**Archived Information**

![](media/image1.wmf)Application for Federal **U.S. Department of
Education**

# Education Assistance (ED 424)

**Applicant Information** Organizational Unit

**1.** Name and Address

Legal
Name:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Address:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_ \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_\_\_\_ - \_\_\_\_\_\_\_\_

City State County ZIP Code + 4

**2.** Applicant's D-U-N-S Number
\|\_\_\_\|\_\_\_\|\_\_\_\|\_\_\_\|\_\_\_\|\_\_\_\|\_\_\_\|\_\_\_\|\_\_\_\|
**6.** Novice Applicant \_\_\_Yes \_\_\_No

**3.** Applicant's T-I-N \|\_\_\_\|\_\_\_\| -
\|\_\_\_\|\_\_\_\|\_\_\_\|\_\_\_\|\_\_\_\|\_\_\_\|\_\_\_\| **7.** Is the
applicant delinquent on any Federal debt? ­\_\_\_Yes \_\_\_No

*(If "Yes," attach an explanation.)*

**4.** Catalog of Federal Domestic Assistance #:
**84.\_\_\_\_\|\_\_\_\_\|\_\_\_\_\|\_\_\_\_\|**

Title: \_\_ [STRENGTHENING INSTITUTIONS PROGRAM]{.underline}
\_\_\_\_\_\_\_\_\_\_\_\_ **8.** Type of Applicant *(Enter appropriate
letter in the box.) \|\_\_\_\_\|*

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**5.** Project
Director:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Address:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ \_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_ \_\_\_\_\_\_\_

City State Zip code + 4

Tel. #: ( ) \_\_\_\_\_\_\_-\_\_\_\_\_\_\_\_ Fax #: (
)\_\_\_\_\_\_\_-\_\_\_\_\_\_\_\_

E-Mail Address:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**Application Information**

**9.** Type of Submission: **12.** Are any research activities involving
human subjects planned at

*-PreApplication -Application* any time during the proposed project
period?

\_\_\_ Construction \_\_\_ Construction ­­\_\_\_ Yes (Go to 12a.) \_\_\_
No (Go to item 13.)

\_\_\_ Non-Construction \_\_\_ Non-Construction

**12a.** Are **all** the research activities proposed designated to be

**10.** Is application subject to review by Executive Order 12372
process? exempt from the regulations?

\_\_\_ Yes (*Date made available to the Executive Order 12372* \_\_\_
Yes (Provide Exemption(s) #):
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

*process for review):* \_\_\_\_/\_\_\_\_/\_\_\_\_\_\_\_\_\_

**\_\_\_** No (Provide Assurance #):
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_ No *(If "No," check appropriate box below.)*

\_\_\_ Program is not covered by E.O. 12372. **13.** Descriptive Title
of Applicant's Project:

\_\_\_ Program has not been selected by State for review.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**11.** Proposed Project Dates: \_\_\_\_/\_\_\_\_/\_\_\_\_\_\_\_\_
\_\_\_\_/\_\_\_\_/\_\_\_\_\_\_\_\_\_

**Start Date: End Date:**
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**Estimated Funding** **Authorized Representative Information**

**15.** To the best of my knowledge and belief, all data in this
preapplication/application are true

**14a.** Federal **\$ \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_. 00** and
correct. The document has been duly authorized by the governing body of
the applicant

**b.** Applicant **\$ \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_. 00** and the
applicant will comply with the attached assurances if the assistance is
awarded.

**c.** State **\$ \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_. 00 a.** Authorized
Representative (*Please type or print name clearly*.)

**d.** Local **\$ \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_. 00
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**e.** Other **\$ \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_. 00 b.** Title:
**\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**f.** Program Income **\$ \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_. 00 c.**
Tel. #: ( ) \_\_\_\_\_\_\_\_-\_\_\_\_\_\_\_\_\_\_\_\_ Fax #: ( )
\_\_\_\_\_\_\_\_-\_\_\_\_\_\_\_\_\_\_\_\_

**d.** E-Mail Address:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**g. TOTAL \$ \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_. 00 e. Signature of
Authorized Representative**

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Date:\_\_\_/\_\_\_\_/\_\_\_\_\_\_

![](media/image1.wmf)Application for Federal **U.S. Department of
Education**

# Education Assistance (ED 424)

**Applicant Information** Organizational Unit

**1.** Name and Address

Legal
Name:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Address:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_ \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_\_\_\_ - \_\_\_\_\_\_\_\_

City State County ZIP Code + 4

**2.** Applicant's D-U-N-S Number
\|\_\_\_\|\_\_\_\|\_\_\_\|\_\_\_\|\_\_\_\|\_\_\_\|\_\_\_\|\_\_\_\|\_\_\_\|
**6.** Novice Applicant \_\_\_Yes \_\_\_No

**3.** Applicant's T-I-N \|\_\_\_\|\_\_\_\| -
\|\_\_\_\|\_\_\_\|\_\_\_\|\_\_\_\|\_\_\_\|\_\_\_\|\_\_\_\| **7.** Is the
applicant delinquent on any Federal debt? ­\_\_\_Yes \_\_\_No

*(If "Yes," attach an explanation.)*

**4.** Catalog of Federal Domestic Assistance #:
**84.\_\_\_\_\|\_\_\_\_\|\_\_\_\_\|\_\_\_\_\|**

Title: \_ [AMERICAN INDIAN TRIBALLY CONTROLLED]{.underline} **8.** Type
of Applicant *(Enter appropriate letter in the box.) \|\_\_\_\_\|*

[COLLEGES AND UNIVERSITIES PROGRAM
(TCCU)]{.underline}\_\_\_\_\_\_\_\_\_\_

**5.** Project
Director:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Address:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ \_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_ \_\_\_\_\_\_\_

City State Zip code + 4

Tel. #: ( ) \_\_\_\_\_\_\_-\_\_\_\_\_\_\_\_ Fax #: (
)\_\_\_\_\_\_\_-\_\_\_\_\_\_\_\_

E-Mail Address:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**Application Information**

**9.** Type of Submission: **12.** Are any research activities involving
human subjects planned at

*-PreApplication -Application* any time during the proposed project
period?

\_\_\_ Construction \_\_\_ Construction ­­\_\_\_ Yes (Go to 12a.) \_\_\_
No (Go to item 13.)

\_\_\_ Non-Construction \_\_\_ Non-Construction

**12a.** Are **all** the research activities proposed designated to be

**10.** Is application subject to review by Executive Order 12372
process? exempt from the regulations?

\_\_\_ Yes (*Date made available to the Executive Order 12372* \_\_\_
Yes (Provide Exemption(s) #):
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

*process for review):* \_\_\_\_/\_\_\_\_/\_\_\_\_\_\_\_\_\_

**\_\_\_** No (Provide Assurance #):
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_ No *(If "No," check appropriate box below.)*

\_\_\_ Program is not covered by E.O. 12372. **13.** Descriptive Title
of Applicant's Project:

\_\_\_ Program has not been selected by State for review.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**11.** Proposed Project Dates: \_\_\_\_/\_\_\_\_/\_\_\_\_\_\_\_\_
\_\_\_\_/\_\_\_\_/\_\_\_\_\_\_\_\_\_

**Start Date: End Date:**
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**Estimated Funding** **Authorized Representative Information**

**15.** To the best of my knowledge and belief, all data in this
preapplication/application are true

**14a.** Federal **\$ \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_. 00** and
correct. The document has been duly authorized by the governing body of
the applicant

**b.** Applicant **\$ \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_. 00** and the
applicant will comply with the attached assurances if the assistance is
awarded.

**c.** State **\$ \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_. 00 a.** Authorized
Representative (*Please type or print name clearly*.)

**d.** Local **\$ \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_. 00
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**e.** Other **\$ \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_. 00 b.** Title:
**\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**f.** Program Income **\$ \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_. 00 c.**
Tel. #: ( ) \_\_\_\_\_\_\_\_-\_\_\_\_\_\_\_\_\_\_\_\_ Fax #: ( )
\_\_\_\_\_\_\_\_-\_\_\_\_\_\_\_\_\_\_\_\_

**d.** E-Mail Address:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**g. TOTAL \$ \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_. 00 e. Signature of
Authorized Representative**

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Date:\_\_\_/\_\_\_\_/\_\_\_\_\_\_

![](media/image1.wmf)Application for Federal **U.S. Department of
Education**

# Education Assistance (ED 424)

**Applicant Information** Organizational Unit

**1.** Name and Address

Legal
Name:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Address:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_ \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_\_\_\_ - \_\_\_\_\_\_\_\_

City State County ZIP Code + 4

**2.** Applicant's D-U-N-S Number
\|\_\_\_\|\_\_\_\|\_\_\_\|\_\_\_\|\_\_\_\|\_\_\_\|\_\_\_\|\_\_\_\|\_\_\_\|
**6.** Novice Applicant \_\_\_Yes \_\_\_No

**3.** Applicant's T-I-N \|\_\_\_\|\_\_\_\| -
\|\_\_\_\|\_\_\_\|\_\_\_\|\_\_\_\|\_\_\_\|\_\_\_\|\_\_\_\| **7.** Is the
applicant delinquent on any Federal debt? ­\_\_\_Yes \_\_\_No

*(If "Yes," attach an explanation.)*

**4.** Catalog of Federal Domestic Assistance #:
**84.\_\_\_\_\|\_\_\_\_\|\_\_\_\_\|\_\_\_\_\|**

Title: \_\_\_ [NATIVE HAWAIIAN-SERVING INSTITUTIONS]{.underline}
\_\_\_\_\_\_\_\_\_\_ **8.** Type of Applicant *(Enter appropriate letter
in the box.) \|\_\_\_\_\|*

\_\_\_\_\_ [PROGRAM]{.underline}
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**5.** Project
Director:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Address:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ \_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_ \_\_\_\_\_\_\_

City State Zip code + 4

Tel. #: ( ) \_\_\_\_\_\_\_-\_\_\_\_\_\_\_\_ Fax #: (
)\_\_\_\_\_\_\_-\_\_\_\_\_\_\_\_

E-Mail Address:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**Application Information**

**9.** Type of Submission: **12.** Are any research activities involving
human subjects planned at

*-PreApplication -Application* any time during the proposed project
period?

\_\_\_ Construction \_\_\_ Construction ­­\_\_\_ Yes (Go to 12a.) \_\_\_
No (Go to item 13.)

\_\_\_ Non-Construction \_\_\_ Non-Construction

**12a.** Are **all** the research activities proposed designated to be

**10.** Is application subject to review by Executive Order 12372
process? exempt from the regulations?

\_\_\_ Yes (*Date made available to the Executive Order 12372* \_\_\_
Yes (Provide Exemption(s) #):
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

*process for review):* \_\_\_\_/\_\_\_\_/\_\_\_\_\_\_\_\_\_

**\_\_\_** No (Provide Assurance #):
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_ No *(If "No," check appropriate box below.)*

\_\_\_ Program is not covered by E.O. 12372. **13.** Descriptive Title
of Applicant's Project:

\_\_\_ Program has not been selected by State for review.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**11.** Proposed Project Dates: \_\_\_\_/\_\_\_\_/\_\_\_\_\_\_\_\_
\_\_\_\_/\_\_\_\_/\_\_\_\_\_\_\_\_\_

**Start Date: End Date:**
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**Estimated Funding** **Authorized Representative Information**

**15.** To the best of my knowledge and belief, all data in this
preapplication/application are true

**14a.** Federal **\$ \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_. 00** and
correct. The document has been duly authorized by the governing body of
the applicant

**b.** Applicant **\$ \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_. 00** and the
applicant will comply with the attached assurances if the assistance is
awarded.

**c.** State **\$ \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_. 00 a.** Authorized
Representative (*Please type or print name clearly*.)

**d.** Local **\$ \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_. 00
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**e.** Other **\$ \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_. 00 b.** Title:
**\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**f.** Program Income **\$ \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_. 00 c.**
Tel. #: ( ) \_\_\_\_\_\_\_\_-\_\_\_\_\_\_\_\_\_\_\_\_ Fax #: ( )
\_\_\_\_\_\_\_\_-\_\_\_\_\_\_\_\_\_\_\_\_

**d.** E-Mail Address:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**g. TOTAL \$ \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_. 00 e. Signature of
Authorized Representative**

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Date:\_\_\_/\_\_\_\_/\_\_\_\_\_\_

![](media/image1.wmf)Application for Federal **U.S. Department of
Education**

# Education Assistance (ED 424)

**Applicant Information** Organizational Unit

**1.** Name and Address

Legal
Name:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Address:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_ \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_\_\_\_ - \_\_\_\_\_\_\_\_

City State County ZIP Code + 4

**2.** Applicant's D-U-N-S Number
\|\_\_\_\|\_\_\_\|\_\_\_\|\_\_\_\|\_\_\_\|\_\_\_\|\_\_\_\|\_\_\_\|\_\_\_\|
**6.** Novice Applicant \_\_\_Yes \_\_\_No

**3.** Applicant's T-I-N \|\_\_\_\|\_\_\_\| -
\|\_\_\_\|\_\_\_\|\_\_\_\|\_\_\_\|\_\_\_\|\_\_\_\|\_\_\_\| **7.** Is the
applicant delinquent on any Federal debt? ­\_\_\_Yes \_\_\_No

*(If "Yes," attach an explanation.)*

**4.** Catalog of Federal Domestic Assistance #:
**84.\_\_\_\_\|\_\_\_\_\|\_\_\_\_\|\_\_\_\_\|**

Title: \_\_\_ [ALASKA NATIVE-SERVING INSTITUTIONS PROGRAM]{.underline}
\_\_\_ **8.** Type of Applicant *(Enter appropriate letter in the box.)
\|\_\_\_\_\|*

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**5.** Project
Director:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Address:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ \_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_ \_\_\_\_\_\_\_

City State Zip code + 4

Tel. #: ( ) \_\_\_\_\_\_\_-\_\_\_\_\_\_\_\_ Fax #: (
)\_\_\_\_\_\_\_-\_\_\_\_\_\_\_\_

E-Mail Address:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**Application Information**

**9.** Type of Submission: **12.** Are any research activities involving
human subjects planned at

*-PreApplication -Application* any time during the proposed project
period?

\_\_\_ Construction \_\_\_ Construction ­­\_\_\_ Yes (Go to 12a.) \_\_\_
No (Go to item 13.)

\_\_\_ Non-Construction \_\_\_ Non-Construction

**12a.** Are **all** the research activities proposed designated to be

**10.** Is application subject to review by Executive Order 12372
process? exempt from the regulations?

\_\_\_ Yes (*Date made available to the Executive Order 12372* \_\_\_
Yes (Provide Exemption(s) #):
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

*process for review):* \_\_\_\_/\_\_\_\_/\_\_\_\_\_\_\_\_\_

**\_\_\_** No (Provide Assurance #):
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_ No *(If "No," check appropriate box below.)*

\_\_\_ Program is not covered by E.O. 12372. **13.** Descriptive Title
of Applicant's Project:

\_\_\_ Program has not been selected by State for review.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**11.** Proposed Project Dates: \_\_\_\_/\_\_\_\_/\_\_\_\_\_\_\_\_
\_\_\_\_/\_\_\_\_/\_\_\_\_\_\_\_\_\_

**Start Date: End Date:**
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**Estimated Funding** **Authorized Representative Information**

**15.** To the best of my knowledge and belief, all data in this
preapplication/application are true

**14a.** Federal **\$ \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_. 00** and
correct. The document has been duly authorized by the governing body of
the applicant

**b.** Applicant **\$ \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_. 00** and the
applicant will comply with the attached assurances if the assistance is
awarded.

**c.** State **\$ \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_. 00 a.** Authorized
Representative (*Please type or print name clearly*.)

**d.** Local **\$ \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_. 00
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**e.** Other **\$ \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_. 00 b.** Title:
**\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**f.** Program Income **\$ \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_. 00 c.**
Tel. #: ( ) \_\_\_\_\_\_\_\_-\_\_\_\_\_\_\_\_\_\_\_\_ Fax #: ( )
\_\_\_\_\_\_\_\_-\_\_\_\_\_\_\_\_\_\_\_\_

**d.** E-Mail Address:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**g. TOTAL \$ \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_. 00 e. Signature of
Authorized Representative**

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Date:\_\_\_/\_\_\_\_/\_\_\_\_\_\_

**Instructions for Form ED 424**

> **1.** **Legal Name and Address.** Enter the legal name of applicant
> and the name of the primary organizational unit which will undertake
> the assistance activity.
>
> **2.** **D-U-N-S Number.** Enter the applicant's D-U-N-S Number. If
> your organization does not have a D-U-N-S Number, you can obtain the
> number by calling 1-800-333-0505 or by completing a D-U-N-S Number
> Request Form. The form can be obtained via the Internet at the
> following URL: **http://www.dnb.com.**
>
> **3. Tax Identification Number.** Enter the taxpayer's identification
> number as assigned by the Internal Revenue Service.
>
> **4.** **Catalog of Federal Domestic Assistance** **(CFDA) Number.**
> Enter the CFDA number and title of the program under which assistance
> is requested. The CFDA number can be found in the federal register
> notice and the application package.

5.  **Project Director.** Name, address, telephone and fax numbers, and
    e-mail address of the person to be contacted on matters involving
    this application.

6.  **Novice Applicant.** Check **"Yes"** or "**No**" only if assistance
    is being requested under a program that gives special consideration
    to novice applicants. Otherwise, **leave blank.**

> Check "**Yes"** if you meet the requirements for novice applicants
> specified in the regulations in 34 CFR 75.225 and included on the
> attached page entitled "Definitions for Form ED 424." By checking
> "Yes" the applicant certifies that it meets these novice applicant
> requirements. Check "**No**" if you do not meet the requirements for
> novice applicants**.**

7.  **Federal Debt Delinquency.** Check **"Yes"** if the applicant's
    organization is delinquent on any Federal debt. (This question
    refers to the applicant's organization and not to the person who
    signs as the authorized representative. Categories of debt include
    delinquent audit disallowances, loans and taxes.) Otherwise, check
    **"No."**

8.  **Type of Applicant.** Enter the appropriate letter in the box
    provided.

9.  **Type of Submission.** See "Definitions for Form ED 424" attached.

> **10.** **Executive Order 12372.** See "Definitions for Form ED 424"
> attached. Check **"Yes"** if the application is subject to review by
> E.O. 12372. Also, please enter the month, day, and four (4) digit year
> (e.g., 12/12/2001). Otherwise, check **"No."**

**11. Proposed Project Dates.** Please enter the month, day, and four
(4) digit year (e.g., 12/12/2001).

**12. Human Subjects Research.** (See I.A. "Definitions" in attached
page entitled "Definitions for Form ED 424.")

> **If Not Human Subjects Research.** Check "**No**" if research
> activities involving human subjects are not planned at any time during
> the proposed project period. The remaining parts of Item 12 are then
> not applicable.
>
> **If Human Subjects Research.** Check "**Yes**" if research activities
> involving human subjects are planned at any time during the proposed
> project period, either at the applicant organization or at any other
> performance site or collaborating institution. Check "**Yes**" even if
> the research is exempt from the regulations for the protection of
> human subjects. (See I.B. "Exemptions" in attached page entitled
> "Definitions for Form ED 424.")

**12a. If Human Subjects Research is Exempt from the Human Subjects
Regulations.** Check "**Yes**" if all the research activities proposed
are designated to be exempt from the regulations. Insert the exemption
number(s) corresponding to one or more of the six exemption categories
listed in I.B. "Exemptions." In addition, follow the instructions in
II.A. "Exempt Research Narrative" in the attached page entitled
"Definitions for Form ED 424." Insert this narrative immediately
following the ED 424 face page.

**12a. If Human Subjects Research is Not Exempt from Human Subjects
Regulations.** Check "**No**" if some or all of the planned research
activities are covered (not exempt). In addition, follow the
instructions in II.B. "Nonexempt Research Narrative" in the page
entitled "Definitions for Form ED 424." Insert this narrative
immediately following the ED 424 face page.

**12a. Human Subjects Assurance Number.** If the applicant has an
approved Federal Wide (FWA) or Multiple Project Assurance (MPA) 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. If the applicant does not have an approved
assurance on file with OHRP, enter "None." In this case, the applicant,
by signature on the face page, is declaring that it will comply with 34
CFR 97 and proceed to obtain the human subjects assurance upon request
by the designated ED official. If the application is
recommended/selected for funding, the designated ED official will
request that the applicant obtain the assurance within 30 days after the
specific formal request.

**Note about Institutional Review Board Approval.** ED does not require
certification of Institutional Review Board approval with the
application. However, if an application that involves non-exempt human
subjects research is recommended/selected for funding, the designated ED
official will request that the applicant obtain and send the
certification to ED within 30 days after the formal request.

**13. Project Title.** Enter a brief descriptive title of the project.
If more than one program is involved, you should append an explanation
on a separate sheet. If appropriate (e.g., construction or real property
projects), attach a map showing project location. For preapplications,
use a separate sheet to provide a summary description of this project.

**14. Estimated Funding.** Amount requested or to be contributed during
the first funding/budget period by each contributor. Value of in-kind
contributions should be included on appropriate lines as applicable. If
the action will result in a dollar change to an existing award, indicate
**only** the amount of the change. For decreases, enclose the amounts in
parentheses. If both basic and supplemental amounts are included, show
breakdown on an attached sheet. For multiple program funding, use totals
and show breakdown using same categories as item 14.

**15. Certification.** To be signed by the authorized representative of
the applicant. A copy of the governing body's authorization for you to
sign this application as official representative must be on file in the
applicant's office. Be sure to enter the telephone and fax number and
e-mail address of the authorized representative. Also, in item 15e,
please enter the month, day, and four (4) digit year (e.g., 12/12/2001)
in the date signed field.

## Paperwork Burden Statement. According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless such collection displays a valid OMB control number. The valid OMB control number for this information collection is 1875-0106. The time required to complete this information collection is estimated to average between 15 and 45 minutes per response, including the time to review instructions, search existing data resources, gather the data needed, and complete and review the information collection. If you have any comments concerning the accuracy of the estimate(s) or suggestions for improving this form, please write to: U.S. Department of Education, Washington, D.C. 20202-4651. If you have comments or concerns regarding the status of your individual submission of this form write directly to: Joyce I. Mays, Application Control Center, U.S. Department of Education, 7th and D Streets, S.W. ROB-3, Room 3633, Washington, D.C. 20202-4725

##  {#section .unnumbered}

**Definitions for Form ED 424**

**Novice Applicant (See 34 CFR 75.225**). For discretionary grant
programs under which the Secretary gives special consideration to novice
applications, a novice applicant means any applicant for a grant from ED
that---

-   Has never received a grant or subgrant under the program from which
    it seeks funding;

-   Has never been a member of a group application, submitted in
    accordance with 34 CFR 75.127-75.129, that received a grant under
    the program from which it seeks funding; and

-   Has not had an active discretionary grant from the Federal
    government in the five years before the deadline date for
    applications under the program. For the purposes of this
    requirement, a grant is active until the end of the grant's project
    or funding period, including any extensions of those periods that
    extend the grantee's authority to obligate funds.

In the case of a group application submitted in accordance with 34 CFR
75.127-75.129, a group includes only parties that meet the requirements
listed above.

**Type of Submission.** "Construction" includes construction of new
buildings and acquisition, expansion, remodeling, and alteration of
existing buildings, and initial equipment of any such buildings, or any
combination of such activities (including architects' fees and the cost
of acquisition of land). "Construction" also includes remodeling to meet
standards, remodeling designed to conserve energy, renovation or
remodeling to accommodate new technologies, and the purchase of existing
historic buildings for conversion to public libraries. For the purposes
of this paragraph, the term "equipment" includes machinery, utilities,
and built-in equipment and any necessary enclosures or structures to
house them; and such term includes all other items necessary for the
functioning of a particular facility as a facility for the provision of
library services.

**Executive Order 12372.** The purpose of Executive Order 12372 is to
foster an intergovernmental partnership and strengthen federalism by
relying on State and local processes for the coordination and review of
proposed Federal financial assistance and direct Federal development.
The application notice, as published in the Federal Register, informs
the applicant as to whether the program is subject to the requirements
of E.O. 12372. In addition, the application package contains information
on the State Single Point of Contact. An applicant is still eligible to
apply for a grant or grants even if its respective State, Territory,
Commonwealth, etc. does not have a State Single Point of Contact. For
additional information on E.O. 12372 go to
www.archives.gov/federal_register/codification/executive_order/12372.html.

**PROTECTION OF HUMAN SUBJECTS IN RESEARCH**

**I. Definitions and Exemptions**

**A. Definitions.**

A research activity involves human subjects if the activity is research,
as defined in the Department's regulations, and the research activity
will involve use of human subjects, as defined in the regulations.

---**Research**

The ED Regulations for the Protection of Human Subjects, Title 34, Code
of Federal Regulations, Part 97, define research as "a systematic
investigation, including research development, testing and evaluation,
designed to develop or contribute to generalizable knowledge." *If an
activity follows a deliberate plan whose purpose is to develop or
contribute to generalizable knowledge it is research.* Activities which
meet this definition constitute research whether or not they are
conducted or supported under a program which is considered research for
other purposes. For example, some demonstration and service programs may
include research activities.

**---Human Subject**

The regulations define human subject as "a living individual about whom
an investigator (whether professional or student) conducting research
obtains (1) data through intervention or interaction with the
individual, or (2) identifiable private information." *(1) If an
activity involves obtaining information about a living person by
manipulating that person or that person's environment, as might occur
when a new instructional technique is tested, or by communicating or
interacting with the individual, as occurs with surveys and interviews,
the definition of human subject is met. (2) If an activity involves
obtaining private information about a living person in such a way that
the information can be linked to that individual (the identity of the
subject is or may be readily determined by the investigator or
associated with the information), the definition of human subject is
met.* \[Private information includes information about behavior that
occurs in a context in which an individual can reasonably expect that no
observation or recording is taking place, and information which has been
provided for specific purposes by an individual and which the individual
can reasonably expect will not be made public (for example, a school
health record).\]

**B. Exemptions.**

Research activities in which the **only** involvement of human subjects
will be in one or more of the following six categories of
***exemptions*** are not covered by the regulations:

\(1\) Research conducted in established or commonly accepted educational
settings, involving normal educational practices, such as (a) research
on regular and special education instructional strategies, or (b)
research on the effectiveness of or the comparison among instructional
techniques, curricula, or classroom management methods.

