Field Initiated Projects Program: Minority-Serving Institutions (MSI) - Development

Foa_Content_of_HHS-2026-ACL-NIDILRR-IFST-0206.pdf

Administration for Community Living
National Institute on Disability, Independent Living, and Rehabilitation Research
Field Initiated Projects Program: Minority-Serving Institutions (MSI) - Development
HHS-2026-ACL-NIDILRR-IFST-0206
04/13/2026

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Table of Contents
Executive Summary .........................................................................................................................2
Additional Overview Content/Executive Summary ....................................................................2
I. Funding Opportunity Description ................................................................................................3
II. Award Information ......................................................................................................................4
III. Eligibility Information ...............................................................................................................5
1. Eligible Applicants ...................................................................................................................5
2. Cost Sharing or Matching ........................................................................................................5
3. Responsiveness and Screening Criteria ...................................................................................5
IV. Application and Submission Information ..................................................................................6
1. Address to Request Application Package ................................................................................6
2. Content and Form of Application Submission .........................................................................7
Letter of Intent .............................................................................................................................7
Project Narrative ..........................................................................................................................8
Table of Contents .........................................................................................................................9
Summary/ Abstract ......................................................................................................................9
Work Plan ....................................................................................................................................9
Vitae/Biosketches of Key Project Personnel ...............................................................................9
References ....................................................................................................................................9
Data Management Plan ................................................................................................................9
Budget Narrative/Justification ...................................................................................................10
Letters of Commitment from Key Participating Organizations and Agencies ..........................10
Summary of Involved Individuals and Organizations ...............................................................10
3. Unique Entity Identifier and System for Award Management (SAM) ..................................10
4. Submission Dates and Times .................................................................................................12
Informational Conference Call: .................................................................................................13
5. Intergovernmental Review .....................................................................................................13
6. Funding Restrictions ..............................................................................................................13
7. Other Submission Requirements ............................................................................................14
V. Application Review Information ..............................................................................................14
1. Criteria ...................................................................................................................................14
2. Review and Selection Process ................................................................................................15
3. Anticipated Announcement Award Date ...............................................................................16
VI. Award Administration Information .........................................................................................16
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1. Award Notices ........................................................................................................................16
2. Administrative and National Policy Requirements ................................................................16
3. Reporting ................................................................................................................................17
4. FFATA and FSRS Reporting .................................................................................................18
VII. Agency Contacts ....................................................................................................................18
VIII. Other Information .................................................................................................................18
The Paperwork Reduction Act of 1995 (P.L. 104-13) ...............................................................19
Appendix ........................................................................................................................................19
Instructions for Completing Required Forms ............................................................................20
Budget Narrative/Justification- Sample Format ........................................................................29
Instructions for Completing the Project Summary/ Abstract .....................................................33
ACL Center:
National Institute on Disability, Independent Living, and Rehabilitation Research
Funding Opportunity Title:
Field Initiated Projects Program: Minority-Serving Institutions (MSI) - Development
Funding Opportunity Number:
HHS-2026-ACL-NIDILRR-IFST-0206
Primary CFDA Number:
93.433
Due Date for Letter of Intent:
03/17/2026
Due Date for Applications:
04/13/2026
Date for Informational Conference Call:
02/24/2026
Applications that fail to meet the application due date will not be reviewed and will receive no
further consideration. You are strongly encouraged to submit your application a minimum of 3-5
days prior to the application closing date. Do not wait until the last day in the event you
encounter technical difficulties, either on your end or, with https://www.grants.gov. Grants.gov
can take up to 48 hours to notify you of a successful submission.
Executive Summary
Additional Overview Content/Executive Summary
With this Notice of Funding Opportunity, we are inviting development applications for our
Field Initiated (FI) Projects – Minority Serving Institutions (FIP-MSI) program. We will make
awards in one of two distinct categories: (1) research, and (2) development, for a period of up
to three years (36 months).
This is the Funding Opportunity Announcement that applicants should use in order to submit
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FIP-MSI development proposals. NIDILRR/ACL is publishing the Funding Opportunity
Announcement for MSI FI research proposals separately.
I. Funding Opportunity Description
The purpose of the Field Initiated (FI) Projects program is to develop knowledge, methods,
procedures, and rehabilitation technology that maximize the full inclusion and integration into
society, employment, independent living, family support, and economic and social self
sufficiency of individuals with disabilities, especially those with the highest support needs.
Another purpose of this particular opportunity is to improve the capacity of minority entities to
conduct high quality disability and rehabilitation research. Minority entities may apply,
consistent with section 21(b)(2)(A) of the Act. Section 21 of the Act authorizes NIDILRR to
make awards to minority entities and Indian tribes to carry out authorized activities under Title
II of the Act.
In carrying out a development activity under a FI Projects development grant, a grantee must
use knowledge and understanding gained from research to create materials, devices, systems,
methods, measures, techniques, tools, prototypes, processes, or intervention protocols that are
beneficial to the target population.
NIDILRR plans to make four FIP-MSI awards. NIDILRR's FIP-MSI awards may be research
projects, development projects, or a combination of both, depending on the ranking of
applications provided by the peer review panel.
Note: An applicant should consult NIDILRR’s Long-Range Plan for Fiscal Years 2024-2028
(the Plan) when preparing its application. The Plan is organized around the following outcome
domains: (1) community living and participation; (2) health and function; and (3) employment.
Applicants for FI projects must specify in their abstract and project narrative which major
outcome domain their proposed project will focus on. Although applicants may propose
projects that address more than one domain, they should select the primary domain addressed in
their proposed project.
Applicants must ensure that all materials, websites and information technology tools and
products that they plan to develop or maintain are accessible, and that electronic materials are
produced in full compliance with Section 508 of the Rehabilitation Act (29 U.S.C. 794d). For
websites this compliance currently requires meeting Web Content Accessibility Guidelines
(WCAG) 2.0/2.1 AA success criteria. Applications must demonstrate an ability to meet these
requirements.
Invitational Priority: In FY 2026, there are eight invitational priorities of interest to the agency
(see below). NIDILRR does not give applications that address these invitational priorities a
competitive or absolute preference over other applications.
• Development projects that address chronic conditions, and promote healthy lifestyle,
proper nutrition and physical activity among people with disabilities. This invitational
priority corresponds with Executive Order 14212, on Establishing the President’s Make
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America Healthy Again Commission.
• Development projects that address family caregiving as a factor that shapes the
experiences and outcomes of people with disabilities.
• Development projects that address the experiences and outcomes of people who are aging
with disability, or aging into disability.
• Development projects that focus on making airline travel accessible for people with
disabilities.
• Development projects that focus on improving the extent to which emergency and
disaster preparedness plans and systems are accessible to, and responsive to the needs of,
people with disabilities.
• Development projects that focus on social and built environments that facilitate full
inclusion and community participation among people with disabilities.
• Development projects that focus on school experiences among children with disabilities.
• Development projects that focus on workplace experiences, including skills development
and job training, among adults with disabilities.
FI Projects development applicants must define the stage or stages of development that they
propose to conduct. Any rigorous development activities can be appropriate, depending on the
development aims being addressed by the applicant. NIDILRR does not have an absolute
preference for any one development stage over others. If the FI Projects grant is to conduct
development that can be categorized under more than one stage, those stages must be clearly
specified. These stages are: proof of concept, proof of product, and proof of adoption.
Statutory Authority
29 U.S.C. 762(g) and 764(a); 29 U.S.C. 718
II. Award Information
Funding Instrument Type:
G (Grant)
Estimated Total Funding:
$250,000
Expected Number of Awards:
1
Award Ceiling:
$250,000
Per Budget Period
Award Floor:
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$245,000
Per Budget Period
Length of Project Period:
36-month project period with three 12-month budget periods
Additional Information on Project Periods and Explanation of 'Other'
III. Eligibility Information
1. Eligible Applicants
Parties eligible to apply for FIP-MSI Projects grants are limited to minority entities and Indian
tribes as authorized by section 21(b)(2)(A) of the Act. A minority entity is defined as a
historically black college or university (a part B institution, as defined in section 322(2) of the
Higher Education Act of 1965, as amended), a Hispanic-serving institution of higher education,
an American Indian tribal college or university, or another IHE whose minority student
enrollment is at least 50 percent. NIDILRR is especially interested in applications from
individual minority entities that have historically been underrepresented in the federal research
arena.
In addition, NIDILRR is particularly interested in receiving applications from Indian tribes, or
American Indian tribal colleges or universities.
2. Cost Sharing or Matching
Cost Sharing / Matching Requirement:
No
For awards that do not require matching or cost sharing by statute, recipients are not
expected to provide cost sharing or matching. However, recipients are allowed to voluntarily
propose a commitment of non-federal resources. If an applicant decides to voluntarily contribute
non-federal resources towards project costs and the costs are accepted by ACL, the non-federal
resources will be included in the approved project budget. The applicant will be held accountable
for all proposed non-federal resources as shown in the Notice of Award (NOA). A recipient's
failure to meet the voluntary amount of non-federal resources that was accepted by ACL as
part of the approved project costs and that was identified in the approved budget in the
NOA, may result in the disallowance of federal funds. Recipients will be required to report
these funds in the Federal Financial Reports.
3. Responsiveness and Screening Criteria
Application Responsiveness Criteria
To be considered for review under this grant opportunity, applicants must propose to conduct a
development project that is responsive to all of the requirements described in Section I of this
Notice of Funding Opportunity.
