INSTRUCTIONS FOR THE SF-424

Public reporting burden for this collection of information is estimated to average 60 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 (0348-0043), Washington, DC 20503. 

PLEASE DO NOT RETURN YOUR COMPLETED FORM TO THE OFFICE OF MANAGEMENT AND BUDGET. SEND IT TO 

THE ADDRESS PROVIDED BY THE SPONSORING AGENCY.

This is a standard form (including the continuation sheet) 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 items are identified with an asterisk on the form and are 

specified in the instructions below. In addition to the instructions provided below, applicants must consult agency instructions to 

determine specific requirements.

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Entry: Ite

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Entry:

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

submission in accordance with agency instructions.

 Pre-application

 Application

 Changed/Corrected Application – If requested by the 

agency, check if this submission is to change or correct a 

previously submitted application. Unless requested by the 

agency, applicants may not use this 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.

1. 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 B. Decrease Award

 C. Increase Duration D. Decrease Duration 

 E. Other (specify)

12. Funding Opportunity Number/Title: (Required) Enter the Funding 

Opportunity Number 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: List the areas or entities using the 

categories (e.g., cities, counties, states, etc.) specified in agency 

instructions. Use the continuation sheet 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 pre4. Applicant Identifier: Enter the entity identifier assigned by the applications, attach a summary description of the project.

Federal agency, if any, or 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: (Required) 16a. Enter the applicant’s 

Congressional District, and 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 5thth district, CA-012 for California 12th district, NC-103 for 

North Carolina’s 103rd district. 

2. 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.

3. If nationwide, i.e. all districts within all states are affected, 

enter US-all. 

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

5b. Federal Award Identifier: For new applications leave blank. 

For a continuation or revision to an existing award, enter the 

previously assigned Federal award identifier number. If a 

changed/corrected application, enter the Federal Identifier in 

accordance with agency instructions.

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

be assigned by the State, if applicable.

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

identifier will be assigned by the State, if applicable.

8. Applicant Information: Enter the following in accordance with 

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

that will undertake the assistance activity. This is the name that 

the organization has registered with the Central Contractor 

Registry. Information on registering with CCR may be obtained 

by visiting the Grants.gov website.

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 the Grants.gov website.

d. Address: Enter the complete address as follows: Street 

address (Line 1 required), City (Required), County, State 

(Required, if country is US), Province, Country (Required), 

Zip/Postal Code (Required, if country is US).

19. Is Application Subject to Review by State Under Executive 

Order 12372 Process? 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

e. Organizational Unit: Enter the name of the primary 

organizational unit (and department or division, if applicable)

that will undertake the assistance activity, if applicable.

f. Name and contact information of person to be contacted 

on matters involving this application: Enter the name (First 

and last name required), organizational affiliation (if affiliated 

with an organization other than the applicant organization), 

telephone number (Required), fax number, and email address 

(Required) of the person to contact on matters related to this 

application.

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 debt include delinquent audit 

disallowances, loans and taxes.

If yes, include an explanation on the continuation sheet.

9. Type of Applicant: (Required)

Select up to three applicant type(s) in accordance with 

agency instructions.

21. Authorized Representative: (Required) To be signed and dated by 

the authorized representative of the applicant organization. Enter the 

name (First and last name required) title (Required), telephone 

number (Required), fax number, and email address (Required) of the 

person authorized to sign for the applicant. 

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.)