\(2\) 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.

\(5\) 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.

\(6\) 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 12 on the ED 424, the applicant
must provide a human subjects "exempt research" or "nonexempt research"
narrative and insert it immediately following the ED 424 face page.

**A. Exempt Research Narrative.**

If you marked "Yes" for item 12 a. and designated exemption numbers(s),
provide the "exempt research" narrative. The narrative must contain
sufficient information about the involvement of human subjects in the
proposed research to allow a determination by ED that the designated
exemption(s) are appropriate. The narrative must be succinct.

B. Nonexempt Research Narrative.

If you marked "No" for item 12 a. you must provide the "nonexempt
research" narrative. The narrative must address the following seven
points. Although no specific page limitation applies to this section of
the application, be succinct.

\(1\) **Human Subjects Involvement and Characteristics**: Provide a
detailed description of the proposed involvement of human subjects.
Describe the characteristics of the subject population, including their
anticipated number, age range, and health status. Identify the criteria
for inclusion or exclusion of any subpopulation. Explain the rationale
for the involvement of special classes of subjects, such as children,
children with disabilities, adults with disabilities, persons with
mental disabilities, pregnant women, prisoners, institutionalized
individuals, or others who are likely to be vulnerable

\(2\) **Sources of Materials**: Identify the sources of research
material obtained from individually identifiable living human subjects
in the form of specimens, records, or data. Indicate whether the
material or data will be obtained specifically for research purposes or
whether use will be made of existing specimens, records, or data.

\(3\) **Recruitment and Informed Consent**: Describe plans for the
recruitment of subjects and the consent procedures to be followed.
Include the circumstances under which consent will be sought and
obtained, who will seek it, the nature of the information to be provided
to prospective subjects, and the method of documenting consent. State if
the Institutional Review Board (IRB) has authorized a modification or
waiver of the elements of consent or the requirement for documentation
of consent.

\(4\) **Potential Risks**: Describe potential risks (physical,
psychological, social, legal, or other) and assess their likelihood and
seriousness. Where appropriate, describe alternative treatments and
procedures that might be advantageous to the subjects.

\(5\) **Protection Against Risk**: Describe the procedures for
protecting against or minimizing potential risks, including risks to
confidentiality, and assess their likely effectiveness. Where
appropriate, discuss provisions for ensuring necessary medical or
professional intervention in the event of adverse effects to the
subjects. Also, where appropriate, describe the provisions for
monitoring the data collected to ensure the safety of the subjects.

\(6\) **Importance of the Knowledge to be Gained**: Discuss the
importance of the knowledge gained or to be gained as a result of the
proposed research. Discuss why the risks to subjects are reasonable in
relation to the anticipated benefits to subjects and in relation to the
importance of the knowledge that may reasonably be expected to result.

\(7\) **Collaborating Site(s)**: If research involving human subjects
will take place at collaborating site(s) or other performance site(s),
name the sites and briefly describe their involvement or role in the
research.

***Copies of the Department of Education's Regulations for the
Protection of Human Subjects, 34 CFR Part 97 and other pertinent
materials on the protection of human subjects in research are available
from the Grants Policy and Oversight Staff, Office of the Chief
Financial Officer, U.S. Department of Education, Washington, D.C.
20202-4248, telephone: (202) 708-8263, and on the U.S. Department of
Education's Protection of Human Subjects in Research Web Site at**
http://www.ed.gov/about/offices/list/ocfo/humansub.html*

**[Tie-Breaker Information]{.underline} (On a separate sheet of paper
provide the following information)**

**If the selection process ends in a tie and funds are not sufficient to
fund all institutions we will use the information provided here to
determine who will receive a grant. We will award up to 3 additional
points based on the information provided here.**

**Total FALL 2000 FULL-TIME EQUIVALENT (FTE) students =
\_\_\_\_\_\_\_\_\_\_.**

**a. Total market value of endowment fund at the end of 2000-2001.
\$\_\_\_\_\_\_\_.**

**b. Total expenditures for library material during 2000-2001.
\$\_\_\_\_\_\_\_.**

## Endowment Investing 

**Yes No**

**Have you elected to participate in the Endowment investing**

**component of the Title III, Part A Programs?**

**[Project Abstract]{.underline}**

**If you are applying for an Individual Development Grant and/or a
Cooperative Arrangement Development Grant you are required to provide a
project abstract. When writing the project abstract for your
application, be sure to do the following:**

-   **Type all narratives in font size that is either 12-point or larger
    or no smaller than ten pitch (characters per inch), single-spaced on
    plain, white or off-white, bond paper.**

-   **Type a heading with the name of your institution and the state
    where it is located along with contact information.**

-   **Include a brief descriptive paragraph about your institution and
    an overview of your project.**

```{=html}
<!-- -->
```
-   **Do not exceed one page. A page is 8.5" X 11", with 1" margins top,
    bottom, left and right.**

    **Please follow closely the sample on next page.**

    **SAMPLE PROJECT ABSTRACT**

[Regular College, Cleveland, Kansas.]{.underline} Located in central
Plains, founded in 1902, affiliated with United Church, 4-year private,
980 students in Fall of 2000, current operating budget of \$10.3 million
in 2000-2001.

Phone: 616-245-9872, FAX: 616-245-9043.

Contact Person: Joseph Doe

E-MAIL Address: JOE@ED.KS.UMC

[Activity 1\--\$1,327,312 over five years. *Improved retention through
wide area network*.]{.underline}

[To improve student success through advising and to increase retention
by expanding access to campus-wide externally linked
network.]{.underline} [Sample of key measures:]{.underline} a) The
average score for the 12 most relevant items for the Spring 2001 ACT
Student Satisfaction Survey will increase by one-fourth standard
deviation from the average standard deviation the previous year. b) The
college's retention rate for freshman to sophomore will increase 2% per
year. c) The college's graduation rate will be increased by 3.75% per
year from the baseline year. Approximately 51% (\$677K) of the 5-year
activity budget is for hardware and software. Approximately 21% (\$279K)
will buy a network manager and user support technician. About 24%
(\$323K) is for data migration and maintenance for the database and
administration system. About 3% (\$41K) is for training. The Director of
Learning and Info Services directs the activity at 70% time but paid by
college.

[Activity 2\--\$293,800 over three years. *Developing faculty to use
technology in classroom.*]{.underline}

[To improve student learning outcomes and retention through a
comprehensive faculty development program that will result in revision
and development of courses integrating technology.]{.underline} [Sample
of key measures]{.underline}:

a\) The college's overall retention rate will be increased 2% per year
over previous year. b) The student learning outcomes will improve
pre-established baseline in redesigned courses piloted during each year.
c) 60% of the 51 faculty will know about applications of technology
through a faculty development program and they will increase their
ability to use technical vocabulary and demonstrate a recognition of
educational software in their fields as shown by an annual faculty
survey. d) 25 faculty will have piloted courses using technology as
shown through course syllabi, evaluation plans, and instruments. About
59% (\$172K) of the activity budget goes to buying an outsider,
full-time instructional media technology specialist. About 25% (\$75K)
will be spent on hardware and software. About 8% (\$25K) will go toward
3 hours released time or summer stipend for 30 faculty to redesign their
courses integrating technology. About 7% (\$19K) will be for travel to
pertinent technology conferences, visits to other colleges and
businesses.

[Project management and evaluation\-\--\$111,994]{.underline} About 86%
of this budget goes to support a 30% time Title III coordinator and a
75% time secretary. About 4% is for formative and summative evaluation
by an outside consultant.

**COOPERATIVE ARRANGEMENT FOR PARTICIPATING**

**INSTITUTIONS FORM**

> **(ED FORM 851A-1)**
>
> **INSTRUCTIONS**
>
> The applicant coordinating institution should complete ED FORM 851A-1,
> as instructed below:

1\. Enter the name of the institution that will serve as the
coordinating institution of the cooperative arrangement. Provide the
legal name of the applicant institution of higher education applying for
the grant. This institution should be the same as designated in the
Application for Federal Assistance Form.

2\. Fill in the requested information in items 2a - 2d.

+---------------------------------------------------------+------------+
| **GRANT APPLICATION FOR THE TITLE III, PART A           | **FORM     |
| PROGRAMS**                                              | APPROVED** |
|                                                         |            |
| **Title III, Higher Education Act of 1965, as amended   | **OMB No.: |
| by Public Law 102-325**                                 | 1          |
|                                                         | 840-XXXX** |
|                                                         |            |
|                                                         | **EXP.     |
|                                                         | DATE:**    |
+---------------------------------------------------------+------------+

  -----------------------------------------------------------------------
  **COOPERATIVE ARRANGEMENT FOR PARTICIPATING INSTITUTIONS FORM**

  **1. NAME OF APPLICANT INSTITUTION:**
  -----------------------------------------------------------------------

  ----------------- ----------------- ----------------- -----------------
  **2a.             **2b. DUNS        **2c. Location    **2d. Funds
  Participating     Number**          (City and         Requested**
  Institutions**                      State)**          

                                                        
  ----------------- ----------------- ----------------- -----------------

ED FORM 851A-1

**INSTRUCTIONS \-- (ED FORM 851A-2)**

**ACTIVITY OBJECTIVES AND PERFORMANCE INDICATORS FORM**

Each applicant for a development grant, including the coordinating
institution in a cooperative arrangement, must complete the Activity
Objectives and Performance Indicators Form (ED FORM 851A-2).

Complete ED FORM 851A-2, as follows:

1\. Enter the name of the institution submitting the application. If the
applicant is a cooperative arrangement of institutions, enter the name
of the coordinating institution. This should be the same institution as
listed on the Application for Federal Education Assistance Form.

2\. Enter the title of the activity as it appears in the narrative.

3\. Describe the objective(s) to be achieved for each activity in each
year of the project period. List the activity objectives in
chronological order for each year of the proposed project period.

4\. Describe the performance indicator(s) that you will use to measure
the extent to which the objective has been met.

A sample ED FORM 851A-2 with objectives follows the form.

+---------------------------------------------------------+------------+
| **GRANT APPLICATION FOR THE TITLE III, PART A           | FORM       |
| PROGRAMS**                                              | APPROVED   |
|                                                         |            |
| **Title III, Higher Education Act of 1965, as amended   | OMB No.:   |
| by Public Law 102-325**                                 | 1840-XXXX  |
|                                                         |            |
|                                                         | EXP. DATE: |
+---------------------------------------------------------+------------+

  -----------------------------------------------------------------------
  **Activity Objectives and Performance Indicators**

  -----------------------------------------------------------------------

  ----------------------------------- -----------------------------------
  **1. NAME OF APPLICANT              **2. ACTIVITY TITLE:**
  INSTITUTION:**                      

  **3. MAJOR OBJECTIVES IN MEASURABLE **4. PERFORMANCE INDICATORS**
  TERMS**                             

                                      
  ----------------------------------- -----------------------------------

**ED FORM 851A-2**

**SAMPLE**

+--------------------------------------------------------+-------------+
| **GRANT APPLICATION FOR THE TITLE III, PART A          | **FORM      |
| PROGRAMS**                                             | APPROVED**  |
|                                                        |             |
| **Title III, Higher Education Act of 1965, as amended  | **OMB No.:  |
| by Public Law 102-325**                                | 1840-XXXX** |
|                                                        |             |
|                                                        | **EXP.      |
|                                                        | DATE:**     |
+--------------------------------------------------------+-------------+

  -----------------------------------------------------------------------
  **Activity Objectives and Performance Indicators**

  -----------------------------------------------------------------------

  ------------------------------------ ----------------------------------
  **1. NAME OF APPLICANT INSTITUTION:  **2. ACTIVITY TITLE: Developing
  SAMPLE COLLEGE**                     Improved Assessment/Advisement
                                       System**

  **3. MAJOR OBJECTIVES IN MEASURABLE  **4. PERFORMANCE INDICATORS**
  TERMS**                              

  **(Sample Objectives and Performance 
  Indicators: Objective and indicators 
  may be written in a variety of ways, 
  reviewers of the application will    
  judge the extent to which the        
  activity objectives, taken together  
  with their performance indicators,   
  are defined in terms of measurable   
  results. They will also judge the    
  extent to which the proposed         
  end-results are NOT EXAGGERATED.     
  Note that PROCESS objectives should  
  not appear on this Activity          
  Objectives and Performance           
  Indicators Performance Form but      
  rather, should be placed on the      
  Implementation Strategy and          
  Timetable Form. This sample contains 
  objectives only for the fifth and    
  final year of the activity,          
  applicants are required to submit    
  outcome objectives for each year the 
  activity is proposed to be           
  funded.)**                           
  ------------------------------------ ----------------------------------

+----------------------------+-----------------------------------------+
| [Year 5                    |                                         |
| 2007-2008]{.underline}     |                                         |
|                            |                                         |
| 1\. To increase by 10%     |                                         |
| annually over baseline the |                                         |
| effectiveness of student   |                                         |
| advisement as seen by the  |                                         |
| customer, the student.     |                                         |
|                            |                                         |
| 2\. To increase the annual |                                         |
| persistence rate of        |                                         |
| students by 5% over        |                                         |
| baseline.                  |                                         |
+----------------------------+-----------------------------------------+

**ED FORM 851A-2**

**INSTRUCTIONS \-- (ED FORM 851A-3)**

**IMPLEMENTATION STRATEGY AND TIMETABLE FORM**

An applicant for a development grant must submit an Implementation
Strategy and Timetable Form (ED FORM 851A-3) for each proposed activity
\-- for each year in which funds are requested to support the activity.

Submit a separate ED FORM 851A-3 for each activity. You may reproduce
the form or generate it on your computer.

A sample of a completed ED FORM 851A-3 form follows the blank form.

Complete ED FORM 851A-3, as follows:

1.  Enter the name of the institution submitting the application. If the
    applicant is a Cooperative Arrangement of institutions, enter the
    name of the coordinating institution. This should be the same
    institution as listed on the Application for Federal Education
    Assistance (ED Form 424).

2\. Enter the title of the activity as it appears in the narrative.

3\. Identify the tasks, in chronological order, that you must complete
in carrying out the implementation strategy.

4\. Identify the principal staff - by position title - that will
actively perform the day-to-day major tasks of the activity. Do not list
persons who will have only a supervisory or administrative
responsibility.

5\. List the specific methods that you will use to accomplish the tasks
and do so in chronological order.

6\. Identify tangible results that you will be able to document.

7\. Indicate the proposed time frame for accomplishing each specific
task. The time frame should show the completion of the task within one
budget period (i.e., Federal fiscal year, October 1-September 30).

+-----------------------------------------------------------------------+
| **GRANT APPLICATION FOR THE TITLE III, PART A PROGRAMS**              |
|                                                                       |
| **TITLE III, HIGHER EDUCATION ACT OF 1965, AS AMENDED BY PUBLIC LAW   |
| 102-325**                                                             |
+-----------------------------------------------------------------------+
| **IMPLEMENTATION STRATEGY AND TIMETABLE FORM**                        |
+-----------------------------------------------------------------------+

+----------------------------------+-----------------------------------+
| **1. NAME OF APPLICANT:**        | 2.  **ACTIVITY TITLE:**           |
+----------------------------------+-----------------------------------+

+---------------+---------------+-------------+------------+-----+----+
| **3. SPECIFIC | **4.          | **5.        | 6.  **     | *   |    |
| TASKS TO BE** | PRIMARY**     | METHODS**   | TANGIBLE** | *7. |    |
|               |               |             |            | TI  |    |
| **COMPLETED** | **P           | *           | *          | MEF |    |
|               | ARTICIPANTS** | *INVOLVED** | *RESULTS** | RAM |    |
|               |               |             |            | E** |    |
|               |               |             |            |     |    |
|               |               |             |            | **  |    |
|               |               |             |            | FRO |    |
|               |               |             |            | M/T |    |
|               |               |             |            | O** |    |
+---------------+---------------+-------------+------------+-----+----+
|               |               |             |            |     |    |
+---------------+---------------+-------------+------------+-----+----+

**ED FORM 851A-3 FORM APPROVED OMB NO.: 1840-XXXX EXP. DATE:**

**SAMPLE IMPLEMENTATION AND STRATEGY AND TIMETABLE FORM**

+-----------------------------------------------------------------------+
| **GRANT APPLICATION FOR THE STRENGTHENING INSTITUTIONS PROGRAM**      |
|                                                                       |
| **TITLE III, HIGHER EDUCATION ACT OF 1965, AS AMENDED BY PUBLIC LAW   |
| 102-325**                                                             |
+-----------------------------------------------------------------------+
| **IMPLEMENTATION STRATEGY AND TIMETABLE FORM**                        |
+-----------------------------------------------------------------------+

  ----------------------------------- -----------------------------------
  **1. NAME OF APPLICANT:**           **2. ACTIVITY TITLE:**

  ----------------------------------- -----------------------------------

+---------------+---------------+-------------+-------------+----+----+
| **3. SPECIFIC | **4. PRIMARY  | **5.        | **6.        | ** |    |
| TASKS TO BE** | P             | METHODS     | TANGIBLE    | 7. |    |
|               | ARTICIPANTS** | INVOLVED**  | RESULTS**   | T  |    |
| **COMPLETED** |               |             |             | IM |    |
|               |               |             |             | EF |    |
|               |               |             |             | RA |    |
|               |               |             |             | ME |    |
|               |               |             |             | ** |    |
|               |               |             |             |    |    |
|               |               |             |             | *  |    |
|               |               |             |             | *F |    |
|               |               |             |             | RO |    |
|               |               |             |             | M/ |    |
|               |               |             |             | TO |    |
|               |               |             |             | ** |    |
+---------------+---------------+-------------+-------------+----+----+
| **YEAR ONE:   | **Activity    | **Identify  | **Task      | *  | *  |
| 2003-2004**   | Director**    | faculty,    | Force       | *1 | *0 |
|               |               | staff and   | provides    | 0/ | 9/ |
| **1.          | **Vice        | adm         | necessary   | 01 | 02 |
| Establish     | President**   | inistrators | monitoring  | ** | ** |
| Activity Task |               | in key      | and         |    |    |
| Force.**      |               | areas       | advising    |    |    |
|               |               | identified  | functions   |    |    |
| **2. Conduct  |               | in grant.   | including   |    |    |
| Advisement    |               | Convene     | e           |    |    |
| Activities.** |               | team        | valuation/c |    |    |
|               |               | monthly     | ontinuation |    |    |
|               |               | during Year | plans for   |    |    |
|               |               | One and     | all pilot   |    |    |
|               |               | quarterly   | projects.** |    |    |
|               |               | for the     |             |    |    |
|               |               | remaining   |             |    |    |
|               |               | four        |             |    |    |
|               |               | years.**    |             |    |    |
+---------------+---------------+-------------+-------------+----+----+
| **2. Recruit  | **Activity    | **Standard  | **Hiring of | *  | *  |
| and employ    | Director**    | recruiting  | additional  | *1 | *0 |
| new activity  |               | and hiring  | computer    | 0/ | 3/ |
| staff.**      | **Activity    | p           | services    | 02 | 03 |
|               | Task Force**  | ractices.** | staff,      | ** | ** |
|               |               |             | in          |    |    |
|               |               |             | structional |    |    |
|               |               |             | technician, |    |    |
|               |               |             | and         |    |    |
|               |               |             | educational |    |    |
|               |               |             | technology  |    |    |
|               |               |             | sp          |    |    |
|               |               |             | ecialist.** |    |    |
+---------------+---------------+-------------+-------------+----+----+
| **3.          | **Computer    | **Order     | **Pilot     | *  | *  |
| Establish     | Services**    | appropriate | test of     | *0 | *0 |
| pilot systems |               | computer    | assessment  | 1/ | 9/ |
| for Student   | **            | assessment  | software    | 04 | 05 |
| assessment    | Matriculation | and         | i           | ** | ** |
| and           | Director**    | advisement  | nitiated.** |    |    |
| advisement.** |               | software.** |             |    |    |
+---------------+---------------+-------------+-------------+----+----+
| **4. Conduct  | *             | **Student   | **Valid     | *  | *  |
| pilot         | *Assessment** | self        | assessment  | *0 | *0 |
| assessment    |               | assesses at | with        | 7/ | 9/ |
| and           | *             | computer    | immediate   | 05 | 06 |
| advisement    | *Technician** | station.**  | feedback    | ** | ** |
| with evening  |               |             | for         |    |    |
| students.**   |               |             | student.**  |    |    |
+---------------+---------------+-------------+-------------+----+----+

**ED FORM 851A-3**

**INSTRUCTIONS \-- (ED FORM 851A-4)**

**ACTIVITY BUDGET FORM**

An applicant for a development grant must submit a separate Activity
Budget Form (ED FORM 851A-4) for each activity and for project
management/evaluation.

***Do not submit this form if you are applying for a planning grant**.*

**[NOTE]{.underline}**: Use the Other Budget Form (ED FORM 851A-5) to
provide itemized details on the

specific categories of costs.

Complete ED FORM 851A-4, as follows:

> Note: An activity budget form is required for each activity for which
> funds are
>
> requested. Place all activity budget forms immediately following the
> Project Evaluation Plan in your application, numbering the form with
> the appropriate page number. If you use more than one page to provide
> the required information,
>
> number the pages in consecutive order, and indicate the total number
> of pages used to list the costs of the activity.

Item 1. Enter the name of the institution submitting the application and
the title of the activity.

If the applicant is a Cooperative Arrangement of institutions, enter the
name of the

coordinating institution. This should be the same institution as listed
on the Application for

Federal Education Assistance Form.

Item 2. Activity Number:

Enter an activity number for each activity in the application. Begin
with the activity that the institution ranked as priority one.

Item 3. Budget Categories by year.

Enter the amount of funds for each year (1st year-5th year) by object
class category

(3a-3g).

Enter the amount of funds you are requesting for each category of cost
in the \"Total Funds Requested\" column.

3a. [PERSONNEL COSTS]{.underline}

Enter the title of each position for which funds are requested and the
percentage of time that staff person will commit to the activity in the
specific year. Do not include consultants or other personnel who are not
entitled to fringe benefits: Include those costs under the \"Other\"
category.

[3b. FRINGE BENEFITS]{.underline}

Enter the percent rate at which the applicant institution calculates
fringe benefits.

Enter the total amount requested for Fringe Benefits for each year.

[3c. TRAVEL]{.underline}

You may use grant funds only for travel that is necessary and related to
achieving the objectives of a specific activity during a specific budget
period.

Enter the total funds requested for travel in each year. Include
transportation and per diem. Do not include freight costs or
consultants\' travel expenses. Include those costs under the \"Other\"
category.

[3d. EQUIPMENT]{.underline}

Include the cost for all non-expendable personal property having a
useful life of more than one year, and having an acquisition cost of
\$5,000 or more per unit. However, consistent with the institution's
policy, lower limits may be established for equipment and those items
included here.

Do not include the cost for renting equipment. Include those costs under
the \"Other\" category.

[3e. SUPPLIES]{.underline}

Include the cost of all tangible personal property other than that
covered under the "Equipment" category above.

Personal property is property other than real property (land and
buildings).

[3f. CONTRACTUAL]{.underline}

Include the estimated cost of contractual agreements with another
institution of higher education or an organization or business. (Please
follow the regulations in EDGAR, 74.40-74.48).

Do not include costs for consultants. Include those under the \"Other\"
category.

Complete all contractual agreements only after receipt of a notification
of grant award.

[3g. CONSTRUCTION]{.underline}

Enter the estimated costs for construction.

[3h. OTHER]{.underline}

Include all direct costs not covered by 3a-3i. Some examples are
communications, freight costs (not included by vendor purchase price),
equipment rental, computer use charges, summer employment stipends,
consultant costs, etc.

[3i. TOTAL DIRECT CHARGES]{.underline}

Enter the sum of all costs (3a-3i) for each year in the appropriate
column.

The total for the first year should be the same as the amount listed on
the Application for Federal Education Assistance Form (ED 424).

Enter the sum for all categories for all years under the \"Total Funds
Requested\" column.