Application Screening Criteria
We will screen all applications, and will reject any applications that:
• Are submitted after the established deadline;
• Propose a budget that exceeds $250,000 in any single budget year;
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• Propose a project period that exceeds 36 months;
• Are submitted by applicants that do not meet the eligibility criteria described in Section
III.1.
IV. Application and Submission Information
1. Address to Request Application Package
Application materials can be obtained from https://www.grants.gov or
https://www.acl.gov/grants/applying-grants.
Please note, ACL requires applications for all announcements to be submitted electronically
through http://www.grants.gov in Workspace. Grants.gov Workspace is the standard way for
organizations and individuals to apply for federal grants in Grants.gov. An overview and training
on Grants.gov Workspace can be found here at:
https://www.grants.gov/web/grants/applicants/workspace-overview.html
The Grants.gov registration process can take several days. If your organization is not currently
registered, please begin this process immediately. For assistance with https://www.grants.gov,
please contact them at support@grants.gov or 800-518-4726 between 7:00 a.m. and 9:00 p.m.
Eastern Time.
• At the https://www.grants.gov website, you will find information about submitting an
application electronically through the site, including the hours of operation. ACL strongly
recommends that you do not wait until the application due date to begin the application
process because of the time involved to complete the registration process.
• All applicants must have a UEI and be registered with the System for Award
Management (SAM, www.sam.gov) and maintain an active SAM registration until the
application process is complete, and should a grant be made, throughout the life of the
award. Effective June 11, 2018, when registering or renewing your registration, you must
submit a notarized letter appointing the authorized Entity Administrator. Please be sure to
read the FAQs located at www.sam.gov to learn more. Applicants should allot sufficient
time prior to the application deadline to finalize a new, or renew an existing registration.
This action should allow you time to resolve any issues that may arise. Failure to comply
with these requirements may result in your inability to submit your application or receive
an award. Maintain documentation (with dates) of your efforts to register or renew at
least two weeks before the deadline. See the SAM Quick Guide for Grantees at:
SAM.GOV Quick Start Guide for Financial Assistance Registrations.
Note: Once your SAM registration is active, allow 24 to 48 hours for the information to be
available in Grants.gov before you can submit an application through Grants.gov. This action
should allow you time to resolve any issues that may arise. Failure to comply with these
requirements may result in your inability to submit your application or receive an award.
• Note: Failure to submit the correct EIN Suffix can lead to delays in identifying your
organization and access to funding in the Payment Management System.
• Effective October 1, 2010, HHS requires all entities that plan to apply for and ultimately
receive federal grant funds from any HHS Operating/Staff Division
(OPDIV/STAFFDIV) or receive subawards directly from the recipients of those grant
funds to:
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1. Register in SAM prior to submitting an application or plan;
2. Maintain an active SAM registration with current information at all times during which it
has an active award or an application or plan under consideration by an OPDIV; and
3. Provide its UEI number in each application or plan to submit to the OPDIV.
Additionally, all first-tier subaward recipients must have a UEI number at the time the subaward
is made.
• The Federal Government will transition from the DUNS Number to the New Unique
Entity Identifier. As of April of 2022, the federal government stopped using the DUNS
number to uniquely identify entities. At that point, entities doing business with the federal
government will use a Unique Entity Identifier (SAM) created in SAM.gov. It is entered
on the SF-424. It is a unique, nine-digit identification number, which provides unique
identifiers of single business entities.
• You must submit all documents electronically, including all information included on the
SF424 and all necessary assurances and certifications. In accordance with the Federal
Government’s efforts to reduce reporting burden for recipients of federal financial
assistance, the general certification and representation requirements contained in the
Standard Form 424B (SF-424B) – Assurances – Non-Construction Programs, and the
Standard Form 424D (SF-424D) – Assurances – Construction Programs, have been
standardized federal-wide. Effective January 1, 2020, the updated common certification
and representation requirements will be stored and maintained within SAM.
Organizations or individuals applying for federal financial assistance as of January 1,
2020, must validate the federally required common certifications and representations
annually through SAM located at SAM.gov.
• After you electronically submit your application, you will receive an automatic
acknowledgment from https://www.grants.gov that contains https://www.grants.gov
tracking number. The Administration for Community Living will retrieve your
application form from https://www.grants.gov.
If you have any questions about the programmatic or substantive requirements of this funding
opportunity, please contact the competition manager:
U.S. Department of Health and Human Services
Administration for Community Living
Shelley Reeves
Shelley.Reeves@acl.hhs.gov
2. Content and Form of Application Submission
Letter of Intent
Number of Days from Publication 35
03/17/2026
Applicants are requested, but not required, to submit a letter of intent to apply for this funding
opportunity to assist ACL in planning for the application independent review process. The
purpose of the letter of intent is to allow our staff to estimate the number of independent
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reviewers needed and to avoid potential conflicts of interest in the review. Letters of intent
should be sent to:
Megan.Alvarado@acl.hhs.gov
In your email include:
• The funding opportunity number and title.
• The name and contact information for the project principal investigator.
• A brief description of the proposed activities.
• A list of key individuals and their organizations that will have a significant role in your
project.
• A list of individuals whose selection as a peer reviewer might constitute a conflict of
interest due to their involvement in the application development.
For further information regarding the LOI submission process, contact Megan Alvarado.
Project Narrative
The Project Narrative portion of your application is where you describe your proposed project
and address each of the review criteria. Applicants should directly address each of the review
criteria (see Section V), in the project narrative. Each applicant must limit the Project Narrative
to the equivalent of no more than 40 pages using the following standards:
• A page is 8.5" x 11" on one side only with 1" margins at the top, bottom, and both sides;
• Double-space (no more than three lines per vertical inch)) all narrative text in the project
narrative. You are not required to double space titles, headings, footnotes, references,
captions, or text in charts, tables, figures, and graphs. Applicants who unnecessarily place
narrative text in tables to avoid the double-spacing requirement run the risk of exceeding
the page limit;
• Use a font that is not less than size 12 and is Times New Roman, Courier, Courier New
or Arial;
• Include all critical information in the project narrative minimizing the need for additional
appendices;
• Ensure that you attach PDF files only for any attachments to your application. While you
are able to attach files to your application in formats other than PDF, non-PDF files are
converted into PDF format before reviewers see and evaluate your application. The
conversion to PDF format may not maintain your original formatting. Therefore, to
ensure the integrity of your application documents we strongly recommend that you
attach only PDF files as you submit your application.
NOTE: The page limit for the Project Narrative does not apply to the Application for Federal
Assistance (SF 424), the table of contents, budget narrative/justification, the forms, the
summary/abstract, the vitae/ biosketches, references, the letters of commitment from key
participating organizations and agencies, the summary of involved individuals and organizations,
data management plan, or the data safety and monitoring plan (if applicable).
For project narratives that exceed 40 double-spaced pages, NIDILRR will instruct reviewers to
disregard all of the content on the pages beyond the 40th page.
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Table of Contents
The table of contents should show where and how the important sections of your proposal are
organized. While the application will be submitted electronically, the reviewers may use printed
copies during the review process. The table of contents will assist reviewers in more efficiently
and effectively evaluating your application.
Summary/ Abstract
The one-page abstract should be a comprehensive description of the whole project (all three
years) and not a description of the competency of the institution or Project Director/PI. It is not
an executive summary. The abstract can be single-spaced.
Work Plan
Applicants must provide a Work Plan (Plan of Operation) in their Project Narrative. The Work
Plan should cover all three years of the project period. The Work Plan should include a statement
of the project's overall goal(s), anticipated outcome(s), and the major tasks that are proposed to
achieve the goal and outcome(s). For each major task, the Work Plan should identify timeframes
involved and the lead person responsible for the task. A "Project Work Plan - Sample Template"
is provided in the Appendix section of this Funding Opportunity Announcement.
Vitae/Biosketches of Key Project Personnel
Vitae or biosketches of key project personnel should include information that is specifically
pertinent to the applicant’s proposed project. Applicants are encouraged to use NIH’s biosketch
format, which provides reviewers with a concise description of training, expertise, and
productivity that is relevant to the proposed project.
References
Applicants should provide references for works cited in the Project Narrative. Applicants may
provide references in any format (i.e., APA, AMA, MLA), though the formatting should be
consistent.
Data Management Plan
You must provide a data management plan for your project. We will review the data
management plan for compliance before making an award.
The data management plan is your plan for making your NIDILRR-funded data available to the
public at the end of your grant. The Data Management Plan must include the following:
• A description of the types of data you will collect for your project.
• A description of how you will organize, store, and preserve your project data.
• A description of the metadata to be provided for useful analysis of the data by others.
Metadata include descriptions and labels for variables and values in your dataset.
• A description of the data repository that you will use to make your data available to the
public at the end of your grant. We recommend that you use the ICPSR as your data
repository, but you may select a different data repository.
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o If you select a different data repository, you must provide information on how the
data repository will provide long-term preservation and free public access to the
project data.
• If applicable, describe why your data cannot be submitted to a data repository.
• A description of the informed consent process that will enable data sharing.
• Costs associated with data management can be included in your budget.
If you require technical assistance in preparing your data management plan for this application,
contact ICPSR at ICPSR-help@umich.edu or 734-647-2200.
Budget Narrative/Justification
The applicant must submit an itemized budget breakdown for each project year and the basis for
estimating the costs of personnel salaries, benefits, project staff travel, materials and supplies,
consultants and subcontracts, indirect costs, and any other projected expenditures.
The Budget Narrative/Justification can be provided using the format “Budget
Narrative/Justification – Sample Format” included in this document. Applicants are encouraged
to pay particular attention to this document, which provides an example of the level of detail
sought. A combined multi-year Budget Narrative/Justification as well as a detailed Budget
Narrative/Justification for each year of potential grant funding is required. This information will
be uploaded in the "Budget Narrative/Justification" section under the "Optional" category. If
applicable, address cost share in a separate section of the budget narrative labeled "cost share."
