Application for Grants under the Historically Black Colleges and Universities (HBCU) and Fostering Undergraduate Talent by Unlocking Resources for Education (FUTURE) Act 2019 Programs

U.S. DEPARTMENT OF EDUCATION

Office of Postsecondary Education

Washington, DC 20202

Fiscal Year 2022

APPLICATION FOR GRANTS UNDER THE

Historically black colleges and universities (hbcu) programs

FOR

TITLE III, PART B AND PART F

(CFDA NUMBERS: 84.031B and 84.031E)

Form Approved: OMB No. 1840-0113

Expires: XX/XX/XXXX

Table of Contents

Paperwork Burden Statement 3

Dear Applicant Letter 4

FY 2022 Application Highlights 5

Authorizing Legislation 8

Supplemental Information 9

Intergovernmental Review: Executive Order 12372 10

General Education Provisions Act (GEPA) Section 427 11

Government Performance and Results Act (GPRA) 13

Section I – Phase I Data Worksheet…… 15

Important Dates to Remember 17

Section II – Phase II: Comprehensive Development Plan (CDP) Instructions - HBCU ONLY 18

G5 e-Application Submission Procedures and Tips for Applicants 20

Application Transmittal Instructions 23

Instructions for the SF-424 25

Instructions for Department of Education Supplemental Information for the SF-424 29

Definitions for Department of Education Supplemental Information for the SF-424 31

Instructions for ED 524 35

Instructions for Completion of SF-LLL, Disclosure of Lobbying Activities 39

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 1840-0113.  Public reporting burden for this collection of information is estimated to average 28 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 (under 34 CFR §608.3) to obtain or retain benefit (under Section 322(2) of the Higher Education Act of 1965, as amended (HEA)).  If you have comments or concerns regarding the status of your individual submission of this application, please contact Institutional Service, Office of Postsecondary Education, U.S. Department of Education, 400 Maryland Ave SW, Washington, D.C. 20202 directly. [Note: Please do not return the completed application to this address.]

DEAR APPLICANT LETTER

U NITED STATES DEPARTMENT OF EDUCATION

OFFICE OF POSTSECONDARY EDUCATION

Dear Applicant:

Thank you for your interest in applying for a new grant under the Title III Strengthening Historically Black Colleges and Universities (HBCU) Programs. The HBCU Programs provide grants to institutions of higher education legally designated as a historically Black college or university (Section 322(2) of the Higher Education Act of 1965, as amended (HEA)). The purpose of the HBCU grant programs, Title III, Part B and Part F, is to assist institutions in strengthening their academic, administrative, and fiscal capabilities as authorized under the HEA. Additional information about the legislation or regulations governing the HBCU Programs can be accessed from the following website:

• https://www2.ed.gov/programs/iduestitle3b/legislation.html.

The fiscal year (FY) 2022 application package is for new awards under HBCU-Part B grants. The specifics regarding this year’s application procedures are contained within the application package. Applicants are encouraged to review the FY 2022 Application Highlights found in the application package for an overview of important items. Please note there are two deadlines for submitting information:

• Phase I Formula Data must be submitted by TBD, and

• Phase II, the HBCU applicants will develop a Comprehensive Development Plan (CDP), which must be submitted by TBD.

If you have any questions or require additional information, please contact Wendy Lawrence by email ([email protected]) or telephone (202-453-7821).

I appreciate your interest in the HBCU Programs and look forward to receiving your application.

Sincerely,

Vicki Robinson, Ed.D.

Director,

Historically Black Colleges and Universities Division

400 Maryland Avenue, S.W., Washington, DC 20202

www.ed.gov

The Department of Education’s mission is to promote student achievement and preparation for global competitiveness by fostering educational excellence and ensuring equal access.

FY 2022 APPLICATION HIGHLIGHTS

The duration of the new grant period is five years and shall begin on October 1, 2022, and end on September 30, 2027. Funds are awarded to eligible institutions as discretionary or mandatory grants, with appropriated amounts determined by a formula calculation, based on three figures provided to the U.S. Department of Education (Department) annually by each eligible institution:

1. The number of Pell Grant recipients in the most recent academic year, as a proportion of the total number of such recipients at all eligible institutions (50 percent weight);

2. The number of graduates in the most recent academic year, as a proportion of the total number of graduates at all eligible institutions (25 percent weight); and

3. The proportion of graduates for the past five years that have gone on to graduate or professional schools, in degree programs in disciplines in which Blacks are underrepresented, divided by the aggregate proportion across all eligible institutions (25 percent weight).

In addition, two minima are established. If the amount determined by the formula is greater than $250,000 but less than $500,000, the institution is awarded $500,000, and if the amount

determined by the formula is less than $250,000, the institution is awarded $250,000.

The Application Package is divided into two parts, Phase I and Phase II. Phase I is the individual institution data collection, which is required to calculate awards for both the HBCU Programs, Part B (discretionary) and Part F (mandatory) funding. Phase II is the Comprehensive Development Plan (CDP) that addresses the funding. You will find information regarding what goes into the CDP further in this document. Additionally, the CDP should include a one-page project abstract.

The legislative allowable activities for the Title III, Part B (CFDA: 84.031B), Strengthening Historically Black Colleges and Universities Sections 321-327 of the Higher Education Act, as amended (20 U.S.C. 1060-1063c) are as follows:

§1062. Grants to institutions

(a) General authorization; uses of funds

From amounts available under section 1068h(a)(2) of this title for any fiscal year, the Secretary shall make grants (under section 1063 of this title) to institutions which have applications approved by the Secretary (under section 1063a of this title) for any of the following uses:

1. Purchase, rental, or lease of scientific or laboratory equipment for educational purposes, including instructional and research purposes.

2. Construction, maintenance, renovation, and improvement in classroom, library, laboratory, and other instructional facilities, including purchase or rental of telecommunications technology equipment or services.

3. Support of faculty exchanges, and faculty development and faculty fellowships to assist in attaining advanced degrees in their field of instruction.

4. Academic instruction in disciplines in which Black Americans are underrepresented.

5. Purchase of library books, periodicals, microfilm, and other educational materials, including telecommunications program materials.

6. Tutoring, counseling, and student service programs designed to improve academic success.

7. Funds and administrative management, and acquisition of equipment for use in strengthening funds management.

8. Joint use of facilities, such as laboratories and libraries.

9. Establishing or improving a development office to strengthen or improve contributions from alumni and the private sector.

10. Establishing or enhancing a program of teacher education designed to qualify students to teach in a public elementary or secondary school in the State that shall include, as part of such program, preparation for teacher certification.

11. Establishing community outreach programs which will encourage elementary and secondary students to develop the academic skills and the interest to pursue postsecondary education.

12. Acquisition of real property in connection with the construction, renovation, or addition to or improvement of campus facilities.

13. Education or financial information designed to improve the financial literacy and economic literacy of students or the students' families, especially with regard to student indebtedness and student assistance programs under subchapter IV of this chapter and part C of subchapter I of chapter 34 of title 42.

14. Services necessary for the implementation of projects or activities that are described in the grant application and that are approved, in advance, by the Secretary, except that not more than two percent of the grant amount may be used for this purpose.

15. Other activities proposed in the application submitted pursuant to section 1063a of this title that—

(A) contribute to carrying out the purposes of this part; and

(B) are approved by the Secretary as part of the review and acceptance of such application.