+----------------------------------+--------+------+--------+--------+
| **GRANT APPLICATION FOR THE      | **AC   | **   | **     | **FORM |
| TITLE III, PART A PROGRAMS**     | TIVITY | PAGE | NUMBER | APPR   |
|                                  | NU     | NUMB | OF     | OVED** |
| **TITLE III, HIGHER EDUCATION    | MBER** | ER** | P      |        |
| ACT OF 1965, AS AMENDED**        |        |      | AGES** | **OMB  |
|                                  |        |      |        | NO.    |
|                                  |        |      |        | 1840-  |
|                                  |        |      |        | XXXX** |
|                                  |        |      |        |        |
|                                  |        |      |        | **EXP. |
|                                  |        |      |        | D      |
|                                  |        |      |        | ATE:** |
+----------------------------------+--------+------+--------+--------+

  -----------------------------------------------------------------------
  **ACTIVITY BUDGET (To be completed for every major activity for which
  funding is requested)**

  -----------------------------------------------------------------------

+-----------+--------+--------+----+---+--------+----------+---------+
| **1. Name |        |        |    | 1 |        |          |         |
| of        |        |        |    | . |        |          |         |
| Applicant |        |        |    |   |        |          |         |
| Insti     |        |        |    |   |        |          |         |
| tution:** |        |        |    | * |        |          |         |
|           |        |        |    | * |        |          |         |
|           |        |        |    | A |        |          |         |
|           |        |        |    | c |        |          |         |
|           |        |        |    | t |        |          |         |
|           |        |        |    | i |        |          |         |
|           |        |        |    | v |        |          |         |
|           |        |        |    | i |        |          |         |
|           |        |        |    | t |        |          |         |
|           |        |        |    | y |        |          |         |
|           |        |        |    |   |        |          |         |
|           |        |        |    |   |        |          |         |
|           |        |        |    |   |        |          |         |
|           |        |        |    |   |        |          |         |
|           |        |        |    | T |        |          |         |
|           |        |        |    | i |        |          |         |
|           |        |        |    | t |        |          |         |
|           |        |        |    | l |        |          |         |
|           |        |        |    | e |        |          |         |
|           |        |        |    | : |        |          |         |
|           |        |        |    | * |        |          |         |
|           |        |        |    | * |        |          |         |
+-----------+--------+--------+----+---+--------+----------+---------+
| **3.      | *      | **     | *  |   | **     | **Fifth  | **Total |
| Budget    | *First | Second | *T |   | Fourth | Year**   | Funds** |
| C         | Year** | Year** | hi |   | Year** |          |         |
| ategories |        |        | rd |   |        |          | **Requ  |
| By Year** |        |        | Ye |   |        |          | ested** |
|           |        |        | ar |   |        |          |         |
|           |        |        | ** |   |        |          |         |
+-----------+--------+--------+----+---+--------+----------+---------+

<table style="width:100%;">
<colgroup>
<col style="width: 17%" />
<col style="width: 5%" />
<col style="width: 7%" />
<col style="width: 5%" />
<col style="width: 7%" />
<col style="width: 5%" />
<col style="width: 7%" />
<col style="width: 5%" />
<col style="width: 7%" />
<col style="width: 7%" />
<col style="width: 8%" />
<col style="width: 14%" />
</colgroup>
<tbody>
<tr class="odd">
<td><strong>Object Class</strong></td>
<td><strong>% of Time</strong></td>
<td><p><strong>Funds</strong></p>
<p><strong>Requested</strong></p></td>
<td><strong>% of Time</strong></td>
<td><p><strong>Funds</strong></p>
<p><strong>Requested</strong></p></td>
<td><strong>% of Time</strong></td>
<td><p><strong>Funds</strong></p>
<p><strong>Requested</strong></p></td>
<td><strong>% of Time</strong></td>
<td><p><strong>Funds</strong></p>
<p><strong>Requested</strong></p></td>
<td><strong>% of Time</strong></td>
<td><p><strong>Funds</strong></p>
<p><strong>Requested</strong></p></td>
<td></td>
</tr>
<tr class="even">
<td><strong>a. Personnel (Position Title)</strong></td>
<td></td>
<td><strong>$</strong></td>
<td></td>
<td><strong>$</strong></td>
<td></td>
<td><strong>$</strong></td>
<td></td>
<td><strong>$</strong></td>
<td></td>
<td><strong>$</strong></td>
<td></td>
</tr>
<tr class="odd">
<td><strong>SUB-TOTAL</strong></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td><p><strong>b. Fringe Benefits</strong></p>
<p><strong>%</strong></p></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td><strong>c. Travel</strong></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td><strong>d. Equipment</strong></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td><strong>e. Supplies</strong></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td><strong>f. Contractual</strong></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td><strong>g. Construction</strong></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td><strong>h. Other</strong></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td><strong>i. TOTAL DIRECT CHARGES</strong></td>
<td></td>
<td><strong>$</strong></td>
<td></td>
<td><strong>$</strong></td>
<td></td>
<td><strong>$</strong></td>
<td></td>
<td><strong>$</strong></td>
<td></td>
<td><strong>$</strong></td>
<td><strong>$</strong></td>
</tr>
</tbody>
</table>

ED FORM 851A-4

**SAMPLE ACTIVITY BUDGET ED FORM 851A-4**

+----------------------------------+--------+------+--------+---------+
| **GRANT APPLICATION FOR THE      | **AC   | **   | **     | **FORM  |
| TITLE III, PART A PROGRAMS**     | TIVITY | PAGE | NUMBER | APP     |
|                                  | NU     | NUMB | OF     | ROVED** |
| **TITLE III, HIGHER EDUCATION    | MBER** | ER** | P      |         |
| ACT OF 1965, AS AMENDED**        |        |      | AGES** | **OMB   |
|                                  |        |      |        | NO. :   |
|                                  |        |      |        | 184     |
|                                  |        |      |        | 0-XXX** |
|                                  |        |      |        |         |
|                                  |        |      |        | **EXP.  |
|                                  |        |      |        | DATE:** |
+----------------------------------+--------+------+--------+---------+

  ------------------------------------ ----------------------------------
  **ACTIVITY BUDGET (To be completed   
  for every major activity for which   
  funding is requested)**              

  **1. Name of Applicant Institution:  **2. Activity Title:**
  SAMPLE COLLEGE**                     
  ------------------------------------ ----------------------------------

+-----------+--------+--------+--------+--------+---------+---------+
| **3.      | *      | **     | *      | **     | **Fifth | **Total |
| Budget    | *First | Second | *Third | Fourth | Year**  | Funds** |
| C         | Year** | Year** | Year** | Year** |         |         |
| ategories |        |        |        |        |         | **Requ  |
| By Year** |        |        |        |        |         | ested** |
+-----------+--------+--------+--------+--------+---------+---------+

<table>
<colgroup>
<col style="width: 17%" />
<col style="width: 5%" />
<col style="width: 7%" />
<col style="width: 5%" />
<col style="width: 7%" />
<col style="width: 5%" />
<col style="width: 7%" />
<col style="width: 5%" />
<col style="width: 7%" />
<col style="width: 6%" />
<col style="width: 8%" />
<col style="width: 15%" />
</colgroup>
<tbody>
<tr class="odd">
<td><strong>Object Class</strong></td>
<td><strong>% of Time</strong></td>
<td><p><strong>Funds</strong></p>
<p><strong>Requested</strong></p></td>
<td><strong>% of Time</strong></td>
<td><p><strong>Funds</strong></p>
<p><strong>Requested</strong></p></td>
<td><strong>% of Time</strong></td>
<td><p><strong>Funds</strong></p>
<p><strong>Requested</strong></p></td>
<td><strong>% of Time</strong></td>
<td><p><strong>Funds</strong></p>
<p><strong>Requested</strong></p></td>
<td><strong>% of Time</strong></td>
<td><p><strong>Funds</strong></p>
<p><strong>Requested</strong></p></td>
<td></td>
</tr>
<tr class="even">
<td><p><strong>a. Personnel (Position Title)</strong></p>
<p><strong>ACTIVITY DIRECTOR</strong></p>
<p><strong>EDUCATION TECHNOLOGY COORDINATOR</strong></p>
<p><strong>CLERICAL SUPPORT</strong></p></td>
<td><p><strong>50</strong></p>
<p><strong>30</strong></p>
<p><strong>50</strong></p></td>
<td><p><strong>$ 23,042</strong></p>
<p><strong>$ 12,500</strong></p>
<p><strong>$ 8,514</strong></p></td>
<td><p><strong>50</strong></p>
<p><strong>30</strong></p>
<p><strong>50</strong></p></td>
<td><p><strong>$ 23,042</strong></p>
<p><strong>$ 12,500</strong></p>
<p><strong>$ 8,837</strong></p></td>
<td><p><strong>50</strong></p>
<p><strong>30</strong></p>
<p><strong>50</strong></p></td>
<td><p><strong>$ 24,302</strong></p>
<p><strong>$ 12,500</strong></p>
<p><strong>$ 9,159</strong></p></td>
<td><p><strong>50</strong></p>
<p><strong>30</strong></p>
<p><strong>50</strong></p></td>
<td><p><strong>$ 24,302</strong></p>
<p><strong>$ 12,500</strong></p>
<p><strong>$ 9,482</strong></p></td>
<td><p><strong>50</strong></p>
<p><strong>30</strong></p>
<p><strong>50</strong></p></td>
<td><p><strong>$ 24,302</strong></p>
<p><strong>$ 12,500</strong></p>
<p><strong>$ 9,804</strong></p></td>
<td><p><strong>$ 118,990</strong></p>
<p><strong>$ 62,500</strong></p>
<p><strong>$ 45,796</strong></p></td>
</tr>
<tr class="odd">
<td><strong>SUB-TOTAL</strong></td>
<td></td>
<td><strong>$ 44,056</strong></td>
<td></td>
<td><strong>$ 44,379</strong></td>
<td></td>
<td><strong>$ 45,961</strong></td>
<td></td>
<td><strong>$ 46,284</strong></td>
<td></td>
<td><strong>$ 46,606</strong></td>
<td><strong>$ 227,286</strong></td>
</tr>
<tr class="even">
<td><strong>b. Fringe Benefits 28 %</strong></td>
<td></td>
<td><strong>$ 11,288</strong></td>
<td></td>
<td><strong>$ 11,344</strong></td>
<td></td>
<td><strong>$ 11,620</strong></td>
<td></td>
<td><strong>$ 11,677</strong></td>
<td></td>
<td><strong>$ 11,733</strong></td>
<td><strong>$ 57,662</strong></td>
</tr>
<tr class="odd">
<td><strong>c. Travel</strong></td>
<td></td>
<td><strong>$ 7,000</strong></td>
<td></td>
<td><strong>$ 7,000</strong></td>
<td></td>
<td><strong>$ 7,000</strong></td>
<td></td>
<td><strong>$ 6,000</strong></td>
<td></td>
<td><strong>$ 8,000</strong></td>
<td><strong>$ 35,000</strong></td>
</tr>
<tr class="even">
<td><strong>d. Equipment</strong></td>
<td></td>
<td><strong>$ 0</strong></td>
<td></td>
<td><strong>$ 0</strong></td>
<td></td>
<td><strong>$ 0</strong></td>
<td></td>
<td><strong>$ 0</strong></td>
<td></td>
<td><strong>$ 0</strong></td>
<td><strong>$ 0</strong></td>
</tr>
<tr class="odd">
<td><strong>e. Supplies</strong></td>
<td></td>
<td><strong>$ 23,247</strong></td>
<td></td>
<td><strong>$ 36,768</strong></td>
<td></td>
<td><strong>$ 34,910</strong></td>
<td></td>
<td><strong>$ 44,730</strong></td>
<td></td>
<td><strong>$ 51,552</strong></td>
<td><strong>$ 191,207</strong></td>
</tr>
<tr class="even">
<td><strong>f. Contractual</strong></td>
<td></td>
<td><strong>$ 0</strong></td>
<td></td>
<td><strong>$ 0</strong></td>
<td></td>
<td><strong>$ 0</strong></td>
<td></td>
<td><strong>$ 0</strong></td>
<td></td>
<td><strong>$ 0</strong></td>
<td><strong>$ 0</strong></td>
</tr>
<tr class="odd">
<td><strong>g. Construction</strong></td>
<td></td>
<td><strong>$ 0</strong></td>
<td></td>
<td><strong>$ 0</strong></td>
<td></td>
<td><strong>$ 0</strong></td>
<td></td>
<td><strong>$ 0</strong></td>
<td></td>
<td><strong>$ 0</strong></td>
<td><strong>$ 0</strong></td>
</tr>
<tr class="even">
<td><strong>h. Other</strong></td>
<td></td>
<td><strong>$ 0</strong></td>
<td></td>
<td><strong>$ 0</strong></td>
<td></td>
<td><strong>$ 0</strong></td>
<td></td>
<td><strong>$ 0</strong></td>
<td></td>
<td><strong>$ 0</strong></td>
<td><strong>$ 0</strong></td>
</tr>
<tr class="odd">
<td><p><strong>i.</strong></p>
<p><strong>TOTAL DIRECT CHARGES</strong></p></td>
<td></td>
<td><strong>$ 85,591</strong></td>
<td></td>
<td><strong>$ 99,491</strong></td>
<td></td>
<td><strong>$ 99,491</strong></td>
<td></td>
<td><strong>$ 108,691</strong></td>
<td></td>
<td><strong>$ 117,891</strong></td>
<td><strong>$ 511,155</strong></td>
</tr>
</tbody>
</table>

**INSTRUCTIONS \-- ED FORM 851A-5**

**OTHER BUDGET INFORMATION FORM**

Submit an Other Budget Information Form (ED FORM 851A-5) for each
activity and for Project

Management/Evaluation for each of the years for which you are requesting
funds. Place the ED FORM 851A-5 after the Activity Budget Form (ED FORM
851A-4).

Also submit an Other Budget Information Form (ED FORM 851A-5) with your
Summary Budget Form (ED 524) to explain those costs that are common to
all activities.

If you fail to provide sufficient details, we may disallow costs.

Use ED FORM 851A-5 to explain the costs you are requesting on ED FORM
851A-4.

1\. Enter the name of the institution submitting the application.

If the applicant is a cooperative arrangement of institutions, enter the
name of the

coordinating institution. This should be the same institution as listed
on the Application for Federal Education Assistance Form.

2\. Enter the title of the activity as it appears in the narrative.

3\. In the remarks section, you should itemize costs requested for the
activity. Explain how you arrived at the total amount requested in each
object class in each year of the activity.

A. [PERSONNEL COSTS]{.underline} as requested on ED FORM 851A-4

Enter each individual\'s name and/or the position titles for which funds
are requested.

Indicate the percentage of time that each staff person will commit to
the project for each year for which you are requesting funds.

Explain the basis for calculating release time and hourly rates, as they
relate to current

established institutional policies.

B. [FRINGE BENEFITS]{.underline} as requested on ED FORM 851A-4

List the specific benefits you provide to your employees and the
percentage rate that you calculate fringe benefits. If you calculate
fringe benefits by different methods for different categories of
Activity personnel (e.g., support staff vs. part-time personnel, faculty
vs.

administrative staff), provide a detailed explanation.

C. [TRAVEL]{.underline} as requested on ED FORM 851A-4

Indicate the names or titles of the personnel who will travel and
justify the need for the travel \-- in terms of completion of the
specific tasks during the budget period.

Provide an itemized breakdown of:

\* transportation costs - including destinations;

\* per diem rates;

\* number of travel days; and

\* other costs that the current institutional policies provide for
travel.

D. [EQUIPMENT]{.underline} as requested on ED FORM 851A-4.

Itemize and justify all non-expendable personal property having a useful
life of more than one year, and having an acquisition cost of \$5,000 or
more per unit. However, consistent with the institution's policy, lower
limits may be established for equipment and those items included here.
All equipment purchases must be necessary for achieving the activity
objectives.

Include detailed information, including \-- quantities, brand or trade
names, and unit costs, and explain how and who will use the equipment.

E. [SUPPLIES]{.underline} as requested on ED FORM 851A-4

List all tangible personal property other than that covered under the
\"Equipment\" category above.

Personal property is property other than real property (land and
buildings).

Provide itemized costs, and an itemized breakdown of all supplies,
including \-- quantities, brand or trade names, if known, and unit
costs.

F. [CONTRACTUAL]{.underline} as requested on ED FORM 851A-4

Include the estimated costs of any contractual agreement with another
institution of higher education, an organization or business. (Please
follow the regulations in EDGAR, 74.40-74.48).

G. [CONSTRUCTION]{.underline} as requested on ED FORM 851A-4.

Itemize all construction costs including labor and materials.

H. [OTHER]{.underline} as requested on ED FORM 851A-4.

Itemize all costs not covered in items A through G above.

+-----------------------------------------------------------+----------+
| **GRANT APPLICATION FOR THE TITLE III, PART A PROGRAMS**  | Form     |
|                                                           | A        |
| **Title III, Higher Education Act of 1965, as amended by  | pproved: |
| Public Law 102-325**                                      |          |
|                                                           | OMB      |
|                                                           | No.:1    |
|                                                           | 840-XXXX |
|                                                           |          |
|                                                           | Exp.     |
|                                                           | Date:    |
+-----------------------------------------------------------+----------+

  -----------------------------------------------------------------------
  **OTHER BUDGET INFORMATION FORM**

  -----------------------------------------------------------------------

  ----------------------------------- -----------------------------------
  **1. NAME OF APPLICANT              **2. ACTIVITY TITLE:**
  INSTITUTION:**                      

  ----------------------------------- -----------------------------------

  -----------------------------------------------------------------------
  **3. REMARKS**

  -----------------------------------------------------------------------

**ED FORM 851A-5**

According to the Paperwork Reduction Act of 1995, no persons are
required to respond to a collection of information unless such
collection displays a valid OMB control number. The valid OMB control
number for this information collection is **1890-0004**. The time
required to complete this information collection is estimated to vary
from 13 to 22 hours per response, with an average of 17.5 hours per
response, including the time to review instructions, search existing
data sources, gather the data needed, and complete and review the
information collection. If you have any comments concerning the accuracy
of the time estimate(s) or suggestions for improving this form, please
write to: U.S. Department of Education, Washington, D.C. 20202-4651. If
you have comments or concerns regarding the status of your individual
submission of this form, write directly to (insert program office), U.S.
Department of Education, 400 Maryland Avenue, S.W., Washington, D.C.
20202.

**INSTRUCTIONS FOR ED FORM 524**

[General Instructions]{.underline}

This form is used to apply to individual U.S. Department of Education
discretionary grant programs. Unless directed otherwise, provide the
same budget information for each year of the multi-year funding request.
Pay attention to applicable program specific instructions, if attached.

[Section A - Budget Summary]{.underline}

[U.S. Department of Education Funds]{.underline}

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

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

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

Line 12, columns (a)-(e): Show the total budget request for each project
year for which funding is requested.

Line 12, column (f): Show the total amount requested for all project
years. If funding is requested for only one year, leave this space
blank.

[Section B - Budget Summary]{.underline}

[Non-Federal Funds]{.underline}

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

Lines 1-11, columns (a)-(e): For each project year for which matching
funds or other contributions are provided,

show the total contribution for each applicable budget category.

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

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

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

[Section C - Other Budget Information]{.underline}

[Pay attention to applicable program specific]{.underline}

[instructions, if attached.]{.underline}

1\. Provide an itemized budget breakdown, by project year, for each
budget category listed in Sections A and B. For grant projects that will
be divided into two or more separately budgeted major activities or
sub-projects, show for each budget category of a project year the
breakdown of the specific expenses attributable to each sub-project or
activity.

2\. If applicable to this program, enter the type of indirect rate
(provisional, predetermined, final or fixed) that will be in effect
during the funding period. In addition, enter the estimated amount of
the base to which the rate is applied, and the total indirect expense.

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

4.  Provide other explanations or comments you deem

    necessary.

**SUMMARY BUDGET FORM ED 524**

######### SUPPLEMENTARY INSTRUCTIONS

Complete the Summary Budget Form (ED 524) after you have prepared all
Activity Budget Forms (ED FORM 851A-4).

If the institution is requesting to use grant monies for the
establishment or development of its endowment fund, provide this
information in Item 8.

Provide the total costs you are requesting for each budget category for
all activities for project years 1-5, and the sum totals for all five
years.

Examples:

If the institution is requesting personnel costs for all activities in
project year 1, totaling \$50,000, the institution should enter
"\$50,000" in Budget Category 1. Personnel, Project Year 1 (column (a)).

If the institution is requesting \$50,000 in personnel costs in all
project years (1-5), totaling \$250,000, the institution should enter
that figure in column (f):

"\$50,000" in Budget Category 1. Personnel, Project Year 1- Project Year
5

(columns (a) -- (e); and

"\$250,000" in Budget Category 1 -- Personnel, Total (column (f)).

**NOTE:** In place of Section C of the ED Form 524, use ED Form 851A-5

<table>
<colgroup>
<col style="width: 14%" />
<col style="width: 1%" />
<col style="width: 14%" />
<col style="width: 14%" />
<col style="width: 7%" />
<col style="width: 7%" />
<col style="width: 13%" />
<col style="width: 0%" />
<col style="width: 14%" />
<col style="width: 9%" />
</colgroup>
<tbody>
<tr class="odd">
<td rowspan="2"><img src="media/image2.png"
style="width:1.15in;height:1.125in" /></td>
<td colspan="6" rowspan="2"><p><strong>U.S. DEPARTMENT OF
EDUCATION</strong></p>
<p><strong>BUDGET INFORMATION</strong></p>
<p><strong>NON-CONSTRUCTION PROGRAMS</strong></p></td>
<td colspan="3">OMB Control Number: 1890-0004</td>
</tr>
<tr class="even">
<td colspan="3">Expiration Date: 1/31/2004</td>
</tr>
<tr class="odd">
<td colspan="5">Name of Institution/Organization</td>
<td colspan="5">Applicants requesting funding for only one year should
complete the column under "Project Year 1." Applicants requesting
funding for multi-year grants should complete all applicable columns.
Please read all instructions before completing form.</td>
</tr>
<tr class="even">
<td colspan="10"><p><strong>SECTION A - BUDGET SUMMARY</strong></p>
<p><strong>U.S. DEPARTMENT OF EDUCATION FUNDS</strong></p></td>
</tr>
<tr class="odd">
<td colspan="2">Budget Categories</td>
<td><p>Project Year 1</p>
<p>(a)</p></td>
<td><p>Project Year 2</p>
<p>(b)</p></td>
<td colspan="2"><p>Project Year 3</p>
<p>(c)</p></td>
<td colspan="2"><p>Project Year 4</p>
<p>(d)</p></td>
<td><p>Project Year 5</p>
<p>(e)</p></td>
<td><p>Total</p>
<p>(f)</p></td>
</tr>
<tr class="even">
<td colspan="2">1. Personnel</td>
<td></td>
<td></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="2">2. Fringe Benefits</td>
<td></td>
<td></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td colspan="2">3. Travel</td>
<td></td>
<td></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="2">4. Equipment</td>
<td></td>
<td></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td colspan="2">5. Supplies</td>
<td></td>
<td></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="2">6. Contractual</td>
<td></td>
<td></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td colspan="2">7. Construction</td>
<td></td>
<td></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="2">8. Other</td>
<td></td>
<td></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td colspan="2"><p>9. Total Direct Costs</p>
<p>(lines 1-8)</p></td>
<td></td>
<td></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="2">10. Indirect Costs</td>
<td></td>
<td></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td colspan="2">11. Training Stipends</td>
<td></td>
<td></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="2"><p>12. Total Costs</p>
<p>(lines 9-11)</p></td>
<td></td>
<td></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td></td>
<td></td>
</tr>
</tbody>
</table>

ED Form No. 524

**INSTRUCTIONS - ED FORM 851A-5**

##### OTHER BUDGET INFORMATION FORM---SUMMARY BUDGET

Place the completed Other Budget Information Form (ED FORM 851A-5)
behind the Summary Budget Form (ED FORM 524)

Use the Other Budget Information Form (ED FORM 851A-5) to explain those
costs that are common to all activities. Including:

-   The basis for the estimated annual increments of salaries calculated
    for personnel in subsequent years under the grant;

```{=html}
<!-- -->
```
-   The basis for the percentage of fringe benefits claimed, including
    the elements involved in the fringe benefits calculation, and the
    difference, if any, between fringe benefits for administrators,
    faculty, temporary employees, students, etc.;

```{=html}
<!-- -->
```
-   Institutional policies regarding travel costs, within and
    out-of-state, including the basis for calculating the per diem
    rates;

-   Institutional policies governing procurement procedures for the
    purchase of equipment and supplies, including policies on
    competitive bidding;

-   Institutional policies and procedures governing the selection and
    payment of

AND

-   The use of grant monies for the establishment or development of the

institution's endowment fund.

+-----------------------------------------------------------+----------+
| **GRANT APPLICATION FOR THE TITLE III, PART A PROGRAMS**  | Form     |
|                                                           | A        |
| **Title III, Higher Education Act of 1965, as amended by  | pproved: |
| Public Law 102-325**                                      |          |
|                                                           | OMB      |
|                                                           | No.:184  |
|                                                           | 0\--XXXX |
|                                                           |          |
|                                                           | Exp.     |
|                                                           | Date     |
+-----------------------------------------------------------+----------+

  -----------------------------------------------------------------------
  OTHER BUDGET INFORMATION FORM

  -----------------------------------------------------------------------

  --------------------------------------- -------------------------------
  **1. NAME OF APPLICANT INSTITUTION:**   **2. ACTIVITY TITLE:**

  --------------------------------------- -------------------------------

  -----------------------------------------------------------------------
  **3. REMARKS**

  -----------------------------------------------------------------------

ENDOWMENT FUND

# **ASSURANCE FORM**

The institution of higher education proposed to use no more than up to
twenty percent (20%) of the Strengthening Institutions Program or
American Indian Tribally Controlled Colleges and Universities Program
development grant award, made under the authority of Title III, Part A
of the Higher Education Act of 1965, as amended to establish or increase
the institution's endowment fund.

The institution agrees to abide by the Department of Education's
regulations governing the Endowment Challenge Grant Program, 34 CFR Part
628, the program statute, and the program regulations, 34 CFR Part 607.

The institution further agrees to raise the required matching funds.

Typed Name of Institution of Higher Education

**[\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_]{.underline}**
**[\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_]{.underline}**

Signature of President or Date

Chief Executive

Typed Name and Title of Signatory

**[\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_]{.underline}**
**[\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_]{.underline}**

Signature of President or Date

Chief Executive

Typed Name and Title of Signatory

## ED FORM 851A-6

## 

##### ALASKA NATIVE-SERVING INSTITUTIONS CERTIFICATION

Pursuant to the statutory requirements governing the Alaska Native and
Native Hawaiian-Serving Institutions Program, authorized under Title
III, Part A of the Higher Education Act of 1965, as amended, I certify
to the following:

The named institution of higher education, at the time of application,
has an enrollment of undergraduate students that is at least twenty
percent (20%) Alaska Native. The term "Native" means "a citizen of the
United States who is a person of one-fourth degree or more Alaska Indian
(including Tsimshian Indians not enrolled in the Metlaktla[^1] Indian
Community) Eskimo, or Aleut blood, or combination thereof. The term
includes any Native as so defined either or both of whose adoptive
parents are not Natives. It also includes, in the absence of proof of a
minimum blood quantum, any citizen of the United States who is regarded
as an Alaska Native by the Native village or Native group of which he
claims to be a member and whose father or mother is (or, if deceased,
was) regarded as Native by any village or group."

