 Barrier—Sight impaired students cannot benefit from reading tutors paid for with grant money because the 

students are unable to use the books available during the tutoring sessions.

 Solution—Grant money will pay for materials in Braille.
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 
40

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 

lead- based 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, Audits 

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.
41

SIGNATURE OF AUTHORIZED CERTIFYING OFFICIAL

TITLE

APPLICANT ORGANIZATION DATE SUBMITTED

Standard Form 424B (Rev. 7-97) Back

Standard Form 424B (Rev. 7-97) 

OMB Approval No. 0348-0040
42

GRANTS.GOV LOBBY FORM (FORMERLY ED 80-0013 FORM)

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 any 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 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, loam 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 or 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 
43

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 of Authorized Representative Printed Title of Authorized Representative

Signature Date

 
44

D. I3 PROGRAM FORMS

Eligible Applicant: ________________________

To be eligible for an award under the Investing in Innovation Fund, eligible applicants must meet all the requirements listed below. 

To ensure the fulfillment of all these requirements, eligible applicants must complete the form below. Check the corresponding box 

on the left side of the chart to indicate that you have met the requirement. Also, please provide the page number(s) where the 

specific component can be found in the application to support your eligibility.

CHECKLIST FOR LOCAL EDUCATIONAL AGENCY (LEA) APPLICANTS

Program Requirement

 

(pg.)_____

Providing Innovations that Improve Achievement for High-Need Students: All grantees must implement practices that 

are designed to improve student achievement (as defined in the NIA) or student growth (as defined in the NIA), close 

achievement gaps, decrease dropout rates, increase high school graduation rates (as defined in the NIA), or increase 

college enrollment and completion rates for high-need students (as defined in the NIA).

 

(pg.)_____

Providing Innovations that Serve Kindergarten-through-Grade-12 (K-12) Students: All grantees must implement 

practices that serve students who are in grades K-12 at some point during the funding period. 

Eligibility Requirements

Appx. C

(pg.) _____

Appx. C

(pg.) 

_____

(1)(A) The eligible applicant has significantly closed the achievement gaps between groups of students described in 

section 1111(b)(2) of the ESEA (economically disadvantaged students, students from major racial and ethnic groups, 

students with limited English proficiency, students with disabilities);

 OR

(1)(B) The eligible applicant has demonstrated success in significantly increasing student academic achievement for all 

groups of students described in such section;

Appx. C

(pg.) 

_____

(2) The eligible applicant has made significant improvements in other areas, such as graduation rates or increased 

recruitment and placement of high-quality teachers and principals, as demonstrated with meaningful data; 

(pg.) 

_____

(3) The eligible applicant has demonstrated that it has established one or more partnerships with the private sector, 

which may include philanthropic organizations, and that the private sector will provide matching funds or in-kind 

contributions in order to help bring results to scale. (Evidence of the match will not need to be provided until after the 

peer review process is completed).

Evidence Requirement

Appx. D

(pg.) 

_____

I understand that to be an eligible for an i3 award, an application for a Scale-up grant must be supported by strong 

evidence of effectiveness; an application for a Validation grant must be supported by moderate evidence of effectiveness; 

an application for a Development grant must be supported by evidence of promise or strong theory. For further 

information on evidence requirements, of the i3 FAQs.

*For Charter schools applying as a LEA, please provide appropriate evidence to document legal status in Appendix B.
45

Eligible Applicant: ________________________

To be eligible for an award under the Investing in Innovation Fund, eligible applicants must meet all the requirements listed below. 

To ensure the fulfillment of all these requirements, eligible applicants must complete the form below. Check the corresponding box 

on the left side of the chart to indicate that you have met the requirement. Also, please provide the page number(s) where the 

specific component can be found in the application to support your eligibility.

CHECKLIST FOR PARTNERSHIP APPLICANTS

*A partnership applicant is an applicant that is a partnership between a nonprofit organization and (1) one or more 

LEAs or (2) a consortium of schools. 