(b) Endowment fund

1. In general

An institution may use not more than 20 percent of the grant funds provided under this part to establish or increase an endowment fund at the institution.

2. Matching requirement

In order to be eligible to use grant funds in accordance with paragraph (1), the eligible institution shall provide matching funds from non-Federal sources, in an amount equal to or greater than the Federal funds used in accordance with paragraph (1), for the establishment or increase of the endowment fund.

3. Comparability

The provisions of part C of this subchapter regarding the establishment or increase of an endowment fund, that the Secretary determines are not inconsistent with this subsection, shall apply to funds used under paragraph (1).

(c) Limitations

1. No grant may be made under this chapter and part C of subchapter I of chapter 34 of title 42 for any educational program, activity, or service related to sectarian instruction or religious worship, or provided by a school or department of divinity. For the purpose of this subsection, the term "school or department of divinity" means an institution whose program is specifically for the education of students to prepare them to become ministers of religion or to enter upon some other religious vocation, or to prepare them to teach theological subjects.

2. Not more than 50 percent of the allotment of any institution may be available for the purpose of constructing or maintaining a classroom, library, laboratory, or other instructional facility.

The legislative allowable activities for the Title III, Part F (CFDA: 84.031E), Strengthening Historically Black Colleges and Universities Section 371 of the Higher Education Act, as amended (20 U.S.C. 1067q) are as follows:

§1067q. Investment in historically Black colleges and universities and other minority-serving institutions

(b)(2)(C) Allocation and allotment HBCUS and PBIS

From the amount made available for allocation under this subparagraph by subparagraph (A)(ii) for any fiscal year-

(i) 85 percent shall be available to eligible institutions described in subsection (a)(1) and shall be made available as grants under section 1062 of this title and allotted among such institutions under section 1063 of this title, treating such amount, plus the amount appropriated for such fiscal year in a regular or supplemental appropriation Act to carry out part B of this subchapter, as the amount appropriated to carry out part B of this subchapter for purposes of allotments under section 1063 of this title, for use by such institutions with a priority for-

(I) activities described in paragraphs (1), (2), (4), (5), and (10) of section 1062(a) of this title:

(1) Purchase, rental, or lease of scientific or laboratory equipment for educational purposes, including instructional and research purposes.

(2) Construction, maintenance, renovation, and improvement in classroom, library, laboratory, and other instructional facilities, including purchase or rental of telecommunications technology equipment or services.

(4) Academic instruction in disciplines in which Black Americans are underrepresented.

(5) Purchase of library books, periodicals, microfilm, and other educational materials, including telecommunications program materials.

(10) Establishing or enhancing a program of teacher education designed to qualify students to teach in a public elementary or secondary school in the State that shall include, as part of such program, preparation for teacher certification; and

(II) other activities, consistent with the institution's comprehensive plan and designed to increase the institution's capacity to prepare students for careers in the physical or natural sciences, mathematics, computer science or information technology or sciences, engineering, language instruction in the less-commonly taught languages or international affairs, or nursing or allied health professions.

AUTHORIZING LEGISLATION

During a new grant cycle, institutions submitting applications for the HBCU grant programs are required to submit a Comprehensive Development Plan (CDP) in accordance with Title III 34 CFR §608.21. The CDP is detailed in the Phase II process outlined further in the application. The HBCU Legislation, Regulations, and Guidance can be accessed from the following websites:

Strengthening HBCU Legislation, Regulations, and Guidance

Legislation

• Higher Education Act of 1965, as amended (HEA); Strengthening HBCUs; Title III, Part B, Sections 321-327 of the HEA (20 U.S.C. 1060-1063c)

• Title III, Part F, Section 371 of the HEA (20 U.S.C. 1067q)

Regulations

• Title 34 Code of Federal Regulations (CFR) Part §608

• Education Department General Administrative Regulations (EDGAR) in 34 CFR Parts §§ 75.1-75.104, 75.125-75.129, 75.190-75.192, 75.230-75.261, 75.500, 75.510-75.519, 75.524-75.534, 75.580-75.903, and 75.910; 77, 79, 82, 86

• Title 2 CFR Part 200 (Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards), as adopted at 2 CFR Part 3474

Guidance

• Office of Management and Budget (OMB) Grants Management Circulars

SUPPLEMENTAL INFORMATION

1. Appendices to Applications

Please limit the appendices to the following:

1. Curricula vitae of key personnel (project director and activities directors).

2. Position descriptions for proposed key personnel positions.

2. Interim and Annual Performance Report Requirements (20 USC §1063c)

When you receive a new grant award under Title III, Part B or Part F, you are required to submit an interim (first six months of your project) performance report. You are also required to submit annual performance reports for each year during the funding cycle (including any time extensions) using the Institutional Service Annual Performance Report website for Title III and Title V Grantees. This online system collects narratives and data about funded projects, to enable Department program officers to determine if a grantee is making substantial progress toward meeting approved project objectives. The annual performance report used for this program can be found at https://hepis.ed.gov/main.

Contact Information:

Vicki Robinson, Ed.D. Or

Director of the HBCU Division

Institutional Service

Office of Postsecondary Education

U.S. Department of Education

400 Maryland Avenue, S.W.,

LBJ-HEP-2B136

Washington, D.C. 20202

Telephone: (202) 453-7907

Email: [email protected]

Wendy B. Lawrence, M. Ed.

Program Manager for the HBCU Programs

Institutional Service

Office of Postsecondary Education

U.S. Department of Education

400 Maryland Avenue, S.W.,

LBJ-HEP-2C206

Washington, D.C. 20202

Telephone: (202) 453-7821

Email: [email protected]

INTERGOVERNMENTAL REVIEW OF FEDERAL PROGRAMS

EXECUTIVE ORDER 12372

This program falls under the rubric of Executive Order 12372 (Intergovernmental Review of Federal Programs) and the regulations in 34 CFR Part 79. One of the objectives of the Executive order is to strengthen federalism--or the distribution of responsibility between localities, States, and the Federal government--by fostering intergovernmental partnerships. This idea includes supporting processes that State or local governments have devised for coordinating and reviewing proposed Federal financial grant applications.

The process for doing this requires grant applicants to contact State Single Points of Contact for information on how this works. Multi-state applicants should follow procedures specific to each state. Further information about the State Single Point of Contact process and a list of names by State can be found at:

https://www.whitehouse.gov/wp-content/uploads/2020/04/SPOC-4-13-20.pdf.

For State review programs, applicants may submit comments directly to the Department. All recommendations and comments must be mailed or hand-delivered by the date indicated in the actual application notice to the following address: The Secretary, EO 12372--CFDA# 84.031B, U.S. Department of Education, Room 7E200, 400 Maryland Avenue, SW, Washington, DC 20202.

Proof of mailing will be determined on the same basis as applications (see 34 CFR §75.102). Recommendations or comments may be hand-delivered until 11:59:59 p.m.. (Eastern Standard Time) on the closing date indicated in this notice.

Important note: The above address is not the same address as the one to which the applicant submits its completed applications. Do not send applications to the above address.