(See Section 1602 of the "Alaska Native Claims Settlement Act as
codified)

Specifically

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Total Undergraduate Headcount Enrollment

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Alaska Native Undergraduate Headcount Enrollment

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Percent of Alaska Native Enrollment of Undergraduate Students

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Name of Institution

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Signature of President of the Institution

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_

Type Name of Signatory Date

ED Form 851A-7 OMB No. 1840-XXXX Expiration Date:

##### NATIVE HAWAIIAN-SERVING INSTITUTIONS CERTIFICATION

Pursuant to the statutory requirements governing the Alaska Native and
Native Hawaiian-Serving Institutions Program, authorized under Title
III, Part A of the Higher Education Act of 1965, as amended, I certify
to the following:

The institution of higher education, at the time of application, has an
enrollment of undergraduate students that is at least ten percent (10%)
Native Hawaiian. The term "Native Hawaiian" means any individual who

is ---

\(A\) a citizen of the United States; and

\(B\) a descendant of the aboriginal people who, prior to 1778, occupied
and exercised sovereignty in the area that now comprises the State of
Hawaii, as evidenced by ---

\(i\) genealogical records;

> \(ii\) Kupuna (elders) or Kamaaina (long-term community residents)
> verification; or

\(iii\) certified birth records.

(See Section 7207 of the "No Child Left Behind Act of 2001")

Specifically

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Total Undergraduate Headcount Enrollment

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Native Hawaiian Undergraduate Headcount Enrollment

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Percent of Native Hawaiian Enrollment of Undergraduate Students

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Name of Institution

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Signature of President of the Institution

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_\_\_\_

Type Name of Signatory Date

ED Form 851A-8 OMB No. 1840-XXXX Expiration Date:

**DUAL SUBMISSION CERTIFICATION**

If an institution applies for a grant under more than one program it
must indicate that fact in each application, and further indicate which
grant it wishes to receive if it is selected to receive a grant under
more than one program.

I have submitted applications under: (check all submissions that apply
to your institution)

-   Strengthening Institutions Program

> American Indian Tribally Controlled Colleges and Universities Program
>
> Native Hawaiian-Serving Institutions Program
>
> Alaska Native-Serving Institutions Program
>
> Title V Hispanic-Serving Institutions Program

If my institution should be selected to receive a grant under more than
one program,

I will accept the grant
for\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_(insert
name of program).

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Name of Institution

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Signature of President of the Institution

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Type Name of Signatory

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Date

ED Form 851A-9 OMB No. 1840-XXXX Expiration Date:

NOTICE TO ALL APPLICANTS

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

**To Whom Does This Provision Apply?**

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

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

**What Does This Provision Require?**

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

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

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

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

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

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

**Estimated Burden Statement for GEPA Requirements**

According to the Paperwork Reduction Act of 1995, no persons are
required to respond to a collection of information unless such
collection displays a valid OMB control number. The valid OMB control
number for this information collection is **1890-0007.** The time
required to complete this information collection is estimated to average
1.5 hours per response, including the time to review instructions,
search existing data resources, gather the data needed, and complete and
review the information collection. **If you have any comments concerning
the accuracy of the time estimate(s) or suggestions for improving this
form, please write to:** Director, Grants Policy and Oversight Staff,
U.S. Department of Education, 400 Maryland Avenue, SW (Room 3652, GSA
Regional Office Building No. 3). Washington, DC 20202-4248. OMB Control
No. 1890-0007 (Exp. 09/30/2004)

**CERTIFICATIONS REGARDING LOBBYING; DEBARMENT, SUSPENSION AND OTHER**

**RESPONSIBILITY MATTERS; AND DRUG-FREE WORKPLACE REQUIREMENTS**

Applicants should refer to the regulations cited below to determine the
certification to which they are required to attest. Applicants should
also review the instructions for certification included in the
regulations before completing this form. Signature of this form provides
for compliance with certification requirements under 34 CFR Part 82,
\"New Restrictions on Lobbying,\" and 34 CFR Part 85, \"Government-wide
Debarment and Suspension (Nonprocurement) and Government-wide
Requirements for Drug-Free Workplace (Grants).\" The certifications
shall be treated as a material representation of fact upon which
reliance will be placed when the Department of Education determines to
award the covered transaction, grant, or cooperative agreement.

1\. **LOBBYING**

As required by Section 1352, Title 31 of the U.S. Code, and implemented
at 34 CFR Part 82, for persons entering into a grant or cooperative
agreement over \$100,000, as defined at 34 CFR Part 82, Sections 82.105
and 82.110, the applicant certifies that:

\(a\) No Federal appropriated funds have been paid or will be paid, by
or on behalf of the undersigned, to any person for influencing or
attempting to influence an officer or employee of any agency, a Member
of Congress, an officer or employee of Congress, or an employee of a
Member of Congress in connection with the making of any Federal grant,
the entering into of any cooperative agreement, and the extension,
continuation, renewal, amendment, or modification of any Federal grant
or cooperative agreement;

\(b\) If any funds other than Federal appropriated funds have been paid
or will be paid to any person for influencing or attempting to influence
an officer or employee of any agency, a Member of Congress, an officer
or employee of Congress, or an employee of a Member of Congress in
connection with this Federal grant or cooperative agreement, the
undersigned shall complete and submit Standard Form - LLL, \"Disclosure
Form to Report Lobbying,\" in accordance with its instructions;

\(c\) The undersigned shall require that the language of this
certification be included in the award documents for all subawards at
all tiers (including subgrants, contracts under grants and cooperative
agreements, and subcontracts) and that all subrecipients shall certify
and disclose accordingly.

2\. **DEBARMENT, SUSPENSION, AND OTHER RESPONSIBILITY MATTERS**

As required by Executive Order 12549, Debarment and Suspension, and
implemented at 34 CFR Part 85, for prospective participants in primary
covered transactions, as defined at 34 CFR Part 85, Sections 85.105 and
85.110\--

A. The applicant certifies that it and its principals:

\(a\) Are not presently debarred, suspended, proposed for debarment,
declared ineligible, or voluntarily excluded from covered transactions
by any Federal department or agency;

\(b\) Have not within a three-year period preceding this application
been convicted of or had a civil judgement rendered against them for
commission of fraud or a criminal offense in connection with obtaining,
attempting to obtain, or performing a public (Federal, State, or local)
transaction or contract under a public transaction; violation of Federal
or State antitrust statutes or commission of embezzlement, theft,
forgery, bribery, falsification or destruction of records, making false
statements, or receiving stolen property;

\(c\) Are not presently indicted for or otherwise criminally or civilly
charged by a governmental entity (Federal, State, or local) with
commission of any of the offenses enumerated in paragraph (2)(b) of this
certification; and

\(d\) Have not within a three-year period preceding this application had
one or more public transaction (Federal, State, or local) terminated for
cause or default; and

B. Where the applicant is unable to certify to any of the statements in
this certification, he or she shall attach an

explanation to this application.

3\. **DRUG-FREE WORKPLACE**

**(GRANTEES OTHER THAN INDIVIDUALS)**

As required by the Drug-Free Workplace Act of 1988, and implemented at
34 CFR Part 85, Subpart F, for grantees, as defined at 34 CFR Part 85,
Sections 85.605 and 85.610 -

A. The applicant certifies that it will or will continue to provide a
drug-free workplace by:

\(a\) Publishing a statement notifying employees that the unlawful
manufacture, distribution, dispensing, possession, or use of a
controlled substance is prohibited in the grantee\'s workplace and
specifying the actions that will be taken against employees for
violation of such prohibition;

\(b\) Establishing an on-going drug-free awareness program to inform
employees about:

\(1\) The dangers of drug abuse in the workplace;

\(2\) The grantee\'s policy of maintaining a drug-free workplace;

\(3\) Any available drug counseling, rehabilitation, and employee
assistance programs; and

\(4\) The penalties that may be imposed upon employees for drug abuse
violations occurring in the workplace;

\(c\) Making it a requirement that each employee to be engaged in the
performance of the grant be given a copy of the statement required by
paragraph (a);

\(d\) Notifying the employee in the statement required by paragraph (a)
that, as a condition of employment under the grant, the employee will:

\(1\) Abide by the terms of the statement; and

\(2\) Notify the employer in writing of his or her conviction for a
violation of a criminal drug statute occurring in the workplace no later
than five calendar days after such conviction;

\(e\) Notifying the agency, in writing, within 10 calendar days after
receiving notice under subparagraph (d)(2) from an employee or otherwise
receiving actual notice of such conviction. Employers of convicted
employees must provide notice, including position title, to: Director,
Grants Policy and Oversight Staff, U.S. Department of Education, 400
Maryland Avenue, S.W. (Room 3652, GSA Regional Office Building No. 3),
Washington, DC 20202-4248. Notice shall include the identification
number(s) of each affected grant;

\(f\) Taking one of the following actions, within 30 calendar days of
receiving notice under subparagraph (d)(2), with respect to any employee
who is so convicted:

\(1\) Taking appropriate personnel action against such an employee, up
to and including termination, consistent with the requirements of the
Rehabilitation Act of 1973, as amended; or

\(2\) Requiring such employee to participate satisfactorily in a drug
abuse assistance or rehabilitation program approved for such purposes by
a Federal, State, or local health, law enforcement, or other appropriate
agency;

\(g\) Making a good faith effort to continue to maintain a

drug-free workplace through implementation of paragraphs

(a), (b), (c), (d), (e), and (f).

B. The grantee may insert in the space provided below the site(s) for
the performance of work done in connection with the specific grant:

Place of Performance (Street address. city, county, state, zip code)

Check **\[ \]** if there are workplaces on file that are not identified
here.

**DRUG-FREE WORKPLACE**

**(GRANTEES WHO ARE INDIVIDUALS)**

As required by the Drug-Free Workplace Act of 1988, and implemented at
34 CFR Part 85, Subpart F, for grantees, as

defined at 34 CFR Part 85, Sections 85.605 and 85.610-

A. As a condition of the grant, I certify that I will not engage in the
unlawful manufacture, distribution, dispensing, possession, or use of a
controlled substance in conducting any activity with the grant; and

B. If convicted of a criminal drug offense resulting from a violation
occurring during the conduct of any grant activity, I will report the
conviction, in writing, within 10 calendar days of the conviction, to:
Director, Grants Policy and Oversight Staff, Department of Education,
400 Maryland Avenue, S.W. (Room 3652, GSA Regional Office Building No.
3), Washington, DC 20202-4248. Notice shall include the identification
number(s) of each affected grant.

As the duly authorized representative of the applicant, I hereby certify
that the applicant will comply with the above certifications.

  -----------------------------------------------------------------------
  NAME OF APPLICANT PR/AWARD NUMBER AND / OR PROJECT NAME

  PRINTED NAME AND TITLE OF AUTHORIZED REPRESENTATIVE

  SIGNATURE DATE
  -----------------------------------------------------------------------

ED 80-0013 12/98

**OMB Approval No. 0348-0040**

**ASSURANCES - NON-CONSTRUCTION PROGRAMS**

Public reporting burden for this collection of information is estimated
to average 15 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 (0348-0040), 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.**

**Note:** Certain of these assurances may not be applicable to your
project or program. If you have questions, please contact the awarding
agency. Further, certain Federal awarding agencies may require
applicants to certify to additional assurances. If such is the case, you
will be notified.

As the duly authorized representative of the applicant I certify that
the applicant:

1\. Has the legal authority to apply for Federal assistance, and the
institutional, managerial and financial capability (including funds
sufficient to pay the non-Federal share of project cost) to ensure
proper planning, management, and completion of the project described in
this application.

2\. Will give the awarding agency, the Comptroller General of the United
States, and if appropriate, the State, through any authorized
representative, access to and the right to examine all records, books,
papers, or documents related to the award; and will establish a proper
accounting system in accordance with generally accepted accounting
standards or agency directives.

3\. Will establish safeguards to prohibit employees from using their
positions for a purpose that constitutes or presents the appearance of
personal or organizational conflict of interest, or personal gain.

4\. Will initiate and complete the work within the applicable time frame
after receipt of approval of the awarding agency.

5\. Will comply with the Intergovernmental Personnel Act of 1970 (42
U.S.C. 4728-4763) relating to prescribed standards for merit systems
for programs funded under one of the 19 statutes or regulations
specified in Appendix A of OPM\'s Standards for a Merit System of
Personnel Administration (5 C.F.R. 900, Subpart F).

6\. Will comply with all Federal statutes relating to nondiscrimination.
These include but are not limited to: (a) Title VI of the Civil Rights
Act of 1964 (P.L. 88-352) which prohibits discrimination on the basis of
race, color or national origin; (b) Title IX of the Education Amendments
of 1972, as amended (20 U.S.C. 1681-1683, and 1685-1686), which
prohibits discrimination on the basis of sex; (c) Section 504 of the
Rehabilitation Act of 1973, as amended (29 U.S.C. 794), which prohibits
discrimination on the basis of handicaps; (d) the Age Discrimination Act
of 1975, as amended (42 U.S.C.  6101-6107), which prohibits
discrimination on the basis of age; (e) the Drug Abuse Office and
Treatment Act of 1972 (P.L. 92-255), as amended, relating to
nondiscrimination on the basis of drug abuse; (f) the Comprehensive
Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation
Act of 1970 (P.L. 91-616), as amended, relating to nondiscrimination on
the basis of alcohol abuse or alcoholism; (g)  523 and 527 of the
Public Health Service Act of 1912 (42 U.S.C.  290 dd-3 and 290 ee 3),
as amended, relating to confidentiality of alcohol and drug abuse
patient records; (h) Title VIII of the Civil Rights Act of 1968 (42
U.S.C.  3601 et seq.), as amended, relating to nondiscrimination in the
sale, rental or financing of housing; (i) any other nondiscrimination
provisions in the specific statute(s) under which application for
Federal assistance is being made; and (j) the requirements of any other
nondiscrimination statute(s) which may apply to the application.

7\. Will comply, or has already complied, with the requirements of
Titles II and III of the uniform Relocation Assistance and Real Property
Acquisition Policies Act of 1970 (P.L. 91-646) which provide for fair
and equitable treatment of persons displaced or whose property is
acquired as a result of Federal or federally assisted programs. These
requirements apply to all interests in real property acquired for
project purposes regardless of Federal participation in purchases.

8\. Will comply, as applicable, with the provisions of the Hatch Act (5
U.S.C. 1501-1508 and 7324-7328) which limit the political activities
of employees whose principal employment activities are funded in whole
or in part with Federal funds.

9\. Will comply, as applicable, with the provisions of the Davis-Bacon
Act (40 U.S.C. 276a to 276a-7), the Copeland Act (40 U.S.C. 276c and
18 U.S.C. 874) and the Contract Work Hours and Safety Standards Act
(40 U.S.C.  327-333), regarding labor standards for federally assisted
construction subagreements.

10\. Will comply, if applicable, with flood insurance purchase
requirements of Section 102(a) of the Flood Disaster Protection Act of
1973 (P.L. 93-234) which requires recipients in a special flood hazard
area to participate in the program and to purchase flood insurance if
the total cost of insurable construction and acquisition is \$10,000 or
more.

11\. Will comply with environmental standards which may be prescribed
pursuant to the following: (a) institution of environmental quality
control measures under the National Environmental Policy Act of 1969
(P.L. 91-190) and Executive Order (EO) 11514; (b) notification of
violating facilities pursuant to EO 11738; (c) protection of wetlands
pursuant to EO 11990; (d) evaluation of flood hazards in floodplains in
accordance with EO 11988; (e) assurance of project consistency with the
approved State management program developed under the Coastal Zone
Management Act of 1972 (16 U.S.C. 1451 et seq.); (f) conformity of
Federal actions to State (Clear Air) Implementation Plans under Section
176(c) of the Clear Air Act of 1955, as amended (42 U.S.C. 7401 et
seq.); (g) protection of underground sources of drinking water under the
Safe Drinking Water Act of 1974, as amended, (P.L. 93-523); and (h)
protection of endangered species under the Endangered Species Act of
1973, as amended, (P.L. 93-205).

12 Will comply with the Wild and Scenic Rivers Act of 1968 (16 U.S.C.
1721 et seq.) related to protecting components or potential components
of the national wild and scenic rivers system.

13\. Will assist the awarding agency in assuring compliance with Section
106 of the National Historic Preservation Act of 1966, as amended (16
U.S.C. 470), EO 11593 (identification and protection of historic
properties), and the Archaeological and Historic Preservation Act of
1974 (16 U.S.C. 469a-1 et seq.).

14\. Will comply with P.L. 93-348 regarding the protection of human
subjects involved in research, development, and related activities
supported by this award of assistance.

15\. Will comply with the Laboratory Animal Welfare Act of 1966 (P.L.
89-544, as amended, 7 U.S.C. 2131 et seq.) pertaining to the care,
handling, and treatment of warm blooded animals held for research,
teaching, or other activities supported by this award of assistance.

16\. Will comply with the Lead-Based Paint Poisoning Prevention Act (42
U.S.C. 4801 et seq.) which prohibits the use of lead- based paint in
construction or rehabilitation of residence structures.

17\. Will cause to be performed the required financial and compliance
audits in accordance with the Single Audit Act Amendments of 1996 and
OMB Circular No. A-133, Audits of States, Local Governments, and
Non-Profit Organizations.

18\. Will comply with all applicable requirements of all other Federal
laws, executive orders, regulations and policies governing this program.

  ----------------------------------------- -------- ---------------------
  SIGNATURE OF AUTHORIZED CERTIFYING        TITLE    
  OFFICIAL                                           

  APPLICANT ORGANIZATION                             DATE SUBMITTED
  ----------------------------------------- -------- ---------------------

**Standard Form 424B (Rev. 7-97) Back**

Approved by OMB

0348-0046

**Disclosure of Lobbying Activities**

Complete this form to disclose lobbying activities pursuant to 31 U.S.C.
1352

(See reverse for public burden disclosure)

+----------------------+----------+---------+-------------------------+
| 1.  **Type of        | 2.       |         | 3.  **Report Type:**    |
|     Federal          | **Status |         |                         |
|     Action:**        |     of   |         | a\. initial filing      |
|                      |          |         |                         |
| a\. contract         |  Federal |         | \_\_\_\_\_ b. material  |
|                      |     A    |         | change                  |
| \_\_\_\_ b. grant    | ction:** |         |                         |
|                      |          |         | **For material change   |
| c\. cooperative      | a\.      |         | only:**                 |
| agreement            | bid/o    |         |                         |
|                      | ffer/app |         | Year \_\_\_\_\_\_\_     |
| d\. loan             | lication |         | quarter \_\_\_\_\_\_\_  |
|                      |          |         |                         |
| e\. loan guarantee   | \_       |         | Date of last            |
|                      | \_\_\_\_ |         | repor                   |
| f\. loan insurance   | b.       |         | t\_\_\_\_\_\_\_\_\_\_\_ |
|                      | initial  |         |                         |
|                      | award    |         |                         |
|                      |          |         |                         |
|                      | c\.      |         |                         |
|                      | po       |         |                         |
|                      | st-award |         |                         |
+----------------------+----------+---------+-------------------------+
| 4.  **Name and       |          | 5       |                         |
|     Address of       |          | .  **If |                         |
|     Reporting        |          |     Re  |                         |
|     Entity:**        |          | porting |                         |
|                      |          |         |                         |
| \_\_\_\_ Prime       |          |  Entity |                         |
| \_\_\_\_\_           |          |     in  |                         |
| Subawardee           |          |     No. |                         |
|                      |          |     4   |                         |
| > Tier\_\_\_\_\_\_,  |          |     is  |                         |
| > if Known:          |          |         |                         |
|                      |          |  Subawa |                         |
| **Congressional      |          | rdee,** |                         |
| District, if         |          |         |                         |
| known:**             |          |   Enter |                         |
|                      |          |         |                         |
|                      |          |    Name |                         |
|                      |          |     and |                         |
|                      |          |         |                         |
|                      |          | Address |                         |
|                      |          |     of  |                         |
|                      |          |         |                         |
|                      |          |  Prime: |                         |
|                      |          |         |                         |
|                      |          | *       |                         |
|                      |          | *Congre |                         |
|                      |          | ssional |                         |
|                      |          | Di      |                         |
|                      |          | strict, |                         |
|                      |          | if      |                         |
|                      |          | k       |                         |
|                      |          | nown:** |                         |
+----------------------+----------+---------+-------------------------+
| **6. Federal         |          | **7.    |                         |
| Department/Agency:** |          | Federal |                         |
|                      |          | Program |                         |
|                      |          | Nam     |                         |
|                      |          | e/Descr |                         |
|                      |          | iption: |                         |
|                      |          | Federal |                         |
|                      |          | Program |                         |
|                      |          | Name/   |                         |
|                      |          | Descrip |                         |
|                      |          | tion:** |                         |
|                      |          |         |                         |
|                      |          | CFDA    |                         |
|                      |          | Number, |                         |
|                      |          | *if     |                         |
|                      |          | appli   |                         |
|                      |          | cable*: |                         |
|                      |          | \       |                         |
|                      |          | _\_\_\_ |                         |
|                      |          | \_\_\_\ |                         |
|                      |          | _\_\_\_ |                         |
|                      |          | \_\_\_\ |                         |
|                      |          | _\_\_\_ |                         |
+----------------------+----------+---------+-------------------------+
| **8. Federal Action  |          | **9.    |                         |
| Number,** *if        |          | Award   |                         |
| known:*              |          | Am      |                         |
|                      |          | ount**, |                         |
|                      |          | *if     |                         |
|                      |          | known:* |                         |
|                      |          | **Award |                         |
|                      |          | Am      |                         |
|                      |          | ount**, |                         |
|                      |          | *if     |                         |
|                      |          | known:* |                         |
|                      |          |         |                         |
|                      |          | **\$**  |                         |
+----------------------+----------+---------+-------------------------+
| **10. a. Name and    |          | **b.    |                         |
| Address of Lobbying  |          | Indi    |                         |
| Registrant**         |          | viduals |                         |
|                      |          | Per     |                         |
| *(if individual,     |          | forming |                         |
| last name, first     |          | Ser     |                         |
| name, MI):*          |          | vices** |                         |
|                      |          | *(in    |                         |
|                      |          | cluding |                         |
|                      |          | address |                         |
|                      |          | if      |                         |
|                      |          | di      |                         |
|                      |          | fferent |                         |
|                      |          | from    |                         |
|                      |          | No.     |                         |
|                      |          | 10a)*   |                         |
|                      |          |         |                         |
|                      |          | *(last  |                         |
|                      |          | name,   |                         |
|                      |          | first   |                         |
|                      |          | name,   |                         |
|                      |          | MI):*   |                         |
+----------------------+----------+---------+-------------------------+
| **11. Information    |          | **Sig   |                         |
| requested through    |          | nature: |                         |
| this form is         |          | \_\_\_\ |                         |
| authorized by title  |          | _\_\_\_ |                         |
| 31 U.S.C. section    |          | \_\_\_\ |                         |
| 1352. This           |          | _\_\_\_ |                         |
| disclosure of        |          | \_\_\_\ |                         |
| lobbying activities  |          | _\_\_\_ |                         |
| is a material        |          | \_\_\_\ |                         |
| representation of    |          | _\_\_\_ |                         |
| fact upon which      |          | \_\_\_\ |                         |
| reliance was placed  |          | _\_\_** |                         |
| by the tier above    |          |         |                         |
| when this            |          | **Print |                         |
| transaction was made |          | Nam     |                         |
| or entered into.     |          | e:\_\_\ |                         |
| This disclosure is   |          | _\_\_\_ |                         |
| required pursuant to |          | \_\_\_\ |                         |
| 31 U.S.C. 1352. This |          | _\_\_\_ |                         |
| information will be  |          | \_\_\_\ |                         |
| reported to the      |          | _\_\_\_ |                         |
| Congress             |          | \_\_\_\ |                         |
| semi-annually and    |          | _\_\_\_ |                         |
| will be available    |          | \_\_\_\ |                         |
| for public           |          | _\_\_** |                         |
| inspection. Any      |          |         |                         |
| person who fails to  |          | **      |                         |
| file the required    |          | Title:\ |                         |
| disclosure shall be  |          | _\_\_\_ |                         |
| subject to a civil   |          | \_\_\_\ |                         |
| penalty of not less  |          | _\_\_\_ |                         |
| than \$10,000 and    |          | \_\_\_\ |                         |
| not more than        |          | _\_\_\_ |                         |
| \$100,000 for each   |          | \_\_\_\ |                         |
| such failure.**      |          | _\_\_\_ |                         |
|                      |          | \_\_\_\ |                         |
|                      |          | _\_\_\_ |                         |
|                      |          | \_\_\_\ |                         |
|                      |          | _\_\_** |                         |
|                      |          |         |                         |
|                      |          | **Te    |                         |
|                      |          | lephone |                         |
|                      |          | No.:    |                         |
|                      |          | \_\_    |                         |
|                      |          | \_\_\_\ |                         |
|                      |          | _\_\_\_ |                         |
|                      |          | \_\_\_\ |                         |
|                      |          | _\_\_\_ |                         |
|                      |          | Date:   |                         |
|                      |          | \_      |                         |
|                      |          | \_\_\_\ |                         |
|                      |          | _\_\_** |                         |
+----------------------+----------+---------+-------------------------+
| **Federal Use Only** |          | **Aut   |                         |
|                      |          | horized |                         |
|                      |          | for     |                         |
|                      |          | Local   |                         |
|                      |          | Reprodu |                         |
|                      |          | ction** |                         |
|                      |          |         |                         |
|                      |          | **S     |                         |
|                      |          | tandard |                         |
|                      |          | Form -  |                         |
|                      |          | LLL     |                         |
|                      |          | (Rev.   |                         |
|                      |          | 7-97)** |                         |
+----------------------+----------+---------+-------------------------+

**INSTRUCTIONS FOR COMPLETION OF SF-LLL, DISCLOSURE OF LOBBYING
ACTIVITIES**

This disclosure form shall be completed by the reporting entity, whether
subawardee or prime Federal recipient, at the initiation or receipt of a
covered Federal action, or a material change to a previous filing,
pursuant to title 31 U.S.C. section 1352. The filing of a form is
required for each payment or agreement to make payment to any lobbying
entity for influencing or attempting to influence an officer or employee
of any agency, a Member of Congress, an officer or employee of Congress,
or an employee of a Member of Congress in connection with a covered
Federal action. Complete all items that apply for both the initial
filing and material change report. Refer to the implementing guidance
published by the Office of Management and Budget for additional
information.

