### I**N S**  **T RU** **C TI** **O NS**  **FO R**  **T H** **E S** **F**

**- 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 dat e. 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 fi nancial 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. D ecrease Duration B. Decrease Award E. Other (specify) C. Increase Duration 12. **Funding Opportunity Number/Title:** (Required) Enter the Funding Opportunity Number (FON) and title of the opportunity under which assistance is requested, as found in the program announcement.

13. **Competition Identification Number/Title:** Enter the competition identification number and title of the competition under which assistance is requested, if applicable.

14. **Areas Affected By Project:** This data element is intended for use only by programs for which the area(s) affected are likely to be different than the place(s) of performance reported on the SF

-424 Project/Performance Site Location(s) Form. Add attachment to enter additional areas, if needed.

3. **Date Received:** Leave this field blank. This date will be assigned by the Federal agency. 15. **Descriptive Title of Applicant’s Project:** (Required) Enter a brief descriptive title of the project. If appropriate, attach a map showing project location (e.g ., construction or real property projects). For pre

applications, attach a summary description of the project. 4. **Applicant Identifier:** Enter the entity identifier assigned buy the Federal agency, if any, or the applicant’s control number if applicable. 5a. **Federal Entity Identifier** : Enter the number assigned to your organization by the federal agency, if any. 16. **Congressional Districts Of** : 16a. (Required) Enter the applicant’s congressional district. 16b. Enter all district(s) affected by the program or project. Enter in the format: 2 characters state abbreviation

– 3 characters district number, e.g., CA

-005 for California 5th district, CA

-012 for California 12 district, NC

- 103 for North Carolina’s 103 district. If all congressional districts in a state are affected, enter “all” for the district number, e.g., MD

- all for all congressional districts in Maryland. If nationwide, i.e. all districts 5b. **Federal Award Identifier** : For new applications, enter NA. For a continuation or revision to an existing award, enter the previously assigned federal award identifier number. If a changed/corrected application, enter the federal identifier in accordance with agency instructions. 6. **Date Received by State:** Leave this field blank. This date will be assigned by the state, if applicable.7. **State Application Identifier:** Leave this field blank. This identifier will be assigned by the state, if applicable. within all states are affected, enter US

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

-000. This optional data element is intended for use only by programs for which the area(s) affected are likely to be different than place(s) of perfor mance reported on the SF

-424 Project/Performance Site Location(s) Form. Attach an additional list of program/project congressional districts, if needed. 8. **Applicant Information** : Enter the following in
a ccordance 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 System for Award Management (SAM), formerly Central Contractor Registry (CCR). Information on registering with SAM 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 identificat ion number (EIN or TIN) as assigned by the Internal Revenue Service. If your organization is not in the US, enter 44

-4444444. 18. **Estimated Funding:** (Required) Enter the amount requested, or to be contributed during the first funding/budget period by each contributor. Value of in

- kind contributions should be included on appropriate lines, as applicable. If the action will result in a dollar change to an existing award, indicate only the amount of the change. For decreases, enclose the amounts in parentheses

. **c. Organizational DUNS** : (Required) Enter the organization’s DUNS or DUNS+4 number received from Dun and Bradstreet. Information on obtaining a DUNS number may be obtained by visiting www.Grants.gov. 19. **Is Application Subject to Review by State Under Executive Order 12372 Process?**  (Required **)** Applicants should contact the State Single Point of Contact (SPOC) for Federal Executive Order 12372 to determine whether the application is subject to the State inte rgovernmental review process. Select the appropriate box. If “a.” is selected, enter the date the application was submitted to the State. **d. Address** : Enter address: Street 1 (Required); city (Required); County/Parish, State (Required if country is US), Province, Country (Required), 9

- digit zip/postal code (Required if country US). 20. **Is the Applicant Delinquent on any Federal Debt?** (Required) Select the appropriate box. This question applies to the applicant organization, not the person who signs as the authorized representative. Categories of federal debt include; but, may not be limited to: delinquent audit disallowances, loans and taxes. If yes, 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 authori zed 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 ap plication 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 Township Government D. Special District Government E. Regional Organization F. U.S. Territory or Possession G. Independent School District H. Public/State Controlled Institution of Higher Education I. Indian/Native American Tribal Government (Federally Recognized) J. Indian/Native American Tribal Government (Other than Federally Recognized) K. Indian/Native American Tribally Designated Organization L. Public/Indian Housing Authority M. Nonprofit

