INSTRUCTIONS FOR THE SF-424

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

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

applicant or the federal agency (agency). Required fields on the form are identified with an asterisk (*) and are also specified as 

“Required” in the instructions below. In addition to these instructions, applicants must consult agency instructions to 

determine other specific requirements.

Item Entry: Item: Entry:

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

submission in accordance with agency instructions.

• Pre-application

• Application

• Changed/Corrected Application – Check if this 

submission is to change or correct a previously 

submitted application. Unless requested by the 

agency, applicants may not use this form to submit 

changes after the closing date.

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

of the federal agency from which assistance is being 

requested with this application.

11. Catalog Of Federal Domestic Assistance Number/Title:

Enter the Catalog of Federal Domestic Assistance 

number and title of the program under which 

assistance is requested, as found in the program 

announcement, if applicable.

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

application in accordance with agency instructions.

• New – An application that is being submitted to an 

agency for the first time.

• Continuation - An extension for an additional 

funding/budget period for a project with a projected 

completion date. This can include renewals.

• Revision - Any change in the federal government’s 

financial obligation or contingent liability from an 

existing obligation. If a revision, enter the 

appropriate letter(s). More than one may be 

selected. If "Other" is selected, please specify in text 

box provided.

A. Increase Award D. Decrease Duration

B. Decrease Award E. Other (specify)

C. Increase Duration

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

the Funding Opportunity Number (FON) and title of the 

opportunity under which assistance is requested, as 

found in the program announcement. 

13. Competition Identification Number/Title: Enter the 

competition identification number and title of the 

competition under which assistance is requested, if 

applicable.

14. Areas Affected By Project: This data element is 

intended for use only by programs for which the 

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

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

Project/Performance Site Location(s) Form. Add 

attachment to enter additional areas, if needed.

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

be assigned by the Federal agency.

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

Enter a brief descriptive title of the project. If 

appropriate, attach a map showing project location 

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

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 

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 

identification number (EIN or TIN) as assigned by the 

Internal Revenue Service. If your organization is not 

in the US, enter 44-4444444.

18. Estimated Funding: (Required) Enter the amount 

requested, or to be contributed during the first 

funding/budget period by each contributor. Value of 

in-kind contributions should be included on 

appropriate lines, as applicable. If the action will result 

in a dollar change to an existing award, indicate only 

the amount of the change. For decreases, enclose the 

amounts in parentheses.

c. Organizational DUNS: (Required) Enter the 

organization’s DUNS or DUNS+4 number received 

from Dun and Bradstreet. Information on obtaining a 

DUNS number may be obtained by visiting 

www.Grants.gov. 

19. Is Application Subject to Review by State Under 

Executive Order 12372 Process? (Required) Applicants 

should contact the State Single Point of Contact (SPOC) 

for Federal Executive Order 12372 to determine 

whether the application is subject to the State 

intergovernmental review process. Select the 

appropriate box. If “a.” is selected, enter the date the 

application was submitted to the State. 

d. Address: Enter address: Street 1 (Required); city 

(Required); County/Parish, State (Required if country 

is US), Province, Country (Required), 9-digit 

zip/postal code (Required if country US). 

20. Is the Applicant Delinquent on any Federal Debt?

(Required) Select the appropriate box. This question 

applies to the applicant organization, not the person 

who signs as the authorized representative. Categories 

of federal debt include; but, may not be limited to: 

delinquent audit disallowances, loans and taxes. If yes, 

include an explanation in an attachment. 

e. Organizational Unit: Enter the name of the 

primary organizational unit, department or division 

that will undertake the assistance activity. 

21. Authorized Representative: To be signed and dated by 

the authorized representative of the applicant 

organization. Enter the first and last name (Required); 

prefix, middle name, suffix. Enter title, telephone 

number, email (Required); and fax number. A copy of 

the governing body’s authorization for you to sign this 

application as the official representative must be on 

file in the applicant’s office. (Certain federal agencies 

may require that this authorization be submitted as 

part of the application.)
f. Name and contact information of person to be 

contacted on matters involving this application: 

Enter the first and last name (Required); prefix, 

middle name, suffix, title. Enter organizational 

affiliation if affiliated with an organization other than 

that in 7.a. Telephone number and email (Required); 

fax number. 

9. Type of Applicant: (Required) Select up to three 

applicant type(s) in accordance with agency 

instructions. 

A. State Government

B. County 

Government

C. City or Township 

Government

D. Special District 

Government

E. Regional 

Organization

F. U.S. Territory or 

Possession

G. Independent 

School District

H. Public/State 

Controlled 

Institution of 

Higher Education

I. Indian/Native 

American Tribal 

Government 

(Federally 

Recognized)

J. Indian/Native 

American Tribal 

Government 

(Other than 

Federally 

Recognized)

K. Indian/Native 

American Tribally 

Designated 

Organization

L. Public/Indian 

Housing Authority

M. Nonprofit

N. Private 

Institution of 

Higher Education

O. Individual

P. For-Profit 

Organization 

(Other than Small 

Business)

Q. Small Business

R. Hispanic-serving 

Institution

S. Historically Black 

Colleges and 

Universities 

(HBCUs)

T. Tribally 

Controlled 

Colleges and 

Universities 

(TCCUs)

U. Alaska Native 

and Native 

Hawaiian Serving 

Institutions

V. Non-US Entity

W. Other (specify)

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

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

INSTRUCTIONS FOR

DEPARTMENT OF EDUCATION SUPPLEMENTAL INFORMATION FOR SF 424

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

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

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

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

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

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

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

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

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

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

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

consideration is being given to novice applications under a particular discretionary grant competition, the 

application notice for the competition published in the Federal Register will specify this information

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

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

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

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

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

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

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

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

Supplemental Information for SF-424.”) 