A. State Government

B. County Government

C. City or Township Government

D. Special District Government

E. Regional Organization

F. U.S. Territory or Possession

G. Independent School District

H. Public/State Controlled 

Institution of Higher Education

I. Indian/Native American Tribal 

Government (Federally Recognized)

J. Indian/Native American Tribal 

Government (Other than Federally 

Recognized)

K. Indian/Native American Tribally 

Designated Organization

L. Public/Indian Housing Authority 

M. Nonprofit with 

501C3 IRS Status 

(Other than Institution 

of Higher Education)

N. Nonprofit 

without 501C3 IRS 

Status (Other than 

Institution of Higher 

Education)

O. Private 

Institution of Higher 

Education

P. Individual

Q. For-Profit 

Organization (Other 

than Small Business)

R. Small Business

S. Hispanic-serving 

Institution

T. Historically 

Black Colleges and 

Universities (HBCUs)

U. Tribally 

Controlled Colleges 

and Universities 

(TCCUs)

V. Alaska Native 

and Native Hawaiian 

Serving Institutions

W. Non-domestic 

(non-US) Entity

X. Other (specify)
INSTRUCTIONS FOR

DEPARTMENT OF EDUCATION SUPPLEMENTAL INFORMATION FOR SF 424

a. Project Director . Name, address, telephone and fax 

numbers, and e-mail address of the person to be contacted on 

matters involving this application.

2. Novice Applicant. Check “Yes” or “No” only if assistance is 

being requested under a program that gives special consideration to 

novice applicants. Otherwise, leave blank.

Check “Yes” if you meet the requirements for novice applicants 

specified in the regulations in 34 CFR 75.225 and included on the 

attached page entitled “Definitions for Department of Education 

Supplemental Information for SF 424.” By checking “Yes” the 

applicant certifies that it meets these novice applicant requirements. 

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

applicants.

3. Human Subjects Research. (See I. A. “Definitions” in 

attached page entitled “Definitions for Department of Education 

Supplemental Information For SF 424.”)

If Not Human Subjects Research. Check “No” if research 

activities involving human subjects are not planned at any time

during the proposed project period. The remaining parts of Item 3 

are then not applicable.

If Human Subjects Research. Check “Yes” if research activities 

involving human subjects are planned at any time during the 

proposed project period, either at the applicant organization or at 

any other performance site or collaborating institution. Check 

“Yes” even if the research is exempt from the regulations for the 

protection of human subjects. (See I. B. “Exemptions” in attached 

page entitled “Definitions for Department of Education 

Supplemental Information For SF 424.”) 

3a . If Human Subjects Research is Exempt from the Human 

Subjects Regulations . Check “Yes” if all the research activities 

proposed are designated to be exempt from the regulations. Insert 

the exemption number(s) corresponding to one or more of the six 

exemption categories listed in I. B. “Exemptions.” In addition, 

follow the instructions in II. A. “Exempt Research Narrative” in 

the attached page entitled “Definitions for Department of Education 

Supplemental Information For SF 424.” 

3a . If Human Subjects Research is Not Exempt from Human 

Subjects Regulations. Check “No” if some or all of the planned 

research activities are covered (not exempt). In addition, follow the 

instructions in II. B. “Nonexempt Research Narrative” in the page 

entitled “Definitions for Department of Education Supplemental 

Information For SF 424

3a . Human Subjects Assurance Number . If the applicant has an 

approved Federal Wide (FWA) on file with the Office for Human 

Research Protections (OHRP), U.S. Department of Health and 

Human Services, that covers the specific activity, insert the number 

in the space provided. If the applicant does not have an approved 

assurance on file with OHRP, enter “None.” In this case, the 

applicant, by signature on the SF-424, is declaring that it will 

comply with 34 CFR 97 and proceed to obtain the human subjects 

assurance upon request by the designated ED official. If the 

application is recommended/selected for funding, the designated ED 

official will request that the applicant obtain the assurance within 30 

days after the specific formal request.

Note about Institutional Review Board Approval. ED does not 

require certification of Institutional Review Board approval with the 

application. However, if an application that involves non-exempt 

human subjects research is recommended/selected for funding, the 

designated ED official will request that the applicant obtain and 

send the certification to ED within 30 days after the formal request.

