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Program year 2010 WIA incentive grant applications
Summary ETA updated how eligible states could apply for Workforce Investment Act Section 503 incentive grants based on program year 2010 performance. The letter states the statutory $750,000 to $3 million award range, permitted uses, application content, and a July 9, 2012 deadline; individual award amounts were to appear in the Federal Register. It attaches the required federal assistance and budget forms; ETA now lists the advisory Canceled.
Document
Federal guidance
Agency
U.S. Department of Labor, Employment and Training Administration (ETA)
Document number
TEGL No. 20-01, Change 10
Date issued
June 6, 2012
Status
Withdrawn
ETA lists this advisory as Canceled; its PDF prints Expiration Date: Continuing and Rescissions: None. It governed program year 2010 performance awards and set a July 9, 2012 application deadline.
Status last verified October 24, 2026
Is this still the rule?
This document has been withdrawn. Ezel checks what federal law requires today, under current federal labor law, and answers your situation with citations.
About this page: The full text below is the official document from U.S. Department of Labor, Employment and Training Administration (ETA). Ezel adds the plain-English summary and tracks the document's status. The official source linked on this page is authoritative for any reliance.
Accessible letter PDF: https://www.dol.gov/sites/dolgov/files/ETA/advisories/TEGL/2012/TEGL_20_01_Chg10_Acc.Final.pdf
CLASSIFICATION
EMPLOYMENT AND TRAINING ADMINISTRATION WIA/Performance Measures
ADVISORY SYSTEM CORRESPONDENCE SYMBOL
U.S. DEPARTMENT OF LABOR OPDR
Washington, D.C. 20210 DATE
June 6, 2012
ADVISORY: TRAINING AND EMPLOYMENT GUIDANCE LETTER NO. 20-01,
Change 10
TO: STATE WORKFORCE LIAISONS
STATE WORKFORCE AGENCIES
FROM: JANE OATES /s/
Assistant Secretary
SUBJECT: Application Process for Workforce Investment Act (WIA) Section 503
Incentive Grants, Based on Program Year (PY) 2010 Performance
1. Purpose. This guidance letter updates the procedures states should follow to apply for WIA
Section 503 Incentive Grants.
2. References.
• WIA (Pub. L. 105-220) Sections 174, 211, and 503, (29 U.S.C. 2919, 20 U.S.C. §§ 9211,
9273);
• Adult Education and Family Literacy Act (AEFLA) Section 211, (20 U.S.C. 9211(a)(3))
• Carl D. Perkins Vocational and Technical Education Act of 1998 (Perkins III) (20 U.S.C.
2301 et seq., as amended by Pub. L. 105-332);
• 20 CFR part 664, 666.200 - 666.230, and 666.205(c);
• Carl D. Perkins Career and Technical Education Act of 2006 (Perkins IV) (20 U.S.C.
2301 et seq., as amended by Pub. L. 109-270, and its predecessor);
• Training and Employment Guidance Letter (TEGL) No. 9-07, Revised Incentive and
Sanction Policy for Workforce Investment Act Title IB Programs (October 10, 2007);
• TEGL No. 14-00, Change 3, Workforce Investment Act (WIA) Annual Report Narrative
(August 24, 2009); and
• TEGL No. 21-11, Requirements for 2012 State Workforce Plans (March 27, 2012).
3. Background. Section 503 of WIA provides for incentive grants to reward states for
successful performance in workforce and education programs. The provisions authorizing
funding for incentive grant awards are found in WIA Section 174(b)(2)(D) for workforce
investment services (29 U.S.C. 2919(b)(2)(D)) and AEFLA Section 211(a)(3) for adult education
activities. A total of $10,428,273 is appropriated for AEFLA and available for incentive grants
based on PY 2010 performance. The Department of Labor’s (DOL) regulations on incentive
awards may be found at 20 CFR 666.200 through 666.230.
RESCISSIONS EXPIRATION DATE
None Continuing
4. Eligibility. The list of states eligible to receive incentive grant awards based on PY 2010
performance, and the amounts of the awards for which they are eligible, are scheduled for
publication in the Federal Register on May 25, 2012. Eligibility for a Section 503 incentive
grant award was determined by state performance under WIA Title IB and AEFLA programs.