OMB Control No. 1894-0005 (Exp 06/30/2023)

GENERAL EDUCATION PROVISIONS ACT (GEPA)

SECTION 427

NOTICE TO ALL APPLICANTS

The purpose of this enclosure is to inform you about the following provision in the Department of Education's General Education Provisions Act (GEPA) that applies to applicants for new grant awards under Department programs. This provision is Section 427 of GEPA, enacted as part of the Improving America's Schools Act of 1994 (Public Law (P.L.) 103-382).

To Whom Does This Provision Apply?

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

(If this program is a State-formula grant program, a State needs to provide this description only for projects or activities that it carries out with funds reserved for State-level uses. In addition, local school districts or other eligible applicants that apply to the State for funding need to provide this description in their applications to the State for funding. The State would be responsible for ensuring that the school district or other local entity has submitted a sufficient section 427 statement as described below.)

What Does This Provision Require?

Section 427 requires each applicant for funds (other than an individual person) to include in its application a description of the steps the applicant proposes to take to ensure equitable access to, and participation in, its Federally assisted program for students, teachers, and other program beneficiaries with special needs. This provision allows applicants discretion in developing the required description. The statute highlights six types of barriers that can impede equitable access or participation: gender, race, national origin, color, disability, or age. Based on local circumstances, you should determine whether these or other barriers may prevent your students, teachers, etc. from such access or participation in, the Federally funded project or activity. The description in your application of steps to be taken to overcome these barriers need not be lengthy; you may provide a clear and succinct description of how you plan to address those barriers that are applicable to your circumstances. In addition, the information may be provided in a single narrative, or, if appropriate, may be discussed in connection with related topics in the application.

Section 427 is not intended to duplicate the requirements of civil rights statutes, but rather to ensure that, in designing their projects, applicants for Federal funds address equity concerns that may affect the ability of certain potential beneficiaries to fully participate in the project and to achieve to high standards. Consistent with program requirements and its approved application, an applicant may use the Federal funds awarded to it to eliminate barriers it identifies.

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

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

(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.

(4) An applicant that proposes a project to increase school safety might describe the special efforts it will take to address concern of lesbian, gay, bisexual, and transgender students, and efforts to reach out to and involve the families of LGBT students

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.

GOVERNMENT PERFORMANCE AND RESULTS ACT (GPRA)

What is GPRA?

The Government Performance and Results Act of 1993 (GPRA) is a straightforward statute that requires all federal agencies to manage their activities with attention to the consequences of those activities. Each agency is to clearly state what it intends to accomplish, identify the resources required, and periodically report their progress to the Congress. In so doing, it is expected that the GPRA will contribute to improvements in accountability for the expenditures of public funds, improve Congressional decision-making through more objective information on the effectiveness of federal programs, and promote a new government focus on results, service delivery, and customer satisfaction.

How has the Department of Education Responded to the GPRA Requirements?

As required by GPRA, the Department of Education has prepared a strategic plan for 2018-2022. This plan reflects the Department’s priorities and integrates them with its mission and program authorities and describes how the Department will work to improve education for all children and adults in the U.S. The Department’s goals, as listed in the plan, are:

• Goal 1: Support state and local efforts to improve learning outcomes for all P-12 students in every community.

• Goal 2: Expand postsecondary educational opportunities, improve outcomes to foster economic opportunity and promote an informed thoughtful and productive citizenry.

• Goal 3: Strengthen the quality, access, and use of federal data through better management, increased primary protections and transparency.

• Goal 4: Reform the effectiveness, efficiency, and accountability of the Department.

What are the performance indicators for the Title III, Part B, HBCU programs?

The performance indicators for the Title III, Part B program are in alignment with the Department’s Goal 2: Expand postsecondary educational opportunities, improve outcomes to foster economic opportunity and promote an informed thoughtful and productive citizenry.

Program Goal:

To improve the capacity of minority-serving institutions, which traditionally have limited resources and serve large numbers of low-income and minority students, to improve student success and to provide high-quality educational opportunities for their students.

HBCU Program GPRA Measures

Objective 1: Increase enrollments at Historically Black Colleges and Universities.

Measure 1.1: The percentage change, over the grant cycle, for the number of full-time degree-seeking undergraduates enrolled at Historically Black Colleges and Universities.   

Objective 2: Increase the persistence rate for students enrolled at HBCUs.

Measure 2.1: The percentage of full-time undergraduate students in their first year of postsecondary enrollment within the previous year and are enrolled in the current year at the same HBCU institution.

Objective 3: Increase the graduation rate for students enrolled at HBCUs.

Measure 3.1: Federal cost per undergraduate and graduate degree at HBCUs.

Measure 3.2: The percentage of first-time, full-time degree-seeking undergraduate students enrolled at four-year Historically Black Colleges and Universities who graduate within six years of enrollment.

How does the Department of Education determine whether performance goals have been met?

An applicant that receives a grant award will be required to submit annual progress reports and a final report as a condition of the award. The reports will document the extent to which project goals and objectives are met.

The most recent version of this program’s annual performance report can be viewed at the Institutional Service Annual Performance Report Web Site: https://hepis.ed.gov/.

OMB No. 1840-0113

Expiration Date: XX/XX/20XX

FY 2022 HBCU Phase I Data Worksheet Page 1 of 2

THIS WORKSHEET WAS PREVIOUSLY SUBMITTED, PROCEED TO SECTION II

SECTION I

PHASE I – DATA WORKSHEET (FY INSERT)

HISTORICALLY BLACK COLLEGES AND UNIVERSITIES (HBCU) PROGRAMS

For the Department to determine the level of funding for an institution, the information below is required. Please refer to the program regulations 34 CFR – Section §608.31 for additional information.

NOTE: This form must be submitted as part of your initial application as well as annually during your approved grant cycle. Be sure to use this form and this form only when submitting your Phase I data. The Department will not accept any other versions of this form. The data will be used to formulate your fiscal year (FY) 2022 Title III, Part B (HBCU), and Part F (FUTURE Act) award allocations.

NAME OF INSTITUTION:

CITY: STATE:

Please review the HBCU regulations Part 34 CFR – §608.31 for information required in columns B and C.

YEAR OF GRADUATION FROM UNDERGRADUATE SCHOOL	TOTAL NUMBER OF GRADUATES IN THE UNDERGRADUATE CLASS (Associate or Baccalaureate Degree)	STUDENTS ADMITTED TO AND IN ATTENDANCE AT A GRADUATE OR PROFESSIONAL SCHOOL IN A DEGREE PROGRAM IN DISCIPLINES IN WHICH BLACKS ARE UNDERREPRESENTED
(A)	(B)	(C)
Year 1 - 2017
Year 2 - 2018
Year 3 - 2019
Year 4 - 2020
Year 5 -2021
TOTALS

OMB No. 1840-0113

Expiration Date: XX/XX/20XX

FY 2022 HBCU Phase I Data Worksheet Page 2 of 2

PHASE I FORMULA GRANT DATA WORKSHEET (FY 2022)

1. Number of Pell Grant recipients attending the applicant institution during the school year immediately preceding the beginning of the fiscal year in which the applicant applies for a grant (July 1, 2020 – June 30, 2021).

1. _______________________

2. Number of graduates of the applicant institution during the school year immediately preceding the beginning of the fiscal year in which the applicant applies for a grant. The total from Year 5, Column B (July 1, 2020 – June 30, 2021) is provided below. Part 34 CFR §608.4 defines “graduates” as a student who has attended an institution for at least three semesters and fulfilled academic requirements for undergraduate studies in not more than five consecutive school years.