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

2\. Identify the status of the covered Federal action.

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

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

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

6\. Enter the name of the federal agency making the award or loan
commitment. Include at least one organizational level below agency name,
if known. For example, Department of Transportation, United States Coast
Guard.

7\. Enter the Federal program name or description for the covered
Federal action (item 1). If known, enter the full Catalog of Federal
Domestic Assistance (CFDA) number for grants, cooperative agreements,
loans, and loan commitments.

8\. Enter the most appropriate Federal identifying number available for
the Federal action identified in item 1 (e.g., Request for Proposal
(RFP) number; Invitations for Bid (IFB) number; grant announcement
number; the contract, grant, or loan award number; the
application/proposal control number assigned by the Federal agency).
Included prefixes, e.g., "RFP-DE-90-001."

9\. For a covered Federal action where there has been an award or loan
commitment by the Federal agency, enter the Federal amount of the
award/loan commitment for the prime entity identified in item 4 or 5.

10\. (a) Enter the full name, address, city, State and zip code of the
lobbying registrant under the Lobbying Disclosure Act of 1995 engaged by
the reporting entity identified in item 4 to influence the covered
Federal action.

> \(b\) Enter the full names of the individual(s) performing services,
> and include full address if different from 10(a). Enter Last Name,
> First Name, and Middle Initial (MI).

11\. The certifying official shall sign and date the form, print his/her
name, title, and telephone number.

According to the Paperwork Reduction Act, as amended, no persons are
required to respond to a collection of information unless it displays a
valid OMB control Number. The valid OMB control number for this
information collection is OMB No. 0348-0046. Public reporting burden for
this collection of information is estimated to average 10 minutes per
response, including time for reviewing instructions, searching existing
data sources, gathering and maintaining the data needed, and completing
and reviewing the collection of information. Send comments regarding the
burden estimate or any other aspect of this collection of information,
including suggestions for reducing this burden, to the Office of
Management and Budget, Paperwork Reduction Project (0348-0046),
Washington, DC 20503

**Certification Regarding Debarment, Suspension, Ineligibility and**

**Voluntary Exclusion \-- Lower Tier Covered Transactions**

This certification is required by the Department of Education
regulations implementing Executive Order 12549, Debarment and
Suspension, 34 CFR Part 85, for all lower tier transactions meeting the
threshold and tier requirements stated at Section 85.110.

**Instructions for Certification**

1\. By signing and submitting this proposal, the prospective lower tier
participant is providing the certification set out below.

2\. The certification in this clause is a material representation of
fact upon which reliance was placed when this transaction was entered
into. If it is later determined that the prospective lower tier
participant knowingly rendered an erroneous certification, in addition
to other remedies available to the Federal Government, the department or
agency with which this transaction originated may pursue available
remedies, including suspension and/or debarment.

3\. The prospective lower tier participant shall provide immediate
written notice to the person to which this proposal is submitted if at
any time the prospective lower tier participant learns that its
certification was erroneous when submitted or has become erroneous by
reason of changed circumstances.

4\. The terms \"covered transaction,\" \"debarred,\" \"suspended,\"
\"ineligible,\" \"lower tier covered transaction,\" \"participant,\" \"
person,\" \"primary covered transaction,\" \" principal,\" \"proposal,\"
and \"voluntarily excluded,\" as used in this clause, have the meanings
set out in the Definitions and Coverage sections of rules implementing
Executive Order 12549. You may contact the person to which this proposal
is submitted for assistance in obtaining a copy of those regulations.

5\. The prospective lower tier participant agrees by submitting this
proposal that, should the proposed covered transaction be entered into,
it shall not knowingly enter into any lower tier covered transaction
with a person who is debarred, suspended, declared ineligible, or
voluntarily excluded from participation in this covered transaction,
unless authorized by the department or agency with which this
transaction originated.

6\. The prospective lower tier participant further agrees by submitting
this proposal that it will include the clause titled Certification
Regarding Debarment, Suspension, Ineligibility, and Voluntary
Exclusion-Lower Tier Covered Transactions,without modification, in all
lower tier covered transactions and in all solicitations for lower tier
covered transactions.

7\. A participant in a covered transaction may rely upon a certification
of a prospective participant in a lower tier covered transaction that it
is not debarred, suspended, ineligible, or voluntarily excluded from the
covered transaction, unless it knows that the certification is
erroneous. A participant may decide the method and frequency by which it
determines the eligibility of its principals. Each participant may but
is not required to, check the Nonprocurement List.

8\. Nothing contained in the foregoing shall be construed to require
establishment of a system of records in order to render in good faith
the certification required by this clause. The knowledge and information
of a participant is not required to exceed that which is normally
possessed by a prudent person in the ordinary course of business
dealings.

9\. Except for transactions authorized under paragraph 5 of these
instructions, if a participant in a covered transaction knowingly enters
into a lower tier covered transaction with a person who is suspended,
debarred, ineligible, or voluntarily excluded from participation in this
transaction, in addition to other remedies available to the Federal
Government, the department or agency with which this transaction
originated may pursue available remedies, including suspension and/or
debarment.

**Certification**

\(1\) The prospective lower tier participant certifies, by submission of
this proposal, that neither it nor its principals are presently
debarred, suspended, proposed for debarment, declared ineligible, or
voluntarily excluded from participation in this transaction by any
Federal department or agency.

\(2\) Where the prospective lower tier participant is unable to certify
to any of the statements in this certification, such prospective
participant shall attach an explanation to this proposal.

  -----------------------------------------------------------------------
  NAME OF APPLICANT PR/AWARD NUMBER AND/OR PROJECT NAME

  PRINTED NAME AND TITLE OF AUTHORIZED REPRESENTATIVE

  SIGNATURE DATE
  -----------------------------------------------------------------------

ED 80-0014, 9/90 (Replaces GCS-009 (REV.12/88), which is obsolete)

**Appendices**

**Appendix II**

# **PROGRAM STATUTE**

## TITLE III\-\--INSTITUTIONAL AID

**SEC. 301. FINDINGS AND PURPOSES**.

\(a\) **FINDINGS. \--**The Congress finds that\--

\(1\) there are a significant number of institutions of higher education
serving high percentages of minority students and students from
low-income backgrounds, that face problems that threaten their ability
to survive;

\(2\) the problems relate to the management and fiscal operations of
certain institutions of higher education, as well as to an inability to
engage in long-range planning and development activities, including
endowment building;

\(3\) in order to be competitive and provide a high-quality education
for all, institutions of higher education should improve their
technological capacity and make effective use of technology;

\(4\) the title III program prior to 1985 did not always meet the
specific development needs of historically Black colleges and
universities and other institutions with large concentrations of
minority, low-income students;

\(5\) the solution of the problems of these institutions would enable
them to become viable, fiscally stable and independent, thriving
institutions of higher education;

\(6\) providing assistance to eligible institutions will enhance the
role of such institutions in providing access and quality education to
low-income and minority students;

\(7\) these institutions play an important role in the American system
of higher education, and there is a strong national interest in
assisting them in solving their problems and in stabilizing their
management and fiscal operations, and in becoming financially
independent; and

\(8\) there is a particular national interest in aiding those
institutions of higher education that have historically served students
who have been denied access to postsecondary education because of race
or national origin and whose participation in the American system of
higher education is in the Nation's

interest so that equality of access and quality of postsecondary
education opportunities may be enhanced for all students.

\(b\) PURPOSE. \--It is the purpose of this title to assist such
institutions in equalizing educational opportunity through a program of
Federal assistance.

**PART A STRENGTHENING** **INSTITUTIONS**

**SEC. 311. PROGRAM PURPOSE**.

\(a\) GENERAL AUTHORIZATION. \--The Secretary shall carry out a program,
in accordance with this part, to improve the academic quality,
institutional management, and fiscal stability of eligible institutions,
in order to increase their self-sufficiency and strengthen their
capacity to make a substantial contribution to the higher education
resources of the Nation.

\(b\) GRANTS AWARDED; SPECIAL CONSIDERATION.C(1) From the sums available
for this part under section 399(a)(1), the Secretary may award grants to
any eligible institution with an application

approved under section 351 in order to assist such an institution to
plan, develop, or implement activities that promise to strengthen the
institution.

\(2\) Special consideration shall be given to any eligible
institution\--

\(A\) which has endowment funds (other than any endowment fund built
under section 332 of this Act as in effect on September 30, 1986, and
under part B) the market value of which, per full-time equivalent
student, is less than the average current market value of the endowment
funds, per full-time

equivalent student (other than any endowment fund built under section
332 of this Act as in effect on September 30, 1986, and under part B) at
similar institutions; or

\(B\) which has expenditures per full-time equivalent student for
library materials which is less than the average of the expenditures for
library materials per full-time equivalent student by other similarly
situated institutions.

\(3\) Special consideration shall be given to applications which
propose, pursuant to the institution's plan, to engage in

(A) faculty development;

(B) \(B\) funds and administrative management;

\(C\) development and improvement of academic programs;

\(D\) acquisition of equipment for use in strengthening funds management
and academic programs;

\(E\) joint use of facilities such as libraries and laboratories;

and

\(F\) student services.

\(c\) AUTHORIZED ACTIVITIES.\--Grants awarded under this section shall
be used for 1 or more of the following activities:

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

\(2\) Construction, maintenance, renovation, and improvement in
classrooms, libraries, laboratories, and other instructional facilities,
including the integration of computer technology into institutional
facilities to create smart buildings.

\(3\) Support of faculty exchanges, faculty development, and faculty
fellowships to assist in attaining advanced degrees in the field of
instruction of the faculty.

\(4\) Development and improvement of academic programs

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

\(6\) Tutoring, counseling, and student service programs designed

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

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

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

\(10\) Establishing or improving an endowment fund.

\(11\) Creating or improving facilities for Internet or other distance
learning academic instruction capabilities, including purchase or rental
of telecommunications technology equipment or services.

\(12\) Other activities proposed in the application submitted pursuant
to subsection (c) that-

\(A\) contribute to carrying out the purposes of the program assisted
under this part; and

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

\(d\) ENDOWMENT FUND.

\(1\) IN GENERAL.\--An eligible institution may use not more than 20
percent of the grant funds provided under this part to establish or
increase an endowment fund at such institution.

\(2\) MATCHING REQUIREMENT.\--In order to be eligible to use grant funds
in accordance with paragraph (1), the eligible institution shall provide
matching funds from non-Federal sources, in an amount equal to or
greater than the Federal funds used in accordance with paragraph (1),
for the establishment

or increase of the endowment fund.

\(3\) COMPARABILITY.\--The provisions of part C, regarding the
establishment or increase of an endowment fund, that the Secretary
determines are not inconsistent with this subsection,

shall apply to funds used under paragraph (1).

**SEC. 312. DEFINITIONS; ELIGIBILITY.**

\(a\) EDUCATIONAL AND GENERAL EXPENDITURES. \-- For the purpose of this
part, the term "educational and general expenditures" means the total
amount expended by an institution of higher education for instruction,
research, public service, academic support (including library
expenditures), student services, institutional support, scholarships and
fellowships, operation and maintenance expenditures for the physical
plant, and any mandatory transfers which the institution is required to
pay by law.

\(b\) ELIGIBLE INSTITUTION. \-- For the purpose of this part, the term
"eligible institution" means \--

\(1\) an institution of higher education\--

\(A\) which has an enrollment of needy students as required by
subsection (c) of this section;

\(B\) except as provided in section 392(b), the average educational and
general expenditures of which are low, per full-time equivalent
undergraduate student, in comparison with the average educational and
general expenditures per full-time equivalent undergraduate student of
institutions that offer similar instruction;

\(C\) which is

\(i\) legally authorized to provide, and provides within the State, an
educational program for which such institution awards a bachelor's
degree;

\(ii\) a junior or community college; or

\(iii\) the College of the Marshall Islands, the College of
Micronesia/Federated States of Micronesia, and

Palau Community College;

\(D\) which is accredited by a nationally recognized accrediting agency
or association determined by the Secretary to be reliable authority as
to the quality of training offered or which is, according to such an
agency or association, making reasonable progress toward accreditation;

\(E\) which meets such other requirements as the Secretary may
prescribe; and

\(F\) located in a State; and

\(2\) any branch of any institution of higher education described under
paragraph (1) which by itself satisfies the requirements contained in
subparagraphs (A) and (B) of such paragraph. For purposes of the
determination of whether an institution is an eligible institution under
this paragraph, the factor described

under paragraph (1)(A) shall be given twice the weight of the factor
described under paragraph (1)(B).

\(c\) ENDOWMENT FUND.\-- For the purpose of this part, the term
''endowment fund" means a fund that\--

\(1\) is established by State law, by an institution of higher
education, or by a foundation that is exempt from Federal income
taxation;

\(2\) is maintained for the purpose of generating income for the support
of the institution; and

\(3\) does not include real estate.

\(d\) ENROLLMENT OF NEEDY STUDENTS. \-- For the purpose of this part,
the term "enrollment of needy students" means an enrollment at an
institution of higher education or a junior or community college

which includes\--

(1) at least 50 percent of the degree students so enrolled who are
    receiving need-based assistance under title IV of this Act in the
    second fiscal year preceding the fiscal year for which the
    determination is being made (other than loans for which an interest
    subsidy is paid pursuant to section 428), or

(2) a substantial percentage of students receiving Pell Grants in the
    second fiscal year preceding the fiscal year for which determination
    is being made, in comparison with the percentage of students
    receiving Pell Grants at all such institutions in the second fiscal
    year preceding the fiscal year for

> which the determination is made, unless the requirement of this
> subdivision is waived under section 392(a).

\(e\) FULL-TIME EQUIVALENT STUDENTS. For the purpose of this part, the
term "full-time equivalent students" means the sum of the number of
students enrolled full time at an institution, plus the

\(f\) JUNIOR OR COMMUNITY COLLEGE.\--For the purpose of this part, the
term "junior or community college" means an institution of higher
education\--

\(1\) that admits as regular students persons who are beyond the age of
compulsory school attendance in the State in which the institution is
located and who have the ability to benefit from the training offered by
the institution;

\(2\) that does not provide an educational program for which it awards a
bachelor's degree (or an equivalent degree); and

\(3\) that\--

\(A\) provides an educational program of not less than 2 years that is
acceptable for full credit toward such a degree, or

\(B\) offers a 2-year program in engineering, mathematics, or the
physical or biological sciences, designed to prepare a student to work
as a technician or at the semiprofessional level in engineering,
scientific, or other technological fields requiring the understanding
and application of basic engineering, scientific, or mathematical
principles of knowledge.

\(g\) HISTORICALLY BLACK COLLEGE OR UNIVERSITY.\--For the purposes of
this section, no historically black college or university which is
eligible for and receives funds under part B of this title is eligible
for or may receive funds under this part.

**SEC. 313. DURATION OF GRANT.**

\(a\) AWARD PERIOD.\--The Secretary may award a grant to an eligible
institution under this part for 5 years.

\(b\) LIMITATIONS.\--In awarding grants under this part the Secretary
shall give priority to applicants who are not already receiving a grant
under this part, except that for the purpose of this subsection

a grant under subsection (c) and a grant under section 394(a)(1) shall
not be considered a grant under this part.

\(c\) PLANNING GRANTS.\--Notwithstanding subsection (a), the Secretary
may award a grant to an eligible institution under this part for a
period of one year for the purpose of preparation of plans and
applications for a grant under this part.

\(d\) WAIT-OUT-PERIOD.\--Each eligible institution that received a grant
under this part for a 5-year period shall not be eligible to receive an
additional grant under this part until 2 years after the date on which
the 5-year grant period terminates.

**SEC. 314. APPLICATIONS.**

Each eligible institution desiring to receive assistance under this part
shall submit an application in accordance with the requirements of
section 391.

**SEC. 315. GOALS FOR FINANCIAL MANAGEMENT AND ACADEMIC PROGRAM.**

\(a\) GOALS.\-- Any application for a grant under this part shall
describe measurable goals for the institution's financial management and
academic programs, and include a plan of how the applicant intends to
achieve those goals.

\(b\) CONTINUATION REQUIREMENTS. \-- Any continuation application shall
demonstrate the progress made toward achievement of the goals described
pursuant to subsection (a).

**Sec. 316 AMERICAN INDIAN TRIBALLY CONTROLLED COLLEGES AND
UNIVERSITIES**.

\(a\) PROGRAM AUTHORIZED. \-- The Secretary shall provide grants and
related assistance to Indian Tribal Colleges and Universities to enable
such institutions to improve and expand their capacity to

serve Indian students.

\(b\) DEFINITIONS. -- In this section:

\(1\) INDIAN. \-- The term "Indian" has the meaning given the term in
section 2 of the Tribally Controlled College or University Assistance
Act of 1978.

\(2\) INDIAN TRIBE. \-- The term "Indian tribe" has the meaning given
the term in section 2 of the Tribally Controlled College or University
Assistance Act of 1978.

\(3\) TRIBAL COLLEGE OR UNIVERSITY. \-- The term "Tribal College or
University" has the meaning give the term "tribally controlled college
or university" in section 2 of the Tribally Controlled College or
University Assistance Act of 1978, and includes an institution listed in
the Equity in Educational Land Grant Status Act of 1994.

\(4\) INSTITUTION OF HIGHER EDUCATION.\--The term "institution of higher
education" means an institution of higher education as defined in
section 101(a), except that paragraph (2) of such section shall not
apply.

\(c\) AUTHORIZED ACTIVITIES.\--

\(1\) IN GENERAL. \--Grants awarded under this section shall be used by
Tribal Colleges or Universities to assist such institutions to plan,
develop, undertake, and carry out activities to improve and expand such
institutions' capacity to serve Indian students.

\(2\) EXAMPLES OF AUTHORIZED ACTIVITIES.\--The activities described in
paragraph (1) may include\--

\(A\) purchase, rental, or lease of scientific or laboratory equipment
for educational purposes, including instructional and research purposes;

\(B\) construction, maintenance, renovation, and improvement in
classrooms, libraries, laboratories, and other instructional facilities,
including purchase or rental of telecommunications technology equipment
or services;

\(C\) support of faculty exchanges, faculty development, and faculty
fellowships to assist in attaining advanced degrees in the faculty's
field of instruction;

\(D\) academic instruction in disciplines in which Indians are
underrepresented;

\(E\) purchase of library books, periodicals, and other educational
materials, including telecommunications program material;

\(F\) tutoring, counseling, and student service programs designed to
improve academic success;

\(G\) funds management, administrative management, and acquisition of
equipment for use in strengthening funds management;

\(H\) joint use of facilities, such as laboratories and libraries;

\(I\) establishing or improving a development office to strengthen or
improve contributions from alumni and the private sector;

\(J\) establishing or enhancing a program of teacher education designed
to qualify students to teach in elementary schools or secondary schools,
with a particular emphasis on teaching Indian children and youth, that
shall include, as part of such program, preparation for teacher
certification;

\(K\) establishing community outreach programs that encourage Indian
elementary school and secondary school students to develop the academic
skills and the interest to pursue postsecondary education; and

\(L\) other activities proposed in the application submitted pursuant to
subsection (d) that\--

\(i\) contribute to carrying out the activities described in
subparagraphs (A) through (K); and

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

\(3\) ENDOWMENT FUND.\--

\(A\) IN GENERAL.\-- A Tribal College or University may use not more
than 20 percent of the grant funds provided under this section to
establish or increase an endowment fund at the institution.

\(B\) MATCHING REQUIREMENT.\-- In order to be eligible to use grant
funds in accordance with subparagraph (A), the Tribal College or
University shall provide matching funds, in an amount equal to the
Federal funds used in accordance with subparagraph (A), for the
establishment or increase of the endowment fund.

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

\(d\) APPLICATION PROCESS\--

\(1\) INSTITUTIONAL ELIGIBILITY.\--To be eligible to receive assistance
under this section, a Tribal College or University shall be an eligible
institution under section 312(b).

\(2\) APPLICATION.\-- Any Tribal College or University desiring to
receive assistance under this section shall submit an application to the
Secretary at such time, and in such manner, as the Secretary may by
regulation reasonably require. Each such application shall include\--

\(A\) a 5-year plan for improving the assistance provided by the Tribal
College or University to Indian students, increasing the rates at which
Indian secondary school students enroll in higher education, and
increasing overall postsecondary retention rates for Indian students;
and

\(B\) such enrollment data and other information and assurances as the
Secretary may require to demonstrate compliance with paragraph (1).

\(3\) SPECIAL RULE.\-- For the purposes of this part, no Tribal College
or University that is eligible for and receives funds under this section
may concurrently receive other funds under this part or part B.

**SEC. 317. ALASKA NATIVE AND NATIVE HAWAIIAN-SERVING INSTITUTIONS.**

\(a\) PROGRAM AUTHORIZED. \-- The Secretary shall provide grants and
related assistance to Alaska Native-serving institutions and Native
Hawaiian-serving institutions to enable such institutions to improve and
expand their capacity to serve Alaska Natives and Native Hawaiians.

\(b\) DEFINITIONS.\-- For the purpose of this section\--(1) the term
"Alaska Native" has the meaning given the term in section 9308 of the
Elementary and Secondary Education Act of 1965;

\(2\) the term "Alaska Native-serving institution" means an institution
of higher education that\--

\(A\) is an eligible institution under section 312(b); and (B) at the
time of application, has an enrollment of undergraduate students that is
at least 20 percent Alaska Native students;

\(3\) the term "Native Hawaiian" has the meaning given the term in
section 9212 of the Elementary and Secondary Education Act of 1965; and

\(4\) the term "Native Hawaiian-serving institution" means an
institution of higher education which\--

\(A\) is an eligible institution under section 312(b); and (B) at the
time of application, has an enrollment of undergraduate students that is
at least 10 percent Native Hawaiian students.

\(c\) AUTHORIZED ACTIVITIES.\--

\(1\) TYPES OF ACTIVITIES AUTHORIZED.\-- Grants awarded under this
section shall be used by Alaska Native-serving institutions and Native
Hawaiian-serving institutions to assist such institutions to plan,
develop, undertake, and carry out activities to improve and expand such
institutions' capacity to serve Alaska Natives or Native Hawaiians.

\(2\) EXAMPLES OF AUTHORIZED ACTIVITIES. \-- Such programs may
include\--

\(A\) purchase, rental, or lease of scientific or laboratory equipment
for educational purposes, including instructional and research purposes;

\(B\) renovation and improvement in classroom, library, laboratory, and
other instructional facilities;

\(C\) support of faculty exchanges, and faculty development and faculty
fellowships to assist in attaining advanced degrees in the faculty's
field of instruction;

\(D\) curriculum development and academic instruction;

\(E\) purchase of library books, periodicals, microfilm, and other
educational materials;

\(F\) funds and administrative management, and acquisition of equipment
for use in strengthening funds management;

\(G\) joint use of facilities such as laboratories and libraries;

and

\(H\) academic tutoring and counseling programs and student support
services.

\(d\) APPLICATION PROCESS.\--

\(1\) INSTITUTIONAL ELIGIBILITY.\-- Each Alaska Native-serving
institution and Native Hawaiian-serving institution desiring to receive
assistance under this section shall submit to the Secretary such
enrollment data as may be necessary to demonstrate that the institution
is an Alaska Native-serving institution

or a Native Hawaiian-serving institution as defined in subsection (b),
along with such other information and data as the Secretary may by
regulation require.

\(2\) APPLICATIONS.\-- Any institution which is determined by the
Secretary to be an Alaska Native-serving institution or a Native
Hawaiian-serving institution may submit an application for assistance
under this section to the Secretary. Such application shall include\--

\(A\) a 5-year plan for improving the assistance provided by the Alaska
Native-serving institution or the Native Hawaiian-serving institution to
Alaska Native or Native Hawaiian students; and

\(B\) such other information and assurance as the Secretary may require.

\(e\) SPECIAL RULE.\-- For the purposes of this section, no Alaska
Native-serving institution or Native Hawaiian-serving institution which
is eligible for and receives funds under this section may concurrently
receive other funds under this part or part B.

**PART F\--GENERAL PROVISIONS**

**SEC. 391. APPLICATIONS FOR ASSISTANCE**.

\(a\) APPLICATIONS.C

\(1\) APPLICATIONS REQUIRED.\-- Any institution which is eligible for
assistance under this title shall submit to the Secretary an application
for assistance at such time, in such form, and containing such
information, as may be necessary to enable the Secretary to evaluate the
institution's need for the assistance. Subject to the availability of
appropriations to carry out this title, the Secretary may approve an
application for assistance under this title only if the Secretary
determines that\--

\(A\) the application meets the requirements of subsection (b);

\(B\) the applicant is eligible for assistance in accordance with the
part of this title under which the assistance is sought; and

\(C\) the applicant's performance goals are sufficiently rigorous as to
meet the purposes of this title and the performance objectives and
indicators for this title established by the Secretary pursuant to the
Government Performance and Results Act of 1993 and the amendments made
by such Act.

\(2\) PRELIMINARY APPLICATIONS.\-- In carrying out paragraph (1), the
Secretary may develop a preliminary application for use by eligible
institutions applying under part A prior to the submission of the
principal application.