States that are eligible for incentive grant awards have 45 days from the May 25, 2012 Federal
Register notice to submit their applications for these awards.
5. Amount of Incentive Awards. WIA Section 503(c)(1) sets the range of incentive grant
awards from $750,000 to $3 million, depending upon the amount of appropriated funds
available. If the total amount available for grants is insufficient to award the minimum grant to
each eligible state, the minimum and maximum grant amounts will be adjusted by a uniform
percentage as required by WIA Section 503(c)(2). For PY 2010 incentive awards, the criterion
for determining the amount of the incentive grant within this range will be the size of the state’s
programs, as measured by the state’s relative share of the combined Title IB and AEFLA
formula grants awarded to that state.
6. Authorized Use of Funds. Regulations at 20 CFR 666.210 authorize the state to use its
incentive grant award to carry out an innovative program consistent with the requirements of any
one or more of the programs within Title IB of WIA, AEFLA, or the Perkins Act. This provides
states greater flexibility in using these funds, and governors and state agencies are not limited to
only one type of innovative program.
Incentive grant funds awarded to states will be identified as WIA Title V, PY 2011 funds and
must be expended by June 30, 2014. 1 Since this timeframe differs from the typical program
timeframes used by AEFLA and Perkins IV programs, cooperation among state agencies to
ensure timely expenditure of these funds is strongly encouraged.
States may expend funds for activities authorized under WIA Title IB, AEFLA, and/or the
Perkins Act. While DOL administrative provisions apply to the statutory life of the funds, the
individual program provisions apply to the use of funds. For example, if the incentive funds will
be used for a WIA Title IB activity for youth services, the applicable program requirements for
youth programs in 20 CFR 664 and WIA Title IB would apply to that portion of the funds. If
innovative AEFLA and/or Perkins IV programs are planned, the provisions of AEFLA and/or
Perkins IV would apply to that portion of the funds.
States are encouraged to plan activities that promote cooperation and collaboration among the
agencies administering WIA Title IB, AEFLA, and Perkins Act programs. The Secretaries of
Labor and Education encourage governors and their state agency representatives to take
advantage of the broad flexibility Congress intended for these funds by planning for activities
that are:
A. Innovative — Services and activities beyond those the state conducts with its regular funds
from these programs, particularly activities that are authorized through more than one
program;
2
B. Comprehensive and coordinated — Combined activities and services that are authorized by
different programs; and
C. Targeted to improving system performance — Activities that serve needs and populations
that are likely to result in improving state systems of employment, training, and education,
including those linking to green occupations and high-growth industries.
As states plan how they will make use of Section 503 incentive funds, the Employment and
Training Administration (ETA) encourages them to take an expansive view of how the funds can
be integrated into efforts to improve the effectiveness of the public workforce system. State
Departments of Labor and Education can work together to focus on workforce education and
training projects that will facilitate innovative workforce and education policies within a state.
7. Application Process. To receive grant funds, states that qualify must apply by submitting an
application for an incentive grant to DOL. The electronic application should include an
electronic signature of the state’s designee authorized to submit the application. DOL will work
with the Department of Education to review the applications. The application may take the form
of a letter from the governor to DOL’s Assistant Secretary for Employment and Training
(address is listed below), and must include the following:
A. Assurances
The application must include Standard Form 424 (OMB No. 4040-004) and 424a (OMB
No. 4040-0006) (Application for Federal Assistance) and assurances that:
i. The state legislature was consulted with respect to the development of the
application;
ii. The application was approved by the governor, the eligible agency for adult
education (as defined in Section 203(4) of WIA (20 U.S.C. 9202(4)), and the state
agency responsible for career and technical education programs (as defined in
Section 3(12) of Perkins IV (20 U.S.C. 2302(12)); and
iii. The state and eligible agency, as appropriate, exceeded the state adjusted levels of
performance for WIA Title IB and the state adjusted levels of performance for
AEFLA in PY 2010.
B. Additional Information
The state must provide a description of the planned use of incentive grants as part of the
application process to ensure that the state’s planned activities are authorized under WIA
Title IB, AEFLA, and/or Perkins Act, as required by WIA Section 503(a). When describing
the planned activities in response to number ii below, the state should note under which
program the authorized activities fall.
