INSTRUCTIONS FOR THE SF-424

This is a standard form required for use as a cover sheet for submission of pre-applications and applications and 

related information under discretionary programs. Some of the items are required and some are optional at the 

discretion of the applicant or the federal agency (agency). Required fields on the form are identified with an asterisk 

(*) and are also specified as “Required” in the instructions below. In addition to these instructions, applicants must 

consult agency instructions to determine other specific requirements.

Item Entry: Item: Entry:

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

of submission in accordance with agency 

instructions.

• Pre-application

• Application

• Changed/Corrected Application – Check if this 

submission is to change or correct a previously 

submitted application. Unless requested by the 

agency, applicants may not use this form to 

submit changes after the closing date.

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

name of the federal agency from which assistance 

is being requested with this application.

11. Catalog Of Federal Domestic Assistance 

Number/Title:

Enter the Catalog of Federal Domestic Assistance 

number and title of the program under which 

assistance is requested, as found in the program 

announcement, if applicable.

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

of application in accordance with agency 

instructions.

• New – An application that is being submitted to 

an agency for the first time.

• Continuation - An extension for an additional 

funding/budget period for a project with a 

projected completion date. This can include 

renewals.

• Revision - Any change in the federal 

government’s financial obligation or contingent 

liability from an existing obligation. If a revision, 

enter the appropriate letter(s). More than one 

may be selected. If "Other" is selected, please 

specify in text box provided.

A. Increase Award D. Decrease 

Duration

B. Decrease Award E. Other 

(specify)

C. Increase Duration

12. Funding Opportunity Number/Title: (Required) 

Enter the Funding Opportunity Number (FON) and 

title of the opportunity under which assistance is 

requested, as found in the program 

announcement. 

13. Competition Identification Number/Title: Enter the 

competition identification number and title of the 

competition under which assistance is requested, 

if applicable.

14. Areas Affected By Project: This data element is

intended for use only by programs for which the 

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

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

Project/Performance Site Location(s) Form. Add 

attachment to enter additional areas, if needed.

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

will be assigned by the Federal agency.

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

Enter a brief descriptive title of the project. If 

appropriate, attach a map showing project location 

(e.g., construction or real property projects). For 

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 

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 
1

applicable. 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 SF424 Project/Performance Site Location(s) Form. 

Attach an additional list of program/project 

congressional districts, if needed.

7. State Application Identifier: Leave this field 

blank. This identifier will be assigned by the 

state, if applicable.

8. Applicant Information: Enter the following in 

accordance with agency instructions: 

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

of applicant that will undertake the assistance 

activity. This is the organization that has 

registered with the Central Contractor Registry 

(CCR). Information on registering with CCR may 

be obtained by visiting www.Grants.gov. 

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

Enter the proposed start date and end date of the 

project.

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

(Required) Enter the employer or taxpayer 

identification number (EIN or TIN) as assigned 

by the Internal Revenue Service. If your 

organization is not in the US, enter 44-4444444.

18. Estimated Funding: (Required) Enter the amount 

requested, or to be contributed during the first 

funding/budget period by each contributor. Value 

of 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

M. Nonprofit

N. Private 

Institution of 

Higher 

Education

O. Individual

P. For-Profit 

Organization 

(Other than 
2

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

Small 

Business)

Q. Small Business

R. Hispanicserving 

Institution

S. Historically 

Black Colleges 

and Universities 

(HBCUs)

T. Tribally 

Controlled 

Colleges and 

Universities 

(TCCUs)

U. Alaska Native 

and Native 

Hawaiian 

Serving 

Institutions

V. Non-US Entity

W. Other (specify)

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

can be found via the following URL: http://www.grants.gov/applicants/find_grant_opportunities.jsp.]
3

INSTRUCTIONS FOR

DEPARTMENT OF EDUCATION SUPPLEMENTAL INFORMATION FOR SF 424

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

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

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

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

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

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

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

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

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

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

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

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

competition published in the Federal Register will specify this information

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

Education Supplemental Information for the SF-424.”)

3a. If Not Human Subjects Research. Check “No” if research activities involving human subjects are not planned at 

any time during the proposed project period. The remaining parts of Item 3 are then not applicable.

3a. If Human Subjects Research. Check “Yes” if research activities involving human subjects are planned at any 

time during the proposed project period, either at the applicant organization or at any other performance site or 

collaborating institution. Check “Yes” even if the research is exempt from the regulations for the protection of human 

subjects. (See I. B. “Exemptions” in attached page entitled “Definitions for U.S. Department of Education 

Supplemental Information for SF-424.”) 