Letters of Commitment from Key Participating Organizations and Agencies
Include letters of commitment from key participating organizations and agencies after the Budget
Narrative/Justification.
Summary of Involved Individuals and Organizations
Submit an appendix that lists every collaborating organization, and every individual who is
named to a professional role in the proposed project. These individuals should include staff,
consultants, contractors, and advisory board members. We will use this information to screen for
conflicts of interest with potential peer reviewers.
3. Unique Entity Identifier and System for Award Management (SAM)
The Grants.gov registration process can take several days. If your organization is not currently
registered, please begin this process immediately. For assistance with https://www.grants.gov,
please contact them at support@grants.gov or 800-518-4726 between 7:00 a.m. and 9:00 p.m.
Eastern Time.
• At the https://www.grants.gov website, you will find information about submitting an
application electronically through the site, including the hours of operation. ACL strongly
recommends that you do not wait until the application due date to begin the application
process because of the time involved to complete the registration process.
• All applicants must have a UEI number and be registered with the System for Award
Management (SAM, www.sam.gov) and maintain an active SAM registration until the
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application process is complete, and should a grant be made, throughout the life of the
award. Effective June 11, 2018, when registering or renewing your registration, you must
submit a notarized letter appointing the authorized Entity Administrator. Please be sure to
read the FAQs located at www.sam.gov to learn more. Applicants should allot sufficient
time prior to the application deadline to finalize a new, or renew an existing registration.
This action should allow you time to resolve any issues that may arise. Failure to comply
with these requirements may result in your inability to submit your application or receive
an award. Maintain documentation (with dates) of your efforts to register or renew at
least two weeks before the deadline. See the SAM Quick Guide for Grantees at:
SAM.GOV Quick Start Guide for Financial Assistance Registrations.
Note: Once your SAM registration is active, allow 24 to 48 hours for the information to be
available in Grants.gov before you can submit an application through Grants.gov. This action
should allow you time to resolve any issues that may arise. Failure to comply with these
requirements may result in your inability to submit your application or receive an award.
• Note: Failure to submit the correct EIN Suffix can lead to delays in identifying your
organization and access to funding in the Payment Management System.
• Effective October 1, 2010, HHS requires all entities that plan to apply for and ultimately
receive federal grant funds from any HHS Operating/Staff Division
(OPDIV/STAFFDIV) or receive subawards directly from the recipients of those grant
funds to:
1. Register in SAM prior to submitting an application or plan;
2. Maintain an active SAM registration with current information at all times during which it
has an active award or an application or plan under consideration by an OPDIV; and
3. Provide its UEI number in each application or plan to submit to the OPDIV.
Additionally, all first-tier subaward recipients must have a UEI number at the time the subaward
is made.
• The Federal Government will transition from the DUNS Number to the New Unique
Entity Identifier. As of April of 2022, the federal government stopped using the DUNS
number to uniquely identify entities. At that point, entities doing business with the federal
government will use a Unique Entity Identifier (SAM) created in SAM.gov. They will no
longer have to go to a third-party website to obtain their identifier. This transition allows
the government to streamline the entity identification and validation process, making it
easier and less burdensome for entities to do business with the federal government. If
your entity is registered in SAM.gov today, your Unique Entity ID (SAM) has already
been assigned and is viewable in SAM.gov. This includes inactive registrations. The
Unique Entity ID is currently located below the DUNS Number on your entity
registration record. Remember, you must be signed in to your SAM.gov account to view
entity records. To learn how to view your Unique Entity ID (SAM) go to this help article.
• You must submit all documents electronically, including all information included on the
SF424 and all necessary assurances and certifications. In accordance with the Federal
Government’s efforts to reduce reporting burden for recipients of federal financial
assistance, the general certification and representation requirements contained in the
Standard Form 424B (SF-424B) – Assurances – Non-Construction Programs, and the
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Standard Form 424D (SF-424D) – Assurances – Construction Programs, have been
standardized federal-wide. Effective January 1, 2020, the updated common certification
and representation requirements will be stored and maintained within SAM.
Organizations or individuals applying for federal financial assistance as of January 1,
2020, must validate the federally required common certifications and representations
annually through SAM located at SAM.gov.
• After you electronically submit your application, you will receive an automatic
acknowledgment from https://www.grants.gov that contains https://www.grants.gov
tracking number. The Administration for Community Living will retrieve your
application form from https://www.grants.gov.
4. Submission Dates and Times
Number Of Days from Publication 60
04/13/2026
Date for Informational Conference Call:
02/24/2026
Applications that fail to meet the application due date will not be reviewed and will receive no
further consideration. You are strongly encouraged to submit your application a minimum of 3-5
days prior to the application closing date. Do not wait until the last day in the event you
encounter technical difficulties, either on your end or, with http://www.grants.gov. Grants.gov
can take up to 48 hours to notify you of a successful submission.
In addition, if you are submitting your application via Grants.gov, you must (1) be designated by
your organization as an Authorized Organization Representative (AOR) and (2) register yourself
with Grants.gov as an AOR. Details on these steps are outlined at the following Grants.gov web
page: http://www.grants.gov/web/grants/register.html.
After you electronically submit your application, you will receive from Grants.gov an automatic
notification of receipt that contains a Grants.gov tracking number. (This notification indicates
receipt by Grants.gov only)
If you are experiencing problems submitting your application through Grants.gov, please contact
the Grants.gov Support Desk, toll free, at 1-800-518-4726. You must obtain a Grants.gov
Support Desk Case Number and must keep a record of it.
If you are prevented from electronically submitting your application on the application deadline
because of technical problems with the Grants.gov system, please contact the person listed under
For Further Information Contact in section VII of this notice and provide a written explanation of
the technical problem you experienced with Grants.gov, along with the Grants.gov Support Desk
Case Number. ACL will contact you after a determination is made on whether your application
will be accepted.
Note: We will not consider your application for further review if you failed to fully register
to submit your application to Grants.gov before the application deadline or if the technical
problem you experienced is unrelated to the Grants.gov system.
If for any reason (including submitting to the wrong funding opportunity number or making
corrections/updates) an application is submitted more than once prior to the application due date,
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ACL will only accept your last validated electronic submission, under the correct funding
opportunity number, prior to the Grants.gov application due date as the final and only acceptable
application
Unsuccessful submissions will require authenticated verification from http://www.grants.gov
indicating system problems existed at the time of your submission. For example, you will be
required to provide an http://www.grants.gov submission error notification and/or tracking
number in order to substantiate missing the cut off date.
Grants.gov (http://www.grants.gov) will automatically send applicants a tracking number and
date of receipt verification electronically once the application has been successfully received and
validated in http://www.grants.gov.
Informational Conference Call:
An informational conference call will be held between 1:00 p.m. and 3:00 p.m. (Eastern time) on
the date listed above for the informational conference call. Interested parties are invited to
participate in the pre-application meeting to discuss the funding priority and to receive
information and technical assistance. You must contact Megan.Alvarado@acl.hhs.gov in order to
participate in this meeting. NIDILRR staff also will be available to provide information and
technical assistance via individual phone consultations from 3:00 p.m. to 4:00 p.m. on the date
listed above. Requests for individual consultations during this one-hour window must be made in
advance to Megan Alvarado.
5. Intergovernmental Review
This program is not subject to Executive Order (E.O.) 12372, Intergovernmental Review of
Federal Programs.
6. Funding Restrictions
Note: A recent Government Accountability Office (GAO) report has raised considerable
concerns about grantees and contractors charging the Federal government for additional meals
outside of the standard allowance for travel subsistence known as per diem expenses. Executive
Orders on Promoting Efficient Spending (EO 13589) and Delivering Efficient, Effective and
Accountable Government (EO 13576) have been issued and instruct Federal agencies to promote
efficient spending. Therefore, if meals are to be charged in your proposal, applicants should
understand such costs must meet the following criteria outlined in the Executive Orders and HHS
Grants Policy Statement:
• Meals are generally unallowable except for the following:
o For subjects and patients under study (usually a research program);
o Where specifically approved as part of the project or program activity, e.g., in
programs providing children’s services (e.g., Headstart);
o When an organization customarily provides meals to employees working beyond
the normal workday, as a part of a formal compensation arrangement; or
o As part of a per diem or subsistence allowance provided in conjunction with
allowable travel.
The following updated sections 2 CFR 200.216 “Prohibition on certain telecommunications and
video surveillance services or equipment” became effective on or after August 13, 2020.
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Recommended Actions for any recipient that has received a loan, grant, or cooperative
agreement on or after August 13, 2020:
• Develop a compliance plan to implement 2 CFR 200.216 regulation.
• Develop and maintain internal controls to ensure that your organization does not expend
federal funds (in whole or in part) on covered equipment, services or systems.
• Determine through reasonable inquiry whether your organization currently uses “covered
telecommunication” equipment, services, or systems and take necessary actions to
comply with the regulation as quickly as is feasibly possible.
7. Other Submission Requirements
Protection of Human Subjects
You must comply with all regulations for the protection of the rights, welfare, and well-being of
human subjects involved in research conducted or supported by the U.S. Department of Health
and Human Services. The HHS Office for Human Research Protections has information and
resources related to these important requirements.
V. Application Review Information
1. Criteria
Your application will be scored by members of a NIDILRR- administered peer review panel,
who will assign a maximum of 100 points across the criteria listed below. Each of these review
criteria come directly from NIDILRR’s program regulations (45 CFR 1330.24).