2. _______________________

3. The total from Column B, Years 1-5 (July 1, 2017 – June 30, 2021) is provided below. Please verify that it is correct.

3. _______________________

4. The total from Column C (Total for July 1, 2017 – June 30, 2021) is provided below. Do not count a student attending graduate school for more than one reporting year. Please verify that it is correct.

4. _______________________

PLEASE USE THE FORMULA ABOVE TO CALCULATE THE TOTALS FOR ITEMS 3 AND 4. ALSO, AS A CHECKPOINT, THE TOTAL IN ITEM 3 SHOULD BE LARGER THAN THE TOTAL IN ITEM 4. SEE SECTION 608.31(B)(1).

I do attest to the accuracy of the data provided within this form.

President/Chancellor Name (print):

President/Chancellor Signature:

Date:

WARNING: Any person who knowingly makes a false statement or misrepresentation on this form is subject to penalties, which may include fines, imprisonment, or both, under the United States Criminal Code and 20 U.S.C. 1097.

IMPORTANT DATES TO REMEMBER

HISTORICALLY BLACK COLLEGES AND UNIVERSITIES (HBCU) PROGRAMS

FY 2022 Calendar for Phase I and Phase II Data

Dates	Activities
TBD	Phase I Data Due
TBD	Department will review and approve awards.
TBD	Award letters sent to institutions via email.
TBD	Phase II Due
September 1 – October 30, 2022	Program Specialists review submitted applications and budgets.
October 1, 2022	Funds are available in G5.

SECTION II

PHASE II – COMPREHENSIVE DEVELOPMENT PLAN (CDP) INSTRUCTIONS

Formatting

A “page” is “8.5 x 11,” on one side only, with 1” margins at the top, bottom, and both sides. Page numbers and an identifier may be within the 1” margin. Double-space all text in the application, including titles and headings. All text in charts, tables, graphs, footnotes, quotations, references, and captions may be single-spaced. Applicants may use one of the following fonts: Times New Roman, Courier, Courier New, or Arial, only. Applications submitted in any other font (including Times Roman Narrow and Arial Narrow) will not be accepted. Do not use anything smaller than a 12-point font.

The Secretary evaluates an application based on the applicant’s responses to the elements of the Comprehensive Development Plan (CDP) as defined in 34 CFR 608.21. To facilitate the review and approval of the application, the applicants CDP must clearly describe an institution’s strategy for achieving growth and self-sufficiency by strengthening its financial management and academic programs. The CDP must include the following:

1. An assessment of the strengths and weaknesses of the institution's financial management and academic programs.

2. A delineation of the institution's goals for its financial management and academic programs, based on the outcomes of the assessment described in paragraph (b)(1) of the §608.21.

3. A listing of measurable objectives designed to assist the institution to reach each goal with accompanying timeframes for achieving the objectives.

4. A description of methods, processes, and procedures that will be used by the college or university to institutionalize financial management and academic program practices and improvements developed under the proposed funded activities.

5. Project administration as one of its proposed activities.

(Authority: 20 U.S.C. 1063a).

When developing the institution’s CDP be sure to include the following:

• A PROJECT ABSTRACT – Provide a brief (one page) description that summarizes the institution’s proposed activities that it intends to implement over the five-year grant cycle. Each activity must be titled using the most relevant title from the list of legislatively allowable activities listed under General authorization; uses of funds on pages 5-6 of this package. In detail, describe the purpose of each activity.

• DESCRIBE AND DEFINE OBJECTIVES AND PERFORMANCE INDICATORS FOR EACH PROPOSED ACTIVITY – For each proposed activity, applicants must state their annual objectives, which, when combined with their performance indicators, are specific, measurable, ambitious yet attainable, realistic with accompanying timeframes, and designed to assist the institution in achieving the goals developed in the plan.

• DESCRIBE THE IMPLEMENTATION STRATEGY AND TIMETABLE FOR EACH PROPOSED ACTIVITY – For each proposed activity, describe, in a comprehensive manner, who will do what, how, and when it will be done to meet the objectives of each activity.

• PROVIDE AN INDIVIDUAL ACTIVITY BUDGET & NARRATIVE – For each proposed activity, applicants must prepare a separate, detailed itemized budget (in dollars) and a budget narrative for each year you are requesting grant funds. Demonstrate and justify that all costs are reasonable in today’s market and necessary to accomplish your activity objectives.

• COMPLETE A BUDGET SUMMARY (ED 524) FORM – Provide an itemized budget for each of the five years of the project. Applicants need only to provide a detailed budget narrative and justification for the award’s first (initial) year of their proposed five-year project.

G5 E-APPLICATION SUBMISSION PROCEDURES AND TIPS FOR APPLICANTS

IMPORTANT – PLEASE READ FIRST

U.S. Department of Education

http://www.G5.gov

1. G5 e-Application Submission Procedures and Tips for Applicants

2. Instructions for the SF-424

3. Instructions for Department of Education Supplemental Information for SF-424

4. Definitions for Department of Education Supplemental Information for SF-424

5. Instructions for Phase II – The Comprehensive Development Plan (CDP)

6. Instructions for ED 524

7. Instructions for Completion of SF-LLL, Disclosure of Lobbying Activities

Register as an Applicant

To facilitate your use of G5 e-Application, this document includes important application preparation and submission procedures you need to be aware of to ensure your application is received in a timely manner and accepted by the Department of Education. Please read and follow these step-by-step directions to create and submit your application.

ATTENTION

Applicants using the Department of Education's G5 e-Application system will need to register first to access an application package. Forms in an application package are completed online and narratives are uploaded while logged into the system. Therefore, allow sufficient time to complete your application before the closing date. If you encounter difficulties, you may also contact the G5 helpdesk on 1-888- 336-8930. The following are steps you should follow to successfully complete an application using G5 e- Application. Please note that there is a training module available on the G5 home page (www.G5.gov) that details the registration and G5 application processes in detail for users new to G5. You can access this module under the Main Menu of the homepage and link to Online Training. Look for the training topic G5 for Applicants.

Step 1 – Register in G5 to access the electronic application package. If you are a new user, you will need to register to use G5 e-Application.

• From the G5 Portal Page http://www.G5.gov/, click on the Sign Up button for non-ED employees. The User Registration Screen displays.

• Click the button to the right of the ED Employee/ED Contractor field to display the employee/contractor options. Select the “no” list option. Enter all required information as noted by red asterisks (*).

• Click the continue button to proceed to the user registration agreement. Select the agree button to accept the terms of the user agreement, and then the Submit button. Note: If you do not agree, then you may not complete the registration process. The system displays a message indicating that the system will send a notification to your email address.

• The system sends a message with a link to activate your account. Clicking the link takes you to the Account Activation screen. Click the Agree option to accept the activation terms.

• Click on the Submit button to initiate your activation. Read the EDCAPS Security memorandum with the subject “G5 User ID and Password” and click the Continue > button. The next Account Activation screen will require you to complete the password, security question and security answer. Fill out the required fields and press the Continue button to move to the summary information. Click the Activate button to activate your account and save your password and security information. The system displays a message indicating that the account has been activated. You will now need to log into G5 where you will be taken to the My Profile page where you should select your role for access. In the Availability Types field, select “Applicant” from the list and Continue. Proceed through the next screen and Submit. You will then receive an email with the G5 link. Your applicant role may take a few minutes to activate.