The nonprofit organization in the partnership must meet the definition of “nonprofit organization” used in this 

program--i.e., the organization is an entity that meets the definition of “nonprofit” under 34 CFR 77.1(c), or an 

institution of higher education as defined by section 101(a) of the Higher Education Act of 1965, as amended.

Program Requirement

 

(pg.)_____

Providing Innovations that Improve Achievement for High-Need Students: All grantees must implement practices that 

are designed to improve student achievement (as defined in the NIA) or student growth (as defined in the NIA), close 

achievement gaps, decrease dropout rates, increase high school graduation rates (as defined in the NIA) or increase 

college enrollment and completion rates for high-need students (as defined in the NIA).

 

(pg.)_____

Providing Innovations that Serve Kindergarten-through-Grade-12 (K-12) Students: All grantees must implement 

practices that serve students who are in grades K-12 at some point during the funding period. 

Eligibility Requirements

Appx. C

(pg.) _____

(1) The nonprofit organization has a record of significantly improving student achievement, attainment, or retention 

through the assistance it has provided to an LEA or schools.

Note that a nonprofit organization that does not have a record of improving student achievement may not be the lead 

applicant or receive a subgrant in a partnership application. An applicant must provide, in its application, sufficient 

supporting data or other information to allow the Department to determine whether the nonprofit organization(s) in the 

partnership meet this eligibility requirements. If the Department determines that an applicant has provided insufficient 

information in its application, the applicant will not have an opportunity to provide additional information.

(pg.) 

_____

2) The eligible applicant has demonstrated that the private sector will provide matching funds, or in-kind donations, in 

order to help bring results to scale. (Evidence of the match will not need to be provided until after the peer review 

process is completed).

Appx. C

(pg.) _____

(3) The eligible applicant has described in its application the demographics and other characteristics of any additional 

LEAs or schools with which it intends to partner and the process it will use to select them as partners. (Eligible applicants 

must identify its specific partners before a grant award will be made).

Evidence Requirement

Appx. D

(pg.) _____

I understand that to be an eligible for an i3 award, an application for a Scale-up grant must be supported by strong 

evidence of effectiveness; an application for a Validation grant must be supported by moderate evidence of effectiveness; 

an application for a Development grant must be supported by evidence of promise or strong theory. For further 

information on evidence requirements, of the i3 FAQs.

*For Nonprofit organizations applying in partnership, please provide appropriate evidence to document legal status in Appendix B.
46

I3 APPLICANT INFORMATION SHEET

Office	of	Innovation	and	Improvement		

i3	Applicant	Information	Sheet

FY	2013

Instructions:	Eligible	applicants	must	complete	and	submit	this	information	sheet	with	each	application	submitted.	Completing	

this	sheet	will	assist	ED	staff	in	assessing	the	needs	of	the	i3	competition	and	provide	staff	with	a	better	sense	of	the	applicant	

pool.	Applicants	must	fill	out	this	form	electronically,	“Save	As”	a	.PDF,	and	upload	the	generated	.PDF	into	Appendix	H	on	

Grants.gov.

PLEASE	NOTE:	Information	included	in	this	form	may	be	made	broadly	and	publicly	available.	Applicants	should	not	include

proprietary	information.

Applicant	Info

Lead	Applicant	Name:	

Lead	Applicant	City:	

Lead	Applicant	State:	

Eligible	Applicant	Type:	

Select										

Have	you	applied	for	more	than	one	i3	grant in	this	year’s	competition?		 Yes									 No

Pre-Application	PR	Award	Number:

Project	Info

Project	Title:	

Type	of	Grant	Requested:		

Select										

Length	of	Requested	Grant	Award:

Select										

Select	the	ONE	Absolute	Priority	(AP)	that	you	are	addressing	in	your	application	and	identify	the	subpart	under	the	

chosen priority.	Applicants	applying	under	AP8	Serving	Rural	Communities	must	select	an	absolute	priority	and	subpart	

from	the	dropdown	in	addition	to	indicating	that	they	will	address	the	rural	priority.