3b. If Human Subjects Research is Exempt from the Human Subjects Regulations. Check “Yes” if all the 

research activities proposed are designated to be exempt from the regulations. Check the exemption number(s) 

corresponding to one or more of the six exemption categories listed in I. B. “Exemptions.” In addition, follow the 

instructions in II. A. “Exempt Research Narrative” in the attached page entitled “Definitions for U.S. Department of 

Education Supplemental Information for the SF-424.” 

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

the planned research activities are covered (not exempt). In addition, follow the instructions in II. B. “Nonexempt 

Research Narrative” in the attached page entitled “Definitions for U.S. Department of Education Supplemental 

Information for the SF-424.”

3b. Human Subjects Assurance Number. If the applicant has an approved Federal Wide Assurance (FWA) on file 

with the Office for Human Research Protections (OHRP), U.S. Department of Health and Human Services, that covers 

the specific activity, insert the number in the space provided. (A list of current FWAs is available 

at: http://ohrp.cit.nih.gov/search/asearch.asp#ASUR) If the applicant does not have an approved assurance 

on file with OHRP, enter “None.” In this case, the applicant, by signature on the SF-424, is declaring that it will 

comply with 34 CFR 97 and proceed to obtain the human subjects assurance upon request by the designated ED 

official. If the application is recommended/selected for funding, the designated ED official will request that the 

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

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

U.S Department of Education Supplemental Information for the SF-424 form as instructed in item II, “Instructions for 
4

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

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

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

approval with the application. However, if an application that involves non-exempt human subjects research is 

recommended/selected for funding, the designated ED official will request that the applicant obtain and send the 

certification to ED within 30 days after the formal request.

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

protection of human subjects in research.

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

respond to a collection of information unless such collection displays a valid OMB control number. Public reporting 

burden for this collection of information is estimated to average XX minutes/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 mandatory (citing 

authority)/required to obtain or retain benefit (citing authority)/ or voluntary. Send comments regarding the burden 

estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to 

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

about the form, instrument or survey, please contact (program office address or phone number) .
5

DEFINITIONS FOR DEPARTMENT OF EDUCATION SUPPLEMENTAL INFORMATION FOR SF 424

(Attachment to Instructions for Supplemental Information for SF 424)

Definitions:

Novice Applicant (See 34 CFR 75.225). For discretionary 

grant programs under which the Secretary gives special 

consideration to novice applications, a novice applicant means 

any applicant for a grant from ED that—

 Has never received a grant or subgrant under the 

program from which it seeks funding;

 Has never been a member of a group application, 

submitted in accordance with 34 CFR 75.127-75.129, 

that received a grant under the program from which it 

seeks funding; and

 Has not had an active discretionary grant from the 

Federal government in the five years before the 

deadline date for applications under the program. For 

the purposes of this requirement, a grant is active until 

the end of the grant’s project or funding period, 

including any extensions of those periods that extend 

the grantee’s authority to obligate funds.

In the case of a group application submitted in accordance with 

34 CFR 75.127-75.129, a group includes only parties that meet 

the requirements listed above.

PROTECTION OF HUMAN SUBJECTS IN RESEARCH

I. Definitions and Exemptions

A. Definitions.

A research activity involves human subjects if the activity is 

research, as defined in the Department’s regulations, and the 

research activity will involve use of human subjects, as defined 

in the regulations.

—Research

The ED Regulations for the Protection of Human Subjects, Title 

34, Code of Federal Regulations, Part 97, define research as “a 

systematic investigation, including research development, 

testing and evaluation, designed to develop or contribute to 

generalizable knowledge.” If an activity follows a deliberate 

plan whose purpose is to develop or contribute to generalizable 

knowledge it is research. Activities which meet this definition 

constitute research whether or not they are conducted or 

supported under a program that is considered research for other 

purposes. For example, some demonstration and service 

programs may include research activities.

—Human Subject

The regulations define human subject as “a living individual 

about whom an investigator (whether professional or student) 

conducting research obtains (1) data through intervention or 

interaction with the individual, or (2) identifiable private 

information.” (1) If an activity involves obtaining information 

about a living person by manipulating that person or that 

person’s environment, as might occur when a new instructional 

technique is tested, or by communicating or interacting with the 

individual, as occurs with surveys and interviews, the definition 

of human subject is met. (2) If an activity involves obtaining 

private information about a living person in such a way that the 

information can be linked to that individual (the identity of the 

subject is or may be readily determined by the investigator or 

associated with the information), the definition of human subject 

is met. [Private information includes information about 

behavior that occurs in a context in which an individual can 

reasonably expect that no observation or recording is taking 

place, and information which has been provided for specific 

purposes by an individual and which the individual can 

reasonably expect will not be made public (for example, a 

school health record).]