If you already have a username and password for G5 use them to login. If you have access to more than one G5 module, you will be directed to select which module you wish to enter. Keep in mind that this username and password will be used for all G5 modules. In order to update your registration for additional G5 modules, click the appropriate tab on the top of the screen and provide the requested information.

The site is viewed best using Internet Explorer 11 or higher.

Step 2 – Add Application Package to your Start Page. From your Home Page, go to Grant Setup and click on “Package Submission.” Select the package for which you wish to apply and click on the "Initiate New Application” button. In the future, the package will now appear when you click on “Package Submission” or after using the “Click Here to view my Applications” link under “Quick View” on your Home Page.

Step 3 – Begin the Application. After going to the Application Package, click on the “Modify Application” button. This brings you to a page where you will see all of the application's forms and narratives listed.

Step 4 – Fill out Forms. Select the form you would like to complete and click on the “Edit Form” button to enter data. Remember to click the "Save" button at the bottom of the form and check the "Form Completed" box for each form as you complete it.

Step 5 – Upload File(s) for Narrative Responses. When prompted to attach narrative documents to application forms, enter the title of the document, and then Select the “Upload” button. Next, click on the "Browse" button to locate your file. Remember to click the "Save" button after you upload the document and check the "Form Completed" box when you finish uploading your file(s) and/or completing the form. Please note for file uploads, we accept .pdf files only.

Step 6 – Verify Information/Submit your Application. Verify your information is correct and complete before submitting. Only authorized individuals for your organization can submit an application. Please check with your certifying official or sponsored research office before submission. After all forms are completed, click on the "Continue" button at the bottom of your application. Enter and verify the Authorizing Representative information and click the "Submit" button. At the top of the page, you will see a confirmation message stating that your application was successfully submitted and providing you with your application number. You will also receive an e-mail to confirm that your application was received, and it will include your application number. Please print and keep this e-mail for your records. [Reminder: applications must be submitted before 11:59:59 p.m. (Eastern Standard Time) on the deadline date for applications. G5 e-Application will not accept your application if you try to submit it after 11:59:59 p.m. (Eastern Standard Time) on the deadline date.

Step 7 – Printing Your Completed Application. You have the option to print each form at any time by clicking on the “View Form” button after selecting the appropriate form to print. After submission of your application, you have the option to print a complete e-Application package in PDF. From the Application Packages tab, you will notice that your application status has changed from Draft to Submitted. To locate the PDF of your application, select the package radio button and click the “Modify Application” button. Then select the “Click Here to view the PDF Package” in the upper right-hand corner of the page under the Package Information section.

Step 8 – SF 424 Cover Page (or Program Specific Cover Page) must be signed and uploaded in G5. Write your unique application number (received in step 8) on the upper right corner of your printed SF 424 Cover Page (or Program Specific Cover Page) and upload it as an attachment to the Application in G5.

NOTE: For more detailed information on submitting an e-Application, please see the User Guide. The Online Training can be found under the main menu at http://www.G5.gov.

Attaching Files – Additional Tips

Please note the following tips related to attaching files to your application:

1. Ensure that you only attach the Education approved file type detailed in the Federal Register application notice (read-only, non-modifiable .PDF files only). Also, do not upload any password protected files to your application.

2. When attaching files, applicants should limit the size of their file names. Lengthy file names could result in difficulties with opening and processing your application. We recommend you keep your file names to less than 50 characters.

3. PLEASE DO NOT USE SPECIAL/NON-ENGLISH CHARACTERS IN ANY FORM OR DOCUMENT (for example, %, *, /, etc.). Foreign characters or symbols includes words spelled with a non- English alphabet, such as “Boğaziçi” or “Nizām al-Dīn Gīlānī” or any word with an accent mark. Both of these conditions (lengthy file names and/or special characters including in the file names) could result in difficulties opening and processing a submitted application.

4. Applicants should limit the size of their file attachments. Documents submitted that contain graphics and/or scanned material often greatly increase the size of the file attachments and can result in difficulties opening the files. Please note that each file attachment in e-Application has a file size limitation which is anywhere from 2 to 8 MB and the limitation will be indicated on the individual screen when you upload a file. For reference, however, the average discretionary grant application package totals 1 to 2 MB. Therefore, you may want to check the size of your attachments before uploading them into e-Application.

We strongly recommend that you do not wait until the last day to submit your application. The time it takes to upload the narratives for your application will vary depending on a number of factors including the size of the files and the speed of your Internet connection. If you try to submit your application after 11:59:59 p.m. (Eastern Standard Time) on the deadline date, the G5 e-Application system will not accept it.

APPLICATION TRANSMITTAL INSTRUCTIONS

Application Submission Instructions: Applicants are required to follow the Common Instructions for Applicants to Department of Education Discretionary Grant Programs (Common Instructions), published in the Federal Register on December 27, 2021 (86 FR 73264). The Common Instructions contain requirements and information on how to submit an application. These instructions may be found at:

https://www.govinfo.gov/content/pkg/FR-2021-12-27/pdf/2021-27979.pdf.

It is important to note that the Department of Education requires the electronic submission of applications and only allows paper submission by mail if electronic submission is not possible (e.g., you do not have access to the internet). Applicants requesting and qualifying for an exception to the electronic submission requirement must follow the guidance provided in the Common Instructions.

If you want to apply for a grant and be considered for funding, you must meet the following deadline requirements:

Electronic Submission of Applications:

You must submit your grant application through the Internet using the software provided on the Department of Education’s G5 System using the G5 Website (www.g5.gov) by 11:59:59 p.m., Eastern Time, on or before the deadline date.

If you submit your application through the Internet via the G5.gov website, you will receive an automatic acknowledgement and PR Award Number, when you submit your application successfully.

Submission of Paper Applications by Mail:

If you qualify for an exemption to the electronic submission requirement and you submit your application in paper format by mail (through the U.S. Postal Service or a commercial carrier), you must mail the original and two copies of your application, on or before the application deadline date, to the Department at the following address:

U.S. Department of Education

OFO/G5 Functional Application Team

Mail Stop 5C231

Attention: Assistance Listing Number 84.031B

400 Maryland Avenue SW

Washington, DC 20202-4260

You must show proof of mailing consisting of one of the following:

1. A legibly dated U.S. Postal Service postmark.

2. A legible mail receipt with the date of mailing stamped by the U.S. Postal Service.

3. A dated shipping label, invoice, or receipt from a commercial carrier.

4. Any other proof of mailing acceptable to the Secretary of the U.S. Department of Education.

If you mail your application through the U.S. Postal Service, we do not accept either of the following as proof of mailing:

1. A private metered postmark

2. A mail receipt that is not dated by the U.S. Postal Service

An applicant should note that the U.S. Postal Service does not uniformly provide a dated postmark. Before relying on this method, an applicant should check with its local post office.

Special Note: Due to potential disruption to normal mail delivery, the Department encourages you to consider using an alternative delivery method (for example, a commercial carrier, such as Federal Express or United Parcel Service; U.S. Postal Service Express Mail; or a courier service) to transmit your application for this competition to the Department. If you use an alternative delivery method, please obtain the appropriate proof of mailing under “Applications Delivered by Mail,” and then follow the instructions for “Applications Delivered by Hand.”