___________________________________Select										

I	intend	to	apply	under	AP8	Serving	Rural	Communities.	

Yes

No
47

Total	number	of	students	to	be	served	by	the	proposed	project:	

Student	grade	levels	to	be	served	by	the	proposed	project:

Birth-Pre	K Kinder arte 1 2 3

4 5 6 7 8

9 10 11 12 Post-Secondary

Project	Description:

In	2000	characters	or	less,	please	provide	a	brief	description	of	the	project	you	wish	to	propose.	Be	sure	to	include	a	summary	of	

project	objectives	and	expected	outcomes, along	with	any	special	project	features.

School	District/LEA	Implementation	Sites:

School	District/LEA Two	letter	state Check	if	rural	LEA

1.	

2.	

3.	

4.	

5.	

6.	

7.	

8.	

9.	

10.	

If	you	have	more	than	10	implementation	sites,	please	list	them	here	with	a	semicolon	separating	each	location:
48

Project	Partners:

Please	list	all	organizations	partnering	with	this	project	and	the	amount	of	Federal	funds	requested	for	each	as	part	of	your

overall	budget.

Partner	Name Two	Letter	State Budget	Amount	(numeric	only)

1.	 $	

2.	 $	

3.	 $	

4.	 $	

5.	 $	

6.	 $	

7.	 $	

8.	 $	

9.	 $	

10.	 $	

If	you	have	more	than	10	partners,	please	list	them	here	with	a	semicolon	between	each	location:

Private	Sector	Matching	Requirement

Have	you	secured	the	private	sector	match?								 YES							 		NO

If	YES,	list	the	organization(s)	that	are	providing	the	matching	funds.			

1.	

2.	

3.	

4.

5.	

6.	

7.	

8.	

9.	

10.	

If	you	have	more	than	10	entities	helping	to	provide	your	match,	please	list	them	here	with	a	semicolon	separating	each	

location:	

Are	you	requesting	a	waiver	for	the	private	sector	match?	 YES							 		NO

If,	YES,	please	attach	the	necessary	justification	under	Appendix	E	at	the	time	of	submission on	Grants.gov.
49

V. Submitting Your Application

FY 2013 OPTIONAL APPLICATION CHECKLIST

Applicants may use this checklist once they have completed their i3 applications. The checklist contains all mandatory 

parts of the application.

Part A: Application Narrative

ED Abstract Narrative Form

Project Narrative Form

Budget Narrative Form

Other Attachments Form (Upload Appendices here)

NOTE: Eligible applicants should attach all appendices to the Other Attachments Form. The Grants.gov system will 

allow applicants to attach as many as ten separate appendices in this section; however, applicants are encouraged 

to limit the number of appendix entries to a reasonable number for a reviewer to read. The entire application 

package should be no larger than 8MB. Therefore, you may want to check the total size of your package before 

submission.

Part B: Required Forms 

ED Standard Forms

Application for Federal Assistance (SF 424) 

Department of Education Supplemental Information for SF 424 

Department of Education Budget Summary Form (ED 524) Sections A & B

Disclosure of Lobbying Activities (SF-LLL) 

Assurances and Certifications

GEPA Section 427 

Assurances – Non-Construction Programs (SF 424B)

Grants.gov Lobby form (formerly ED 80-0013 form)

i3 Program Forms

Checklist for Local Educational Agency (LEA) Applicants

Checklist for Partnership Applicants

i3 Applicant Information Sheet

NOTE: Download i3 Program Forms from: http://www2.ed.gov/programs/innovation/applicant.html.
50

SUBMISSION PROCEDURES

IMPORTANT – PLEASE READ FIRST

U.S. Department of Education

Grants.gov Submission Procedures and Tips for Applicants

To facilitate your use of Grants.gov, this document includes important submission procedures you need to be aware of 

to ensure your application is received in a timely manner and accepted by the Department of Education.

ATTENTION – Adobe Forms and PDF Files Required

Applications submitted to Grants.gov for the Department of Education will be posted using Adobe forms. Therefore, 

applicants will need to download a newer version of Adobe reader (Grants.gov recommends Adobe Reader 10.1.4). 