Paperwork Burden Statement. According to the Paperwork 

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

collection of information unless such collection displays a valid 

OMB control number. The valid OMB control number for this 

information collection is 1890-0017. The time required to 

complete this information collection is estimated to average 

between 15 and 45 minutes per response, including the time to 

review instructions, search existing data resources, gather the data 

needed, and complete and review the information collection. If 

you have any comments concerning the accuracy of the 

estimate(s) or suggestions for improving this form, please write to: 

U.S. Department of Education, Washington, DC 20202-4700. If 

you have comments or concerns regarding the status of your 

individual submission of this form write directly to: Joyce I. 

Mays, Application Control Center, U.S. Department of 

Education, Potomac Center Plaza, 550 12th Street, S.W. Room 

7076, Washington, DC 20202-4260.
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—

1.) Has never received a grant or sub-grant under the 

program from which it seeks funding;

2.) 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

3.) Has not had an active discretionary grant from the 

Federal government in the five years before the deadline 

date for applications under the program. For the 

purposes of this requirement, a grant is active until the 

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

any extensions of those periods that extend the grantee’s 

authority to obligate funds.

In the case of a group application submitted in accordance with 34 

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

requirements listed above.

PROTECTION OF HUMAN SUBJECTS IN RESEARCH

I . Definitions and Exemptions

A . Definitions.

A research activity involves human subjects if the activity is 

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

research activity will involve use of human subjects, as defined in 

the regulations.

—Research

The ED Regulations for the Protection of Human Subjects, Title 

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

systematic investigation, including research development, testing 

and evaluation, designed to develop or contribute to generalizable 

knowledge.” If an activity follows a deliberate plan whose 

purpose is to develop or contribute to generalizable knowledge it 

is research. Activities which meet this definition constitute 

research whether or not they are conducted or supported under a

program that is considered research for other purposes. For 

example, some demonstration and service programs may include 

research activities.

—Human Subject

The regulations define human subject as “a living individual about 

whom an investigator (whether professional or student) conducting 

research obtains (1) data through intervention or interaction with 

the individual, or (2) identifiable private information.” (1) If an 

activity involves obtaining information about a living person by 

manipulating that person or that person’s environment, as might 

occur when a new instructional technique is tested, or by 

communicating or interacting with the individual, as occurs with 

surveys and interviews, the definition of human subject is met. (2) 

If an activity involves obtaining private information about a living 

person in such a way that the information can be linked to that 

individual (the identity of the subject is or may be readily 

determined by the investigator or associated with the information), 

the definition of human subject is met. [Private information 

includes information about behavior that occurs in a context in 

which an individual can reasonably expect that no observation or 

recording is taking place, and information which has been 

provided for specific purposes by an individual and which the 

individual can reasonably expect will not be made public (for 

example, a school health record).]

B. Exemptions.

Research activities in which the only involvement of human 

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

exemptions are not covered by the regulations:

(1) Research conducted in established or commonly accepted 

educational settings, involving normal educational practices, such 

as (a) research on regular and special education instructional 

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

among instructional techniques, curricula, or classroom 

management methods.

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

diagnostic, aptitude, achievement), survey procedures, interview 

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

information obtained is recorded in such a manner that human 

subjects can be identified, directly or through identifiers linked to 

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

responses outside the research could reasonably place the subjects 

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

financial standing, employability, or reputation. If the subjects 

are children, exemption 2 applies only to research involving 

educational tests and observations of public behavior when the 

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

Exemption 2 does not apply if children are surveyed or 

interviewed or if the research involves observation of public 

behavior and the investigator(s) participate in the activities being 

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

the legal age for consent to treatments or procedures involved in 

the research, under the applicable law or jurisdiction in which the 

research will be conducted.]

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

diagnostic, aptitude, achievement), survey procedures, interview 

procedures or observation of public behavior that is not exempt 

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

appointed public officials or candidates for public office; or 

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

confidentiality of the personally identifiable information will be

maintained throughout the research and thereafter.