N. Private Institution of Higher Education O. Individual P. For

- Profit Organization (Other than Small Business) Q. Small Business R. Hispanic

- serving Institution S. Historically Black Colleges and Universities (HBCUs) T. Tribally Controlled Coll eges and Universities (TCCUs) U. Alaska Native and Native Hawaiian Serving Institutions V. Non

- US Entity W. Other (specify)

[ **U.S Department of Education note** : As of spring, 2010, the FON discussed in Block 12 of the instructions can be found via the following URL: http://www.grants.gov/applicants/find_grant_opportunities.jsp .]

## 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 Educat i on Supplemental Information for the SF

-424”). By checking “Yes” the applicant certifies t h at it meets these novice applicant requirements. Check “No” if you do not meet the definition for novice applicants

**.** This novice applicant information will be used by ED to: 1) determine the amount and type of technical assistance that a novice might need , if funded, and 2) determine novice applicant eligibility in discretionary grant competitions th at give special consideration to novice applications. Certain ED discretionary grant programs give special consideration to novice applications, either by establishing a special competition for novice applicants or by giving competitive preference to novi ce 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 wil l specify this information
**3. Human Subjects Research.** (See I. A. “Definitions” in attached page entitled “Definitions for U.S. Department of Education Supplemental Information for the SF

-424.”)
**3a. If Not Human Subjects Research.** Check “ **No**” if resea rch activities involving human subjects are not planned at any time during the proposed project period. The remaining parts of Item 3 are then not applicable.
**3a. If Human Subjects Research.** Check “**Yes**” if research activities involving human subjects a re 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 subj ects. (See I. B. “Exemptions” in attached page entitled “Definitions for U.S. Department of Education Supplemental Information for SF

-424.”)
**3b. If Human Subjects Research is Exempt from the Human Subjects Regulations.** Check “**Yes**” if all the research activities proposed are designated to be exempt from the regulations. Check the exemption number(s) corresponding to one or more of the six exemption categories listed in I. B. “Exemptions.” In addition, follow the instructions in 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 Human Subjects Research is Not Exempt from Human Subjects Regulations.** Check “ **No**” if some or all of the planned research activities are covered (not exempt). In addition, follow the instructions in II. B. “Nonexempt Research Narrative” in the attached page entitled “Definitions for U.S. Department of Education Supplemental Information for the SF

-424.”

**3b. Human Subjects Assurance Number.**  If the applicant has an approved Federal Wide Assurance (FWA) on file with the Office for Human Research Protections (OHRP), U.S. Department of Health and Human Services, that covers the specific activity, insert the number in the space provided. **(A list of current FWAs is available**  **at:** http://ohrp.cit.nih.gov/search/asearch.asp#ASUR **)** If the applicant does not have an approved assurance on file with OHRP, enter “None.” In this case, t he applicant, by signature on the SF

-424, is declaring that it will comply with 34 CFR 97 and proceed to obtain the human subjects assurance upon request by the designated ED official. If the application is recommended/selected for funding, the designated ED official will request that the applicant obtain the assurance within 30 days after the specific formal request.

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

the U.S Department of Educ ation Supplemental Information for the SF

-424 form as instructed in item II,

“ Instructions for Exempt and Nonexempt Human Subjects Research Narratives” in the attached page entitled “Definitions for U.S. Department of Education Supplemental Information for the SF

-424.”
**Note about Institutional Review Board Approval.** ED does not require certification of Institutional Review Board approval with the application. However, if an application that involves non

- exempt human subjects research is recommended/sele cted for funding, the designated ED official will request that the applicant obtain and send the certification to ED within 30 days after the formal request



### .
**No** 

### covered human subjects research can be conducted until the study has ED clearance **for protection of human subjects in research**

**. Paperwork Burden Statement** 

**.** According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless such collection displays a valid OMB control number. The valid OMB control number for this information collection is 1894

-0007. The time required to complete this information collection is estimated to average between 15 and 45 minutes per response, including the time to review instructions, search existing data resources, gather the data needed and complete and review the information collection. If you have any comments concerning the accuracy of the estimate(s) or suggestions for improving this form, please write to: U.S. Department of Education, Washington, D.C. 20202

-0170. If you have comments or concerns regarding the status of your individual submission of this form write directly to : (insert program office), U.S. Department of Education, 400 Maryland Avenue, S.W., Washington, D.C. 20202.