Note for Mailing of Paper Applications:

If you mail your application to the Department—

1. You must indicate on the envelope and--if not provided by the Department--in Item 11 of the SF 424 the ALN, including suffix letter, if any, of the competition under which you are submitting your application; and

2. The G5 Functional Application Team will notify you of the Department’s receipt of your grant application. If you do not receive this notification within 15 business days from the application deadline date, you should contact the program contact listed in this application package.

Late Applications

If your application is late, we will notify you that we will not consider the application.

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. Increase Award D. Decrease Duration Decrease Award E. Other (specify) Increase Duration		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: 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: 15a. (Required) Enter the applicant’s congressional district. 15b. Enter all district(s) affected by the program or project. Enter in the format: 2 characters state abbreviation – 3 characters district number, e.g., CA-005 for California 5th district, CA-012 for California 12 district, NC-103 for North Carolina’s 103 district. If all congressional districts in a state are affected, enter “all” for the district number, e.g., MD-all for all congressional districts in Maryland. If nationwide, i.e., all districts within all states are 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.
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 organization that has registered with the Central Contractor Registry (CCR). Information on registering with CCR may be obtained by visiting www.Grants.gov.		17.	Proposed Project Start and End Dates: (Required) Enter the proposed start date and end date of the project.
	b. Employer/Taxpayer Number (EIN/TIN): (Required) Enter the employer or taxpayer identification number (EIN or TIN) as assigned by the Internal Revenue Service. If your organization is not in the US, enter 44-4444444.		18.	Estimated Funding: (Required) Enter the amount requested, or to be contributed during the first funding/budget period by each contributor. Value of in-kind contributions should be included on appropriate lines, as applicable. If the action will result in a dollar change to an existing award, indicate only the amount of the change. For decreases, enclose the amounts in parentheses.
	c. Organizational DUNS: (Required) Enter the organization’s DUNS or DUNS+4 number received from Dun and Bradstreet. Information on obtaining a DUNS number may be obtained by visiting www.Grants.gov.		19.	Is Application Subject to Review by State Under Executive Order 12372 Process? (Required) Applicants should contact the State Single Point of Contact (SPOC) for Federal Executive Order 12372 to determine whether the application is subject to the State intergovernmental review process. Select the appropriate box. If “a.” is selected, enter the date the application was submitted to the State.
	d. Address: Enter address: Street 1 (Required); city (Required); County/Parish, State (Required if country is US), Province, Country (Required), 9-digit zip/postal code (Required if country US).		20.	Is the Applicant Delinquent on any Federal Debt? (Required) Select the appropriate box. This question applies to the applicant organization, not the person who signs as the authorized representative. Categories of federal debt include but, may not be limited to: delinquent audit disallowances, loans and taxes. If yes, include an explanation in an attachment.
	e. Organizational Unit: Enter the name of the primary organizational unit, department or division that will undertake the assistance activity.		21.	Authorized Representative: To be signed and dated by the authorized representative of the applicant organization. Enter the first and last name (Required); prefix, middle name, suffix. Enter title, telephone number, email (Required); and fax number. A copy of the governing body’s authorization for you to sign this application as the official representative must be on file in the applicant’s office. (Certain federal agencies may require that this authorization be submitted as part of the application.)
	f. Name and contact information of person to be contacted on matters involving this application: Enter the first and last name (Required); prefix, middle name, suffix, title. Enter organizational affiliation if affiliated with an organization other than that in 7.a. Telephone number and email (Required); fax number.
9.	Type of Applicant: (Required) Select up to three applicant type(s) in accordance with agency instructions.
	State Government County Government City or Township Government Special District Government Regional Organization U.S. Territory or Possession Independent School District Public/State Controlled Institution of Higher Education Indian/Native American Tribal Government (Federally Recognized) Indian/Native American Tribal Government (Other than Federally Recognized) Indian/Native American Tribally Designated Organization Public/Indian Housing Authority	Nonprofit Private Institution of Higher Education Individual For-Profit Organization (Other than Small Business) Small Business Hispanic-serving Institution Historically Black Colleges and Universities (HBCUs) Tribally Controlled Colleges and Universities (TCCUs) Alaska Native and Native Hawaiian Serving Institutions Non-US Entity 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 U.S. DEPARTMENT OF EDUCATION

SUPPLEMENTAL INFORMATION FOR THE SF-424 APPLICATION FOR FEDERAL ASSISTANCE

1. Project Director. Name, address, telephone and fax numbers, and e-mail and alternate email addresses of the Project Director to be contacted on matters involving this application. Enter Project Director’s level of effort (the percentage of time devoted to the grant). Items marked with an asterisk (*) are mandatory.

2. New Potential Grantee or Novice Applicant. If applicable, for (a), check “Yes” if you meet the definition for new potential grantees or novice applicants specified in the program competition’s notice inviting applications (NIA) 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 the new potential grantee or novice applicant requirements. Check “No” if you do not meet the definition for new potential grantees or novice applicants. For (b), if the program competition NIA is giving competitive preference points for new potential grantees or novice applicants, indicate how many points you are claiming for your application. The NIA will indicate how many are available depending on the design of the competition. Some competitions may provide more than one category of new potential grantees with differing levels of points.

3. Qualified Opportunity Zones. If applicable, provide the Qualified Opportunity Zones (QOZ) census tract number(s) if the NIA includes a QOZ Priority in which you propose to either provide services in QOZ(s) or are located in a QOZ.

4. Human Subjects Research. (See I. A. “Definitions” in attached page entitled “Definitions for U.S. Department of Education Supplemental Information for the SF-424 form.”)

1. 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.

1. 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 the SF-424 Application for Federal Assistance.”)

2. 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 eight exemption categories (Regulation revised in 2018 and became effective in 2019) 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 Application for Federal Assistance.”

2. 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 Application for Federal Assistance.”

2. 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/search.aspx?styp=bsc.) 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 part 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.

2. 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 Application for Federal Assistance.”

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.

Public Burden Statement:

According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless such collection displays a valid OMB control number. Public reporting burden for this collection of information is estimated to average 20 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. The obligation to respond to this collection is required to obtain or retain benefit (20 USC 3474 General Education Provisions Act). 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 [email protected] and reference the OMB Control Number 1894-0007. Note: Please do not return the completed ED SF 424 Supplemental Form to this address.

.

DEFINITIONS FOR U.S. DEPARTMENT OF EDUCATION
SUPPLEMENTAL INFORMATION FOR THE SF-424 APPLICATION FOR FEDERAL ASSISTANCE

Definitions:

NEW POTENTIAL GRANTEE OR NOVICE APPLICANT

New Potential Grantee: The definition of New Potential Grantee is set in the program competition’s Notice Inviting Applications (NIA). The New Potential Grantee priority is from the Department’s Administrative Priorities for Discretionary Grant Programs published in the Federal Register March 9, 2020 (85 FR 13640).

Novice Applicant: 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. The Novice Applicant priority is from 34 CFR 75.225, and it must be included in the program competition NIA to be claimed on the form.

QUALIFIED OPPORTUNITY ZONES

Definition: From 26 USC section 1400Z–1 of the Internal Revenue Code, which, in relevant part, defines “qualified opportunity zone” as “a population census tract that is a low-income community that is designated as a qualified opportunity zone.”