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

documents, records, pathological specimens, or diagnostic 

specimens, if these sources are publicly available or if the 

information is recorded by the investigator in a manner that 

subjects cannot be identified, directly or through identifiers linked 

to the subjects.
(5) Research and demonstration projects which are conducted by 

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

which are designed to study, evaluate, or otherwise examine: (a) 

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

benefits or services under those programs; (c) possible changes in 

or alternatives to those programs or procedures; or (d) possible 

changes in methods or levels of payment for benefits or services 

under those programs.

(6) Taste and food quality evaluation and consumer acceptance 

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

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

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

chemical or environmental contaminant at or below the level 

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

approved by the Environmental Protection Agency or the Food 

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

Agriculture.

II . Instructions for Exempt and Nonexempt Human Subjects 

Research Narratives

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

Education Supplemental Information for SF 424, the applicant 

must provide a human subjects “exempt research” or “nonexempt 

research” narrative. Insert the narrative(s) in the space provided. 

If you have multiple projects and need to provide more than one 

narrative, be sure to label each set of responses as to the project 

they address.

A . Exempt Research Narrative.

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

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

narrative must contain sufficient information about the 

involvement of human subjects in the proposed research to allow a 

determination by ED that the designated exemption(s) are 

appropriate . The narrative must be succinct.

B . Nonexempt Research Narrative.

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

“nonexempt research” narrative . The narrative must address the 

following seven points. Although no specific page limitation 

applies to this section of the application, be succinct.

(1) Human Subjects Involvement and Characteristics: Provide 

a detailed description of the proposed involvement of human 

subjects. Describe the characteristics of the subject population, 

including their anticipated number, age range, and health status. 

Identify the criteria for inclusion or exclusion of any

subpopulation. Explain the rationale for the involvement of 

special classes of subjects, such as children, children with 

disabilities, adults with disabilities, persons with mental 

disabilities, pregnant women, prisoners, institutionalized 

individuals, or others who are likely to be vulnerable

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

obtained from individually identifiable living human subjects in 

the form of specimens, records, or data. Indicate whether the 

material or data will be obtained specifically for research purposes 

or whether use will be made of existing specimens, records, or 

data.

(3) Recruitment and Informed Consent: Describe plans for the 

recruitment of subjects and the consent procedures to be followed. 

Include the circumstances under which consent will be sought and 

obtained, who will seek it, the nature of the information to be 

provided to prospective subjects, and the method of documenting 

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

authorized a modification or waiver of the elements of consent or 

the requirement for documentation of consent.

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

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

and seriousness. Where appropriate, describe alternative 

treatments and procedures that might be advantageous to the 

subjects.

(5) Protection Against Risk: Describe the procedures for 

protecting against or minimizing potential risks, including risks to 

confidentiality, and assess their likely effectiveness. Where 

appropriate, discuss provisions for ensuring necessary medical or 

professional intervention in the event of adverse effects to the 

subjects. Also, where appropriate, describe the provisions for 

monitoring the data collected to ensure the safety of the subjects.

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

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

the proposed research. Discuss why the risks to subjects are 

reasonable in relation to the anticipated benefits to subjects and in 

relation to the importance of the knowledge that may reasonably 

be expected to result.

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

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

name the sites and briefly describe their involvement or role in the 

research.

Copies of the Department of Education’s Regulations for the 

Protection of Human Subjects, 34 CFR Part 97 and other 

pertinent materials on the protection of human subjects in 

research are available from the Grants Policy and Oversight 

Staff, Office of the Chief Financial Officer, U.S. Department of 

Education, Washington, DC 20202-4250, telephone: (202) 245-

6120, and on the U.S. Department of Education’s Protection of 

Human Subjects in Research Web Site: 

http://www.ed.gov/about/offices/list/OCFO/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).
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. Please 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 

breakdown 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. (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 or another federal 

agency (Other) issued the approved agreement. If you check 

“Other,” specify the name of the federal agency that issued the 

approved agreement. (3): If you are applying for a grant under 

a Restricted Rate Program (34 CFR 75.563 or 76.563), indicate 

whether you are using a restricted indirect cost rate that is 

included on your approved Indirect Cost Rate Agreement or 

whether you are using a restricted indirect cost rate that 

complies with 34 CFR 

76.564(c)(2). Note: State or local government agencies may 

not use the provision for a restricted indirect cost rate specified 

in 34 CFR 76.564(c)(2). Check only one response. Leave 

blank, if this item is not applicable.