B. Exemptions.

Research activities in which the only involvement of human 

subjects will be in one or more of the following six categories of 

exemptions are not covered by the regulations:

(1) Research conducted in established or commonly accepted 

educational settings, involving normal educational practices, 

such as (a) research on regular and special education 

instructional strategies, or (b) research on the effectiveness of or 

the comparison among instructional techniques, curricula, or 

classroom management methods.

(2) Research involving the use of educational tests (cognitive, 

diagnostic, aptitude, achievement), survey procedures, interview

procedures or observation of public behavior, unless: (a) 

information obtained is recorded in such a manner that human 

subjects can be identified, directly or through identifiers linked 

to the subjects; and (b) any disclosure of the human subjects’ 

responses outside the research could reasonably place the 

subjects at risk of criminal or civil liability or be damaging to 

the subjects’ financial standing, employability, or reputation. If 

the subjects are children, exemption 2 applies only to research 

involving educational tests and observations of public behavior 

when the investigator(s) do not participate in the activities 

being observed. 

Exemption 2 does not apply if children are surveyed or 

interviewed or if the research involves observation of public 

behavior and the investigator(s) participate in the activities 

being observed. [Children are defined as persons who have not 

attained the legal age for consent to treatments or procedures 
6

involved in the research, under the applicable law or jurisdiction 

in which the research will be conducted.]

(3) Research involving the use of educational tests (cognitive, 

diagnostic, aptitude, achievement), survey procedures, interview

procedures or observation of public behavior that is not exempt 

under section (2) above, if the human subjects are elected or 

appointed public officials or candidates for public office; or 

federal statute(s) require(s) without exception that the 

confidentiality of the personally identifiable information will be 

maintained throughout the research and thereafter.

(4) Research involving the collection or study of existing data, 

documents, records, pathological specimens, or diagnostic 

specimens, if these sources are publicly available or if the 

information is recorded by the investigator in a manner that 

subjects cannot be identified, directly or through identifiers 

linked to the subjects.

(5) Research and demonstration projects which are conducted 

by or subject to the approval of department or agency heads, and 

which are designed to study, evaluate, or otherwise examine: 

(a) public benefit or service programs; (b) procedures for 

obtaining benefits or services under those programs; (c) possible 

changes in or alternatives to those programs or procedures; or 

(d) possible changes in methods or levels of payment for 

benefits or services under those programs.

(6) Taste and food quality evaluation and consumer acceptance 

studies, (a) if wholesome foods without additives are consumed 

or (b) if a food is consumed that contains a food ingredient at or 

below the level and for a use found to be safe, or agricultural 

chemical or environmental contaminant at or below the level 

found to be safe, by the Food and Drug Administration or 

approved by the Environmental Protection Agency or the Food 

Safety and Inspection Service of the U.S. Department of 

Agriculture.

II. Instructions for Exempt and Nonexempt Human 

Subjects Research Narratives

If the applicant marked “Yes” for Item 3 of Department of 

Education Supplemental Information for SF 424, the applicant 

must provide a human subjects “exempt research” or 

“nonexempt research” narrative. Insert the narrative(s) in the 

space provided. If you have multiple projects and need to 

provide more than one narrative, be sure to label each set of 

responses as to the project they address.

A. Exempt Research Narrative.

If you marked “Yes” for item 3 a. and designated exemption 

numbers(s), provide the “exempt research” narrative. The 

narrative must contain sufficient information about the 

involvement of human subjects in the proposed research to 

allow a determination by ED that the designated exemption(s) 

are appropriate. The narrative must be succinct.

B. Nonexempt Research Narrative.

If you marked “No” for item 3 a. you must provide the 

“nonexempt research” narrative. The narrative must address the 

following seven points. Although no specific page limitation 

applies to this section of the application, be succinct.