The Qualified Opportunity Zones priority is from the Department’s Final Priority for Discretionary Grant Programs published in the Federal Register November 27, 2019 (84 FR 65300).

Note: The Treasury Department has created a website of Opportunity Zones Resources that includes a searchable map: https://www.cdfifund.gov/​Pages/​Opportunity-Zones.aspx.

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 (i) information or biospecimens through intervention or interaction with the individual and uses, studies, or analyzes the information or biospecimens, or (ii ) obtains, uses, studies, analyzes, or generate identifiable private information or identifiable biospecimens.”

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. 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 eight categories of exemptions are not covered by the regulations:

1. Research conducted in established or commonly accepted educational settings, that specifically involves normal educational practices that are not likely to adversely impact students’ opportunity to learn required educational content or the assessment of educators who provide instruction. This includes most research on regular and special education instructional strategies, and 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 that only includes interactions involving educational tests (cognitive, diagnostic, aptitude, achievement), survey procedures, interview procedures or observation of public behavior (including visual or auditory recordings) if at least one of the following criteria is met: (i) the information obtained is recorded by the investigator in such a manner that the identity of the human subjects cannot readily be ascertained, directly or through identifiers linked to the subjects; (ii) Any disclosure of the human subjects’ responses outside the research would not reasonably place the subjects at risk of criminal or civil liability or be damaging to the subjects’ financial standing, employability, educational advancement or reputation; or (iii) the information obtained is recorded by the investigator in such a manner that the identity of the human subjects can readily be ascertained, directly or through identifiers linked to the subjects, and an Institutional Review Board (IRB) conducts a “limited IRB review” to make the determinations required by 34 CFR 97.111(a)(7).

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 benign behavioral interventions in conjunction with the collection of information from an adult subject through verbal or written responses (including data entry) or audiovisual recording if the subject prospectively agrees to the intervention and information collection and at least one of the following criteria is met: (A) The information obtained is recorded by the investigator in such a manner that the identity of the human subjects cannot readily be ascertained directly or through identifiers linked to the subjects; (B) Any disclosure of the human subjects’ responses outside the research would not reasonably place the subjects at risk of criminal or civil liability or be damaging to the subject’ financial standing, employability, educational advancement or reputation; or (C) The information obtained is recorded by the investigator in such a manner that the identity of the human subjects can readily be ascertained, directly or through identifiers linked to the subjects, and an IRB conducts a limited IRB review to make the determination required by 34 CFR 97.111(a)(7).

For the purpose of this provision, benign behavioral interventions are brief in duration, harmless, painless, not physically invasive, not likely to have a significant adverse lasting impact on the subjects, and the investigator has no reason to think the subjects will find the interventions offensive or embarrassing. Provided all such criteria are met, examples of such benign behavioral interventions would include having the subject play an online game, having them solve puzzles under various noise conditions, or having them decide how to allocate a nominal amount of received cash between themselves and someone else.

If the research involves deceiving the subjects regarding the nature or purposes of the research, this exemption is not applicable unless the subject authorizes the deception through a prospective agreement to participate in research in circumstances in which the subject is informed that he or she will be unaware of or misled regarding the nature or purposes of the research.

4. Secondary Research for which Consent is not required. Secondary research uses of identifiable private information or identifiable biospecimens, if at least one of the following criteria is men: (i) The identifiable private information or identifiable biospecimens are publicly available; (ii) Information, which may include information about biospecimens, is recorded by the investigator in such a manner that the identity of the human subjects cannot readily be ascertained directly or through identifiers linked to the subjects, the investigator does not contact the subjects, and the investigator will not re-identify subjects; (iii) the research involves only information collection and analysis involving the investigators’ use of identifiable health information when that use is regulated under 45 CFR parts 160 and 164, subparts A and E, for the purposes of “health care operations” or “research” as those terms are defined at 45 CFR 164.501 or for “public health activities and purposes” as described under 45 CFR 164.512 (b); or (iv) The research is conducted by, or on behalf of, a Federal department or agency using government-generated or government-collected information obtained for nonresearch activities, if the research generates identifiable private information that is or will be maintained on information technology that is subject to and in compliance with section 208(b) of the E-Government Act of 2002, 44 USC 3501 note, if all of the identifiable private information collected, used or generated as part of the activity will be maintained in systems of records subject to the Privacy Act of 1974, 5 USC 552a, and, if applicable, the information used in the research was collected subject to the Paperwork Reduction Act of 1995, 44 USC 3501 et seq.

5. Research and demonstration projects that are conducted or supported by a Federal department or agency, or otherwise subject to the approval of department or agency heads (or the approval of the heads of bureaus or other subordinate agencies that have been delegated authority to conduct the research and demonstration projects), and that are designed to study, evaluate, improve, or otherwise examine public benefit or service programs, including procedures for obtaining benefits or services under those programs, possible changes in or alternative to those programs or procedures, or possible changes in methods or levels of payment for benefits or services under those programs. Such projects include, but are not limited to, internal studies by Federal employees, and studies under contracts or consulting arrangements, cooperative agreements, or grants. Exempt projects also include waivers of otherwise mandatory requirements using authorities such as sections 1115 and 1115A of the Social Security Act as amended.

Each Federal department or agency conducting or supporting the research and demonstration projects must establish, on a publicly accessible Federal website or in such other manner as the department or agency head may determine, a list of the research and demonstration projects that the Federal department or agency conducts or supports under this provision. The research or demonstration project must be published on this list prior to commencing the research involving human subjects.

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.

7. Storage or Maintenance for Secondary Research for which Broad Consent is required. Storage or maintenance of identifiable private information or identifiable biospecimens for potential secondary research use if an IRB conducts a limited IRB review and makes the determinations requires by 34 CFR 97.111(a)(8).

8. Secondary Research for which Broad Consent is Required. Research involving the use of identifiable private information or identifiable biospecimens for secondary research use if the following criteria are met: (i) Broad Consent for the storage, maintenance and secondary research use of the identifiable private information or identifiable biospecimens was obtained in accordance with 34 CFR 97.116(a) (1)-(4), (a) (6) and (d); (ii) Documentation of informed consent or waiver of documentation of consent was obtained in accordance with 34 CFR 97.117. (iii) an IRB conducts a limited IRB review and makes the determination that the research to be conducted is within the scope of the broad consent referenced in paragraph (d)(8)(i) of this section; and (iv) The investigator does not prevent an investigator from abiding by any legal requirements to return individual research results.

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 form, 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, include information about each, labeling the responses as to the project they address. For applications that include multiple research projects this can be done in a single narrative or in more than one narrative as appropriate.

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 form. 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 form. 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 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: https://www2.ed.gov/about/offices/list/ocfo/humansub.html

NOTE: The State Applicant Identifier on the SF-424 form is for State Use only. Please complete it on the SF-424 form 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. You may access the Education Department General Administrative Regulations cited within these instructions at:

https://www.ecfr.gov/cgi-bin/text-idx?SID=0b63ce6f20caccbf480e5596fdf289e3&mc=true&tpl=/ecfrbrowse/Title34/34cfr75_main_02.tpl. You may access requirements from 2 CFR 200, “Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards” cited within these instructions at: https://www.ecfr.gov/cgi-bin/text-idx?SID=6214841a79953f26c5c230d72d6b70a1&tpl=/ecfrbrowse/Title02/2cfr200_main_02.tpl.