Section B - Budget Summary

Non-Federal Funds

If you are required to provide or volunteer to provide matching 

funds or other non-federal resources to the project, these should 

be shown for each applicable budget category on lines 1-11 of 

Section B.

Lines 1-11, columns (a)-(e): For each project year, for which 

matching funds or other contributions are provided, show the 

total contribution for each applicable budget category.

Lines 1-11, column (f): Show the multi-year total for each 

budget category . If non-federal contributions are provided for 

only one year, leave this column blank.

Line 12, columns (a)-(e): Show the total matching or other 

contribution for each project year.

Line 12, column (f): Show the total amount to be contributed 

for all years of the multi-year project. If non-Federal

contributions are provided for only one year, leave 

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

Pay attention to applicable program specific instructions, 

if attached.

1 . Provide an itemized budget breakdown, and justification by 

project year, for each budget category listed in Sections A 

and B . For grant projects that will be divided into two or 

more separately budgeted major activities or sub-projects, 

show for each budget category of a project year the 

breakdown of the specific expenses attributable to each subproject or activity.

2 . If applicable to this program, provide the rate and base on 

which fringe benefits are calculated.

3 . 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.ht

ml. 

You may also contact (202) 377-3838 for additional 

information regarding calculating indirect cost rates or 

general indirect cost rate information.

4. 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 1890-

0004. 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, DC 20202-

4651. 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, DC 20202. 
INSTRUCTIONS FOR COMPLETION OF SF-LLL, DISCLOSURE OF LOBBYING ACTIVITIES

This disclosure form shall be completed by the reporting entity, whether sub-awardee or prime Federal recipient, at the initiation or 

receipt of a covered Federal action, or a material change to a previous filing, pursuant to Title 31 U.S.C. Section 1352. The filing of 

a form is required for each payment or agreement to make payment to any lobbying entity for influencing or attempting to influence 

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

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

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

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

of a covered Federal action.

2. Identify the status of the covered Federal action.

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

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

previously submitted report by this reporting entity for this covered Federal action.

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

Check the appropriate classification of the reporting entity that designates if it is, or expects to be, a prime or sub-award 

recipient. Identify the tier of the sub-awardee, e.g., the first sub-awardee of the prime is the 1st tier. Sub-awards include but 

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

5. If the organization filing the report in item 4 checks “Subawardee,” then enter the full name, address, city, State and zip code 

of the prime Federal recipient. Include Congressional District, if known.

6. Enter the name of the federal agency making the award or loan commitment. Include at least one organizational level below 

agency name, if known. For example, Department of Transportation, United States Coast Guard.

7. Enter the Federal program name or description for the covered Federal action (item 1). If known, enter the full Catalog of 

Federal Domestic Assistance (CFDA) number for grants, cooperative agreements, loans, and loan commitments.

8. Enter the most appropriate Federal identifying number available for the Federal action identified in item 1 (e.g., Request for 

Proposal (RFP) number; Invitations for Bid (IFB) number; grant announcement number; the contract, grant, or loan award 

number; the application/proposal control number assigned by the Federal agency). Included prefixes, e.g., “RFP-DE-90-

001.”

 9. For a covered Federal action where there has been an award or loan commitment by the Federal agency, enter the Federal 

amount of the award/loan commitment for the prime entity identified in item 4 or 5.

10. (a) Enter the full name, address, city, State and zip code of the lobbying registrant under the Lobbying Disclosure Act of 

1995 engaged by the reporting entity identified in item 4 to influence the covered Federal action.

(b) Enter the full names of the individual(s) performing services, and include full address if different from 10(a) . Enter Last 

Name, First Name, and Middle Initial (MI).

