**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 R eceived:**  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., constru ction 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 ar e 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 optio nal 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 con gressional 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 Proc**  **ess?** (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 selec ted, 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, i nclude 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 t hat 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 To wnship 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 Governmen t (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. Hispanic

serving Institution S. Historically Black Colleges and Universities (HBCUs) T. Tribally Controlled Colleges and Univer sities (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 novi ce 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 com petition 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. Hum an 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 Hum an 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 Hum an Subjects Research.**  Check “ **Yes** ” if research activities involving human subjects are planned at any time during the proposed project perio d, 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 Hum an 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 I I. A. “Exempt Research Narrative” in the attached page entitled “Definitions for U.S. Department of Education Supplemental Information for the SF

- 424.”
**3b. If Hum an 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. Hum an 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, inse rt the number in the space provided. **(A list of current FWAs is available at:**  **http://ohrp.cit.nih.gov/search/asearch.asp#A SUR**  **)** 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 reques t by the designated ED official. If the application is recommended/selected for funding, the designated ED official w ill request that the applicant obtain the assurance within 30 days after the specific formal request.
**3c.** If applicable, please attach y our “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 w ith the appli cation. How ever, if an application that involves non

- exem pt human subjects research is recommended/selected for funding, the designated ED official w ill request that the applicant obtain and send the certification to ED w ithin 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 e xisting 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 authorit y)/ 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 (Attachm**  **ent to Instructions for Supplemental Inform ation 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 grou p includes only parties that meet the requirements listed above.

**PROTECTION OF HUMAN SUBJECTS IN RESEARCH**
**I. Definitions and Exe mptions** 
**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 (whethe r 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 in volves 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 definit ion 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 speci fic 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 educa tional 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 i**  **f 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 tre atm ents 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 chan ges 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 wi thout 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 Exe mpt and Nonexempt Human**  **Subjects Research Narratives** If the applicant marked “Y es” 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” narrativ e. 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) **Hum an 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. Identi fy 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 w om en, 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) **Recruitm ent 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 Revie w Board (IRB) has authorized a modification or w aiver of the elements of consent or the requirement for documentation of consent. (4) **Potential Risks** : Describe potential risks (physical, psy chological, social, legal, or other) and a ssess 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 mo nitoring the data collected to ensure the safety of the subjects. (6) **Im portance of the Knowledge to be Gained**  : Discuss the im portance 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 oth**  **er 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 (E D) discretionary grant programs. Unless directed otherwise, provide the same budget information for each year of the multi

- ye ar funding request. Pay attention to applicable program specific instructions, if attached. You may access the Education Departme nt General Administrative Regulations, 34 CFR 74

– 86 and 97

- 99, on ED’s website at: http://www.ed.gov/polic y/fund/reg/edgarReg/edgar.html
**You must consult with your Business Office pri or 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

- ye ar total for each budget category. If funding is requested for only one project year, leave this c olumn 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 ye ar, leave thi s 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 th at 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 w ages 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 indir ect 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 restri cted 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 y ou 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 o n 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

- ye ar tot al 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 am ount to be contributed for all years of the multi

- ye ar 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 in structions,

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 w ill be divided into tw o or more separately budgeted major activities or sub

- p rojects, show

for each budget category of a project year the breakdow n 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 requireme nt 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 de scription 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 allow ances. OMB cost principle circulars are available on OMB’s web site 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 reim bursem ent for indirect costs on line 10, this information is to be completed by your Business Office. S pecify the estimated amount of the base to w hich 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 “T raining 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 includ ed 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 w ebsite at: http://www.ed.gov/fund/grant/apply/appforms/appforms.html

. Yo u 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 Statem ent**  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 num ber for this information collection is **1894 -**  **0008** . The time required to complete this information collection is estimated to var y from 13 to 22 hours per response, with an average of 17.5 hours per response, including the time to review instructions, s earch existing data sources, gather the data needed, and com plete 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 E ducation, W ashington, D.C. 20202

- 4537. If y ou have comments or concerns regarding the status of yo ur individual submission of this form, write directly to (insert program office), U.S. Department of Education, 400 Maryland Avenue, S.W ., W ashington, D.C. 2 0202.

### 11 **INSTRUCTIONS FOR COMPLETION OF SF**
**- LLL, DISCLOSURE OF LOBBYING ACTIVITIES**  This disclosure form shall be completed b y the reporting entit y, 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 pay ment or agreement to make pay ment to any

lobby ing entit y for influencing or attempting to influence an officer or employ ee of an y agency, a Member of Congress, an officer or emplo ye e 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 b y the Office of Management and Budget for additional information.
1. Id entify

the t ype of covered Federal action for which lobbying activity is and/or has been secured to influence the outcome of a covered Federal action.

2. Id entify

the status of the covered Federal action.

3. Id entify

the appropriate classification of this report. I f this is a followup report caused by a material change to the information previousl y 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 entit y 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 ful l 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 identify ing 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 b y t he 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 entit y identified in item 4 or 5.

10. (a) Enter the full name, address, cit y, State and zip code of the lobb yi ng registrant under the L obby ing Disclosure Act o f 1995 engaged b y t he reporting entit y 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 Mid dle Initial (MI).

11. The certify ing 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 unles s 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 fo r revi ewing 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 informa tion, 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 ap plicant’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 b y 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 employ ees who each work half

- time equal one full

- time equivalent emplo yee. 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 y our organization spends each y ear on al l 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 display s a valid OMB control number. The valid OMB control numb er 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 ne eded, and complete and review the information collection. If you have an y 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.

OM B No. 1894

- 0010 Exp. XXX OMB Control No. 1894

- 0005 (Exp. XXX)

### 14 **GENERA L EDUCA** **TION PROVISIONS A CT (GEPA**  **)** The purpose of this enclosure is to inform y ou 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 L aw (P.L.) 103

- 382). To Whom Does This Provision Apply ? Section 427 of GE PA affects applicants for new grant awards under this program. ALL APPLICANTS FOR NEW AWARDS MUST I NCLUDE INFORMATION IN THEIR APPLICATIONS TO ADDRESS THI S NEW PROVI SI ON IN ORDER TO RECEIVE FUND ING 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 nee d 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 entit y 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 Federall y - a ssisted 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 ty pes of barriers that can impede equitable access or participation: gender, race, national origin, color, disability , or age. Based on local circumstances, y ou should determine whether these or other barriers may prevent y our students, teachers, etc. from such access or participation in, the Federall y - funded project or activity . The description in y our application of steps to be taken to overcome these barriers need not be length y; y ou may

provide a clear and succinct description of how y ou plan to address those barriers that are applicable to y our 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, b ut 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 m ay help illustrate how an applicant may compl y 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 likel y than bo ys to enroll in the course, might indicate how it intends to conduct "outreach" efforts to girls, to encourage their enrollment. We recognize that man y applicants may alread y be implementing effective steps to ensure equit y of access and participation in their grant programs, and we appreciate your cooperation in r esponding 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 display s 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 exis ting data resources, gather the data needed, and complete and review the information collection. If you have an y comments concerning the accuracy of the time estimate(s) or suggestions for improving this form, please write to: U.S. Department of Education, 400 Mary land Avenue, S.W., Washington, D.C. 20202

- 4537.