The other descriptive information (see numbers iii and iv below) about the state’s plan is
requested for inclusion in the state’s incentive grant document. The Department of Labor
and the Department of Education will use this information in monitoring the use of
3
incentive grants and in reports to Congress on state performance. (Note: The state’s receipt
of an incentive grant is not contingent on this other descriptive information, but this
information is required for the WIA Title V Grant Agreement.)
i. Identify the state agency and contact person that will receive and administer the
funds on behalf of all the state’s agencies. The agency may be the state workforce
agency or another state agency that receives funds under the AEFLA or Perkins
IV grants. This agency will be responsible for reporting on the use of all funds.
If agencies other than the grant recipient will be undertaking program activities
with the funds, please identify the sub-grantee(s) and the amount(s) they will be
provided.
ii. Describe the planned activities. This information should include the statutory
authority for the activity and a description of how the activities are innovative,
comprehensive and coordinated, and targeted to improving system performance in
accordance with the major objectives set forth in the state’s current WIA Strategic
Plan or the State Plan modification that was due April 16, 2012 (or September 15,
2012 with approved extension), AEFLA State Plan, or Perkins IV State Plan, as
appropriate. Include information on how services build on, rather than duplicate,
services offered under the state’s plans for AEFLA, Perkins IV, or WIA Title IB.
Describe how these funds are being used collaboratively with other partner
programs to benefit service to clients.
iii. Describe ways in which the activities are related to improving performance levels
on the state indicators of performance for each different activity planned. For
example, describe how the activities will strengthen the state’s ability to improve
literacy levels, increase employment, increase transitions to further education and
training, and/or improve technical and academic skills.
iv. Describe any state consultation with stakeholder groups and the public on the use
of incentive award funds. States are encouraged to seek public input on the use of
state incentive funding, including that of representatives of adult education, career
and technical education programs, and other workforce system partners.
v. Provide a completed set of the attached Standard Form 424 and 424(A), Budget
Sections A, D and E only, as well as a brief budget narrative.
8. Inquiries. Questions concerning the WIA incentive grant application process should be
directed to Karen Staha at [email protected] (202-693-2917) or Luke Murren at
[email protected] (202-693-3733) in the Division of Strategic Planning and Performance,
Office of Policy Development and Research.
9. Action Requested. As explained in 20 CFR 666.205(c), states will have 45 days from the
publication date of the Federal Register notice, announcing eligible states and incentive amounts,
to submit the required application materials. Applicants are advised that mail in the Washington,
D.C. area may be delayed due to mail decontamination procedures. Therefore, states are
4
encouraged to submit applications electronically. Application materials are due by July 9, 2012,
and should be sent electronically to:
Karen Staha at [email protected]
Luke Murren at [email protected]
The street address follows:
U.S. Department of Labor
Employment and Training Administration
Attn: Luke Murren
200 Constitution Avenue, NW, Room N-5641
Washington, D.C. 20210
States are encouraged to submit their applications prior to the due date. Funds must be obligated
by DOL to states by June 30, 2012. ETA regional administrators will be available to provide any
technical assistance to states in preparing and expediting the applications.
10. Attachments.
• Attachment 1 - Standard Form 424
• Attachment 2 - Standard Form 424A
5
Footnote 1. Typically, states would have three years to spend a program year’s funds. However, because incentive grants, taken from Fiscal Year 2011 funds, will be awarded at the end of PY 2011, states will be given through June 30, 2014, to expend the funds.
Attachment 1: Standard Form 424 (https://www.dol.gov/sites/dolgov/files/ETA/advisories/TEGL/2012/TEGL_20_01_Chg10_Att1.pdf).