11. The certifying official shall sign and date the form, print his/her name, title, and telephone number.

According to the Paperwork Reduction Act, as amended, no persons are required to respond to a collection of information unless it displays a valid 

OMB control Number. The valid OMB control number for this information collection is OMB No. 0348-0046. Public reporting burden for this 

collection of information is estimated to average 10 minutes per response, including time for reviewing instructions, searching existing data sources, 

gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding the burden 

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

Budget, Paperwork Reduction Project (0348-0046), Washington, DC 20503.
Provide the applicant’s (organization) 

name and DUNS number and the grant 

name and CFDA number.

G. Self-explanatory.

H. Self-identify.

I. 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.

 For example, two part-time employees 

who each work half-time equal one fulltime 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. 1890-0014 Exp. 05/31/2013

Survey Instructions on Ensuring Equal Opportunity for Applicants
SUPPLEMENTAL INFORMATION AND INSTRUCTIONS

ANNH Program Profile: All applicants must complete the information requested on this page. Using 

the profile, the applicant will provide information on Assurances and Eligibility. Do not modify, amend 

or delete any of this document. 

Applicants must copy and paste this page into a separate document, or recreate the page exactly as it 

appears. Then, complete the page, save it to your computer and attach it to the “Program Profile 

Narrative,” in Grants.gov, as .PDF document. Do not modify or amend the contents of the form in any

way. 

Page Limits: The project narrative (Part III of the application) is where you, the applicant, address the 

selection criteria that reviewers use to evaluate your application. We have established mandatory page 

limits for Individual Development Grant applications and Cooperative Arrangement Grants. You must 

limit the section of the narrative that addresses the selection criteria to no more than 50 pages for the 

Individual Development Grant, and 70 pages for the Cooperative Arrangement Grant.

The page limit does not apply to Part I, the Application for Federal Assistance (SF 424); the Department 

of Education Supplemental Information form (SF 424); Part II, Budget Information—Non-Construction 

Programs (ED Form 524); Part IV, the assurances and certifications; or the one-page project abstract, 

program activity budget detail form and supporting narrative, and the five-year plan. However, the page 

limit does apply to all of the project narrative section (Part III), including the budget narrative of the 

selection criteria. If you include any attachments or appendices not specifically requested in the 

application package, these items will be counted as part of the project narrative (Part III) for purposes of 

the page limit requirement. You must include your complete response to the selection criteria in the 

project narrative.

Formatting Requirements: A ‘‘page’’ is 8.5′′ x 11′′, on one side only, with 1 inch margins at the top, 

bottom, and both sides. Double space (no more than three lines per vertical inch) all text in the application 

narrative, except titles, headings, footnotes, quotations, references, captions and all text in charts, tables, 

and graphs. Use one of the following fonts: Times New Roman, Courier, Courier New, or Arial. 

Applications submitted in any other font (including Times Roman and Arial Narrow) will not be 

accepted. Use font size 12.

Special Note: No special accommodations or reformatting justifications will be given for any 

applications not meeting page limits and formatting requirements.
84.031N&W Alaska Native and Native Hawaiian-Serving Institutions Program 

Profile

INSTRUCTIONS: ALL applicants must complete these pages. The completed pages must be 

attached to the “Other Attachments Form” in the application package in the Grants.gov system 

(as a .PDF document). DO NOT MODIFY OR AMEND THESE PAGES.

OPE ID #___________

1. INSTITUTION (Legal Name):

_____________________________________________________________________ 

2. Are you applying as a Branch Campus? _____YES _____NO

3. ADDRESS (Applicants must indicate the address where the project will be located):

Project Address: _______________________________________________________

City: _____________________________________State: ______Zip: _____________

4. ALASKA NATIVE AND NATIVE HAWAIIAN SERVING INSTITUTIONS CERTIFICATION:

 By checking this box (or placing an “X” beside it), the applicant certifies pursuant to the 

statutory requirements governing the Alaska Native and Native Hawaiian-Serving Institutions 

Program, authorized under Title III, Part A of the Higher Education Act of 1965, as amended 

that:

The Institution of higher education, at the time of application, has an enrollment of 

undergraduate students that is at least ten percent (10%) Native Hawaiian or at least 20 percent 

(20%) Alaska Native. 