### Definitions for **U.S. Department of Education Supplemental Information for the SF** 

**- 424** 

**Definitions:**
**Novice Applicant (See 34 CFR 75.225)**

For discretionary grant programs, 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 wit h 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 accord ance 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. Activities which meet this definition constitute research whether or not they a re 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 **directly or indirectly** linked to that individual, 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 instr uctional strategies, or (b) research on the effectiveness of or the comparison among instructional techniques, curricula, or classroom management methods. **If an educational practice is being introduced to the site and is not**  **widely used for similar popula** **tions , it is not covered**  **by this exemption**

. (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 ob served.** 
**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.**  [C hildren 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) requ ire(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 speci mens, 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

**. [This exemption applies o** **nly to retrospective studies using data collected before the**  **initiation of the research.]**

(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. **[The standards of this exemption are rarely met because it**  **was designed to apply only to specific research conducted by HHS at the time the regulations were**  **established. We will strictly construe this exemption**  **because it was not intended to apply to ED research**

. **]**
(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 Ins pection 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.b. of the U.S. Department of Education Supplemental Information for the SF 424, the applicant must attach a human subjects “exempt research” or “nonexempt research” narrative to the U.S. Department of Education Supp lemental Information for the SF

-424 form. 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.b. and designated exemption numbers( s), attach the “exempt research” narrative to the U.S. Department of Education Supplemental Information for the SF

-424. The narrative must contain sufficient information about the involvement of human subjects in the propos ed 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.b. you must attach the “nonexempt research” narrative to the U.S. Department of Education Supplemental Information for the SF

-424. 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 Cha racteristics**  : 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 mat erial 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 (IR B) 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 serious ness. 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 confidential ity, 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 protecti on of**  **human subjects in research are available from the**  **Office of the Chief Financial Officer, U.S. Department of Education, Washington, D.C. 20202** 

**- 4331,**  **telephone: (202) 245** 

**- 8090**  **, and on the U.S. Department of Education’s Protection of Human**  **Subjects in R esearch Web Site:**  **http://www.ed.gov/about/offices/list/ocfo/humansu b.html** 

NOTE: The **State Applicant Identifier** on the SF

-424 is for State Use only. Please complete it on the SF

-424 in the upper right corner of the form (if applicable).

### INSTRUCTIONS FOR COMPLETION OF SF
**- LLL, DISCLOSURE OF LOBBYING**  **ACT IVITIES** 
This disclosure form shall be completed by the reporting entity, whether subawardee or prime Federal recipient, at the initiation

or receipt of a covered Federal action, or a material change to a previous filing, pursuant to title 31 U.S.C. section 1352. The filing of a form is required for each payment or agreement to make payment to any lobbying entity for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of

a Member of Congress in connection with a covered Federal action. Complete all items that apply for both the initial filing and material change report. Refer to the implementing guidance published by the Office of Management and Budget for additional information.

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

2. Identify the status of the covered Federal action.

3. Identify the appropriate classification of this report. If this is a followup report caused by a material change to the information previously reported, enter the year and quarter in which the change occurred. Enter the date of the last previously submitted report by this reporting entity for this covered Federal action.

4. Enter the full name, address, city, State and zip code of the reporting entity. Include Congressional District, if known. Check the appropriate classification of the reporting entity that designates if it is, or expects to be, a prime or subaward recipient. Identify the tier of the subawardee, e.g., the first subawardee of the prime is the 1st tier. Subawards include but are not limited to subcontracts, subgrants and contract awards under grants.

5. If the organization filing the report in item 4 checks "Subawardee," then enter the full name, address, city, State and zip code of the prime Federal recipient. Include Congressional District, if known.

6. Enter the name of the Federal agency making the award or loan commitment. Include at least one organizationa l 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 Dom estic 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; Invitation for Bid (IFB) number; grant announcement number; the contract, grant, or loan award number; the application/proposal control number assigned by the Federal agency). Include prefixes, e.g., "RFP

- DE

90

-001."

9. For a covered Federal action wh ere there has been an award or loan commitment by the Federal agency, enter the Federal am ount 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 Nam e, First Nam e, 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.