OMB Number: 4040-0004
Expiration Date: 04/31/2012
Application for Federal Assistance SF-424 Version 02
*1. Type of Submission *2. Type of Application *If Revision, select appropriate letter(s):
Preapplication New
Application Continuation * Other (Specify)
Changed/Corrected Application Revision
*3. Date Received: 4. Application Identifier:
5a. Federal Entity Identifier: *5b. Federal Award Identifier:
State Use Only:
6. Date Received by State: 7. State Application Identifier:
8. APPLICANT INFORMATION:
* a. Legal Name:
* b. Employer/Taxpayer Identification Number (EIN/TIN): *c. Organizational DUNS:
d. Address:
*Street1:
Street 2:
*City:
County:
*State:
Province:
Country: *Zip/ Postal Code:
e. Organizational Unit:
Department Name: Division Name:
f. Name and contact information of person to be contacted on matters involving this application:
Prefix: First Name:
Middle Name:
*Last Name:
Suffix:
Title:
Organizational Affiliation:
*Telephone Number: Fax Number:
*Email:
OMB Number: 4040-0004
Expiration Date: 04/31/2012
Application for Federal Assistance SF-424 Version 02
9. Type of Applicant 1: Select Applicant Type:
- Select One -
Type of Applicant 2: Select Applicant Type:
- Select One -
Type of Applicant 3: Select Applicant Type:
- Select One -
*Other (specify):
*10. Name of Federal Agency:
11. Catalog of Federal Domestic Assistance Number:
CFDA Title:
*12. Funding Opportunity Number:
*Title:
13. Competition Identification Number:
Title:
14. Areas Affected by Project (Cities, Counties, States, etc.):
*15. Descriptive Title of Applicant’s Project:
Attach supporting documents as specified in agency instructions.
OMB Number: 4040-0004
Expiration Date: 04/31/2012
Application for Federal Assistance SF-424 Version 02
16. Congressional Districts Of:
*a. Applicant *b. Program/Project:
Attach an additional list of Program/Project Congressional Districts if needed.
17. Proposed Project:
*a. Start Date: *b. End Date:
18. Estimated Funding ($):
*a. Federal
*b. Applicant
*c. State
*d. Local
*e. Other
*f. Program Income
*g. TOTAL $0.00
*19. Is Application Subject to Review By State Under Executive Order 12372 Process?
a. This application was made available to the State under the Executive Order 12372 Process for review on
b. Program is subject to E.O. 12372 but has not been selected by the State for review.
c. Program is not covered by E.O. 12372
*20. Is the Applicant Delinquent On Any Federal Debt? (If “Yes”, provide explanation.)
Yes No
21. *By signing this application, I certify (1) to the statements contained in the list of certifications** and (2) that the statements
herein are true, complete and accurate to the best of my knowledge. I also provide the required assurances** and agree to comply
with any resulting terms if I accept an award. I am aware that any false, fictitious, or fraudulent statements or claims may subject
me to criminal, civil, or administrative penalties. (U.S. Code, Title 218, Section 1001)
**I AGREE
** The list of certifications and assurances, or an internet site where you may obtain this list, is contained in the announcement or
agency specific instructions.
Authorized Representative:
Prefix: *First Name:
Middle Name:
*Last Name:
Suffix:
*Title:
*Telephone Number: Fax Number:
*Email:
*Signature of Authorized Representative: Date Signed:
OMB Number: 4040-0004
Expiration Date: 04/31/2012
Application for Federal Assistance SF-424 Version 02
*Applicant Federal Debt Delinquency Explanation
The following field should contain an explanation if the Applicant organization is delinquent on any Federal Debt. Maximum
number of characters that can be entered is 4,000. Try and avoid extra spaces and carriage returns to maximize the availability of
space.
INSTRUCTIONS FOR THE SF-424
Public reporting burden for this collection of information is estimated to average 60 minutes per response, including time for reviewing instructions, searching
existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding the
burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to the Office of Management and Budget,
Paperwork Reduction Project (0348-0043), Washington, DC 20503.
PLEASE DO NOT RETURN YOUR COMPLETED FORM TO THE OFFICE OF MANAGEMENT AND BUDGET. SEND IT TO THE ADDRESS PROVIDED
BY THE SPONSORING AGENCY.
This is a standard form (including the continuation sheet) required for use as a cover sheet for submission of preapplications and applications and
related information under discretionary programs. Some of the items are required and some are optional at the discretion of the applicant or the Federal
agency (agency). Required items are identified with an asterisk on the form and are specified in the instructions below. In addition to the instructions
provided below, applicants must consult agency instructions to determine specific requirements.