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

Section A - Budget Summary

U.S. Department of Education Funds

All applicants must complete Section A and provide a break-down by the applicable budget categories shown in lines 1-11.

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

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

Line 13, columns (a)-(e): Show the total budget request for each project year for which funding is requested.

Line 13, 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 the indirect cost rate to be charged to the grant must be entered in the applicable field on line 10, and the following information is to be completed by your Business Office.

1. Indicate whether or not your organization has an Indirect Cost Rate Agreement that was approved by the Federal government. If you checked “no,” ED generally will authorize grantees to use a temporary rate of 10 percent of budgeted salaries and wages (complete (4) of this section when using the temporary rate) subject to the following limitations:

1. The grantee must submit an indirect cost proposal to its cognizant agency within 90 days after ED issues a grant award notification; and

2. If after the 90-day period, the grantee has not submitted an indirect cost proposal to its cognizant agency, the grantee may not charge its grant for indirect costs until it has negotiated an indirect cost rate agreement with its cognizant agency.

2. If you checked “yes” in (1), provide a copy of your Indirect Cost Rate Agreement and indicate in (2) the beginning and ending dates covered by the Indirect Cost Rate Agreement. In addition, indicate whether ED, another Federal agency (Other) or State agency issued the approved agreement. If you check “Other,” specify the name of the Federal or other agency that issued the approved agreement.

3. If you check “no” in (1), indicate in (3) if you want to use the de minimis rate of 10 percent of MTDC (see 2CFR § 200.68). If you use the de minimis rate, you are subject to the provisions in 2 CFR § 200.414(f). Note, you may only use the 10 percent de minimis rate if you are a first-time Federal grant recipient, and you do not have an Approved Indirect Cost Rate Agreement. You may not use the de minimis rate if you are a State, Local government, or Indian Tribe, or if your grant is funded under a training rate or restricted rate program.

4. 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.

5. For Training Rate Programs, ED regulations limit non-governmental entities to the recovery of indirect costs on training grants to the grantee’s actual indirect costs, as determined by its negotiated rate agreement, or 8 percent of a MTDC, whichever is lower (see EDGAR § 75.562(c)(4)). The 8 percent limit also applies to cost-type contracts under grants if these contracts are for training as defined in EDGAR § 75.562(a). If a non-governmental entity that receives a grant under a training grant program does not have an approved indirect cost rate and wants to recover indirect costs, it may use a temporary rate of 10 percent of budgeted direct salaries and wages, but it must submit an indirect cost rate proposal to its cognizant agency for indirect costs within 90 days after ED issues the GAN. After the 90-day period, the government entity may not charge its grant for indirect costs until it has negotiated an indirect cost rate agreement.

Section B - Budget Summary

Non-Federal Funds

If you are required to provide or volunteer to provide cost-sharing or matching funds or other non-Federal resources to the project, these should be shown for each applicable budget category on lines 1‑11 of Section B.

Lines 1-11, columns (a)-(e): For each project year, for which matching funds or other contributions are provided, show the total contribution for each applicable budget category.

Lines 1-11, column (f): Show the multi-year total for each budget category. If non-Federal contributions are provided for only one year, leave this column blank.

Line 12, columns (a)-(e): Show the total matching or other contribution for each project year.

Line 12, column (f): Show the total amount to be contributed for all years of the multi-year project. If non-Federal contributions are provided for only one year, leave this space blank.

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

Pay attention to applicable program specific 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 sub-project or activity.

2. For non-Federal funds or resources listed in Section B that are used to meet a cost-sharing or matching requirement or provided as a voluntary cost-sharing or matching commitment, you must include:

1. The specific costs or contributions by budget category;

2. The source of the costs or contributions; and

3. In the case of third-party in-kind contributions, a description of how the value was determined for the donated or contributed goods or services.

[Please review cost sharing and matching regulations found in 2 CFR 200.306.]

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

4. If you are requesting reimbursement for indirect costs on line 10, this information is to be completed by your Business Office. Specify the estimated amount of the base to which the indirect cost rate is applied and the total indirect expense. Depending on the grant program to which you are applying and/or your approved Indirect Cost Rate Agreement, some direct cost budget categories in your grant application budget may not be included in the base and multiplied by your indirect cost rate. For example, you must multiply the indirect cost rates of “Training grants" (34 CFR 75.562) and grants under programs with “Supplement not Supplant” requirements ("Restricted Rate" programs) by a “modified total direct cost” (MTDC) base (34 CFR 75.563 or 76.563). Please indicate which costs are included and which costs are excluded from the base to which the indirect cost rate is applied.

When calculating indirect costs (line 10) for "Training grants" or grants under "Restricted Rate" programs, you must refer to the information and examples on ED’s website at: http://www.ed.gov/fund/grant/apply/appforms/appforms.html.

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

5. Provide other explanations or comments you deem necessary.

If Applicable Section D - Budget Summary

Limitation on Administrative Expenses.

If your program is subject to an administrative cost cap (as indicated Section III.2.C of the program’s Notice Inviting Applications (NIA)), fill out this form as follows:

1. On the top of the page, list the percentage cap on administrative costs, and indicate whether your administrative cost cap applies to both indirect and direct costs, or only direct costs (from Section III.2.C of the program’s NIA).

2. IF the cost cap applies to both indirect and direct costs:

(a) Fill out the entire table noting your administrative costs, including line 8. Line 8 is taken from Section A, line 10. For lines 1-6, these are only direct administrative costs; do not include in lines 1-6 any costs included in your indirect cost rate. If your program has a matching requirement (see NIA), include in lines 1-6 the administrative portions of the applicable rows from both Section A and Section B. If there is no program matching requirement, only use Section A.

(b) Ensure that the line 10 percentage DOES NOT EXCEED the percentage cap on administrative costs. If your program does not have a matching requirement, divide line 9 by Section A line 12. If your program does have a matching requirement, to calculate line 10, divide line 9 by the sum of Section A line 12 and Section B line 12.

3. IF the cost cap applies ONLY to direct costs:

(a) Fill out the entire table noting your administrative costs, EXCLUDING line 8.

Ensure that the line 10 percentage DOES NOT EXCEED the percentage cap on administrative costs. If your program does not have a matching requirement, divide line 7 by Section A line 9. If your program does have a matching requirement, to calculate line 10, divide line 7 by the sum of Section A line 9 and Section B line 9).

Paperwork Burden Statement

According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless such collection displays a valid OMB control number. The valid OMB control number for this information collection is 1894-0008. The time required to complete this information collection is estimated to vary from 13 to 22 hours per response, with an average of 17.5 hours per response, including the time to review instructions, search existing data sources, gather the data needed, and complete and review the information collection. If you have any comments concerning the accuracy of the time estimate(s) or suggestions for improving this form, please write to U.S. Department of Education, Washington, D.C. 20202-4537. If you have comments or concerns regarding the status of your individual submission of this form, write directly to the Office of Finance and Operations, Office of Acquisitions and Grants Administration, Grants Policy and Training Division, U.S. Department of Education, 400 Maryland Avenue, S.W., Washington, D.C. 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, sub-grants, and contract awards under grants.

5. If the organization filing the report in item 4 checks “Sub-awardee,” 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. 1840-0113. 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