The term “Native Hawaiian means any individual who is—

(A) A citizen of the United States; and 

(B) A descendant of the aboriginal people who, prior to 1778, occupied and exercised sovereignty in the area 

that now comprises the State of Hawaii, as evidenced by ---

(i) Genealogical records;

(ii) Kupuna (elders) or Kamaaina (long-term community residents) verification; or

(iii) Certified birth records.

The term “Alaska Native” has the same meaning as the term “Native” has in section 1602 (b) of 

title 43. 

Native” means a citizen of the United States who is a person of one-fourth degree or more 

Alaska Indian (including Tsimshian Indians not enrolled in the Metlaktla [1] Indian Community) 

Eskimo, or Aleut blood, or combination thereof. The term includes any Native as so defined 

either or both of whose adoptive parents are not Natives. It also includes, in the absence of 

proof of a minimum blood quantum, any citizen of the United States who is regarded as an 

Alaska Native by the Native village or Native group of which he claims to be a member and 

whose father or mother is (or, if deceased, was) regarded as Native by any village or group. Any 

decision of the Secretary regarding eligibility for enrollment shall be final.

(See Section 317 (b)(3), of the HEA)
5. COOPERATIVE ARRANGEMENT FOR PARTICIPATING INSTITUTIONS: The applicant 

institution must provide for each Participating Institution: the Institution Name, DUNS 

Number, Location (City and State). NOT APPLICABLE FOR FY 2013.

6. Tie-Breaker Information

If the selection process ends in a tie and funds are not sufficient to fund all institutions, we 

will use the information provided here to determine who will receive a grant. In accordance 

with Section 607.23(b), the Secretary will award up to three (3) additional points based on 

the information provided here.

Content: On a separate page, provide the following information:

TOTAL 2011-2012 FULL-TIME EQUIVALENT (FTE) STUDENTS=___________

 Total market value of endowment fund at the end of 2011-2012 $__________

B. Total expenditures for library materials during 2011-2012 $__________

C. Check activities applicant proposes to carry out in application: 

a. Faculty Development ____________

b. Funds and administrative management ____________

c. Development and improvement of academic ____________

programs

d. Acquisition of equipment for use in strengthening ____________

management and academic programs

e. Joint use of facilities ____________

 

f. Student Services ____________

2. Priorities

Addressed Competitive Preference Priority 1 - Y/N ___________

Addressed Competitive Preference Priority 2 – Y/N ___________

Addressed Invitational Priority 1 – Y/N ___________

Addressed Invitational Priority 2 – Y/N ___________
Application Checklist

Use This Checklist While Preparing Your Application Package: All items listed on this 

checklist are required. Applications that do not adhere to this checklist will not be read.

 Application for Federal Assistance (SF 424) 

 Department of Education Supplemental Information for SF 424 

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

 One-Page Program Abstract – Attached to the “ED Abstract Form” in Grants.gov

 Project Narrative – Attached to the “Project Narrative Attachment Forms” in Grants.gov

 Competitive Preference Priorities – Attached to the “Other/CPP” section in Grants.gov

 Invitational Priorities – Attached to the “Other/IP” section in Grants.gov

 Budget Narrative – Attached to the “Budget Narrative Attachment Form” in Grants.gov

 ANNH Program Profile – Attached to the “Project Narrative Attachment Forms” in Grants.gov

 Assurances and Certifications – found in Grants.gov

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

 Grants.gov Lobbying Form (ED 80-0013)

 Disclosure of Lobbying Activities (SF-LLL)

 Survey on Ensuring Equal Opportunity for Applicants 

 ED GEPA 427 Form