Information on computer and operating system compatibility with Adobe, links to download a newer version, and 

warnings about using Adobe Reader XI are all available on Grants.gov. We strongly recommend that you review these 

details on www.Grants.gov before completing and submitting your application. In addition, applicants should submit 

their application a day or two in advance of the closing date as detailed below. Also, applicants are required to upload 

their attachments in .pdf format only. (See details below under “Attaching Files – Additional Tips.”).

Please be aware that Grants.gov has discovered an issue with the newest version of Adobe Reader XI.

Applicants may encounter the following error that will prevent them from submitting their application:

"At least one required Field was empty. Please fill in the required field (highlighted) before continuing."

Grants.gov recommends that if applicants encounter this issue, they submit their application using any version 

below Adobe Reader XI. Please refer to the compatibility table for additional information about supported 

versions of Adobe Reader. If you have any questions regarding this matter please email the Grants.gov Contact 

Center at support@grants.gov or call 1-800-518-4726.

Application Tips

1) REGISTER EARLY – Grants.gov registration may take five or more business days to complete. You may begin 

working on your application while completing the registration process, but you cannot submit an application 

until all of the Registration steps are complete. For detailed information on the Registration Steps, please go to: 

http://www.grants.gov/applicants/get_registered.jsp [Note: Your organization will need to update its SAM 

registration annually (formerly Central Contractor Registry (CCR)*.]

Registration in Brief (ALLOW 4 WEEKS FOR COMPLETION OF ALL STEPS)

a. Obtain DUNS Number

Same day. If requested by phone (1-866-705-5711) DUNS is provided immediately. If your organization 

does not have one, you will need to go to the Dun & Bradstreet website 

at http://fedgov.dnb.com/webform to obtain the number.
51

b. Register with SAM. Ensure that your organization is registered with the System for Award Management 

(SAM) at https://www.sam.gov/portal/public/SAM/. If your organization is not registered within the 

SAM, an authorizing official of your organization must register. 

May take up to two weeks.

i. If you already have a Tax Identification Number TIN, your SAM registration will take three or 

more business days to complete. 

ii. If you are applying for an EIN please allow up to two weeks. 

c. Username & Password

Same day. Complete your AOR (Authorized Organization Representative) profile on Grants.gov and 

create your username and password. You will need to use your organization’s DUNS Number to 

complete this step. https://apply07.grants.gov/apply/OrcRegister.

d. AOR Authorization

*Same day. The E-Business Point of Contact (E-Biz POC) at your organization must login to Grants.gov to 

confirm you as an Authorized Organization Representative (AOR). Please note that there can be more 

than one AOR for your organization. In some cases the E-Biz POC is also the AOR for an 

organization. *TIME DEPENDS ON RESPONSIVENESS OF YOUR E-BIZ POC.

e. TRACK AOR STATUS

At any time, you can track your AOR status by logging in with your username and password. Login as an 

Applicant (enter your username & password) using the following: 

http://www.grants.gov/applicants/org_step6.jsp.

2) SUBMIT EARLY – We strongly recommend that you do not wait until the last day to submit your application. 

Grants.gov will put a date/time stamp on your application and then process it after it is fully uploaded. The 

time it takes to upload an application will vary depending on a number of factors including the size of the 

application and the speed of your Internet connection, and the time it takes Grants.gov to process the 

application will vary as well. If Grants.gov rejects your application (see step three below), you will need to 

resubmit successfully to Grants.gov before 4:30:00 p.m. Washington, DC time on the deadline date. 

3) Note: To submit successfully, you must provide the DUNS number on your application that was used when 

you registered as an Authorized Organization Representative (AOR) on Grants.gov. This DUNS number is 

typically the same number used when your organization registered with the SAM (formerly CCR -Central 

Contractor Registry). If you do not enter the same DUNS number on your application as the DUNS you 

registered with, Grants.gov will reject your application.