Importance of the Problem
Maximum Points: 20
In determining the importance of the problem, the Director considers the following factors:
(1) The extent to which the applicant clearly describes the need and target population.
(2) The extent to which the proposed project will have beneficial impact on the target population.
Design of Development Activities
Maximum Points: 60
In determining the extent to which the design is likely to be effective in accomplishing the
objectives of the project, the Director considers the following factors:
(1) The extent to which the proposed project methodology is meritorious, including
consideration of the extent to which:
(A) The proposed project shows awareness of the state-of-the-art for current, related products.
(B) The proposed project employs appropriate concepts, components, or systems to develop the
new or improved product.
(C) The proposed project employs appropriate samples in tests, trials, and other development
activities.
(D) The proposed project conducts development activities in appropriate environment(s).
(E) Input from individuals with disabilities and other key stakeholders is obtained to establish
and guide proposed development activities.
(F) The applicant identifies and justifies the stage(s) of development for the proposed project;
and activities associated with each stage.
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(G) Implementation of the proposed design is feasible, given the current state of the science and
the time and resources available.
Project Staff
Maximum Points: 15
In determining the quality of the applicant’s project staff, the Director considers the following
factors:
(1) The extent to which the applicant encourages applications for employment from people with
disabilities, who may include but are not limited to people with disabilities who have the greatest
support needs.
(2) The extent to which the key personnel and other key staff have appropriate training and
experience in disciplines required to conduct all proposed activities.
Adequacy and Accessibility of Resources
Maximum Points: 5
In determining the adequacy and accessibility of resources, the Director considers the following
factors:
(1) The extent to which the applicant is committed to provide adequate facilities, equipment,
other resources, including administrative support, and laboratories, if appropriate.
(2) The extent to which the facilities, equipment, and other resources are appropriately accessible
to individuals with disabilities who may use the facilities, equipment, and other resources of the
project
2. Review and Selection Process
As required by 2 CFR Part 200 of the Uniform Guidance, effective January 1, 2016, ACL is
required to review and consider any information about the applicant that is in the Federal
Awardee Performance and Integrity Information System (FAPIIS), https://www.fapiis.gov
before making any award in excess of the simplified acquisition threshold (currently $150,000)
over the period of performance. An applicant may review and comment on any information
about itself that a federal awarding agency has previously entered into FAPIIS. ACL will
consider any comments by the applicant, in addition to other information in FAPIIS, in making a
judgment about the applicant's integrity, business ethics, and record of performance under federal
awards when completing the review of risk posed by applicants as described in 2 CFR Section
200.205 Federal Awarding Agency Review of Risk Posed by Applicants (https://www.ecfr.gov/
cgi-bin/ text-idx?node=se2.1.200_1205&rgn=div8).
An independent review panel of at least three individuals will evaluate applications that pass the
screening and meet the responsiveness criteria if applicable. These reviewers are experts in their
field, and are drawn from academic institutions, non-profit organizations, state and local
governments, and federal government agencies. Based on the Application Review Criteria as
outlined under section V.1, the reviewers will comment on and score the applications, focusing
their comments and scoring decisions on the identified criteria.
Final award decisions will be made by the Administrator, ACL. In making these decisions, the
Administrator will take into consideration: recommendations of the review panel; reviews for
programmatic and grants management compliance; the reasonableness of the estimated cost to
the government considering the available funding and anticipated results; and the likelihood that
the proposed project will result in the benefits expected.
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3. Anticipated Announcement Award Date
Award notices to successful applicants will be sent out prior to the project start date.
The anticipated project period start date for this announcement is: 09/01/2026
VI. Award Administration Information
1. Award Notices
Successful applicants will receive an electronic Notice of Award. The Notice of Award is the
authorizing document from the U.S. Administration for Community Living authorizing official,
Office of Grants Management. Acceptance of this award is signified by the drawdown of funds
from the Payment Management System. Unsuccessful applicants are generally notified within 30
days of the final funding decision and will receive a disapproval letter via e-mail. Unless
indicated otherwise in this announcement, unsuccessful applications will not be retained by the
agency and will be destroyed.
2. Administrative and National Policy Requirements
The award is subject to HHS Administrative Requirements, which can be found in 45 CFR Part
75 and the Standard Terms and Conditions, included in the Notice of Award as well as
implemented through the HHS Grants Policy Statement.
If you receive an award, you must follow all applicable nondiscrimination laws. You agree to
this when you register in SAM.gov. You must also submit an Assurance of Compliance (HHS-
690). To learn more, see the HHS Office for Civil Rights website.
A standard term and condition of award will be included in the final notice of award; all
applicants will be subject to a term and condition that applies the terms of 48 CFR section 3.908
to the award and requires the grantees inform their employee in writing of employee
whistleblower rights and protections under 41 U.S.C. 4712 in the predominant native language of
the workforce.
Applicants may follow their own procurement policies and procedures when contracting with
Project Funds, but You must comply with the requirements of 2 C.F.R. §§ 200.317-200.326.
Additionally, when using Project Funds to procure supplies and/or equipment, applicants are
encouraged to purchase American-manufactured goods to the maximum extent practicable.
American-manufactured goods are those products for which the cost of their component parts
that were mined, produced, or manufactured in the United States exceeds 50 percent of the total
cost of all their components. For further guidance regarding what constitutes an American
manufactured good (also known as a domestic end product), see 48 C.F.R. Part 25.
As of October 1, 2024, 2 CFR 200 Uniform Administrative Requirements, Cost Principles, and
Audit Requirements for Federal Awards updated to a new version. The eCFR is currently
updating its site with the newly adopted content. Until that time, the links below to 2 CFR 200
will not include the changes. If you need to see specific changes while they complete that work,
see 78 FR 78608.
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Also as of October 1, 2024, HHS adopted several provisions in the new 2 CFR 200 that affect
your application. These new provisions supersede those previously used in 45 CFR 75. The
changes include:
Indirect costs
De minimis rate
If you use the de minimis rate to calculate indirect costs:
• When you calculate this rate, you will now use 15% of modified total direct costs
(MTDC) rather than 10%. See 2 CFR 200.414(f).
• Additionally, when you calculate MTDC, you can now use up to $50,000 of subawards
and subcontracts rather than $25,000. See 2 CFR 200.1.
Training awards
If your application is for a training award, your indirect cost rate remains capped at 8% of
MTDC. However, when calculating MTDC , you can now use up to $50,000 of subawards and
subcontracts rather than $25,000. See 2 CFR 200.1.
Budget
When planning your budget, HHS now uses the definitions for equipment and supplies in 2 CFR
200.1. The new definitions change the threshold for equipment to the lesser of the recipient’s
capitalization level or $10,000 and the threshold for supplies to below that amount.
All changes
HHS adopted all the following superseding provisions on October 1, 2024:
• 2 CFR 200.1, Definitions, Modified Total Direct Cost.
• 2 CFR 200.1, Definitions, Equipment.
• 2 CFR 200.1, Definitions, Supplies.
• 2 CFR 200.313(e), Equipment, Disposition.
• 2 CFR 200.314(a), Supplies.
• 2 CFR 200.320, Methods of procurement to be followed.
• 2 CFR 200.333, Fixed amount subawards.
• 2 CFR 200.344, Closeout.
• 2 CFR 200.414(f), Indirect (F&A) costs.
• 2 CFR 200.501, Audit requirements.
3. Reporting
Reporting
If you are successful, you will have to submit financial and performance reports. To learn more
about reporting, see Managing a Grant, funding requirements on our website.
Financial and performance reports
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The terms and conditions in the Notice of Award will have information on performance and
financial reports including:
• How often you will report
• Any required form or formatting
• How to submit them
Complying with the Administration for Community Living (ACL) Public Access Plan
If you receive a grant under this opportunity, you must comply with ACL's Public Access Plan
requirements for making your data and your publications accessible to the public.
4. FFATA and FSRS Reporting
The Federal Financial Accountability and Transparency Act (FFATA) requires data entry at the
FFATA Subaward Reporting System (http://www.FSRS.gov) for all sub-awards and sub-
contracts issued for $30,000 or more as well as addressing executive compensation for both
grantee and sub-award organizations.
For further guidance please follow this link to access ACL’s Terms and Conditions:
https://www.acl.gov/grants/managing-grant#
VII. Agency Contacts
Project Officer
First Name:
Shelley
Last Name:
Reeves
Phone:
(202) 795-7427
Office:
National Institute on Disability, Independent Living, and Rehabilitation Research
Grants Management Specialist
First Name:
Rasheed
Last Name:
Williams
Phone:
(xxx)-xxx-xxxx
Office:
Office of Grants Management: Rasheed.Williams@acl.hhs.gov
VIII. Other Information
Application Elements
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• SF 424, required – Application for Federal Assistance (See “Instructions for Completing
Required Forms” for assistance).
• SF 424A, required – Budget Information. (See Appendix for instructions).
• Separate Budget Narrative/Justification, required (See “Budget Narrative/Justification -
Sample Format” for examples and “Budget Narrative/Justification – Sample Template.”)
NOTE: Applicants requesting funding for multi-year grant projects are REQUIRED to
provide a Narrative/Justification for each year of potential grant funding, as well as a
combined multi- year detailed Budget Narrative/Justification.
• SF 424B – Assurance, required. Note: Be sure to complete this form according to
instructions and have it signed and dated by the authorized representative (see item 18d
on the SF 424).
• Lobbying Certification, required.
• Proof of non-profit status, if applicable.