# Survey Instructions on Ensuring Equal Opportunity for Applicants

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

1. Self

- explanatory.

2. Self

- identify.

3. Self

- identify.

4. 501(c)(3) status is a legal designation provided on application to the Internal Revenue Service by eligible organizations. S ome grant programs may require nonprofit applicants to have 501(c)(3 ) status. Other grant programs do not.

5. Self

- explanatory.

6. For example, two part

-time employees who each work half

-time equal one full

-time equivalent employee. I f 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.

## GENERAL EDUCATION PROVISIONS ACT (GEPA) SECTION 427
OMB Control No. 1894

-0005 (Exp. 03/31/2017) 

### NOTICE TO ALL APPLICANTS

The purpose of this enclosure is to inform you about a new provision in the Department of Education's General Education Provisions Act (GEPA) that applies to applicants for new grant awards under Department programs. This provision is Section 427 of GEPA, enacted as part of the Improving America's Schools Act of 1 994 (Public Law (P.L.) 103

- 382).
**To Whom Does This Provision Apply?**

Section 427 of GEPA affects applicants for new grant awards under this program. **ALL APPLICANTS**  **FOR NEW**  **AWARDS MUST**  **INCLUDE INFORMATION**  **IN THEIR**  **APPLICATIONS TO**  **ADDRESS THIS**  **NEW PROVISION**  **IN ORDER**  **TO RECEIVE**  **FUNDING UNDER THIS PROGRAM.** (If this program is a State

- formula grant program, a State needs to provide this description only for projects or activities that it carries out with funds reserved for State

level uses. In addition, local school districts or other eligible applicants that apply to the State for funding need to provide this description in their applications to the State for funding. The State would be responsible for ensuring that the school district or other local entity has submitted a sufficient section 427 statement as described below.)
**What Does This Provision Require?** Section 427 requires each applicant for funds (other than an individual person) to include in its application a description of the steps the applicant proposes to take to ensure equitable access to, and participation in, its Federally

assisted program for students, teachers, and other program beneficiaries with special needs. This provision allows applicants discretion in developing the required description. The statute highlights six types of barriers that can impede equitable access or participation: gender, race, national origin, color, disability, or age. B ased on local circumstances, you should determine whether these or other barriers may prevent your students, teachers, etc. from such
access or participation in, the Federally

- funded project or activity. The description in your application of steps to be taken to overcome these barriers need not be lengthy; you may provide a clear and succinct description of how you plan to address those barriers that are applicable to your circumstances. In addition, the information may be provided in a single narrative, or, if appropriate, may be discussed in connection with related topics in the application. Section 427 is not intended to duplicate the requirements of civil rights statutes, but rather to ensure that, in designing their projects, applicants for Federal funds address equity
concerns that may affect the ability of certain potential beneficiaries to fully participate in the project and to achieve to high standards. Consistent with program requirements and its approved application, an applicant may use the Federal funds awarded to it to eliminate barriers it identifies.
**What are Examples of How an Applicant Might Satisfy the Requirement of This Provision?** 

The f ollowing examples may help illustrate how an applicant may comply with Section 427. (1) An applicant that proposes to carry out an adult literacy project serving, among others, adults with limited English proficiency, might describe in its application how it intends to distribute a brochure about the proposed project to such potential participants in their native language. (2) An applicant that proposes to develop instructional materials for classroom use might describe how it will make the materials available
on audio tape or in braille for students who are blind. (3) An applicant that proposes to carry out a model science program for secondary students and is concerned that girls may be less likely than boys to enroll in the course, might indicate how it intends to conduct "outreach" efforts to girls, to encourage their enrollment.

We recognize that many applicants may already be implementing effective steps to ensure equity of access and participation in their grant programs, and we appreciate your cooperation in responding to the requirements of this provision.

### Estimated Burden Statem**ent for GEPA Requirements**

According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless such collection displays a valid OMB control number. Public reporting burden for this collection of information is estimated to aver age 1.5 hours per response, including time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. The obligation to respond to this collection is required to obtain or retain benefit (Public Law 103

- 382. Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to the U.S. Department of Education, 400 Maryland Ave., SW, Washington, DC 20210

- 4537 or email ICDocketMgr@ed.gov and reference the OMB Control Number 1894

- 0005.