\(b\) CONTENTS.\-- An institution, in its application for a grant,
shall\--

\(1\) set forth, or describe how the institution (other than an
institution applying under part C, D or E) will develop, a comprehensive
development plan to strengthen the institution's academic quality and
institutional management, and otherwise provide for institutional
self-sufficiency and growth (including measurable objectives for the
institution and the Secretary to use in monitoring the effectiveness of
activities under this title);

\(2\) set forth policies and procedures to ensure that Federal funds
made available under this title for any fiscal year will be used to
supplement and, to the extent practical, increase the funds that would
otherwise be made available for the purposes of section 311(b) or 323,
and in no case supplant those funds;

\(3\) set forth policies and procedures for evaluating the effectiveness
in accomplishing the purpose of the activities for which a grant is
sought under this title;

\(4\) provide for such fiscal control and fund accounting procedures as
may be necessary to ensure proper disbursement of and accounting for
funds made available to the applicant under this title;

\(5\) provide (A) for making such reports, in such form and containing
such information, as the Secretary may require to carry out the
functions under this title, including not less than one report annually
setting forth the institution's progress toward achieving the objectives
for which the funds were awarded, and (B) for keeping such records and
affording such access thereto, as the Secretary may find necessary to
assure the correctness and verification of such reports;

\(6\) provide that the institution will comply with the limitations set
forth in section 357, except that for purposes of section 316,
paragraphs (2) and (3) of section 396 shall not apply;

\(7\) describe in a comprehensive manner any proposed project for which
funds are sought under the application and include\--

\(A\) a description of the various components of the proposed project,
including the estimated time required to complete each such component;

\(B\) in the case of any development project which consists of several
components (as described by the applicant pursuant to subparagraph (A)),
a statement identifying those components which, if separately funded,
would be sound investments of Federal funds and those components which
would be sound investments of Federal funds only if funded under this
title in conjunction with other parts of the development project (as
specified by the applicant);

\(C\) an evaluation by the applicant of the priority given any proposed
project for which funds are sought in relation to any other projects for
which funds are sought by the applicant under this title, and a similar
evaluation regarding priorities among the components of any single
proposed project (as described by the applicant pursuant to subparagraph
(A));

\(D\) a detailed budget showing the manner in which funds for any
proposed project would be spent by the applicant; and

\(E\) a detailed description of any activity which involves the
expenditure of more than \$25,000, as identified in the budget referred
to in subparagraph (E); and

\(8\) include such other information as the Secretary may prescribe.

\(c\) PRIORITY CRITERIA PUBLICATION REQUIRED.\-- The Secretary shall
publish in the Federal Register, pursuant to chapter 5 of title 5,
United States Code, all policies and procedures required to exercise the
authority set forth in subsection (a). No other criteria, policies, or
procedures shall apply.

\(d\) ELIGIBILITY DATA.\-- The Secretary shall use the most recent and
relevant data concerning the number and percentage of students receiving
need-based assistance under title IV of this Act in making eligibility
determinations under section 312 and shall advance the base-year forward
following each annual grant cycle.

\(a\) WAIVER REQUIREMENTS; NEED-BASED ASSISTANCE STUDENTS.\--

The Secretary may waive the requirements set forth in section
312(b)(1)(A) in the case of an institution\--

\(1\) which is extensively subsidized by the State in which it is
located and charges low or no tuition;

\(2\) which serves a substantial number of low-income students as a
percentage of its total student population;

\(3\) which is contributing substantially to increasing higher education
opportunities for educationally disadvantaged, underrepresented, or
minority students, who are low-income individuals;

\(4\) which is substantially increasing higher educational opportunities
for individuals in rural or other isolated areas which are unserved by
postsecondary institutions;

\(5\) located on or near an Indian reservation or a substantial
population of Indians, if the Secretary determines that the waiver will
substantially increase higher education opportunities appropriate to the
needs of American Indians;

\(6\) that is a tribally controlled college or university as defined in
section 2 of the Tribally Controlled College or University Assistance
Act of 1978; or

\(7\) wherever located, if the Secretary determines that the waiver will
substantially increase higher education opportunities appropriate to the
needs of Black Americans, Hispanic Americans, Native Americans, Asian
Americans, or Pacific Islanders, including Native Hawaiians.

\(b\) WAIVER DETERMINATIONS; EXPENDITURES.\-- (1) The Secretary may
waive the requirements set forth in section 312(b)(1)(B) if the
Secretary determines, based on persuasive evidence submitted by the
institution, that the institution's failure to meet that criterion is
due to factors which, when used in the determination of compliance with
such criterion, distort such determination, and that the institution's
designation as an eligible institution under part A is otherwise
consistent with the purposes of such parts.

\(2\) The Secretary shall submit to the Congress every other year a
report concerning the institutions which, although not satisfying the
criterion contained in section 312(b)(1)(B), have been determined to be
eligible institutions under part A institutions which enroll significant
numbers of Black American, Hispanic, Native American, Asian American, or
Native Hawaiian students under part A, as the case may be. Such report
shall\--

\(A\) identify the factors referred to in paragraph (1) which were
considered by the Secretary as factors that distorted the determination
of compliance with subparagraphs (A) and (B) of section 312(b)(1); and

\(B\) contain a list of each institution determined to be an eligible
institution under part A including a statement of the reasons for each
such determination.

\(3\) The Secretary may waive the requirement set forth in section
312(b)(1)(E) in the case of an institution located on or near an Indian
reservation or a substantial population of Indians, if the Secretary
determines that the waiver will substantially increase higher education
opportunities appropriate to the needs of American Indians.

**SEC. 393. APPLICATION REVIEW PROCESS**.

\(a\) REVIEW PANEL.C(1) All applications submitted under this title by
institutions of higher education shall be read by a panel of readers
composed of individuals selected by the Secretary. The Secretary shall
assure that no individual assigned under this section to review any
application has any conflict of interest with regard to the application
which might impair the impartiality with which the individual conducts
the review under this section.

\(2\) The Secretary shall take care to assure that representatives of
historically and predominantly Black colleges, Hispanic institutions,
Tribal Colleges and Universities, and institutions with substantial

numbers of Hispanics, Native Americans, Asian Americans, and Native
American Pacific Islanders (including Native Hawaiians) are included as
readers.

\(3\) All readers selected by the Secretary shall receive thorough
instruction from the Secretary regarding the evaluation process for
applications submitted under this title and consistent with the
provisions

of this title, including\--

\(A\) explanations and examples of the types of activities referred to
in section 311(b) that should receive special consideration for grants
awarded under part A and of the types of activities referred to in
section 323 that should receive special consideration for grants awarded
under part B;

\(B\) an enumeration of the factors to be used to determine the quality
of applications submitted under this title; and

\(C\) an enumeration of the factors to be used to determine whether a
grant should be awarded for a project under this title, the amount of
any such grant, and the duration of any such grant.

\(b\) RECOMMENDATIONS OF PANEL.\-- In awarding grants under this title,
the Secretary shall take into consideration the recommendations of the
panel made under subsection (a).

\(c\) NOTIFICATION.\-- Not later than June 30 of each year, the
Secretary shall notify each institution of higher education making an
application under this title of\--

\(1\) the scores given the applicant by the panel pursuant to this
section;

\(2\) the recommendations of the panel with respect to such application;
and

\(3\) the reasons for the decision of the Secretary in awarding or
refusing to award a grant under this title, and any modifications, if
any, in the recommendations of the panel made by the Secretary.

\(d\) EXCLUSION.\-- The provisions of this section shall not apply to
applications submitted under part D.

**SEC. 394. COOPERATIVE ARRANGEMENTS**.

\(a\) GENERAL AUTHORITY.\-- The Secretary may make grants to encourage
cooperative arrangements

\(1\) with funds available to carry out part A, between institutions
eligible for assistance under part A and between such institutions and
institutions not receiving assistance under this title; or

\(2\) with funds available to carry out part B, between institutions
eligible for assistance under part B and institutions not receiving
assistance under this title; for the activities described in section
311(b) or section 323, as the case may be, so that the resources of the
cooperating institutions might be combined and shared to achieve the
purposes of such parts and avoid costly duplicative efforts and to
enhance the development of part A and part B eligible institutions.

\(b\) PRIORITY. \-- The Secretary shall give priority to grants for the
purposes described under subsection (a) whenever the Secretary
determines that the cooperative arrangement is geographically and
economically sound or will benefit the applicant institution.

\(c\) DURATION. \-- Grants to institutions having a cooperative
arrangement may be made under this section for a period as determined
under section 313 or section 323.

**SEC. 395. ASSISTANCE TO INSTITUTIONS UNDER OTHER PROGRAMS**.

\(a\) ASSISTANCE ELIGIBILITY.\-- Each institution which the Secretary
determines to be an institution eligible under part A or an institution
eligible under part B may be eligible for waivers in accordance

with subsection (b).

\(b\) WAIVER APPLICABILITY.\-- (1) Subject to, and in accordance with,
regulations promulgated for the purpose of this section, in the case of
any application by an institution referred to in subsection

\(a\) for assistance under any programs specified in paragraph (2), the
Secretary is authorized, if such application is otherwise approvable, to
waive any requirement for a non-Federal share of the cost

of the program or project, or, to the extent not inconsistent with other
law, to give, or require to be given, priority consideration of the
application in relation to applications from other institutions.

\(2\) The provisions of this section shall apply to any program
authorized by part D or title IV of this Act.

\(c\) LIMITATION. \-- The Secretary shall not waive, under sub-section
(b), the non-Federal share requirement for any program for applications
which, if approved, would require the expenditure of

more than 10 percent of the appropriations for the program for any
fiscal year.

**SEC. 396. LIMITATIONS.**

The funds appropriated under section 360 may not be used\--

\(1\) for a school or department of divinity or any religious worship or
sectarian activity;

\(2\) for an activity that is inconsistent with a State plan for
desegregation of higher education applicable to such institution;

\(3\) for an activity that is inconsistent with a State plan of higher
education applicable to such institution; or

\(4\) for purposes other than the purposes set forth in the approved
application under which the funds were made available to the
institution.

**SEC. 397. PENALTIES**.

Whoever, being an officer, director, agent, or employee of, or connected
in any capacity with, any recipient of Federal financial assistance or
grant pursuant to this title embezzles, willfully misapplies, steals, or
obtains by fraud any of the funds which are the subject of such grant or
assistance, shall be fined not more than \$10,000 or imprisoned for not
more than 2 years, or both.

**SEC. 398. CONTINUATION AWARDS**

The Secretary shall make continuation awards under this title for the
second and succeeding years of a grant only after determining that the
recipient is making satisfactory progress in carrying out the grant.

**SEC. 399. AUTHORIZATIONS OF APPROPRIATIONS**.

\(a\) AUTHORIZATIONS.C

\(1\) PART A.C(A) There are authorized to be appropriated to carry out
part A, \$135,000,000 (other than section 316) for fiscal year 1999, and
such sums as may be necessary for each of the 4 succeeding fiscal years.

\(B\) There are authorized to be appropriated to carry out section 316,
\$10,000,000 for fiscal year 1999 and such sums as may be necessary for
each of the 4 succeeding fiscal years.

\(C\) There are authorized to be appropriated to carry out section 317,
\$5,000,000 for fiscal year 1999 and such sums as may be necessary for
each of the 4 succeeding fiscal years.

\(2\) PART B.C(A) There are authorized to be appropriated to carry out
part B (other than section 326), \$135,000,000 for fiscal year 1999, and
such sums as may be necessary for each of the 4 succeeding fiscal years.

\(B\) There are authorized to be appropriated to carry out section 326,
\$35,000,000 for fiscal year 1999, and such sums as may be necessary for
each of the 4 succeeding fiscal years.

\(3\) PART C.\-- There are authorized to be appropriated to carry out
part C, \$10,000,000 for fiscal year 1999, and such sums as may be
necessary for each of the 4 succeeding fiscal years.

\(4\) PART D.\-- (A) There are authorized to be appropriated to carry
out part D (other than section 345(7), but including section 347),
\$110,000 for fiscal year 1999, and such sums as may be necessary for
each of the 4 succeeding fiscal years.

\(B\) There are authorized to be appropriated to carry out section
345(7), such sums as may be necessary for fiscal year 1999 and each of
the 4 succeeding fiscal years.

\(5\) PART E.\-- There are authorized to be appropriated to carry out
part E, \$10,000,000 for fiscal year 1999, and such sums as may be
necessary for each of the 4 succeeding fiscal years.

\(b\) USE OF MULTIPLE YEAR AWARDS.\-- In the event of a multiple year
award to any institution under this title, the Secretary shall make
funds available for such award from funds appropriated for this title
for the fiscal year in which such funds are to be used by the recipient.

**Appendix III**

THE CODE OF FEDERAL REGULATIONS PART 607 (JULY 1, 1998)

#### REGULATIONS {#regulations .unnumbered}

**PART 607‑STRENGTHENING INSTITUTIONS PROGRAM**

***Subpart A‑General***

**607.1 What is the Strengthening Institutions Program?**

**607.2 What institutions are eligible to receive a grant under the
Strengthening Institutions Program?**

**607.3 What is an enrollment of needy students?**

**607.4 What are low educational and general expenditures?**

**607.5 How does an institution apply to be designated an eligible
institution?**

**607.6 What regulations apply?**

**607.7 What definitions apply?**

**607.8 What is a comprehensive development plan and what must it
contain?**

**607.9 What are the type, duration and limitations in the awarding of
grants under this part?**

**607.10 What activities may and may not be carried out under a grant?**

***Subpart B‑How Does an Institution Apply for a Grant?***

**607.11 What must be included in individual development grant
applications?**

**607.12 What must be included in cooperative arrangement grant
applications?**

**607.13 How many applications for a development grant may an
institution submit?**

***Subpart C‑How Does the Secretary Make an Award?***

**607.20 How does the Secretary choose applications for funding?**

**607.21 What are the selection criteria for planning grants?**

**607.22 What are the selection criteria for development grants?**

**607.23 What special funding consideration does the Secretary
provide?**

**607.24 How does the Secretary use an applicant\'s performance under a
previous development grant when awarding a development grant?**

**607.25 What priority does the Secretary use in awarding cooperative
arrangement grants?**

***Subpart D‑What Conditions Must a Grantee Meet?***

**607.30 What are allowable costs and what are the limitations on
allowable costs?**

**607.31 How does a grantee maintain its eligibility?**

**Authority: 20 U.S.C. 1057‑1059c, 1066‑1069f, unless otherwise noted.**

**Source: 52 FR 30529, Aug. 14, 1987, unless otherwise noted.**

**Subpart A‑General**

**607.1 What is the Strengthening Institutions Program?**

The purpose of the Strengthening Institutions Program is to provide
grants to eligible institutions of higher education to improve their
academic programs, institutional management, and fiscal stability in
order to increase their self‑sufficiency and strengthen their capacity
to make a substantial contribution to the higher education resources of
the Nation.

(Authority: 20 U.S.C. 1057)

\[59 FR 41921, Aug. 15, 1994\]

**607.2 What institutions are eligible to receive a grant under the
Strengthening Institutions Program?**

\(a\) Except as provided in paragraphs (b) and (c) of this section, an
institution of higher education is eligible to receive a grant under the
Strengthening Institutions Program if‑

\(1\) It has an enrollment of needy students as described in 607.3(a),
unless the Secretary waives this requirement under 607.3(b);

\(2\) It has low average educational and general expenditures per
full‑time equivalent undergraduate student as described in 607.4(a),
unless the Secretary waives this requirement under 607.4(c).

\(3\) It is legally authorized by the State in which it is located to be
a junior college or to provide an educational program for which it
awards a bachelor\'s degree; and

\(4\) It is accredited or pre-accredited by a nationally recognized
accrediting agency or association that the Secretary has determined to
be a reliable authority as to the quality of education or training
offered.

\(b\) A branch campus of an institution of higher education, if the
institution as a whole meets the requirements of paragraphs (a)(1)
through (4) of this section, is eligible to receive a grant under the
Strengthening Institutions Program even if, by itself, it does not
satisfy the requirements of paragraphs (a)(3) and (a)(4) of this
section, although the branch must meet the requirements of paragraphs
(a)(1) and (a)(2) of this section.

\(c\) For the purpose of paragraphs (b) and (c) of this section, an
institution\'s enrollment consists of a head count of its entire student
body.

\(d\) A Hispanic‑serving institution (HSI) may receive a grant
authorized under 316 of the HEA if‑

\(1\) It is an eligible institution under this part;

\(2\) It provides assurances that‑

\(i\) When it applies for a grant, its enrollment of undergraduate
full‑time equivalent students is at least 25 percent Hispanic students ;

\(ii\) Not less than 50 percent of its Hispanic students are low‑income
individuals who are first generation college students; and

\(iii\) Another 25 percent of its Hispanic students are either
low‑income individuals or first generation college students.

\(e\)

\(1\) An institution that qualifies for a grant under the Strengthening
Historically Black Colleges and Universities Program (34 CFR Part 608)
or the Hispanic‑Serving Institution Program (20 U.S.C. 1059c) and
receives a grant under either of these programs for a particular fiscal
year is not eligible to receive a grant under the Strengthening
Institutions Program for that same fiscal year.

\(2\) An HSI that receives a grant under 316 of the HEA may not
concurrently receive grant funds under the Strengthening Institutions
program, Strengthening Historically Black Colleges and Universities
program, or Strengthening Historically Black Graduate Institutions
program.

(Authority: 20 U.S.C. 1057 et seq.)

\[59 FR 41922, Aug. 15, 1994, as amended at 60 FR 15447, Mar. 23, 1995\]

**607.3 What is an enrollment of needy students?**

\(a\) Except as provided in paragraph (b) of this section, for the
purpose of 607.2(a)

\(1\) an applicant institution has an enrollment of needy students if in
the base year‑

\(1\) At least 50 percent of its degree students received student
financial assistance under one or more of the following programs: Pell
Grant, Supplemental Educational Opportunity Grant, College Work‑Study,
and Perkins Loan; or

\(2\) The percentage of its undergraduate degree students who were
enrolled on at least a half‑time basis and received Pell Grants exceeded
the median percentage of undergraduate degree students who were enrolled
on at least a half‑time basis and received Pell Grants at comparable
institutions that offer similar instruction.

\(b\) The Secretary may waive the requirement contained in paragraph (a)
of this section if the institution demonstrates that‑

\(1\) The State provides more than 30 percent of the institution\'s
budget and the institution charges not more than \$99.00 for tuition and
fees for an academic year;

\(2\) At least 30 percent of the students served by the institution in
the base year were students from low‑income families;

\(3\) The institution substantially increases the higher education
opportunities for low‑income students who are also educationally
disadvantaged, underrepresented in postsecondary education, or minority
students;

\(4\) The institution substantially increases the higher education
opportunities for individuals who reside in an area that is not included
in a "metropolitan statistical area\'\' as defined by the Office of
Management and Budget and who are unserved by other postsecondary
institutions;

\(5\) The institution is located on or within 50 miles of an Indian
reservation, or a substantial population of Indians and the institution
will, if granted the waiver, substantially increase higher education
opportunities for American Indians; or

\(6\) The institution will, if granted the waiver, substantially
increase the higher education opportunities for Black Americans,
Hispanic Americans, Native Americans, Asian Americans or Pacific
Islanders, including Native Hawaiians.

\(c\) For the purpose of paragraph (b) of this section, the Secretary
considers \`\`low‑income\'\' to be an amount which does not exceed 150
percent of the amount equal to the poverty level as established by the
United States Bureau of the Census.

\(d\) Each year, the Secretary notifies prospective applicants through a
notice in the Federal Register of the low‑income figures.

(Authority: 20 U.S.C. 1058 and 1067)

\[52 FR 30529, Aug. 14, 1987, as amended at 60 FR 15447, Mar. 23, 1995\]

**607.4 What are low educational and general expenditures**

\(a\)

\(1\) Except as provided in paragraph (b) of this section, for the
purpose of 6072(a)(2), an applicant institution\'s average educational
and general expenditures per full‑time equivalent undergraduate student
in the base year must be less than the average educational and general
expenditures per full‑time equivalent undergraduate student of
comparable institutions that offer similar instruction in that year.

\(2\) For the purpose of paragraph (a)(1) of this section, the Secretary
determines the average educational and general expenditure per FTE
undergraduate student for institutions with graduate students that do
not differentiate between graduate and undergraduate E&G expenditures by
discounting the graduate enrollment using a factor of 2.5 times the
number of graduate students.

\(b\) Each year, the Secretary notifies prospective applicants through a
notice in the Federal Register of the average educational and general
expenditures per full‑time equivalent undergraduate student at
comparable institutions that offer similar instruction.

\(c\) The Secretary may waive the requirement contained in paragraph (a)
of this section, if the Secretary determines, based upon persuasive
evidence provided by the institution, that‑

\(1\) The institution\'s failure to satisfy the criteria in paragraph
(a) of this section was due to factors which, if used in determining
compliance with those criteria, distorted that determination; and

\(2\) The institution\'s designation as an eligible institution under
this part is otherwise consistent with the purposes of this part.

\(d\) For the purpose of paragraph (c)(1) of this section, the Secretary
considers that the following factors may distort an institution\'s
educational and general expenditures per full‑time equivalent
undergraduate student‑

\(1\) Low student enrollment;

\(2\) Location of the institution in an unusually high cost‑of‑living
area;

\(3\) High energy costs;

\(4\) An increase in State funding that was part of a desegregation plan
for higher education; or

\(5\) Operation of high cost professional schools such as medical or
dental schools.

(Authority: 20 U.S.C. 1058 and 1067)

\[59 FR 41922, Aug. 15, 1994\]

**607.5 How does an institution apply to be designated an eligible
institution?**

An institution shall apply to the Secretary to be designated an eligible
institution under the Strengthening Institutions Program by submitting
an application to the Secretary in the form, manner and time established
by the Secretary. The application must contain‑

\(a\) The information necessary for the Secretary to determine whether
the institution satisfies the requirements of \'607.2, 607.3(a) and
607.4(a);

\(b\) Any waiver request under \'607.3(b) and 607.4(c); and

\(c\) Information or explanations justifying any requested waiver.

(Authority: 20 U.S.C. 1058 and 1067)

**607.6 What regulations apply?**

The following regulations apply to the Strengthening Institutions
Program:

\(a\) The Education Department General Administrative Regulations
(EDGAR) as follows:

\(1\) 34 CFR Part 74 (Administration of Grants to Institutions of Higher
Education, Hospitals, and Nonprofit Organizations).

\(2\) 34 CFR Part 75 (Direct Grant Programs), except 34 CFR 75.128(a)(2)
and 75.129(a) in the case of applications for cooperative arrangements.

\(3\) 34 CFR Part 77 (Definitions that Apply to Department Regulations).

\(4\) 34 CFR Part 79 (Intergovernmental Review of Department of
Education Programs and Activities).

\(5\) 34 CFR Part 82 (New Restrictions on Lobbying).

\(6\) 34 CFR Part 85 (Government-wide Debarment and Suspension
(Non-procurement) and Government-wide Requirements for Drug‑Free
Workplace (Grants)).

\(7\) 34 CFR Part 86 (Drug‑Free Schools and Campuses).

\(b\) The regulations in this Part 607.

(Authority: 20 U.S.C. 1057)

**607.7 What definitions apply?**

\(a\) Definitions in EDGAR. The following terms that apply to the
Institutional Aid Programs are defined in 34 CFR 77.1:

EDGAR

Fiscal year

Grant

Grantee

Grant period

Nonprofit

Private

Project period

Public

Secretary

State

\(b\) The following terms used in this part are defined in 316 of the
HEA:

First generation college student

Hispanic‑serving institution

Low‑income individuals

\(c\) The following definitions also apply to this part:

Accredited means the status of public recognition which a nationally
recognized accrediting agency or association grants to an institution
which meets certain established qualifications and educational
standards.

Activity means an action that is incorporated into an implementation
plan designed to meet one or more objectives. An activity is a part of a
project and has its own budget that is approved to carry out the
objectives of that subpart.

Base year means the second fiscal year preceding the fiscal year for
which an institution seeks a grant under this part.

Branch campus means a unit of a college or university that is
geographically apart from the main campus of the college or university
and independent of that main campus. The Secretary considers a unit of a
college or university to be independent of the main campus if the unit‑

\(1\) Is permanent in nature;

\(2\) Offers courses for credit and programs leading to an associate or
bachelor\'s degree; and

\(3\) Is autonomous to the extent that it has‑

\(i\) Its own faculty and administrative or supervisory organization;
and

\(ii\) Its own budgetary and hiring authority.

College Work‑Study Program means the part‑time employment program
authorized under title IV‑C of the HEA.

Comparable institutions that offer similar instruction means
institutions that are being compared with an applicant institution and
that fall within one of the following four categories‑

\(1\) Public junior or community colleges;

\(2\) Private nonprofit junior or community colleges;

\(3\) Public institutions that offer an educational program for which
they offer a bachelor\'s degree; or

\(4\) Private nonprofit institutions that offer an educational program
for which they offer a bachelor\'s degree.

Cooperative arrangement means an arrangement to carry out allowable
grant activities between an institution eligible to receive a grant
under this part and another eligible or ineligible institution of higher
education, under which the resources of the cooperating institutions are
combined and shared to better achieve the purposes of this part and
avoid costly duplication of effort.

Degree student means a student who enrolls at an institution for the
purpose of obtaining the degree, certificate, or other recognized
educational credential offered by that institution.

Developmental program and services means new or improved programs and
services, beyond those regularly budgeted, specifically designed to
improve the self sufficiency of the school.

Educational and general expenditures means the total amount expended by
an institution of higher education for instruction, research, public
service, academic support (including library expenditures), student
services, institutional support, scholarships and fellowships, operation
and maintenance expenditures for the physical plant, and any mandatory
transfers which the institution is required to pay by law. Educationally
disadvantaged means a college student who requires special services and
assistance to enable them to succeed in higher education. The phrase
includes, but is not limited to, students who come from‑

\(1\) Economically disadvantaged families;

\(2\) Limited English proficiency families;

\(3\) Migrant worker families; or

\(4\) Families in which one or both of their parents have dropped out of
secondary school.