Item Entry: Item Entry:
1. Type of Submission: (Required): Select one type of submission in 10. Name Of Federal Agency: (Required) Enter the name of the
accordance with agency instructions. Federal agency from which assistance is being requested with
x Preapplication this application.
x Application
x Changed/Corrected Application – If requested by the agency, check 11. Catalog Of Federal Domestic Assistance Number/Title:
if this submission is to change or correct a previously submitted Enter the Catalog of Federal Domestic Assistance number and
application. Unless requested by the agency, applicants may not title of the program under which assistance is requested, as
use this to submit changes after the closing date. found in the program announcement, if applicable.
2. Type of Application: (Required) Select one type of application in 12. Funding Opportunity Number/Title: (Required) Enter the
accordance with agency instructions. Funding Opportunity Number and title of the opportunity under
x New – An application that is being submitted to an agency for the which assistance is requested, as found in the program
first time. announcement.
x Continuation - An extension for an additional funding/budget period 13. Competition Identification Number/Title: Enter the
for a project with a projected completion date. This can include Competition Identification Number and title of the competition
renewals. under which assistance is requested, if applicable.
x Revision - Any change in the Federal Government’s financial
obligation or contingent liability from an existing obligation. If a
revision, enter the appropriate letter(s). More than one may be
selected. If "Other" is selected, please specify in text box provided. 14. Areas Affected By Project: List the areas or entities using
A. Increase Award B. Decrease Award the categories (e.g., cities, counties, states, etc.) specified in
C. Increase Duration D. Decrease Duration agency instructions. Use the continuation sheet to enter
E. Other (specify) additional areas, if needed.
3. Date Received: Leave this field blank. This date will be assigned by the 15. Descriptive Title of Applicant’s Project: (Required) Enter a
Federal agency. brief descriptive title of the project. If appropriate, attach a
map showing project location (e.g., construction or real
4. Applicant Identifier: Enter the entity identifier assigned by the Federal property projects). For preapplications, attach a summary
agency, if any, or applicant’s control number, if applicable. description of the project.
5a Federal Entity Identifier: Enter the number assigned to your 16. Congressional Districts Of: (Required) 16a. Enter the
organization by the Federal Agency, if any. applicant’s Congressional District, and 16b. Enter all District(s)
5b. Federal Award Identifier: For new applications leave blank. For a affected by the program or project. Enter in the format: 2
continuation or revision to an existing award, enter the previously characters State Abbreviation – 3 characters District Number,
th th
assigned Federal award identifier number. If a changed/corrected e.g., CA-005 for California 5 district, CA-012 for California 12
rd
application, enter the Federal Identifier in accordance with agency district, NC-103 for North Carolina’s 103 district.
instructions. x If all congressional districts in a state are affected, enter
6. Date Received by State: Leave this field blank. This date will be “all” for the district number, e.g., MD-all for all
assigned by the State, if applicable. congressional districts in Maryland.
7. State Application Identifier: Leave this field blank. This identifier will x If nationwide, i.e. all districts within all states are affected,
be assigned by the State, if applicable. enter US-all.
x If the program/project is outside the US, enter 00-000.
8. Applicant Information: Enter the following in accordance with agency
instructions:
a. Legal Name: (Required): Enter the legal name of applicant that will 17. Proposed Project Start and End Dates: (Required) Enter the
undertake the assistance activity. This is the name that the organization proposed start date and end date of the project.
has registered with the Central Contractor Registry. Information on
registering with CCR may be obtained by visiting the Grants.gov website.
b. Employer/Taxpayer Number (EIN/TIN): (Required): Enter the
Employer or Taxpayer Identification Number (EIN or TIN) as assigned by 18. Estimated Funding: (Required) Enter the amount requested
the Internal Revenue Service. If your organization is not in the US, enter or to be contributed during the first funding/budget period by
44-4444444. each contributor. Value of in-kind contributions should be
c. Organizational DUNS: (Required) Enter the organization’s DUNS or included on appropriate lines, as applicable. If the action will
DUNS+4 number received from Dun and Bradstreet. Information on result in a dollar change to an existing award, indicate only the
obtaining a DUNS number may be obtained by visiting the Grants.gov amount of the change. For decreases, enclose the amounts in
website. parentheses.