• Copy of the applicant’s most recent indirect cost agreement or cost allocation plan, if
requesting indirect costs. If any sub-contractors or sub-grantees are requesting indirect
costs, copies of their indirect cost agreements must also be included with the application.
• Project Narrative with Work Plan, required (See “Project Work Plan – Sample Template”
for a formatting suggestions).
• Vitae/Biosketches for Key Project Personnel.
• Letters of Commitment from Key Participating Organizations and Agencies, if
applicable.
• Summary of Involved Individuals and Organizations.
• Abstract.
• Supplemental Information Form for the SF-424.
• Data Management Plan.
• Data Safety and Monitoring Plan, if applicable.
The Paperwork Reduction Act of 1995 (P.L. 104-13)
An agency may not conduct or sponsor, and a person is not required to respond to, a collection of
information unless it displays a currently valid OMB control number. The project description and
Budget Narrative/Justification is approved under OMB control number 0985-0018. Public
reporting burden for this collection of information is estimated to average 10 hours per response,
including the time for reviewing instructions, gathering and maintaining the data needed and
reviewing the collection information.
Appendix
Accessibility Provisions for All Grant Application Packages and Funding Opportunity
Announcements
Should you successfully compete for an award, recipients of federal financial assistance (FFA)
from HHS will be required to complete an HHS Assurance of Compliance form (HHS 690) in
which you agree, as a condition of receiving the grant, to administer your programs in
compliance with federal civil rights laws that prohibit discrimination on the basis of race, color,
national origin, age, sex and disability, and agreeing to comply with federal conscience laws,
where applicable. This includes ensuring that entities take meaningful steps to provide
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meaningful access to persons with limited English proficiency; and ensuring effective
communication with persons with disabilities. The HHS Office for Civil Rights provides
guidance on complying with civil rights laws enforced by HHS. See https://www.hhs.gov/civil-
rights/for-individuals/nondiscrimination/index.html.
• Recipients of FFA must ensure that their programs are accessible to persons with limited
English proficiency. HHS provides guidance to recipients of FFA on meeting their legal
obligation to take reasonable steps to provide meaningful access to their programs by
persons with limited English proficiency. Please see https://www.hhs.gov/civil-
rights/for-individuals/special-topics/limited-english-proficiency/fact-sheet-
guidance/index.html and https://www.lep.gov. For further guidance on providing
culturally and linguistically appropriate services, recipients should review the National
Standards for Culturally and Linguistically Appropriate Services in Health and Health
Care at https://minorityhealth.hhs.gov.
• Recipients of FFA also have specific legal obligations for serving qualified individuals
with disabilities. Please see
http://www.hhs.gov/ocr/civilrights/understanding/disability/index.html.
• HHS funded health and education programs must be administered in an environment free
of sexual harassment. Please see https://www.hhs.gov/civil-rights/for-
individuals/special-topics/harassment/index.html;
https://www2.ed.gov/about/offices/list/ocr/docs/shguide.html; and
https://www.eeoc.gov/sexual-harassment.
• Recipients of FFA must also administer their programs in compliance with applicable
federal religious nondiscrimination laws and applicable federal conscience protection and
associated anti-discrimination laws. Collectively, these laws prohibit exclusion, adverse
treatment, coercion, or other discrimination against persons or entities on the basis of
their consciences, religious beliefs, or moral convictions. Please see
https://www.hhs.gov/conscience/your-protections-against-discrimination-based-on-
conscience-and-religion/index.html.
• Please contact the HHS Office for Civil Rights for more information about obligations
and prohibitions under federal civil rights laws at https://www.hhs.gov/ocr/about-
us/contact-us/index.html or call 1-800-368-1019 or TDD 1-800-537-7697.
If you receive an award, HHS may terminate it if any of the conditions in 2 CFR 200.340(a)(1)-
(4) are met. No other termination conditions apply.
Instructions for Completing Required Forms
This section provides step-by-step instructions for completing the four (4) standard Federal
forms required as part of your grant application, including special instructions for completing
Standard Budget Forms 424 and 424A. Standard Forms 424 and 424A are used for a wide
variety of Federal grant programs, and Federal agencies have the discretion to require some or
all of the information on these forms. ACL does not require all the information on these
Standard Forms. Accordingly, please use the instructions below in lieu of the standard
instructions attached to SF 424 and 424A to complete these forms.
a. Standard Form 424
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1. Type of Submission: (REQUIRED): Select one type of submission in accordance with
agency instructions.
• Preapplication
• Application
• Changed/Corrected Application – If ACL requests, check if this submission is to change
or correct a previously submitted application.
2. Type of Application: (REQUIRED) Select one type of application in accordance with agency
instructions.
• New
• Continuation
• Revision
3. Date Received: Leave this field blank.
4. Applicant Identifier: Leave this field blank
5a Federal Entity Identifier: Leave this field blank
5b. Federal Award Identifier: For new applications leave blank. For a continuation or revision
to an existing award, enter the previously assigned Federal award (grant) number.
6. Date Received by State: Leave this field blank.
7. State Application Identifier: Leave this field blank.
8. Applicant Information: Enter the following in accordance with agency instructions:
a. Legal Name: (REQUIRED): Enter the name that the organization has registered with the
System for Award Management (SAM), formally the Central Contractor Registry. Information
on registering with SAM may be obtained by visiting the Grants.gov website
(https://www.grants.gov) or by going directly to the SAM website (www.sam.gov).
b. Employer/Taxpayer Number (EIN/TIN): (REQUIRED): Enter the Employer or Taxpayer
Identification Number (EIN or TIN) as assigned by the Internal Revenue Service. In addition, we
encourage the organization to include the correct suffix used to identify your organization in
order to properly align access to the Payment Management System.
c. Organizational UEI (REQUIRED): If your entity is registered in SAM.gov today, your
Unique Entity ID (SAM) has already been assigned and is viewable in SAM.gov. This includes
inactive registrations. The Unique Entity ID is currently located below the DUNS Number on
your entity registration record. Remember, you must be signed in to your SAM.gov account to
view entity records.
d. Address: (REQUIRED) Enter the complete address including the county.
e. Organizational Unit: Enter the name of the primary organizational unit (and department or
division, if applicable) that will undertake the project.
f. Name and contact information of person to be contacted on matters involving this
application: Enter the name (First and last name required), organizational affiliation (if affiliated
with an organization other than the applicant organization), telephone number (Required), fax
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number, and email address (Required) of the person to contact on matters related to this
application.
9. Type of Applicant: (REQUIRED) Select the applicant organization “type” from the
following drop down list.
A. State Government B. County Government C. City or Township Government D. Special
District Government E. Regional Organization F. U.S. Territory or Possession G. Independent
School District H. Public/State Controlled Institution of Higher Education I. Indian/Native
American Tribal Government (Federally Recognized) J. Indian/Native American Tribal
Government (Other than Federally Recognized) K. Indian/Native American Tribally Designated
Organization L. Public/Indian Housing Authority M. Nonprofit with 501C3 IRS Status (Other
than Institution of Higher Education) N. Nonprofit without 501C3 IRS Status (Other than
Institution of Higher Education) O. Private Institution of Higher Education P. Individual Q. For-
Profit Organization (Other than Small Business) R. Small Business S. Hispanic-serving
Institution T. Historically Black Colleges and Universities (HBCUs) U. Tribally Controlled
Colleges and Universities (TCCUs) V. Alaska Native and Native Hawaiian Serving Institutions
W. Non-domestic (non-US) Entity X. Other (specify)
10. Name of Federal Agency: (REQUIRED) Enter U.S. Administration for Community Living
11. Catalog of Federal Domestic Assistance Number/Title: The CFDA number can be found
on page one of the Program Announcement.
12. Funding Opportunity Number/Title: (REQUIRED) The Funding Opportunity Number and
title of the opportunity can be found on page one of the Program Announcement.
13. Competition Identification Number/Title: Leave this field blank.
14. Areas Affected by Project: List the largest political entity affected (cities, counties, state
etc.)
15. Descriptive Title of Applicant’s Project: (REQUIRED) Enter a brief descriptive title of the
project (This is not a narrative description).
16. Congressional Districts Of: (REQUIRED) 16a. Enter the applicant’s Congressional District,
and 16b. Enter all district(s) affected by the program or project. Enter in the format: 2 characters
State Abbreviation – 3 characters District Number, e.g., CA-005 for California 5th district, CA-
012 for California 12th district, NC-103 for North Carolina’s 103rd 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. See the below website to find your congressional district:
https://www.house.gov/
17. Proposed Project Start and End Dates: (REQUIRED) Enter the proposed start date and
final end date of the project. If you are applying for a multi-year grant, such as a 3 year
grant project, the final project end date will be 3 years after the proposed start date. In
general, all start dates on the SF424 should be the 1st of the month and the end date of the last
day of the month of the final year, for example 7/01/2014 to 6/30/2017. The Grants Officer can
alter the start and end date at their discretion.
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18. Estimated Funding: (REQUIRED) If requesting multi-year funding, enter the full amount
requested from the Federal Government in line item 18.a., as a multi-year total. For example and
illustrative purposes only, if year one is $100,000, year two is $100,000, and year three is
$100,000, then the full amount of federal funds requested would be reflected as $300,000. The
amount of matching funds is denoted by lines b. through f. with a combined federal and non-
federal total entered on line g. Lines b. through f. represents contributions to the project by the
applicant and by your partners during the total project period, broken down by each type of
contributor. The value of in-kind contributions should be included on appropriate lines, as
applicable.
NOTE: Applicants should review cost sharing or matching principles contained in Subpart C of
45 CFR Part 75 before completing Item 18 and the Budget Information Sections A, B and C
noted below.