(1) Human Subjects Involvement and Characteristics: 

Provide a detailed description of the proposed involvement of 

human subjects. Describe the characteristics of the subject 

population, including their anticipated number, age range, and 

health status. Identify the criteria for inclusion or exclusion of 

any subpopulation. Explain the rationale for the involvement of 

special classes of subjects, such as children, children with 

disabilities, adults with disabilities, persons with mental 

disabilities, pregnant women, prisoners, institutionalized 

individuals, or others who are likely to be vulnerable

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

material obtained from individually identifiable living human 

subjects in the form of specimens, records, or data. Indicate 

whether the material or data will be obtained specifically for 

research purposes or whether use will be made of existing 

specimens, records, or data.

(3) Recruitment and Informed Consent: Describe plans for 

the recruitment of subjects and the consent procedures to be 

followed. Include the circumstances under which consent will 

be sought and obtained, who will seek it, the nature of the 

information to be provided to prospective subjects, and the 

method of documenting consent. State if the Institutional 

Review Board (IRB) has authorized a modification or waiver of 

the elements of consent or the requirement for documentation of 

consent.

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

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

and seriousness. Where appropriate, describe alternative 

treatments and procedures that might be advantageous to the 

subjects.

(5) Protection Against Risk: Describe the procedures for 

protecting against or minimizing potential risks, including risks 

to confidentiality, and assess their likely effectiveness. Where 

appropriate, discuss provisions for ensuring necessary medical 

or professional intervention in the event of adverse effects to the 

subjects. Also, where appropriate, describe the provisions for 

monitoring the data collected to ensure the safety of the 

subjects.

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

importance of the knowledge gained or to be gained as a result 

of the proposed research. Discuss why the risks to subjects are 

reasonable in relation to the anticipated benefits to subjects and 

in relation to the importance of the knowledge that may 

reasonably be expected to result.

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

will take place at collaborating site(s) or other performance 
7

site(s), name the sites and briefly describe their involvement or 

role in the research.

Copies of the Department of Education’s Regulations for the 

Protection of Human Subjects, 34 CFR Part 97 and other 

pertinent materials on the protection of human subjects in 

research are available from the U.S. Department of Education, 

Protection of Human Subjects Coordinator, Office of the 

Chief Financial Officer, LBJ Building, 400 Maryland Avenue, 

SW, Washington, D.C. 20202-4250, telephone: (202) 260-

3353, and on the U.S. Department of Education’s Protection 

of Human Subjects in Research Web Site: 

http://www.ed.gov/about/offices/list/ocfo/humansub.html

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

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

the upper right corner of the form (if applicable).
8

Instructions for ED 524

General Instructions

This form is used to apply to individual U.S. Department of Education (ED) discretionary grant programs. 

Unless directed otherwise, provide the same budget information for each year of the multi-year funding 

request. Pay attention to applicable program specific instructions, if attached. You may access the 

Education Department General Administrative Regulations, 34 CFR 74 – 86 and 97-99, on ED’s website 

at:

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

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

Section A - Budget Summary

U.S. Department of Education Funds

All applicants must complete Section A and provide a break-down by the applicable budget categories 

shown in lines 1-11.

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

requested for each applicable budget category.

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

only one project year, leave this column blank.

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

requested.

Line 12, column (f): Show the total amount requested for all project years. If funding is requested for only 

one year, leave this space blank.

Indirect Cost Information: If you are requesting reimbursement for indirect costs on line 10, this information is to be 

completed by your Business Office. (1): Indicate whether or not your organization has an Indirect Cost Rate 

Agreement that was approved by the Federal government. 

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

and wages subject to the following limitations: 

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

issues a grant award notification; and 

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

agency, the grantee may not charge its grant for indirect costs until it has negotiated an indirect cost rate agreement 

with its cognizant agency.

(2): If you checked “yes” in (1), indicate in (2) the beginning and ending dates covered by the Indirect Cost 

Rate Agreement. In addition, indicate whether ED, another Federal agency (Other) or State agency issued the 

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

agreement. 

(3): If you are applying for a grant under a Restricted Rate Program (34 CFR 75.563 or 76.563), indicate 

whether you are using a restricted indirect cost rate that is included on your approved Indirect Cost Rate Agreement 
9

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 nonFederal 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.

9. 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.

10. 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.

11. If applicable to this program, provide the rate and base on which fringe benefits are calculated.
10

12. If you are requesting reimbursement for indirect costs on line 10, this information is to be completed by your 

Business Office. Specify the estimated amount of the base to which the indirect cost rate is applied and the total 

indirect expense. Depending on the grant program to which you are applying and/or your approved Indirect 

Cost Rate Agreement, some direct cost budget categories in your grant application budget may not be included 

in the base and multiplied by your indirect cost rate. For example, you must multiply the indirect cost rates of 

“Training grants" (34 CFR 75.562) and grants under programs with “Supplement not Supplant” requirements 

("Restricted Rate" programs) by a “modified total direct cost” (MTDC) base (34 CFR 75.563 or 76.563). 