d. Address: Enter the complete address as follows: Street address (Line
1 required), City (Required), County, State (Required, if country is US), 19. Is Application Subject to Review by State Under Executive
Province, Country (Required), Zip/Postal Code (Required, if country is Order 12372 Process? Applicants should contact the State
US). Single Point of Contact (SPOC) for Federal Executive Order
e. Organizational Unit: Enter the name of the primary organizational 12372 to determine whether the application is subject to the
unit (and department or division, if applicable) that will undertake the
assistance activity, if applicable. State intergovernmental review process. Select the
f. Name and contact information of person to be contacted on appropriate box. If “a.” is selected, enter the date the
matters involving this application: Enter the name (First and last name application was submitted to the State
required), organizational affiliation (if affiliated with an organization other
than the applicant organization), telephone number (Required), fax 20. Is the Applicant Delinquent on any Federal Debt?
number, and email address (Required) of the person to contact on (Required) Select the appropriate box. This question applies to
matters related to this application. the applicant organization, not the person who signs as the
authorized representative. Categories of debt include
delinquent audit disallowances, loans and taxes.
If yes, include an explanation on the continuation sheet.
9. Type of Applicant: (Required) 21. Authorized Representative: (Required) To be signed and
Select up to three applicant type(s) in accordance with agency dated by the authorized representative of the applicant
instructions. organization. Enter the name (First and last name required)
A. State Government M. Nonprofit with 501C3 IRS title (Required), telephone number (Required), fax number,
B. County Government Status (Other than Institution and email address (Required) of the person authorized to sign
C. City or Township Government of Higher Education) for the applicant.
D. Special District Government N. Nonprofit without 501C3 IRS A copy of the governing body’s authorization for you to sign
E. Regional Organization Status (Other than Institution this application as the official representative must be on file in
F. U.S. Territory or Possession of Higher Education) the applicant’s office. (Certain Federal agencies may require
G. Independent School District O. Private Institution of Higher that this authorization be submitted as part of the application.)
H. Public/State Controlled Education
Institution of Higher Education P. Individual
I. Indian/Native American Tribal Q. For-Profit Organization
Government (Federally (Other than Small Business)
Recognized) R. Small Business
J. Indian/Native American Tribal S. Hispanic-serving Institution
Government (Other than T. Historically Black Colleges
Federally Recognized) and Universities (HBCUs)
K. Indian/Native American U. Tribally Controlled Colleges
Tribally Designated and Universities (TCCUs)
Organization V. Alaska Native and Native
L. Public/Indian Housing Hawaiian Serving Institutions
Authority W. Non-domestic (non-US)
Entity
X. Other (specify)
Attachment 2: Standard Form 424A (https://www.dol.gov/sites/dolgov/files/ETA/advisories/TEGL/2012/TEGL_20_01_Chg10_Att2.pdf).
OMB Approval No. 0348-0044
BUDGET INFORMATION - Non-Construction Programs
SECTION A - BUDGET SUMMARY
Grant Program Catalog of Federal
Estimated Unobligated Funds New or Revised Budget
Function Domestic Assistance
or Activity Number Federal Non-Federal Federal Non-Federal Total
(a) (b) (c) (d) (e) (f) (g)
$ $ $ $ $
1. 0.00
2. 0.00
3. 0.00
4. 0.00
$ $ $ $ $
5. Totals 0.00 0.00 0.00 0.00 0.00
SECTION B - BUDGET CATEGORIES
GRANT PROGRAM, FUNCTION OR ACTIVITY Total
6. Object Class Categories
(1) (2) (3) (5)
$ $ $ $ $
a. Personnel 0.00
b. Fringe Benefits 0.00
c. Travel 0.00
d. Equipment 0.00
e. Supplies 0.00
f. Contractual 0.00
g. Construction 0.00
h. Other 0.00
i. Total Direct Charges (sum of 6a-6h) 0.00 0.00 0.00 0.00 0.00
j. Indirect Charges 0.00
$ $ $ $ $
k. TOTALS (sum of 6i and 6j) 0.00 0.00 0.00 0.00 0.00
7. Program Income $ $ $ $ $ 0.00
Authorized for Local Reproduction Standard Form 424A (Rev. 7-97)
Previous Edition Usable Prescribed by OMB Circular A-102
SECTION C - NON-FEDERAL RESOURCES
(a) Grant Program (b) Applicant (c) State (d) Other Sources (e) TOTALS
8. $ $ $ $ 0.00
9. 0.00
10. 0.00
11. 0.00
12. TOTAL (sum of lines 8-11) $ 0.00 $ 0.00 $ 0.00 $ 0.00
SECTION D - FORECASTED CASH NEEDS
Total for 1st Year 1st Quarter 2nd Quarter 3rd Quarter 4th Quarter
13. Federal
$ 0.00 $ $ $ $
14. Non-Federal 0.00
15. TOTAL (sum of lines 13 and 14) $ 0.00 $ 0.00 $ 0.00 $ 0.00 $ 0.00
SECTION E - BUDGET ESTIMATES OF FEDERAL FUNDS NEEDED FOR BALANCE OF THE PROJECT
(a) Grant Program FUTURE FUNDING PERIODS (Years)
(b) First (c) Second (d) Third (e) Fourth
16. $ $ $ $
17.