Full‑time equivalent students means the sum of the number of students
enrolled full‑time at an institution, plus the full‑time equivalent of
the number of students enrolled part time (determined on the basis of
the quotient of the sum of the credit hours of all part‑time students
divided by 12) at such institution.

HEA means the Higher Education Act of 1965, as amended.

Hispanic student means a person of Mexican, Puerto Rican, Cuban, Central
or South American, or other Spanish culture or origin, regardless of
race.

Institution of higher education means an educational institution defined
in 1201(a)of the HEA.

Junior or community college means an institution of higher education‑

\(1\) That admits as regular students persons who are beyond the age of
compulsory school attendance in the State in which the institution is
located and who have the ability to benefit from the training offered by
the institution;

\(2\) That does not provide an educational program for which it awards a
bachelor\'s degree (or an equivalent degree); and

\(3\) That‑

\(i\) Provides an educational program of not less than 2 years that is
acceptable for full credit toward such a degree, or

\(ii\) Offers a 2‑year program in engineering, mathematics, or the
physical or biological sciences, designed to prepare a student to work
as a technician or at the semiprofessional level in engineering,
scientific, or other technological fields requiring the understanding
and application of basic engineering, scientific, or mathematical
principles of knowledge.

Minority student means a student who is Alaskan Native, American Indian,
Asian‑American, Black (African‑American), Hispanic American, Native
Hawaiian, or Pacific Islander.

Nationally recognized accrediting agency or association means an
accrediting agency or association that the Secretary has recognized to
accredit or pre-accredited a particular category of institution in
accordance with the provisions contained in 34 CFR part 603. The
Secretary periodically publishes a list of those nationally recognized
accrediting agencies and associations in the Federal Register.

Operational programs and services means the regular, ongoing budgeted
programs and services at an institution.

Pell Grant Program means the grant program authorized by title IV‑A‑1 of
the HEA.

Perkins Loan Program, formerly called the National Direct Student Loan
Program, means the loan program authorized by title IV‑E of the HEA.

Pre-accredited means a status that a nationally recognized accrediting
agency or association, recognized by the Secretary to grant that status,
has accorded an unaccredited institution that is progressing toward
accreditation within a reasonable period of time.

Project means all the funded activities under a grant.

Self‑sufficiency means the point at which an institution is able to
survive without continued funding under the Strengthening Institutions
Program.

Special Needs Program means the program authorized by part B of title
III of the HEA before part B was amended by the Higher Education
Amendments of 1986.

Supplemental Education Opportunity Grant means the grant program
authorized by title IV A‑2 of the HEA.

Underrepresented means proportionate representation as measured by
degree recipients, that is less than the proportionate representation in
the general population‑

\(1\) As indicated by‑

\(i\) The most current edition of the Department\'s [Digest of
Educational Statistics]{.underline};

\(ii\) The National Research Council\'s Doctorate Recipients from United
States Universities; or

\(iii\) Other standard statistical references, as announced annually in
the [Federal Register]{.underline} notice inviting applications for new
awards under this program; or

\(2\) As documented by national survey data submitted to and accepted by
the Secretary on a case‑by‑case basis.

(Authority: 20 U.S.C. 1051, 1057‑1059 and 1066‑1069f; OMB Directive No.
15)

\[52 FR 30529, Aug. 14, 1987, as amended at 59 FR 41922, Aug. 15, 1994;
60 FR 15447, Mar. 23, 1995\]

**607.8 What is a comprehensive development plan and what must it
contain?**

\(a\) A comprehensive development plan is an institution\'s strategy for
achieving growth and self‑sufficiency by strengthening its‑

\(1\) Academic programs;

\(2\) Institutional management; and

\(3\) Fiscal stability.

\(b\) The comprehensive development plan must include the following:

\(1\) An analysis of the strengths, weaknesses, and significant problems
of the institution\'s academic programs, institutional management, and
fiscal stability.

\(2\) A delineation of the institution\'s goals for its academic
programs, institutional management, and fiscal stability, based on the
outcomes of the analysis described in paragraph (b)(1) of this section.

\(3\) Measurable objectives related to reaching each goal and timeframes
for achieving the objectives.

\(4\) Methods and resources that will be used to institutionalize
practices and improvements developed under the proposed project.

(Authority: 20 U.S.C. 1066)

**607.9** **What are the type, duration and limitations in the awarding
of grants under this part?**

\(a\)

\(1\) Under this part, the Secretary may award planning grants and two
types of development grants, individual development grants and
cooperative arrangement development grants.

\(2\) Planning grants may be awarded for a period not to exceed one
year.

\(3\) Either type of development grant may be awarded for a period of
five years.

\(b\)

\(1\) An institution that receives a planning grant may not subsequently
receive another planning grant but may subsequently receive a
development grant after its planning grant expires.

\(2\) An institution that receives a development grant of up to three
years may subsequently receive another development grant after its
development grant expires.

\(3\) An institution that receives a development grant of four years may
not subsequently receive another development grant for a period of eight
years from the date it received the four year grant.

\(4\) An institution that receives a development grant of five years may
not subsequently receive another development grant for a period of ten
years from the date it received the five year grant.

**607.10 What activities may and may not be carried out under a grant?**

\(a\) Planning grants. Under a planning grant, a grantee shall
formulate‑

\(1\) A comprehensive development plan described in 607.8; and

\(2\) An application for a development grant.

\(b\) Development grants‑allowable activities. Under a development
grant, except as provided in paragraph (c) of this section, a grantee
shall carry out activities that implement its comprehensive development
plan and hold promise for strengthening the institution. Activities that
may be carried out include, but are not limited to‑

\(1\) Faculty development that provides faculty with the skills and
knowledge needed to‑

\(i\) Develop academic support services, including advising and
mentoring students;

\(ii\) Develop academic programs or methodology, including
computer‑assisted instruction, that strengthen the academic quality of
the institution; or

\(iii\) Acquire terminal degrees that are required to obtain or retain
accreditation of an academic program or department;

\(2\) Funds and administrative management that will improve the
institution\'s ability to‑

\(i\) Manage financial resources in an efficient and effective manner;
and

\(ii\) Collect, access, and use information about the institution\'s
operations for improved decision making;

\(3\) Developing and improving academic programs that enable the
institution to‑

\(i\) Develop new academic programs or new program options that show
promise for increased student enrollment;

\(ii\) Provide new technology or methodology to increase student success
and retention or to retain accreditation; or

\(iii\) Improve curriculum or methodology for existing academic programs
to stabilize or increase student enrollment;

\(4\) Acquiring equipment for use in strengthening management and
academic programs to achieve objectives such as those described in
paragraphs (b)(2) and (b)(3) of this section;

\(5\) Establishing or increasing the joint use of facilities such as
libraries and laboratories to‑

\(i\) Eliminate the distance and high cost associated with providing
academic programs and academic support; or

\(ii\) Provide clinical experience that is part of an approved academic
program at off‑campus locations;

\(6\) Developing or improving student services to provide‑

\(i\) New or improved methods to deliver student services, including
counseling, tutoring, and instruction in basic skills; or

\(ii\) Improved strategies to train student services personnel;

\(7\) Payment of any portion of the salary of a dean, with proper
justification, to fill a position under the project such as project
coordinator or activity director. For purposes of this paragraph, proper
justification includes evidence that the position entitled \`\`Dean\'\'
is not one that has college‑wide administrative authority and
responsibility; or

\(8\) For grants authorized under 316 of the HEA to HSIs‑

\(i\) Purchase, rental, or lease of scientific or laboratory equipment
for educational purposes, including instructional and research purposes;

\(ii\) Renovation and improvement in classroom, library, laboratory, and
other instructional facilities;

\(iii\) Support of faculty exchanges, faculty development, and faculty
fellowships to assist in attaining advanced degrees in their field of
instruction;

\(iv\) Curriculum development and academic instruction;

\(v\) Purchase of library books, periodicals, microfilm, and other
educational materials;

\(vi\) Funds and administrative management, and acquisition of equipment
for use in strengthening funds management;

\(vii\) Joint use of facilities such as laboratories and libraries; and

\(viii\) Academic tutoring and counseling programs and student support
services.

\(c\) Development grants‑unallowable activities. A grantee may not carry
out the following activities or pay the following costs under a
development grant:

\(1\) Activities that are not included in the grantee\'s approved
application.

\(2\) Activities that are inconsistent with any State plan for higher
education that is applicable to the institution, including, but not
limited to, a State plan for desegregation of higher education.

\(3\) Activities or services that relate to sectarian instruction or
religious worship.

\(4\) Activities provided by a school or department of divinity. For the
purpose of this provision, a \`\`school or department of divinity\'\'
means an institution, or a department of an institution, whose program
is specifically for the

education of students to prepare them to become ministers of religion or
to enter into some other religious vocation or to prepare them to teach
theological subjects.

\(5\) Developing or improving non‑degree or non‑credit courses other
than basic skills development courses.

\(6\) Developing or improving community‑based or community services
programs, unless the program provides academic‑related experiences or
academic credit toward a degree for degree students.

\(7\) Purchase of standard office equipment, such as furniture, file
cabinets, bookcases, typewriters, or word processors.

\(8\) Payment of any portion of the salary of a president, vice
president, or equivalent officer who has college‑wide administrative
authority and responsibility at an institution to fill a position under
the grant such as project coordinator or activity director.

\(9\) Costs of organized fund‑raising, including financial campaigns,
endowment drives, solicitation of gifts and bequests, and similar
expenses incurred solely to raise capital or obtain contributions.

\(10\) Costs of student recruitment such as advertisements, literature,
and college fairs.

\(11\) Services to high school students.

\(12\) Instruction in the institution\'s standard courses as indicated
in the institution\'s catalog.

\(13\) Costs for health and fitness programs, transportation, and day
care services.

\(14\) Student activities such as entertainment, cultural, or social
enrichment programs, publications, social clubs, or associations.

\(15\) Activities that are operational in nature rather than
developmental in nature.

(Authority: 20 U.S.C. 1057 et seq.)

\[52 FR 30529, Aug. 14, 1987, as amended at 59 FR 41923, Aug. 15, 1994;
60 FR 15447, Mar. 23, 1995\]

**Subpart B‑How Does an Institution Apply for a Grant?**

**607.11 What must be included in individual development grant
applications?**

In addition to the information needed by the Secretary to determine
whether the institution should be awarded a grant under the funding
criteria contained in subpart C, an application for a development grant
must include‑

\(a\) The institution\'s comprehensive development plan;

\(b\) A description of the relationship of each activity for which grant
funds are requested to the relevant goals and objectives of its plan;

\(c\) A description of any activities that were funded under previous
development grants awarded under the Strengthening Institutions of
Special Needs Program that expired within five years of when the
development grant will begin and the institution\'s justification for
not completing the activities under the previous grant;

\(d\) The provisions required by 351 of the HEA which are not specified
in other sections of this part. These provisions require that an
institution applying for more than one activity shall‑

\(1\) Identify those activities that would be a sound investment of
Federal funds if funded separately;

\(2\) Identify those activities that would be a sound investment of
Federal funds only if funded with the other activities; and

\(3\) Rank the activities in preferred funding order; and

\(e\) For a grant under 316 of the HEA to an HSI, as a part of the
applicant\'s Comprehensive Development Plan (CDP) required in 607.8, a
five‑year plan for improving the assistance provided by the HSI to
Hispanic and other low‑income students.

(Approved by the Office of Management and Budget under control number
1840‑0114)

(Authority: 20 U.S.C. 1057 et seq.)

\[52 FR 30529, Aug. 14, 1987, as amended at 59 FR 41924, Aug. 15, 1994;
60 FR 15447, Mar. 23, 1995\]

**607.12 What must be included in cooperative arrangement grant
applications?**

\(a\)

\(1\) Institutions applying for a cooperative arrangement grant shall
submit only one application for that grant regardless of the number of
institutions participating in the cooperative arrangement.

\(2\) The application must include the names of each participating
institution, the role of each institution, and the rationale for each
eligible participating institution\'s decision to request grant funds as
part of a cooperative arrangement rather than as an individual grantee.

\(b\) If the application is for a development grant, the application
must contain‑

\(1\) Each participating institution\'s comprehensive development plan;

\(2\) The information required under 607.11; and

\(3\) An explanation from each eligible participating institution of why
participation in a cooperative arrangement grant rather than performance
under an individual grant will better enable it to meet the goals and
objectives of its comprehensive development plan at a lower cost.

\(4\) The name of the applicant for the group that is legally
responsible for‑

\(i\) The use of all grant funds; and

\(ii\) Ensuring that the project is carried out by the group in
accordance with Federal requirements.

(Approved by the Office of Management and Budget under control number
1840‑0114)

(Authority: 20 U.S.C. 1066 and 1069)

\[52 FR 30529, Aug. 14, 1987, as amended at 59 FR 41924, Aug. 15, 1994\]

**607.13 How many applications for a development grant may an
institution submit?**

In any fiscal year, an institution of higher education may‑

\(a\) Submit an application for an individual development grant; and

\(b\) Be part of a cooperative arrangement application.

(Authority: 20 U.S.C. 1057, 1069)

\[59 FR 41924, Aug. 15, 1994\]

**Subpart C‑How Does the Secretary Make an Award?**

**607.20 How does the Secretary choose applications for funding?**

\(a\) The Secretary evaluates an application on the basis of the
criteria in‑

\(1\) Sections 607.21 and 607.23 for a planning grant; and

\(2\) Sections 607.22, 607.23, and 607.25 for a development grant.

\(b\)

\(1\) With regard to applicants that satisfy the requirements of
paragraph (d) of this section, for each fiscal year, the Secretary
awards development grants to applicants that are not, or were not,
individual grantees under this part during the fiscal year, before the
Secretary awards a development grant to any applicant that is or was an
individual grantee under this part during the fiscal year.

\(2\) For purposes of paragraph (b)(1) of this section, an institution
that is a recipient of a cooperative arrangement grant is not an
individual grantee under this part.

\(c\)

\(1\) The Secretary awards up to 100 points for the criteria in 607.21
and up to 100 points for the criteria in 607.22.

\(2\) The maximum possible score for each complete criterion is in
parentheses.

\(d\)

\(1\) The Secretary considers funding an application for a planning
grant that scores at least 50 points under 607.21.

\(2\) The Secretary considers funding an application for a development
grant that‑

\(i\) Scores at least 50 points under 607.22;

\(ii\) Is submitted with a comprehensive development plan that satisfies
all the elements required of such a plan under 607.8; and

\(iii\) In the case of an application for a cooperative arrangement
grant, demonstrates that the grant will enable each eligible participant
to meet the goals and objectives of its comprehensive development plan
better and at a lower cost than if each eligible participant were funded
individually.

(Authority: 20 U.S.C. 1057‑1059, 1066‑1069f)

**607.21 What are the selection criteria for planning grants?**

The Secretary uses the following criteria to evaluate an application to
determine whether the applicant will produce a good comprehensive
development plan and a fundable Strengthening Institutions Program
application:

\(a\) Design of the planning process. (Total: 60 points) The Secretary
reviews each application to determine the quality of the planning
process that the applicant will use to develop a comprehensive
development plan and an application for a development grant based on the
extent to which‑

\(1\) The planning process is clearly and comprehensively described and
based on sound planning practice (15 points);

\(2\) The president or chief executive officer, administrators and other
institutional personnel, students, and governing board members
systematically and consistently will be involved in the planning process
(15 points);

\(3\) The applicant will use its own resources to help implement the
project (10 points); and

\(4\) The planning process is likely to achieve its intended results (20
points).

\(b\) Key personnel. (Total: 20 points) The Secretary reviews each
application to determine the quality of key personnel to be involved in
the project based on the extent to which‑

\(1\) The past experience and training of key personnel such as the
project coordinator and persons who have key roles in the planning
process are suitable to the tasks to be performed (10 points); and

\(2\) The time commitments of key personnel are adequate (10 points).

\(c\) Project Management. (Total: 15 points) The Secretary reviews each
application to determine the quality of the plan to manage the project
effectively based on the extent to which‑

\(1\) The procedures for managing the project are likely to ensure
effective and efficient project implementation (10 points); and

\(2\) The project coordinator has sufficient authority, including access
to the president or chief executive officer, to conduct the project
effectively (5 points).

\(d\) Budget. (Total: 5 points) The Secretary reviews each application
to determine the extent to which the proposed project costs are
necessary and reasonable.

(Approved by the Office of Management and Budget under control number
1840‑0114)

(Authority: 20 U.S.C. 1057‑1059, 1066‑1069)

**607.22 What are the selection criteria for development grants?**

The Secretary uses the following criteria to evaluate applications for
development grants:

\(a\) Quality of the applicant\'s comprehensive development plan.
(Total: 30 points) The extent to which‑

\(1\) The strengths, weaknesses, and significant problems of the
institution\'s academic programs, institutional management, and fiscal
stability are clearly and comprehensively analyzed and result from a
process that involved major constituencies of the institution.

(12 points);

\(2\) The goals for the institution\'s academic programs, institutional
management, and fiscal stability are realistic and based on
comprehensive analysis. (5 points);

\(3\) The objectives stated in the plan are measurable, related to
institutional goals, and, if achieved, will contribute to the growth and
self‑sufficiency of the institution (5 points);

\(4\) The plan clearly and comprehensively describes the methods and
resources the institution will use to institutionalize practice and
improvements developed under the proposed project, including, in
particular, how operational costs for personnel, maintenance, and
upgrades of equipment will be paid with institutional resources (8
points).

\(b\) Quality of activity objectives. (Total: 10 points) The extent to
which the objectives for each activity are‑

\(1\) Realistic and defined in terms of measurable results (5 points);
and

\(2\) Directly related to the problems to be solved and to the goals of
the comprehensive development plan (5 points).

\(c\) Quality of implementation strategy. (Total: 25 points) The extent
to which‑

\(1\) The implementation strategy for each activity is comprehensive (10
points);

\(2\) The rationale for the implementation strategy for each activity is
clearly described and is supported by the results of relevant studies or
projects (10 points); and

\(3\) The timetable for each activity is realistic and likely to be
attained (5 points).

\(d\) Quality of key personnel. (Total: 10 points) The extent to which‑

\(1\) The past experience and training of key professional personnel are
directly related to the stated activity objectives (7 points); and

\(2\) The time commitment of key personnel is realistic (3 points).

\(e\) Quality of project management plan. (Total: 10 points) The extent
to which‑

\(1\) Procedures for managing the project are likely to ensure efficient
and effective project implementation (5 points); and

\(2\) The project coordinator and activity directors have sufficient
authority to conduct the project effectively, including access to the
president or chief executive officer (5 points).

\(f\) Quality of evaluation plan. (Total: 10 points) The extent to
which‑

\(1\) The data elements and the data collection procedures are clearly
described and appropriate to measure the attainment of activity
objectives and to measure the success of the project in achieving the
goals of the comprehensive development plan (5 points); and

\(2\) The data analysis procedures are clearly described and are likely
to produce formative and summative results on attaining activity
objectives and measuring the success of the project on achieving the
goals of the comprehensive development plan (5 points).

\(g\) Budget. (Total: 5 points) The extent to which the proposed costs
are necessary and reasonable in relation to the project\'s objectives
and scope.

(Approved by the Office of Management and Budget under control number
1840‑0114)

(Authority: 20 U.S.C. 1057‑1059, 1066‑1069f)

\[59 FR 41924, Aug. 15, 1994\]

**607.23 What special funding consideration does the Secretary
provide?**

\(a\) If funds are available to fund only one additional planning grant
and each of the next fundable applications has received the same number
of points under 607.21, the Secretary awards additional points, up to a
maximum of two points, to any of those applicants that‑

\(1\) Has an endowment fund of which the current market value, per
full‑time equivalent enrolled student, is less than the average current
market value of the endowment funds, per full‑time equivalent enrolled
student, at similar type institutions; (one point) or

\(2\) Has expenditures for library materials per full‑time equivalent
enrolled student which is less than the average expenditure for library
materials per full‑time equivalent enrolled student at similar type
institutions. (one point)

\(b\) If funds are available to fund only one additional development
grant and each of the next fundable applications has received the same
number of points under 607.22, the Secretary will award additional
points, up to a maximum of three points, to any of those applicants
that‑

\(1\) Has an endowment fund of which the current market value, per
full‑time equivalent enrolled student, is less than the average current
market value of the endowment funds, per full‑time equivalent enrolled
student, at comparable institutions that offer similar instruction; (one
point)

\(2\) Has expenditures for library materials per full‑time equivalent
enrolled student which is less than the average expenditure for library
materials per full‑time equivalent enrolled student at comparable
institutions that offer similar instruction (one point); or

\(3\) Propose to carry out one or more of the following activities‑

\(i\) Faculty development;

\(ii\) Funds and administrative management;

\(iii\) Development and improvement of academic programs;

\(iv\) Acquisition of equipment for use in strengthening management and
academic programs;

\(v\) Joint use of facilities; and

\(vi\) Student services. (one point)

\(c\) As used in this section, an endowment fund does not include any
fund established or supported under 34 CFR part 628.

\(d\) Each year, the Secretary provides prospective applicants with the
average expenditure of endowment funds and library materials per
full‑time equivalent student.

\(e\) The Secretary gives priority to applications from HSIs that
contain satisfactory evidence that the HSI has entered into or will
enter into a collaborative arrangement with at least one local
educational agency to provide that agency with assistance (from funds
other than funds provided under Title III Part A of the HEA) in‑

\(1\) Reducing the dropout rates of Hispanic students;

\(2\) Improving rates of academic achievement of Hispanic students; and

\(3\) Increasing the rates at which Hispanic high school graduates
enroll in higher education.

(Authority: 20 U.S.C. 1057 et seq.)

\[52 FR 30529, Aug. 14, 1987, as amended at 59 FR 41925, Aug. 15, 1994;
60 FR 15447, Mar. 23, 1995\]

**607.24 How does the Secretary use an applicant\'s performance under a
previous development grant when awarding a development grant?**

\(a\)

\(1\) In addition to evaluating an application under the selection
criteria in 607.22, the Secretary evaluates an applicant\'s performance
under any previous development grant awarded under Strengthening
Institutions and Special Needs Programs that expired within five years
of the year when the development grant will begin.

\(2\) The Secretary evaluates whether the applicant fulfilled, or is
making substantial progress toward fulfilling, the goals and objectives
of the previous grant, including, but not limited to, the applicant\'s
success in institutionalizing practices developed and improvements made
under the grant.

\(3\) The Secretary bases the evaluation of the applicant\'s performance
on information contained in‑

\(i\) Performance and evaluation reports submitted by the applicant;

\(ii\) Audit reports submitted on behalf of the applicant; and

\(iii\) Other information obtained by the Secretary, including reports
prepared by the Department.

\(b\) If the Secretary initially determines that the applicant did not
fulfill the goals and objectives of a previous grant or is not making
substantial progress towards fulfilling those goals and objectives, the
Secretary affords the applicant the opportunity to respond to that
initial determination.

\(c\) If the Secretary determines that the applicant did not fulfill the
goals and objectives of a previous grant or is not making substantial
progress towards fulfilling those goals and objectives, the Secretary
may‑

\(1\) Decide not to fund the applicant; or

\(2\) Fund the applicant but impose special grant terms and conditions,
such as specific reporting and monitoring requirements.

(Authority: 20 U.S.C. 1066)

\[59 FR 41925, Aug. 15, 1994\]

**607.25 What priority does the Secretary use in awarding cooperative
arrangement grants?**

Among applications for cooperative arrangement grants, the Secretary
gives priority to proposed cooperative arrangements that are
geographically and economically sound, or will benefit the institutions
applying for the grant.

(Authority: 20 U.S.C. 1057, 1069)

\[59 FR 41925, Aug. 15, 1994\]

**Subpart D‑What Conditions Must a Grantee Meet?**

**607.30 What are allowable costs and what are the limitations on
allowable costs?**

\(a\) Allowable costs. Except as provided in paragraphs (b) and (c) of
this section, a grantee may expend grant funds for activities that are
related to carrying out the allowable activities included in its
approved application.

\(b\) Supplement and not supplant. Grant funds shall be used so that
they supplement and, to the extent practical, increase the funds that
would otherwise be available for the activities to be carried out under
the grant and in no case supplant those funds.

\(c\) Limitations on allowable costs. A grantee may not use an indirect
cost rate to determine allowable costs under its grant.

(Authority: 20 U.S.C. 1057‑1059 and 1066)

**607.31 How does a grantee maintain its eligibility?**

\(a\) A grantee shall maintain its eligibility under the requirements in
607.2, except for 607.2(a)

\(1\) and (2), for the duration of the grant period.

\(b\) The Secretary reviews an institution\'s application for a
continuation award to ensure that‑

\(1\) The institution continues to meet the eligibility requirements
described in paragraph (a) of this section; and

\(2\) The institution is making substantial progress toward achieving
the objectives set forth in its grant application including, if
applicable, the institution\'s success in institutionalizing practices
and improvements developed under the grant.

(Authority: 20 U.S.C. 1057‑1059b, 1066‑1069f)

\[59 FR 41925, Aug. 15, 1994\]

**Revised Program Regulations**

\[Federal Register: December 15, 1999 (Volume 64, Number 240)\]

\[Rules and Regulations\]

\[Page 70145-70155\]

From the Federal Register Online via GPO Access \[wais.access.gpo.gov\]

\[DOCID:fr15de99-12\]

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Part III

Department of Education

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34 CFR Parts 606 and 607

Strengthening Institutions Program and Developing Hispanic-Serving

Institutions Program; Final Rule

\[\[Page 70146\]\]

DEPARTMENT OF EDUCATION

34 CFR Parts 606 and 607

Strengthening Institutions Program and Developing Hispanic-

Serving Institutions Program

AGENCY: Department of Education.