4) VERIFY SUBMISSION IS OK – You will want to verify that Grants.gov received your application submission on 

time and that it was validated successfully. To see the date/time your application was received, login to 

Grants.gov and click on the Track My Application link. For a successful submission, the date/time received 

should be earlier than 4:30:00 p.m. Washington, DC time, on the deadline date, AND the application status 

should be: Validated, Received by Agency, or Agency Tracking Number Assigned. Once the Department of 

Education receives your application from Grants.gov, an Agency Tracking Number (PR/award number) will be 

assigned to your application and will be available for viewing on Grants.gov’s Track My Application link.
52

5) If the date/time received is later than 4:30:00 p.m. Washington, D.C. time, on the deadline date, your 

application is late. If your application has a status of “Received” it is still awaiting validation by Grants.gov. 

Once validation is complete, the status will either change to “Validated” or “Rejected with Errors.” If the status 

is “Rejected with Errors,” your application has not been received successfully. Some of the reasons Grants.gov 

may reject an application can be found on the Grants.gov site: 

http://www.grants.gov/applicants/applicant_faqs.jsp#54. For more detailed information on troubleshooting 

Adobe errors, you can review the Adobe Reader Error Messages document at 

http://www.grants.gov/assets/AdobeReaderErrorMessages.pdf. If you discover your application is late or has 

been rejected, please see the instructions below. Note: You will receive a series of confirmations both online 

and via e-mail about the status of your application. Please do not rely solely on e-mail to confirm whether your 

application has been received timely and validated successfully. 

Submission Problems – What should you do?

If you have problems submitting to Grants.gov before the closing date, please contact Grants.gov Customer Support at 

1-800-518-4726 or http://www.grants.gov/contactus/contactus.jsp, or access the Grants.gov Self-Service web portal at: 

https://grants-portal.psc.gov/Welcome.aspx?pt=Grants. If you contact the Grants.gov helpdesk, please make sure that 

you obtain a case number. 

You must submit an electronic application before 4:30:00 p.m., unless you follow the procedures in the Federal Register

notice and qualify for one of the exceptions to the electronic submission requirement and submit, no later than two 

weeks before the application deadline date, a written statement to the Department that you qualify for one of these 

exceptions. (See the Federal Register notice for detailed instructions.)

Helpful Hints When Working with Grants.gov

Please note, once you download an application from Grants.gov, you will be working offline and saving data on your 

computer. Please be sure to note where you are saving the Grants.gov file on your computer. You will need to logon to 

Grants.gov to upload and submit the application. You must provide the DUNS number on your application that was 

used when you registered as an Authorized Organization Representative (AOR) on Grants.gov.

Please go to http://www.grants.gov/contactus/contactus.jsp for help with Grants.gov. For additional tips related to 

submitting grant applications, please refer to the Grants.gov Submit Application FAQs found on the Grants.gov 

http://www.grants.gov/applicants/submit_application_faqs.jsp. 

Dial-Up Internet Connections

When using a dial up connection to upload and submit your application, it can take significantly longer than when you 

are connected to the Internet with a high-speed connection, e.g. cable modem/DSL/T1. While times will vary depending 

upon the size of your application, it can take a few minutes to a few hours to complete your grant submission using a 

dial up connection. If you do not have access to a high-speed connection and electronic submission is required, you 

may want to consider following the instructions in the Federal Register notice to obtain an exception to the electronic 

submission requirement no later than two weeks before the application deadline date. (See the Federal Register

notice for detailed instructions.) 
53

MAC Users

For MAC compatibility information, review the Operating System Platform Compatibility Table at the following 

Grants.gov link: http://www.grants.gov/help/download_software.jsp. If electronic submission is required and you are 

concerned about your ability to submit electronically as a non-windows user, please follow instructions in the Federal 

Register notice to obtain an exception to the electronic submission requirement no later than two weeks before the 

application deadline date. (See the Federal Register notice for detailed instructions.)