18.
19.
20. TOTAL (sum of lines 16-19) $ 0.00 $ 0.00 $ 0.00 $ 0.00
SECTION F - OTHER BUDGET INFORMATION
21. Direct Charges: 22. Indirect Charges:
23. Remarks:
Authorized for Local Reproduction Standard Form 424A (Rev. 7-97) Page 2
INSTRUCTIONS FOR THE SF-424A
Public reporting burden for this collection of information is estimated to average 180 minutes per response, including time for reviewing
instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of
information. Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions for
reducing this burden, to the Office of Management and Budget, Paperwork Reduction Project (0348-0044), Washington, DC 20503.
PLEASE DO NOT RETURN YOUR COMPLETED FORM TO THE OFFICE OF MANAGEMENT AND BUDGET.
SEND IT TO THE ADDRESS PROVIDED BY THE SPONSORING AGENCY.
General Instructions
For continuing grant program applications , submit these forms
This form is designed so that application can be made for funds before the end of each funding period as required by the grantor
from one or more grant programs. In preparing the budget, agency. Enter in Columns (c) and (d) the estimated amounts of
adhere to any existing Federal grantor agency guidelines which funds which will remain unobligated at the end of the grant
prescribe how and whether budgeted amounts should be funding period only if the Federal grantor agency instructions
separately shown for different functions or activities within the provide for this. Otherwise, leave these columns blank. Enter in
program. For some programs, grantor agencies may require columns (e) and (f) the amounts of funds needed for the
budgets to be separately shown by function or activity. For other upcoming period. The amount(s) in Column (g) should be the
programs, grantor agencies may require a breakdown by function sum of amounts in Columns (e) and (f).
or activity. Sections A, B, C, and D should include budget
estimates for the whole project except when applying for For supplemental grants and changes to existing grants, do not
assistance which requires Federal authorization in annual or use Columns (c) and (d). Enter in Column (e) the amount of the
other funding period increments. In the latter case, Sections A, B, increase or decrease of Federal funds and enter in Column (f) the
C, and D should provide the budget for the first budget period amount of the increase or decrease of non-Federal funds. In
(usually a year) and Section E should present the need for Column (g) enter the new total budgeted amount (Federal and
Federal assistance in the subsequent budget periods. All non-Federal) which includes the total previous authorized
applications should contain a breakdown by the object class budgeted amounts plus or minus, as appropriate, the amounts
categories shown in Lines a-k of Section B. shown in Columns (e) and (f). The amount(s) in Column (g)
should not equal the sum of amounts in Columns (e) and (f).
Section A. Budget Summary Lines 1-4 Columns (a) and (b)
Line 5 - Show the totals for all columns used.
For applications pertaining to a single Federal grant program
(Federal Domestic Assistance Catalog number) and not requiring Section B Budget Categories
a functional or activity breakdown, enter on Line 1 under Column
(a) the Catalog program title and the Catalog number in Column In the column headings (1) through (4), enter the titles of the
(b). same programs, functions, and activities shown on Lines 1-4,
Column (a), Section A. When additional sheets are prepared for
For applications pertaining to a single program requiring budget Section A, provide similar column headings on each sheet. For
amounts by multiple functions or activities, enter the name of each program, function or activity, fill in the total requirements for
each activity or function on each line in Column (a), and enter the funds (both Federal and non-Federal) by object class categories.