All budget information entered under item 18 should cover the total project period. For sub-item
18a, enter the federal funds being requested. Sub-items 18b-18e is considered matching funds.
For ACL programs that have a cost-matching requirement (list here), the dollar amounts entered
in sub-items 18b-18f must total at least 1/3 of the amount of federal funds being requested (the
amount in 18a). For a full explanation of ACL’s match requirements, see the information in the
box below. For sub-item 18f (program income), enter only the amount, if any, that is going to be
used as part of the required match. Program Income submitted as match will become a part of the
award match and recipients will be held accountable to meet their share of project expenses even
if program income is not generated during the award period.
There are two types of match: 1) non-federal cash and 2) non-federal in-kind. In general, costs
borne by the applicant and cash contributions of any and all third parties involved in the project,
including sub-grantees, contractors and consultants, are considered matching funds. Examples
of non-federal cash match includes budgetary funds provided from the applicant agency’s
budget for costs associated with the project. Generally, most contributions from sub-contractors
or sub-grantees (third parties) will be non-federal in-kind matching funds. Volunteered time and
use of third party facilities to hold meetings or conduct project activities may be considered in-
kind (third party) donations.
NOTE: Indirect charges may only be requested if: (1) the applicant has a current indirect cost
rate agreement approved by the Department of Health and Human Services or another federal
agency; or (2) the applicant is a state or local government agency. State governments should
enter the amount of indirect costs determined in accordance with HHS requirements. If indirect
costs are to be included in the application, a copy of the approved indirect cost agreement
or cost allocation plan must be included with the application. Further, if any sub-
contractors or sub-grantees are requesting indirect costs, a copy of the latest approved
indirect cost agreements must also be included with the application, or reference to an
approved cost allocation plan.
19. Is Application Subject to Review by State Under Executive Order 12372 Process?
Please refer to IV. Application and Submission Information, 4. Intergovernmental Review to
determine if the ACL program is subject to E.O. 12372 and respond accordingly.
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20. Is the Applicant Delinquent on any Federal Debt? (Required) This question applies to the
applicant organization, not the person who signs as the authorized representative. If yes, include
an explanation on the continuation sheet.
21. Authorized Representative: (Required) To be signed and dated by the authorized
representative of the applicant organization. Enter the name (First and last name required) title
(Required), telephone number (Required), fax number, and email address (Required) of the
person authorized to sign for the applicant. A copy of the governing body’s authorization for
you to sign this application as the official representative must be on file in the applicant’s office.
(Certain federal agencies may require that this authorization be submitted as part of the
application.)
Standard Form 424A
NOTE: Standard Form 424A is designed to accommodate applications for multiple grant
programs; thus, for purposes of this ACL program, many of the budget item columns and rows
are not applicable. You should only consider and respond to the budget items for which
guidance is provided below. Unless otherwise indicated, the SF 424A should reflect a multi-
year budget.
Section A - Budget Summary
Line 5: Leave columns (c) and (d) blank. Enter TOTAL Federal costs in column (e) and total
non federal costs (including third party in-kind contributions and any program income to be used
as part of the grantee match) in column (f). Enter the sum of columns (e) and (f) in column (g).
Section B - Budget Categories
Column 1: Enter the breakdown of how you plan to use the Federal funds being requested by
object class category.
Column 2: Enter the breakdown of how you plan to use the non-Federal share by object class
category.
Column 5: Enter the total funds required for the project (sum of Columns 1 and 2) by object
class category.
Section C - Non-Federal Resources
Column A: Enter the federal grant program.
Column B: Enter in any non-federal resources that the applicant will contribute to the project.
Column C: Enter in any non-federal resources that the state will contribute to the project.
Column D: Enter in any non-federal resources that other sources will contribute to the project.
Column E: Enter the total non-federal resources for each program listed in column A.
Section D - Forecasted Cash Needs
Line 13: Enter Federal forecasted cash needs broken down by quarter for the first year only.
Line 14: Enter Non-Federal forecasted cash needs broken down by quarter for the first year.
Line 15: Enter total forecasted cash needs broken down by quarter for the first year.
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Note: This area is not meant to be one whereby an applicant merely divides the requested
funding by four and inserts that amount in each quarter but an area where thought is given as to
how your estimated expenses will be incurred during each quarter. For example, if you have
initial startup costs in the first quarter of your award reflect that in quarter one or you do not
expect to have contracts awarded and funded until quarter three, reflect those costs in that
quarter.
Section E – Budget Estimates of Federal Funds Needed for Balance of the Project (i.e.
subsequent years 2, 3, 4 or 5 as applicable).
Column A: Enter the federal grant program
Column B (first): Enter the requested year two funding.
Column C (second): Enter the requested year three funding.
Column D (third): Enter the requested year four funding, if applicable.
Column E (forth): Enter the requested year five funding, if applicable.
Section F – Other Budget Information
Line 21: Enter the total Indirect Charges
Line 22: Enter the total Direct charges (calculation of indirect rate and direct charges).
Line 23: Enter any pertinent remarks related to the budget.
Separate Budget Narrative/Justification Requirement
Applicants requesting funding for multi-year grant programs are REQUIRED to provide
a combined multi-year Budget Narrative/Justification, as well as a detailed Budget
Narrative/Justification for each year of potential grant funding. A separate Budget
Narrative/Justification is also REQUIRED for each potential year of grant funding
requested.
For your use in developing and presenting your Budget Narrative/Justification, a sample format
with examples and a blank sample template have been included in these Attachments. In your
Budget Narrative/Justification, you should include a breakdown of the budgetary costs for all of
the object class categories noted in Section B, across three columns: Federal; non-Federal cash;
and non-Federal in-kind. Cost breakdowns, or justifications, are required for any cost of $1,000
or for the thresholds as established in the examples. The Budget Narratives/Justifications should
fully explain and justify the costs in each of the major budget items for each of the object class
categories, as described below. Non-Federal cash as well as, sub-contractor or sub-grantee
(third party) in-kind contributions designated as match must be clearly identified and explained
in the Budget Narrative/Justification The full Budget Narrative/Justification should be included
in the application immediately following the SF 424 forms.
Line 6a: Personnel: Enter total costs of salaries and wages of applicant/grantee staff. Do not
include the costs of consultants, which should be included under 6h Other.
In the Justification: Identify the project director, if known. Specify the key staff, their titles,
and time commitments in the budget justification.
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Line 6b: Fringe Benefits: Enter the total costs of fringe benefits unless treated as part of an
approved indirect cost rate.
In the Justification: If the total fringe benefit rate exceeds 35% of Personnel costs, provide a
breakdown of amounts and percentages that comprise fringe benefit costs, such as health
insurance, FICA, retirement, etc. A percentage of 35% or less does not require a breakdown but
you must show the percentage charged for each full/part time employee.
Line 6c: Travel: Enter total costs of all travel (local and non-local) for staff on the project.
NEW: Local travel is considered under this cost item not under Other. Local transportation (all
travel which does not require per diem is considered local travel). Do not enter costs for
consultant's travel - this should be included in line 6h.
In the Justification: Include the total number of trips, number of travelers, destinations,
purpose (e.g., attend conference), length of stay, subsistence allowances (per diem), and
transportation costs (including mileage rates).
Line 6d: Equipment: Enter the total costs of all equipment to be acquired by the project. For all
grantees, "equipment" is nonexpendable tangible personal property having a useful life of more
than one year and an acquisition cost of $5,000 or more per unit. If the item does not meet the
$5,000 threshold, include it in your budget under Supplies, line 6e.
In the Justification: Equipment to be purchased with federal funds must be justified as
necessary for the conduct of the project. The equipment must be used for project-related
functions. Further, the purchase of specific items of equipment should not be included in the
submitted budget if those items of equipment, or a reasonable facsimile, are otherwise available
to the applicant or its subrecipient.
Line 6e: Supplies: Enter the total costs of all tangible expendable personal property (supplies)
other than those included on line 6d.
In the Justification: For any grant award that has supply costs in excess of 5% of total direct
costs (Federal or Non-Federal), you must provide a detailed break down of the supply items
(e.g., 6% of $100,000 = $6,000 – breakdown of supplies needed). If the 5% is applied against $1
million total direct costs (5% x $1,000,000 = $50,000) a detailed breakdown of supplies is not
needed. Please note: any supply costs of $10,000 or less regardless of total direct costs does not
require a detailed budget breakdown (e.g., 5% x $200,000 = $10,000 – no breakdown needed).
Line 6f: Contractual: Regardless of the dollar value of any contract, you must follow your
established policies and procedures for procurements and meet the minimum standards
established in the Code of Federal Regulations (CFR’s) mentioned below. Enter the total costs
of all contracts, including (1) procurement contracts (except those which belong on other lines
such as equipment, supplies, etc.). Note: The 33% provision has been removed and line item
budget detail is not required as long as you meet the established procurement standards. Also
include any awards to organizations for the provision of technical assistance. Do not include
payments to individuals on this line. Please be advised: A subrecipient is involved in financial
assistance activities by receiving a sub-award and a subcontractor is involved in procurement
activities by receiving a sub-contract. Through the recipient, a subrecipient performs work to
accomplish the public purpose authorized by law. Generally speaking, a sub-contractor does not
seek to accomplish a public benefit and does not perform substantive work on the project. It is
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merely a vendor providing goods or services to directly benefit the recipient, for example
procuring landscaping or janitorial services. In either case, you are encouraged to clearly
describe the type of work that will be accomplished and type of relationship with the lower tiered
entity whether it be labeled as a subaward or subcontract.