Attaching Files – Additional Tips

Please note the following tips related to attaching files to your application, especially the requirement that applicants 

only include read-only, non-modifiable .PDF files in their application:

1. Ensure that you attach .PDF files only for any attachments to your application, and they must be in a readonly, non-modifiable format. PDF files are the only Education approved file type accepted as detailed in the 

Federal Register application notice. Applicants must submit individual .PDF files only when attaching files to 

their application. Specifically, the Department will not accept any attachments that contain files within a 

file, such as PDF Portfolio files, or an interactive or fillable .PDF file. Any attachments uploaded that are not 

.PDF files or are password protected files will not be read. If you need assistance converting your files to a 

.pdf format, please refer to the following Grants.gov webpage with links to conversion programs under the 

heading of additional resources: http://www.grants.gov/applicants/app_help_reso.jsp

2. Grants.gov cannot process an application that includes two or more files that have the same name within a 

grant submission. Therefore, each file uploaded to your application package should have a unique file 

name.

3. When attaching files, applicants should follow the guidelines established by Grants.gov on the size and 

content of file names. Uploaded files must be less than 50 characters, contain no spaces, no special 

characters (example: -, &, *, %, /, #, \) including periods (.), blank spaces and accent marks. Applications 

submitted that do not comply with the Grants.gov guidelines will be rejected at Grants.gov and not 

forwarded to the Department. 

4. Applicants should limit the size of their file attachments. Documents submitted that contain graphics and/or 

scanned material often greatly increase the size of the file attachments and can result in difficulties opening 

the files. For reference, the average discretionary grant application package totals 1 to 2 MB. Therefore, 

you may want to check the total size of your package before submission.

*Please note that the Central Contractor Registry (CCR) was replaced by the System for Award Management 

(SAM) effective July 30, 2012. For more information on the migration of CCR data to SAM, grant applicants 

should read this information located on Grants.gov: 

http://grants-gov.blogspot.com/2012/07/information-about-pending-migration.html#!/2012/07/informationabout-pending-migration.html
54

DUNS NUMBER INSTRUCTIONS

All applicants must have a D-U-N-S number in order to apply for federal funds.

NOTE: Check with your fiscal office to see if your institution has an assigned D-U-N-S before contacting Dun & 

Bradstreet.

Please provide the applicant's D-U-N-S Number. You can obtain your D-U-N-S Number at no charge by calling 

1-800-333-0505 or by completing a D-U-N-S Number Request Form. The form can be obtained via the Internet 

at the following URL:

http://www.dnb.com/US/duns_update/index.html

The D-U-N-S Number is a unique nine digit number that does not convey any information about the recipient. A 

built-in check digit helps assure the accuracy of the D-U-N-S Number. The ninth digit of each number is the 

check digit, which is mathematically related to the other digits. It lets computer systems determine if a D-U-N-S 

Number has been entered correctly.

Dun & Bradstreet, a global information services provider, has assigned D-U-N-S numbers to over 43 million 

companies worldwide. Live help Monday-Friday 8am-6pm (EST) Dial 1-888-814-1435.

Note: Electronic submission via Grants.gov must use the D-U-N-S number your organization used when it

registered in the System for Award Management.
55

VI. Additional	Information

EXECUTIVE ORDER 12372

Intergovernmental Review of Federal Programs

This program is subject to the requirement of the Executive Order 12372 (Intergovernmental Review of Federal Programs) 

and the regulations in 34 CFR Part 79. The objective of the Executive Order is to foster an intergovernmental partnership 

and to strengthen federalism by relying on State and local processes for State and local government coordination and 

review of proposed Federal financial assistance. Applicants must contact the appropriate State Single Point of Contact to 

find out about, and to comply with, the State’s process under Executive Order 12372.

You may locate the name and contact information of State Single Point of Contact at:

http://www.whitehouse.gov/omb/grants_spoc

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 120 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 (Section 14007 of the American Recovery and Reinvestment Act of 2009 (ARRA)) and voluntary. 

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 1855-0021. Note: Please 

do not return the completed 1855-0021 i3 application to this address.