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

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

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

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

of Education Supplemental Information for the SF-424.” 

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

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

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

Supplemental Information for the SF-424.”

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

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

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

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

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

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

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

applicant obtain the assurance within 30 days after the specific formal request.
3c. If applicable, please attach your “Exempt Research” or “Nonexempt Research” narrative to your submission of 

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

“Instructions for Exempt and Nonexempt Human Subjects Research Narratives” in the attached page entitled 

“Definitions for U.S. Department of Education Supplemental Information for the SF-424.” 

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

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

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

certification to ED within 30 days after the formal request.

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

for protection of human subjects in research.

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

respond to a collection of information unless such collection displays a valid OMB control number. 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 with 34 

CFR 75.127-75.129, that received a grant 

under the program from which it seeks 

funding; and

 Has not had an active discretionary grant from 

the Federal government in the five years 

before the deadline date for applications 

under the program. For the purposes of this 

requirement, a grant is active until the end of 

the grant’s project or funding period, 

including any extensions of those periods that 

extend the grantee’s authority to obligate 

funds.

In the case of a group application submitted in 

accordance with 34 CFR 75.127-75.129, a group 

includes only parties that meet the requirements listed 

above.

PROTECTION OF HUMAN SUBJECTS IN 

RESEARCH

I. Definitions and Exemptions

A. Definitions.

A research activity involves human subjects if the 

activity is research, as defined in the Department’s 

regulations, and the research activity will involve 

use of human subjects, as defined in the regulations.

—Research

The ED Regulations for the Protection of Human 

Subjects, Title 34, Code of Federal Regulations, Part 97, 

define research as “a systematic investigation, 

including research development, testing and 

evaluation, designed to develop or contribute to 

generalizable knowledge. 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 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 instructional 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 populations, 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 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. [This exemption applies only 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 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.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 

Supplemental 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 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.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 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 

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 Research Web Site: 

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

b.html

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

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

the upper right corner of the form (if applicable).
INSTRUCTIONS FOR COMPLETION OF SF-LLL, DISCLOSURE OF LOBBYING 

ACTIVITIES

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

or receipt of a covered Federal action, or a material change to a previousfiling, pursuant to title 31 U.S.C. section 1352. The

filing of a form is required for each payment or agreementto make payment to any lobbying entity for influencing or attempting

to influence an officer or employeeof any agency, a Member of Congress, an officer or employeeof Congress, or an employeeof

a Memberof Congressin connectionwith a coveredFederalaction.Completeall itemsthat 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 appropriateclassification 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 reportingentity. Include CongressionalDistrict, if known. Check

the appropriateclassification of the reportingentity that designatesif 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 organizationallevel

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 availablefor 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-DE90-001."

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 PaperworkReduction 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 Managementand 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. Some grant programs may require nonprofit applicants to have 501(c)(3) 

status. Other grant programs do not.

5. Self-explanatory.

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

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

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

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

activities.
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 1994 (Public Law 

(P.L.) 103-382).

To Whom Does This Provision Apply?

Section 427 of GEPA affects applicants for new grant 

awards under this program. ALL APPLICANTS FOR 

NEW AWARDS MUST INCLUDE INFORMATION 

IN THEIR APPLICATIONS TO ADDRESS THIS 

NEW PROVISION IN ORDER TO RECEIVE 

FUNDING UNDER THIS PROGRAM.

(If this program is a State-formula grant program, a State 

needs to provide this description only for projects or 

activities that it carries out with funds reserved for Statelevel 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 Federallyassisted program for students, teachers, and other program 

beneficiaries with special needs. This provision allows 

applicants discretion in developing the required description. 

The statute highlights six types of barriers that can impede 

equitable access or participation: gender, race, national 

origin, color, disability, or age. Based on local 

circumstances, you should determine whether these or other 

barriers may prevent your students, teachers, etc. from such 

access or participation in, the Federally-funded project or 

activity. The description in your application of steps to be 

taken to overcome these barriers need not be lengthy; you 

may provide a clear and succinct description of how you 

plan to address those barriers that are applicable to your 

circumstances. In addition, the information may be 

provided in a single narrative, or, if appropriate, may be 

discussed in connection with related topics in the 

application.

Section 427 is not intended to duplicate the requirements of 

civil rights statutes, but rather to ensure that, in designing 

their projects, applicants for Federal funds address equity 

concerns that may affect the ability of certain potential 

beneficiaries to fully participate in the project and to 

achieve to high standards. Consistent with program 

requirements and its approved application, an applicant 

may use the Federal funds awarded to it to eliminate 

barriers it identifies.

What are Examples of How an Applicant Might Satisfy 

the Requirement of This Provision?

The following examples may help illustrate how an 

applicant may comply with Section 427.

(1) An applicant that proposes to carry out an adult 

literacy project serving, among others, adults 

with limited English proficiency, might describe 

in its application how it intends to distribute a 

brochure about the proposed project to such 

potential participants in their native language.

(2) An applicant that proposes to develop 

instructional materials for classroom use might 

describe how it will make the materials available 

on audio tape or in braille for students who are 

blind.

(3) An applicant that proposes to carry out a model 

science program for secondary students and is 

concerned that girls may be less likely than boys 

to enroll in the course, might indicate how it 

intends to conduct "outreach" efforts to girls, to 

encourage their enrollment.

We recognize that many applicants may already be 

implementing effective steps to ensure equity of access and 

participation in their grant programs, and we appreciate 

your cooperation in responding to the requirements of this 

provision.
Estimated Burden Statement for GEPA Requirements

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

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

reporting burden for this collection of information is estimated to average 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.