In the Justification: Provide the following three items – 1) Attach a list of contractors
indicating the name of the organization; 2) the purpose of the contract; and 3) the estimated
dollar amount. If the name of the contractor and estimated costs are not available or have not
been negotiated, indicate when this information will be available. The Federal government
reserves the right to request the final executed contracts at any time. If an individual contractual
item is over the small purchase threshold, currently set at $100K in the CFR, you must certify
that your procurement standards are in accordance with the policies and procedures as stated in
45 CFR Part 75 for states, in lieu of providing separate detailed budgets. This certification
should be referenced in the justification and attached to the budget narrative.
Line 6g: Construction: Leave blank since construction is not an allowable costs for this
program.
Line 6h: Other: Enter the total of all other costs. Such costs, where applicable, may include, but
are not limited to: insurance, medical and dental costs (i.e. for project volunteers this is different
from personnel fringe benefits), non-contractual fees and travel paid directly to individual
consultants, postage, space and equipment rentals/lease, printing and publication, computer use,
training and staff development costs (i.e. registration fees). If a cost does not clearly fit under
another category, and it qualifies as an allowable cost, then rest assured this is where it belongs.
Note: A recent Government Accountability Office (GAO) report number 11-43, has raised
considerable concerns about grantees and contractors charging the Federal government for
additional meals outside of the standard allowance for travel subsistence known as per diem
expenses. If meals are to be charged towards the grant they must meet the following criteria
outlined in the Grants Policy Statement:
Meals are generally unallowable except for the following:
For subjects and patients under study(usually a research program);
Where specifically approved as part of the project or program activity, e.g., in programs
providing children’s services (e.g., Headstart);
When an organization customarily provides meals to employees working beyond the normal
workday, as a part of a formal compensation arrangement;
As part of a per diem or subsistence allowance provided in conjunction with allowable travel;
and
Under a conference grant, when meals are a necessary and integral part of a conference,
provided that meal costs are not duplicated in participants’ per diem or subsistence allowances
(Note: the sole purpose of the grant award is to hold a conference).
In the Justification: Provide a reasonable explanation for items in this category. For example,
individual consultants explain the nature of services provided and the relation to activities in the
work plan or indicate where it is described in the work plan. Describe the types of activities for
staff development costs.
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Line 6i: Total Direct Charges: Show the totals of Lines 6a through 6h.
Line 6j: Indirect Charges: Enter the total amount of indirect charges (costs), if any. If no
indirect costs are requested, enter "none." Indirect charges may be requested if: (1) the applicant
has a current indirect cost rate agreement approved by the Department of Health and Human
Services or another federal agency; or (2) the applicant is a state or local government agency.
State governments should enter the amount of indirect costs determined in accordance with
DHHS requirements. An applicant that will charge indirect costs to the grant must enclose a
copy of the current rate agreement. Indirect Costs can only be claimed on Federal funds, more
specifically, they are to only be claimed on the Federal share of your direct costs. Any unused
portion of the grantee’s eligible Indirect Cost amount that are not claimed on the Federal share of
direct charges can be claimed as un-reimbursed indirect charges, and that portion can be used
towards meeting the recipient match.
Line 6k: Total: Enter the total amounts of Lines 6i and 6j.
Line 7: Program Income: As appropriate, include the estimated amount of income, if any,
you expect to be generated from this project that you wish to designate as match (equal to the
amount shown for Item 15(f) on Form 424). Note: Any program income indicated at the
bottom of Section B and for item 15(f) on the face sheet of Form 424 will be included as part of
non-Federal match and will be subject to the rules for documenting completion of this pledge. If
program income is expected, but is not needed to achieve matching funds, do not include that
portion here or on Item 15(f) of the Form 424 face sheet. Any anticipated program income that
will not be applied as grantee match should be described in the Level of Effort section of the
Program Narrative.
c. Standard Form 424B – Assurances (required)
This form contains assurances required of applicants under the discretionary funds programs
administered by the Administration for Community Living. Please note that a duly authorized
representative of the applicant organization must certify that the organization is in compliance
with these assurances.
d. Certification Regarding Lobbying (required)
This form contains certifications that are required of the applicant organization regarding
lobbying. Please note that a duly authorized representative of the applicant organization must
attest to the applicant’s compliance with these certifications.
Proof of Nonprofit Status (as applicable)
Non-profit applicants must submit proof of non-profit status. Any of the following constitutes
acceptable proof of such status:
• A copy of a currently valid IRS tax exemption certificate.
• A statement from a State taxing body, State attorney general, or other appropriate State
official certifying that the applicant organization has a non-profit status and that none of
the net earnings accrue to any private shareholders or individuals.
• A certified copy of the organization’s certificate of incorporation or similar document
that clearly establishes non-profit status.
Indirect Cost Agreement
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Applicants that have included indirect costs in their budgets must include a copy of the current
indirect cost rate agreement approved by the Department of Health and Human Services or
another federal agency. This is optional for applicants that have not included indirect costs in
their budgets.
Budget Narrative/Justification- Sample Format
NOTE: Applicants requesting funding for a multi-year grant program are REQUIRED to provide
a detailed Budget Narrative/Justification for EACH potential year of grant funding requested.
Non-
Non-
Object
Federal
Federal
Federal
Class TOTAL Justification
Funds In-
Category Cash
Kind
Federal
Project Director (name) = .5 FTE @ $95,401/yr
= $47,700
Personnel $47,700 $0 $71,254
$23,554 Non-Fed Cash
Officer Manager (name) = .5FTE @ $47,108/yr
= $23,554
Total
71,254
Federal
Fringe on Project Director at 36.65% = $17,482
FICA (7.65%)
Health (25%)
Dental (2%)
Life (1%)
Unemployment (1%)
Fringe $17,482 $8,632 $0 $26,114
Benefits
Non-Fed Cash
Fringe on Office Manager at 36.65% = $8,632
FICA (7.65%)
Health (25%)
Dental (2%)
Life (1%)
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Unemployment (1%)
Federal
Local travel: 6 TA site visits for 1 person
Mileage: 6RT @ .585 x 700 miles
$2,457
Lodging: 15 days @ $110/day
$1,650
Per Diem: 15 days @ $40/day
$600
Total
$4,707
$4,707 $2,940 $0 $7,647 Non-Fed Cash
Travel
Travel to National Conference in (Destination)
for 3 people
Airfare 1 RT x 3 staff @ $500
$1,500
Lodging: 3 days x 3 staff @ $120/day
$1,080
Per Diem: 3 days x 3 staff @ $40/day
$360
Total
$2,940
No Equipment requested OR:
Call Center Equipment
Installation =
$5,000
Equipment $10,000 $0 $0 $10,000
Phones =
$5,000
Total
$10,000
Federal
2 desks @ $1,500
$3,000
Supplies $3,700 $5,670 $0 $9,460
2 chairs @ $300
$600
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2 cabinets @ $200
$400
Non-Fed Cash
2 Laptop computers
$3,000
Printer cartridges @ $50/month
$300
Consumable supplies (pens, paper, clips etc…)
@ $180/month
$2,160
Total
$9,460
(organization name, purpose of contract and
estimated dollar amount)
Contract with AAA to provide respite services:
11 care givers @ $1,682 =
$18,502
Volunteer Coordinator =
$11,669
Contractual $30,171 $0 $0 $30,171
Total
$30,171
If contract details are unknown due to contract
yet to be made provide same information listed
above and:
A detailed evaluation plan and budget will be
submitted by (date), when contract is made.
Federal
2 consultants @ $100/hr for 24.5 hours each =
$4,900
Printing 10,000 Brochures @ $.05 =
$500
Other $5,600 $0 $5,880 $11,480
Local conference registration fee (name
conference) = $200
Total
$5,600
In-Kind
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Volunteers
15 volunteers @ $8/hr for 49 hours =
$5,880
21.5% of salaries and fringe =
Indirect $20,934
$20,934 $0 $0 $20,934
Charges
IDC rate is attached.
TOTAL $40,866 $ 5,880 $187,060
$140,294
Budget Narrative/Justification - Sample Template
NOTE: Applicants requesting funding for a multi-year grant program are REQUIRED to provide
a detailed Budget Narrative/Justification for EACH potential year of grant funding requested.
Object Class Federal Non-Federal Non-Federal In-
TOTAL Justification
Category Funds Cash Kind
Personnel
Fringe Benefits
Travel
Equipment
Supplies
Contractual
Other
Indirect Charges
TOTAL
Project Work Plan - Sample Template
NOTE : Applicants requesting funding for a multi-year grant program are REQUIRED to
provide a Project Work Plan for EACH potential year of grant funding requested.
Goal:
Measurable Outcome(s):
* Time Frame (Start/End Dates by Month in Project Cycle)
Major Objectives Key Tasks Lead Person 1 2 3 4 5 6 7 8 9 10 11 12
1.
2.
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3.
4.
5.
6.
NOTE: Please do note infer from this sample format that your work plan must have 6 major
objectives. If you need more pages, simply repeat this format on additional pages.
Instructions for Completing the Project Summary/ Abstract
• All applications for grant funding must include a Summary/Abstract that concisely
describes the proposed project. It should be written for the general public.
• To ensure uniformity, limit the length to 265 words or less, on a single page with a font
size of not less than 11, doubled-spaced.
• The abstract must include the project's goal(s), objectives, overall approach (including
target population and significant partnerships), anticipated outcomes, products, and
duration. The following are very simple descriptions of these terms, and a sample
Compendium abstract.
Goal(s) - broad, overall purpose, usually in a mission statement, i.e. what you want to do, where
you want to be.