Catalog number in Column (b). For applications pertaining to
multiple programs where none of the programs require a Line 6a-i - Show the totals of Lines 6a to 6h in each column.
breakdown by function or activity, enter the Catalog program title
on each line in Column (a) and the respective Catalog number on Line 6j - Show the amount of indirect cost.
each line in Column (b).
Line 6k - Enter the total of amounts on Lines 6i and 6j. For all
For applications pertaining to multiple programs where one or applications for new grants and continuation grants the total
more programs require a breakdown by function or activity, amount in column (5), Line 6k, should be the same as the total
prepare a separate sheet for each program requiring the amount shown in Section A, Column (g), Line 5. For
breakdown. Additional sheets should be used when one form supplemental grants and changes to grants, the total amount of
does not provide adequate space for all breakdown of data the increase or decrease as shown in Columns (1)-(4), Line 6k
required. However, when more than one sheet is used, the first should be the same as the sum of the amounts in Section A,
page should provide the summary totals by programs. Columns (e) and (f) on Line 5.
Lines 1-4, Columns (c) through (g) Line 7 - Enter the estimated amount of income, if any, expected
to be generated from this project. Do not add or subtract this
For new applications , leave Column (c) and (d) blank. For each amount from the total project amount, Show under the program
line entry in Columns (a) and (b), enter in Columns (e), (f), and
(g) the appropriate amounts of funds needed to support the
project for the first funding period (usually a year).
SF-424A (Rev. 7-97) Page 3
INSTRUCTIONS FOR THE SF-424A (continued)
narrative statement the nature and source of income. The Line 15 - Enter the totals of amounts on Lines 13 and 14.
estimated amount of program income may be considered by the
Federal grantor agency in determining the total amount of the Section E. Budget Estimates of Federal Funds Needed for
grant. Balance of the Project
Section C. Non-Federal Resources Lines 16-19 - Enter in Column (a) the same grant program titles
shown in Column (a), Section A. A breakdown by function or
Lines 8-11 Enter amounts of non-Federal resources that will be activity is not necessary. For new applications and continuation
used on the grant. If in-kind contributions are included, provide a grant applications, enter in the proper columns amounts of Federal
brief explanation on a separate sheet. funds which will be needed to complete the program or project over
the succeeding funding periods (usually in years). This section
need not be completed for revisions (amendments, changes, or
Column (a) - Enter the program titles identical to supplements) to funds for the current year of existing grants.
Column (a), Section A. A breakdown by function or
activity is not necessary. If more than four lines are needed to list the program titles, submit
additional schedules as necessary.
Column (b) - Enter the contribution to be made by the
applicant. Line 20 - Enter the total for each of the Columns (b)-(e). When
additional schedules are prepared for this Section, annotate
Column (c) - Enter the amount of the State’s cash and accordingly and show the overall totals on this line.
in-kind contribution if the applicant is not a State or
State agency. Applicants which are a State or State Section F. Other Budget Information
agencies should leave this column blank.
Line 21 - Use this space to explain amounts for individual direct
Column (d) - Enter the amount of cash and in-kind
object class cost categories that may appear to be out of the
contributions to be made from all other sources.
ordinary or to explain the details as required by the Federal grantor
agency.
Column (e) - Enter totals of Columns (b), (c), and (d).
Line 22 - Enter the type of indirect rate (provisional, predetermined,
final or fixed) that will be in effect during the funding period, the
Line 12 - Enter the total for each of Columns (b)-(e). The amount estimated amount of the base to which the rate is applied, and the
in Column (e) should be equal to the amount on Line 5, Column total indirect expense.
(f), Section A.
Line 23 - Provide any other explanations or comments deemed
Section D. Forecasted Cash Needs necessary.
Line 13 - Enter the amount of cash needed by quarter from the
grantor agency during the first year.
Line 14 - Enter the amount of cash from all other sources needed
by quarter during the first year.
SF-424A (Rev. 7-97) Page 4
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