Please indicate which costs are included and which costs are excluded from the base to which the indirect cost 

rate is applied. 

When calculating indirect costs (line 10) for "Training grants" or grants under "Restricted Rate" programs, you 

must refer to the information and examples on ED’s website at: 

http://www.ed.gov/fund/grant/apply/appforms/appforms.html. 

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

general indirect cost rate information.

13. 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. 
11

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

This disclosure form shall be completed by the reporting entity, whether subawardee or prime 

Federal recipient, at the initiation or receipt of a covered Federal action, or a material change to a 

previous filing, pursuant to title 31 U.S.C. section 1352. The filing of a form is required for each 

payment or agreement to make payment to any lobbying entity for influencing or attempting to 

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

of Congress, or an employee of a Member of Congress in connection with a covered Federal 

action. Complete all items that apply for both the initial filing and material change report. Refer 

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

information.

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

secured to influence the outcome of a covered Federal action.

2. Identify the status of the covered Federal action.

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

a material change to the information previously reported, enter the year and quarter in which 

the change occurred. Enter the date of the last previously submitted report by this reporting 

entity for this covered Federal action.

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

Congressional District, if known. Check the appropriate classification of the reporting entity 

that designates if it is, or expects to be, a prime or subaward recipient. Identify the tier of the 

subawardee, e.g., the first subawardee of the prime is the 1st tier. Subawards include but are 

not limited to subcontracts, subgrants and contract awards under grants.

5. If the organization filing the report in item 4 checks “Subawardee,” then enter the full 

name, address, city, State and zip code of the prime Federal recipient. Include Congressional 

District, if known.

6. Enter the name of the federal agency making the award or loan commitment. Include at 

least one organizational level below agency name, if known. For example, Department of 

Transportation, United States Coast Guard.

7. Enter the Federal program name or description for the covered Federal action (item 1). If 

known, enter the full Catalog of Federal Domestic Assistance (CFDA) number for grants, 

cooperative agreements, loans, and loan commitments.
12

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

 
13

Survey Instructions on Ensuring Equal Opportunity for Applicants

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

number. 

1. Self-explanatory.

2. Self-identify.

3. Self-identify.

4. 501(c)(3) status is a legal designation provided on application to the Internal Revenue 

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

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

5. Self-explanatory.

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

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

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

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

its activities.

Paperwork Burden Statement

According to the Paperwork Reduction Act of 1995, no persons are required to respond to a 

collection of information unless such collection displays a valid OMB control number. The valid 

OMB control number for this information collection is 1890-0014. The time required to 

complete this information collection is estimated to average five (5) minutes per response, 

including the time to review instructions, search existing data resources, gather the data needed, 

and complete and review the information collection. If you have any comments concerning the 

accuracy of the time estimate(s) or suggestions for improving this form, please write to: The 

Agency Contact listed in this grant application package.

OMB No. 1894-0010 Exp. XXX

OMB Control No. 1894-0005 (Exp. XXX)
14

GENERAL EDUCATION PROVISIONS ACT (GEPA)

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

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

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

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

To Whom Does This Provision Apply?

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

APPLICANTS FOR NEW AWARDS MUST INCLUDE INFORMATION IN THEIR 

APPLICATIONS TO ADDRESS THIS NEW PROVISION IN ORDER TO RECEIVE 

FUNDING UNDER THIS PROGRAM.

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

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

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

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

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

section 427 statement as described below.)

What Does This Provision Require?

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

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

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

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

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

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

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

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

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

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

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

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

application.

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

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

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

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

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

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

The following examples may help illustrate how an applicant may comply with Section 427.
15

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

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

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

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

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

blind.

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

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

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

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

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

responding to the requirements of this provision.

Estimated Burden Statement for GEPA Requirements

According to the Paperwork Reduction Act of 1995, no persons are required to respond to a 

collection of information unless such collection displays a valid OMB control number. The valid 

OMB control number for this information collection is 1894-0005. The time required to 

complete this information collection is estimated to average 1.5 hours per response, including the 

time to review instructions, search existing data resources, gather the data needed, and complete 

and review the information collection. If you have any comments concerning the accuracy of the 

time estimate(s) or suggestions for improving this form, please write to: U.S. Department of 

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