Objective(s) - narrow, more specific, identifiable or measurable steps toward a goal. Part of the
planning process or sequence (the "how") to attain the goal(s).
Outcomes - measurable results of a project. Positive benefits or negative changes, or measurable
characteristics among those served through this funding (e.g., clients, consumers, systems,
organizations, communities) that occur as a result of an organization's or program's activities.
These should tie directly back to the stated goals of the funding as outlined in the funding
opportunity announcement. (Outcomes are the end-point)
Products - materials, deliverables.
• A model abstract/summary is provided below:
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The Delaware Division of Services for Aging and Adults with Physical Disabilities (DSAAPD),
in partnership with the Delaware Lifespan Respite Care Network (DLRCN) and key
stakeholders will, in the course of this two-year project, expand and maintain a statewide
coordinated lifespan respite system that builds on the infrastructure currently in place. The goal
of this project is to improve the delivery and quality of respite services available to families
across age and disability spectrums by expanding and coordinating existing respite systems in
Delaware. The objectives are: 1) to improve lifespan respite infrastructure; 2) to improve the
provision of information and awareness about respite service; 3) to streamline access to respite
services through the Delaware ADRC; 4) to increase availability of respite services. Anticipated
outcomes include: 1) families and caregivers of all ages and disabilities will have greater options
for choosing a respite provider; 2) providers will demonstrate increased ability to provide
specialized respite care; 3) families will have streamlined access to information and satisfaction
with respite services; 4) respite care will be provided using a variety of existing funding sources
and 5) a sustainability plan will be developed to support the project in the future. The expected
products are marketing and outreach materials, caregiver training, respite worker training, a
Respite Online searchable database, two new Caregiver Resource Centers (CRC), an annual
Respite Summit, a respite voucher program and 24/7 telephone information and referral services.
Instructions for Completing the "Supplemental Information for the SF-424" Form
1. Project Director.
Name, address, telephone and fax numbers, and e-mail address of the person to be contacted on
matters involving this application. Items marked with an asterisk (*) are mandatory.
2. Novice Applicant.Select "Not Applicable To This Program."
3a. 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. 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.
3b. Human Subjects Research. Yes if all the research activities proposed are designated to be
exempt from the regulations. Check the exemption number(s) corresponding to one or more of
the six exemption categories listed in I. B. Exemptions. In addition, follow the instructions in II.
A. Exempt Research Narrative below.
Check No if some or all of the planned research activities are covered (not exempt). In addition,
follow the instructions in II. B. Nonexempt Research Narrative in the attached page entitled
Definitions for U.S. Department of Education Supplemental Information for the SF-424.
3b. Human Subjects Assurance Number. If the applicant has an approved Federal Wide
Assurance (FWA) on file with the Office for Human Research Protections (OHRP), U.S.
Department of Health and Human Services, that covers the specific activity, insert the number in
the space provided. (A list of current FWAs is available at:
http://ohrp.cit.nih.gov/search/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 proceed to obtain the human subjects assurance upon request by the
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designated NIDILRR official. If the application is recommended/selected for funding, the
designated NIDILRR official will request that the applicant obtain the assurance within 30 days
after the specific formal request.
3c. Human Subjects Narratives. If applicable, please attach your Exempt Research or
Nonexempt Research narrative to your submission of the Supplemental Information for the SF-
424 form as instructed in item II, Instructions for Exempt and Nonexempt Human Subjects
Research Narratives," below.
Note about Institutional Review Board Approval. NIDILRR 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 NIDILRR official will request that the applicant obtain and send the certification to
NIDILRR within 30 days after the formal request. No covered human subjects research can be
conducted until the study has NIDILRR clearance for protection of human subjects in
research.
I. Definitions and Exemptions
A. Definitions.
Research
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
"a living individual about whom an investigator (whether professional or student) conducting
research information. (1) If an activity involves obtaining information about a living person by
manipulating that person or that persons environment, or by communicating or interacting with
the individual, as occurs with surveys and interviews, the definition of human subject is met. (2)
If an activity involves obtaining private information about a living person in such a way that the
information can be directly or indirectly linked to that individual), the definition of human
subject is met.
B. Exemptions.
Research activities in which the only involvement of human subjects will be in one or more of
the following six categories of exemptions are not covered by the regulations:
(1) Research conducted in established or commonly accepted educational settings, involving
normal educational practices, such as (a) research on regular and special education instructional
strategies, or (b) research on the effectiveness of or the comparison among instructional
techniques, curricula, or classroom management methods. If an educational practice is being
introduced to the site and is not widely used for similar populations, it is not covered by this
exemption.
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(2) Research involving the use of educational tests (cognitive, diagnostic, aptitude, achievement),
survey procedures, interview procedures or observation of public behavior, unless: (a)
information obtained is recorded in such a manner that human subjects can be identified, directly
or through identifiers linked to the subjects; and (b) any disclosure of the human subjects
responses outside the research could reasonably place the subjects at risk of criminal or civil
liability or be damaging to the subjects financial standing, employability, or reputation. If the
subjects are children, exemption 2 applies only to research involving educational tests and
observations of public behavior when the investigator(s) do not participate in the activities
being observed. Exemption 2 does not apply if children are surveyed or interviewed or if
the research involves observation of public behavior and the investigator(s) participate in
the activities being observed. [Children are defined as persons who have not attained the legal
age for consent to treatments or procedures involved in the research, under the applicable law or
jurisdiction in which the research will be conducted.]
(3) Research involving the use of educational tests (cognitive, diagnostic, aptitude, achievement),
survey procedures, interview procedures or observation of public behavior that is not exempt
under section (2) above, if the human subjects are elected or appointed public officials or
candidates for public office; or federal statute(s) require(s) without exception that the
confidentiality of the personally identifiable information will be maintained throughout the
research and thereafter.
(4) Research involving the collection or study of existing data, documents, records, pathological
specimens, or diagnostic specimens, if these sources are publicly available or if the information
is recorded by the investigator in a manner that subjects cannot be identified, directly or through
identifiers linked to the subjects. [This exemption applies only to retrospective studies using
data collected before the initiation of the research.]
(5) Research and demonstration projects which are conducted by or subject to the approval of
department or agency heads, and which are designed to study, evaluate, or otherwise examine:
(a) public benefit or service programs; (b) procedures for obtaining benefits or services under
those programs; (c) possible changes in or alternatives to those programs or procedures; or (d)
possible changes in methods or levels of payment for benefits or services under those programs.
[The standards of this exemption are rarely met because it was designed to apply only to
specific research conducted by the Social Security Administration and some Federal welfare
benefits programs.]
(6) Taste and food quality evaluation and consumer acceptance studies, (a) if wholesome foods
without additives are consumed or (b) if a food is consumed that contains a food ingredient at or
below the level and for a use found to be safe, or agricultural chemical or environmental
contaminant at or below the level found to be safe, by the Food and Drug Administration or
approved by the Environmental Protection Agency or the Food Safety and Inspection Service of
the U.S. Department of Agriculture.
II. Instructions for Exempt and Nonexempt Human Subjects Research Narratives
If the applicant marked Yes for Item 3.b. of the Supplemental Information for the SF 424, the
applicant must attach a human subjects exempt research or nonexempt research narrative to the
Supplemental Information for the SF-424 form. If you have multiple projects and need to
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provide more than one narrative, be sure to label each set of responses as to the project they
address.
A. Exempt Research Narrative.
If you marked Yes for item 3.b. and designated exemption numbers(s), attach the exempt
research narrative to the Supplemental Information for the SF-424. The narrative must contain
sufficient information about the involvement of human subjects in the proposed research to allow
a determination by NIDILRR 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
Supplemental Information for the SF-424. The narrative must address the following seven points.
Although no specific page limitation applies to this section of the application, be succinct.
(1) Human Subjects Involvement and Characteristics: Provide a detailed description of the
proposed involvement of human subjects. Describe the characteristics of the subject population,
including their anticipated number, age range, and health status. Identify the criteria for including
or excluding any subpopulations. Explain the rationale for the involvement of special classes of
subjects, such as children, subpopulation. Explain the rationale for the involvement of special
classes of subjects, such as children, children with disabilities, adults with disabilities, persons
with mental disabilities, pregnant women, prisoners, institutionalized individuals, or others who
are likely to be vulnerable.
(2) Sources of Materials: Identify the sources of research material obtained from individually
identifiable living human subjects in the form of specimens, records, or data. Indicate whether
the material or data will be obtained specifically for research purposes or whether use will be
made of existing specimens, records, or data.
(3) Recruitment and Informed Consent: Describe plans for the recruitment of subjects and the
consent procedures to be followed. Include the circumstances under which consent will be
sought and obtained, who will seek it, the nature of the information to be provided to prospective
subjects, and the method of documenting consent. State if the Institutional Review Board (IRB)
has authorized a modification or waiver of the elements of consent or the requirement for
documentation of consent.
(4) Potential Risks: Describe potential risks (physical, psychological, social, legal, or other) and
assess their likelihood and seriousness. Where appropriate, describe alternative treatments and
procedures that might be advantageous to the subjects.
(5) Protection Against Risk: Describe the procedures for protecting against or minimizing
potential risks, including risks to confidentiality, and assess their likely effectiveness. Where
appropriate, discuss provisions for ensuring necessary medical or professional intervention in the
event of adverse effects to the subjects. Also, where appropriate, describe the provisions for
monitoring the data collected to ensure the safety of the subjects.
(6) Importance of the Knowledge to be Gained: Discuss the importance of the knowledge
gained or to be gained as a result of the proposed research. Discuss why the risks to subjects are
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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.
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