ACTION: Final regulations.

\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\--

SUMMARY: We amend the regulations governing the Strengthening

Institutions and Developing Hispanic-Serving Institutions (HSI)

Programs to conform them to statutory changes made to those programs by

the Higher Education Amendments of 1998 (1998 Amendments). We have also

moved the regulations for the HSI Program to a new part. These
regulations also make technical corrections and changes.

EFFECTIVE DATE: These regulations are effective January 14, 2000.

FOR FURTHER INFORMATION CONTACT: Darlene Collins, U.S. Department of
Education, 1990 K Street, NW., Washington, DC 20006-8512.

Telephone: (202) 502-7576. If you use a telecommunications device for
the deaf

(TDD), you may call the Federal Information Relay Service (FIRS) at 1-

800-877-8339.

Individuals with disabilities may obtain this document in an

alternate format (e.g., Braille, large print, audiotape, or computer

diskette) on request to the contact person.

SUPPLEMENTARY INFORMATION: The Strengthening Institutions Program is

authorized under title III, part A of the Higher Education Act of 1965

as amended (HEA). The HSI Program is now authorized under title V of

the HEA. However, prior to the 1998 Amendments, it was also authorized

under title III, part A of the HEA. Accordingly, because the HSI

Program was moved from title III to title V of the HEA, we moved the

regulations governing the program from part 607 to a new part, part

606\. However, new part 606 either contains regulatory provisions

already included in part 607 or statutory changes made to the HSI

Program by the 1998 Amendments.

The 1998 Amendments made several other changes to the HEA with

regard to those two programs that require conforming changes to the

regulations for the two programs. These statutory amendments

incorporated in the regulations in part 606 include:

-   Expanding the specific allowable activities, and

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-   Providing that an institution that receives a five-year

individual grant under the HSI Program is not eligible to receive an

additional development grant until two years after the date on which

the five-year grant terminates.

The statutory amendments incorporated in the regulations in part

607 include:

-   Expanding the specific allowable activities, and

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-   Extending from one year to two years the period that a

previous grantee must sit out before it can receive another individual

development grant.

The 1998 Amendments also created several new programs under the

Strengthening Institutions Program umbrella. These programs provide

grants to Indian Tribal Colleges and Universities, Alaska Native-

serving institutions, and Native Hawaiian-serving institutions. Grants

made to these institutions under these programs are subject to the

requirements in part 607. However, to implement these programs, part

607 is further amended to incorporate the following statutory

provisions that:

-   Authorize grants to Tribal Colleges and Universities to plan,
    develop, and carry out approved program activities.

-   Define the terms \`\`Indian\'\', \`\`Indian Tribe\'\' and \`\`Tribal
    College or University\'\'.

-   Allow the Secretary to waive the needy student eligibility
    requirement if the applicant is a Tribal College or University.

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-   List activities that Tribal Colleges and Universities may carry out
    under a grant.

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-   Provide that no Tribal College or University that receives funds
    under the Indian Tribal Colleges and Universities Program may
    concurrently receive other grant funds under the Strengthening
    Institutions Program, Strengthening Historically Black Colleges and
    Universities Program, or Strengthening Historically Black Graduate

Institutions Program.

-   Require a five-year plan for improving the assistance provided by
    the Tribal College or University to Indian students, increasing the
    rates at which Indian secondary school students enroll in higher
    education, and increasing overall postsecondary retention rates for
    Indian students.

-   Authorize grants to assist Alaska Native-serving and Native
    Hawaiian-serving institutions of higher education to plan, develop
    and carry out approved program activities.

-   Define the terms \`\`Alaska Native\'\', \`\`Alaska Native-serving
    Institution\'\' and \`\`Native Hawaiian-serving institution\'\'.

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-   List activities that Alaska Native-serving institutions of higher
    education and Native Hawaiian-serving institutions of higher
    education may carry out under a grant.

-   Provide that no Alaska Native-serving institution or Native
    Hawaiian-serving institution that receives funds under the programs
    specifically serving those institutions may concurrently receive
    other grant funds under the Strengthening Institutions Program,
    Strengthening Historically Black Colleges and Universities Program,
    or Strengthening Historically Black Graduate Institutions Program.

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-   Require a five-year plan for improving the assistance provided by
    the Alaska Native-serving institution or the Native Hawaiian-serving
    institution to Alaska Native students or Native Hawaiian students.

Intergovernmental Review

This program is subject to the requirements of Executive Order 12372 and
the regulations in 34 CFR part 79. The objective of the Executive order
is to foster an intergovernmental partnership and a strengthened
federalism by relying on processes developed by State and local
government for coordination and review of proposed Federal financial
assistance.

In accordance with the order, we intend this document to provide early
notification of the Department\'s specific plans and actions for this
program.

Assessment of Education Impact

Based on our review, we have determined that these final regulations do
not require transmission of information that any other agency or
authority of the United States gathers or makes available.

Electronic Access to This Document

You may view this document, as well as all other Department of Education
documents published in the Federal Register, in text or Adobe Portable
Document Format (PDF) on the Internet at either of the following sites:

ocfo.ed.gov/fedreg.htm

www.ed.gov/news.html

To use the PDF you must have the Adobe Acrobat Reader Program with
Search, which is available free at either of the previous sites. If you
have questions about using the PDF, call the U.S. Government Printing
Office (GPO), toll free, at 1-888-293-6498; or in the Washington, D.C.
area at (202) 512-1530.

Note: The official version of this document is the document published in
the Federal Register. Free Internet access to the official edition of
the Federal Register and the Code of Federal Regulations is available on
GPO Access at:

http://www.access.gpo.gov/nara/index.html

Waiver of Proposed Rulemaking

It is the practice of the Secretary to offer interested parties the

opportunity to comment on proposed regulations in accordance with the

Administrative Procedure Act (5 U.S.C. 553). However, since these

changes merely incorporate statutory amendments into the regulations

and do not implement substantive policy, public comment could have no

effect. Therefore, the Secretary has determined pursuant to 5 U.S.C.

553(b)(B) that public comment on the regulations is unnecessary and

contrary to the public interest.

List of Subjects in 34 CFR Parts 606 and 607

Colleges and universities, Grant programs\--education, Reporting and

Record-keeping requirements.

Dated: December 8, 1999.

A. Lee Fritschler,

Assistant Secretary, Office of Postsecondary Education.

For the reasons discussed in the preamble, the Secretary amends

title 34 of the Code of Federal Regulations by...and amending part 607
as follows:

1\. ...

**PART 607\--STRENGTHENING INSTITUTIONS PROGRAM**

2\. The authority citation for part 607 continues to read as

follows:

Authority: 20 U.S.C. 1057-1059c, 1066-1069f, unless otherwise

noted.

3\. Section 607.2 is amended by revising paragraphs (c), (d), and

(e); and by adding new paragraphs (f) and (g) to read as follows:

**Sec. 607.2 What institutions are eligible to receive a grant under
the**

**Strengthening Institutions Program?**

\* \* \* \* \*

\(c\) For the purpose of paragraphs (e)(2) and (f)(2) of this

section, an institution\'s enrollment consists of a head count of its

entire student body.

\(d\) A tribal college or university may receive a grant authorized

under section 316 of the HEA if\--

\(1\) It satisfies the requirements of paragraph (a) of this section,

other than Sec. 607.2(a)(3), and

(2)(i) It meets the definition of the term \`\`tribally controlled

college or university\'\' in section 2 of the Tribally Controlled
College

or University Assistance Act of 1978; or

\(ii\) It is listed in the Equity in Educational Land Grant Status

Act of 1994.

\(e\) An Alaska Native-serving institution may receive a grant under

section 317 of the HEA if\--

\(1\) It satisfies the requirements of paragraph (a) of this section;

and

\(2\) It has, at the time of application, an enrollment of

undergraduate students that is at least 20 percent Alaska Native

students.

\(f\) A Native Hawaiian-serving institution may receive a grant

authorized under section 317 of the HEA if\--

\(1\) It satisfies the requirements of paragraph (a) of this section;

and

\(2\) It has, at the time of application, an enrollment of

undergraduate students that is at least 10 percent Native Hawaiian

students.

(g)(1) An institution that qualifies for a grant under the

Strengthening Historically Black Colleges and Universities Program (34

CFR part 608) or the Developing Hispanic-Serving Institutions Program

(34 CFR part 606) and receives a grant under either of these programs

for a particular fiscal year is not eligible to receive a grant under

this part for the same fiscal year.

\(2\) A tribal college or university that receives a grant under

section 316 of the HEA or an Alaska Native or Native Hawaiian-serving

institution that receives a grant under section 317 of the HEA may not
concurrently receive other grant funds under the Strengthening

Institutions Program, Strengthening Historically Black Colleges and

Universities Program, or Strengthening Historically Black Graduate

Institutions Program.

4\. Section 607.3 is amended by removing the word "or" at the end

of paragraph (b)(5); redesignating paragraph (b)(6) as paragraph

(b)(7); and adding a new paragraph (b)(6) to read as follows:

**Sec. 607.3 What is an enrollment of needy students?**

\* \* \* \* \*

\(b\) \* \* \*

\(6\) It is a tribal college or university; or

\* \* \* \* \*

5\. Section 607.7 is amended by:

A. Revising paragraph (b);

B. Redesignating paragraph (c) as paragraph (e);

C. adding new paragraphs (c) and (d);

D. Removing the definitions of \`\`College Work-Study Program\'\',

\`\`Pell Grant Program\'\', \`\`Perkins Loan Program\'\', \`\`Special
Needs

Program\'\', and \`\`Supplemental Education Opportunity Grant\'\' from
newly

designated paragraph (e);

E. Revising the definition of \`\`Institution of higher education\'\'

in newly designated paragraph (e); and

F. Adding, in alphabetical order, new definitions of \`\`Federal Pell

Grant Program\'\', \`\`Federal Perkins Loan Program\'\', \`\`Federal

Supplemental Education Opportunity Grant Program\'\', \`\`Federal Work-

Study Program\'\', and \`\`Low-income individual\'\' in newly
redesignated

paragraph (e).

The revisions and additions read as follows:

**Sec. 607.7 What definitions apply?**

\* \* \* \* \*

\(b\) The following term used in this part is defined in section 312

of the HEA:

Endowment fund

\(c\) The following terms used in this part are defined in section

316 of the HEA:

Indian

Indian tribe

Tribal college or university

\(d\) The following terms used in this part are defined in section

317 of the HEA:

Alaska Native

Alaska Native-serving institution

Native Hawaiian

Native Hawaiian-serving institution

\(e\) \* \* \*

Federal Pell Grant Program means the grant program authorized by

title IV-A-1 of the HEA.

Federal Perkins Loan Program, formerly called the National Direct

Student Loan Program, means the loan program authorized by title IV-E

of the HEA.

Federal Supplemental Education Opportunity Grant Program means the

grant program authorized by title IV-A-3 of the HEA.

Federal Work-Study Program means the part-time employment program

authorized under title IV-C of the HEA.

\* \* \* \* \*

Institution of higher education means an educational institution

defined in section 101 of the HEA.

\* \* \* \* \*

Low-income individual means an individual from a family whose

taxable income for the preceding year did not exceed 150 percent of an

amount equal to the poverty level determined by using criteria of

poverty established by the Bureau of Census.

\* \* \* \* \*

6\. Section 607.8(b) is amended by adding paragraphs (b)(5) and

(b)(6) to read as follows:

**Sec. 607.8 What is a comprehensive development plan and what must it**

**contain?**

\* \* \* \* \*

\(b\) \* \* \*

\(5\) For a grant under section 316 of the HEA to a tribal college or

university, its five-year plan for improving its services to Indian

students, increasing the rates at which Indian secondary school

students enroll in higher education, and increasing overall

postsecondary retention rates for Indian students.

\(6\) For a grant under section 317 of the HEA to an Alaska Native-

serving institution or to a Native Hawaiian-serving institution, its

five-year plan for improving its services to Alaska Native or Native

Hawaiian students, respectively.

7\. Section 607.9 is amended by revising paragraph (b) to read as

follows:

**Sec. 607.9 What are the type, duration and limitations in the
awarding**

**of grants under this part?**

\* \* \* \* \*

(b)(1) An institution that received an individual development grant

of five years may not subsequently receive another individual

development grant for a period of two years from the date on which the

five-year grant period terminates.

\(2\) A cooperative arrangement grant is not considered to be an

individual development grant under paragraph (b)(1) of this section.

8\. Section 607.10 is amended by:

A. Revising paragraph (b)(1) introductory text;

B. Removing the word \`\`or\'\' at the end of paragraph (b)(7);

C. Redesignating paragraph (b)(8) as paragraph (b)(13);

D. Adding new paragraphs (b)(8) through (12) and (b)(14);

E. Revising the introductory text in newly designated paragraph

(b)(13) and paragraphs (b)(13)(ii), (v), and (viii);

F. Removing the word \`\`and\'\' at the end of newly designated

paragraph (b)(13)(vii);

G. Adding new paragraphs (b)(13)(ix) through (xiii); and

H. Revising paragraphs (c)(6) and (11).

The revisions and additions read as follows:

**Sec. 607.10 What activities may and may not be carried out under a
grant?**

\* \* \* \* \*

\(b\) \* \* \*

\(1\) Faculty exchanges, faculty fellowships, and faculty development

that provide faculty with the skills and knowledge needed to\--

\* \* \* \* \*

\(8\) Purchase, rental, or lease of scientific or laboratory

equipment for educational purposes, including instructional and

research purposes;

\(9\) Construction, maintenance, renovation, and improvement in

classrooms, libraries, laboratories, and other instructional

facilities, including the integration of computer technology into

institutional facilities to create smart buildings;

\(10\) Establishing or improving a development office to strengthen

or improve contributions from alumni and the private sector;

\(11\) Establishing or improving an endowment fund, provided a

grantee uses no more than 20 percent of its grant funds for this

purpose and at least matches those grant funds with non-Federal funds;

\(12\) Creating or improving facilities for Internet or other

distance learning academic instruction capabilities, including purchase

or rental of telecommunications technology equipment or services;

\(13\) For grants authorized under section 316 of the HEA to tribal

colleges or universities\--

\* \* \* \* \*

\(ii\) Construction, maintenance, renovation, and improvement in

classroom, library, laboratory, and other instructional facilities,

including purchase or rental of telecommunications technology equipment

or services;

\* \* \* \* \*

\(v\) Purchase of library books, periodicals, microfilm, and other

educational materials, including telecommunications program materials;

\* \* \* \* \*

\(viii\) Academic tutoring and counseling programs and student

support services designed to improve academic services;

\(ix\) Academic instruction in disciplines in which Indians are

underrepresented;

\(x\) Establishing or improving a development office to strengthen or

improve contributions from the alumni and the private sector;

\(xi\) Establishing or enhancing a program of teacher education

designed to qualify students to teach in elementary schools or

secondary schools, with a particular emphasis on teaching Indian

children and youth, that shall include, as part of such program,

preparation for teacher certification;

\(xii\) Establishing community outreach programs that encourage

Indian elementary school and secondary school students to develop the

academic skills and the interest to pursue postsecondary education; and

\(xiii\) Establishing or improving an endowment fund, provided a

grantee uses no more than 20 percent of its grant funds for this purpose
and at least matches those grant funds with non-Federal funds; or

\(14\) For grants authorized under section 317 of the HEA to Alaska

Native-serving institutions and Native Hawaiian-serving institutions\--

\(i\) Purchase, rental, or lease of scientific or laboratory

equipment for educational purposes, including instructional and

research purposes;

\(ii\) Renovation and improvement in classroom, library, laboratory,

and other instructional facilities;

\(iii\) Support of faculty exchanges, faculty development, and

faculty fellowships to assist in attaining advanced degrees in the

faculty\'s field of instruction;

\(iv\) Curriculum development and academic instruction;

\(v\) Purchase of library books, periodicals, microfilm, and other

educational materials;

\(vi\) Funds and administrative management, and acquisition of

equipment for use in strengthening funds management;

\(vii\) Joint use of facilities such as laboratories and libraries;

\(viii\) Academic tutoring and counseling programs and student

support services.

\(c\) \* \* \*

\(6\) Developing or improving community-based or community services

programs, unless the program provides academic-related experiences or

academic credit toward a degree for degree students, or unless it is an

outreach program that encourages Indian elementary school and secondary

school students to develop the academic skills and the interest to

pursue postsecondary education.

\* \* \* \* \*

\(11\) Services to high school students, unless they are part of a

program to encourage Indian students to develop the academic skills and

the interest to pursue postsecondary education.

\* \* \* \* \*

9\. Section 607.11 is amended by revising paragraphs (c) and (d);

and removing paragraph (e) to read as follows:

**Sec. 607.11 What must be included in individual development grant**

**applications?**

\* \* \* \* \*

\(c\) A description of any activities that were funded under previous

development grants awarded under the Strengthening Institutions Program

that expired within five years of when the development grant will begin

and the institution\'s justification for not completing the activities

under the previous grant, if applicable; and

\(d\) If the applicant is applying to carry out more than one
activity\--

\(1\) A description of those activities that would be a sound

investment of Federal funds if funded separately;

(3) A description of those activities that would be a sound investment
    of Federal

funds only if funded with the other activities; and

\(3\) A ranking of the activities in preferred funding order.

10\. Section 607.13 is amended by revising the introductory text and

paragraph (a) to read as follows:

**Sec. 607.13 How many applications for a development grant may an
institution submit?**

In any fiscal year, an institution of higher education that meets the
eligibility requirements under sections 311, 316, and 317 of the HEA
may\--

\(a\) Submit an application for a development grant authorized under

sections 311, 316, and 317 of the HEA; and

\* \* \* \* \*

11\. Section 607.20 is amended by revising paragraphs (a)(2) and

(b)(1) to read as follows:

**Sec. 607.20 How does the Secretary choose applications for funding?**

\(a\) \* \* \*

\(2\) Sections 607.22, 607.23, 607.24, and 607.25 for a development

grant.

(b)(1) With regard to applicants that satisfy the requirements of

paragraph (d) of this section, for each fiscal year, the Secretary

awards individual development grants to applicants that are not

individual development grantees under this part, before the Secretary

awards an individual development grant to any applicant that is an

individual grantee under this part.

\* \* \* \* \*

Sec. 607.23 \[Amended\]

12\. Section 607.23 is amended by removing the words \`\`is less than

the average expenditure\'\', and adding, in their place, \`\`are less
than

the average expenditures\'\' in paragraph (b)(2); and by removing

paragraph (e).

Sec. 607.24 \[Amended\]

13\. Section 607.24 is amended by removing the words \`\`Strengthening

Institutions and Special Needs Programs\'\', and adding, in their place

\`\`the Strengthening Institutions Program\'\' in paragraph (a)(1).

\[FR Doc. 99-32323 Filed 12-14-99; 8:45 am\]

BILLING CODE 4000-01-U

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## Appendix IV

ENDOWMENT INVESTING---UP TO 20% OF FUNDS

PERTINENT EXCERPT FROM REGULATIONS FOR THOSE USING UP TO 20% OF THEIR
GRANT FOR ENDOWMENT INVESTING:

**628.42 What may a grantee not use to match an endowment challenge
grant?**

To match an endowment challenge grant, a grantee may not use‑‑

\(a\) A pledge of funds or securities;

\(b\) Deferred gifts such as a charitable remainder annuity trust or
unitrust;

\(c\) Any Federal funds;

\(d\) Any borrowed funds; or

\(e\) The corpus or income of an endowment fund or quasi‑endowment

fund existing at the closing date established by the Secretary for

submission of eligibility requests under the Endowment Challenge Grant

Program. This includes the corpus or income of an endowment or quasi‑

endowment fund established by a foundation if the foundation is tax‑

exempt and was established for the purpose of raising money for the

institution.

(Authority: 20 U.S.C. 1065)

**628.43 What investment standards shall a grantee follow?**

\(a\) A grantee shall invest, for the duration of the grant period, the
endowment fund established under this part in savings accounts or in
low‑risk securities in which a regulated insurance company may invest

under the law of the State in which the institution is located.

\(b\) When investing the endowment fund, the grantee shall exercise the
judgment and care, under the circumstances, that a person of prudence,
discretion and intelligence would exercise in the management of his or
her own financial affairs.

\(c\) An institution may invest its endowment fund in savings accounts
permitted under paragraph (a) of this section such as‑‑

\(1\) A federally insured bank savings account;

\(2\) A comparable interest bearing account offered by a bank; or

\(3\) A money market fund.

\(d\) An institution may invest its endowment fund in low‑risk
securities permitted under paragraph (a) of this section such as‑‑

\(1\) Certificates of deposit;

\(2\) Mutual funds;

\(3\) Stocks; or

\(4\) Bonds.

\(e\) An institution may not invest its endowment fund in real estate.

(Authority: 20 U.S.C. 1065)

**628.44 When and for what purposes may a grantee use the endowment fund
corpus?**

(a)(1) During the grant period, a grantee may not withdraw or spend

any part of the endowment fund corpus.

\(2\) If, during the grant period, a grantee withdraws or spends all or
part of the endowment fund corpus, it must repay to the Secretary an
amount equal of 50 percent of the amount withdrawn or spent plus the

income earned on that amount.

\(b\) At the end of the grant period, the institution may use the
endowment fund corpus for any educational purpose.

(Authority: 20 U.S.C. 1065)

**628.45 How much endowment fund income may a grantee use and for what
purposes?**

\(a\) During the endowment challenge grant period, a grantee‑‑

\(1\) May withdraw and spend up to 50 percent of the total aggregate
endowment fund income earned prior to the date of expenditure;

\(2\) May spend the endowment fund income for‑‑

\(i\) Costs necessary to operate the institution, including general
operating and maintenance costs;

\(ii\) Costs to administer and manage the endowment fund; and

\(iii\) Costs associated with buying and selling securities, such as
stockbroker commissions and fees to "load\'\' mutual funds;

\(3\) May not use endowment fund income for‑‑

\(i\) A school or department of divinity or any religious worship or
sectarian activity;

\(ii\) An activity that is inconsistent with a State plan for
desegregation applicable to the grantee; or

\(iii\) An activity that is inconsistent with a State plan applicable to
the grantee; and

\(4\) May not withdraw or spend the remaining 50 percent of the
endowment fund income.

\(b\) Notwithstanding paragraph (a)(1) of this section, the Secretary
may permit a grantee that requests to spend more than 50 percent of the
total aggregate endowment fund income to do so if the grantee

demonstrates that the expenditure is necessary because of‑‑

\(1\) A financial emergency such as a pending insolvency or temporary
liquidity problem;

\(2\) A situation threatening the existence of the institution such as
destruction due to a natural disaster or arson; or

\(3\) Another unusual occurrence or demanding circumstance, such as a
judgment against the institution for which the institution would be
liable.

\(c\) If, during the grant period, a grantee spends more endowment fund
income or uses it for purposes other than permitted under paragraphs (a)
or (b) of this section, it shall repay to the Secretary an amount equal
to 50 percent of the amount improperly spent.

\(d\) At the end of the grant period, the institution may use all of the
endowment fund income for any educational purpose.

(Authority: 20 U.S.C. 1065)

\[49 FR 28521, July 21, 1984, as amended at 52 FR 11258, Apr. 8, 1987;
58

FR 11163, Feb. 23, 1993\]

**628.46 How shall a grantee calculate the amount of endowment fund
income that it may withdraw and spend?**

A grantee shall calculate the amount of endowment fund income that it
may withdraw and spend at a particular time as follows:

\(a\) On each date that the grantee plans a withdrawal of income, it
must‑‑

\(1\) Determine the value of endowment fund income by subtracting the
endowment fund corpus from the current total value of the endowment fund
on that date; and

\(2\) Calculate the amount of endowment fund income previously withdrawn
from the endowment fund.

\(b\) If the value of endowment fund income in the endowment fund
exceeds the aggregate amount of previously withdrawn endowment fund
income, the grantee may withdraw and spend up to 50 percent of that
excess fund income.

(Authority: 20 U.S.C. 1065)

\[49 FR 28521, July 21, 1984, as amended at 52 FR 11258, Apr. 8, 1987\]

**628.47 What shall a grantee record and report?**

A grantee shall‑‑

\(a\) Keep records of‑‑

\(1\) The source, kind and amount of matching funds;

\(2\) The type and amount of investments of the endowment fund;

\(3\) The amount of endowment fund income; and

\(4\) The amount and purpose of expenditures of endowment fund income;

\(b\) Retain each year\'s records for a minimum of five years after the
grant period ends;

\(c\) Allow the Secretary access to information that the Secretary
judges necessary to audit or examine the records required in paragraph
(a) of this section;

\(d\) Carry out the audit required in 34 CFR 74.61(h) or 80.26 and the
appendix to 34 CFR part 80, as applicable;

\(e\) Provide to the Secretary a copy of the external or internal audit
to be performed under 34 CFR 74.61(h) or 80.26 and the appendix to 34
CFR part 80, as applicable; and

\(f\) Submit reports on a timely basis that are requested by the
Secretary.

(Approved by the Office of Management and Budget under control number
(1840‑0564)

(Authority: 20 U.S.C. 1065 and 1232f)

\[49 FR 28521, July 12, 1984, as amended at 52 FR 11258, Apr. 8, 1987;
53

FR 49146, Dec. 6, 1988; 58 FR 11164, Feb. 23, 1993\]

**628.48 What happens if a grantee fails to administer the endowment
challenge grant in accordance with applicable regulations?**

\(a\) The Secretary may, after giving the grantee notice and an
opportunity for a hearing, terminate an endowment challenge grant if the
grantee‑‑

\(1\) Withdraws or spends any part of the endowment fund corpus in
violation of Sec. 628.44(a)(1);

\(2\) Spends any portion of the endowment fund income not permitted to
be spent in Sec. 628.45;

\(3\) Fails to invest the endowment fund in accordance with the
investment standards set forth in Sec. 628.43; or

\(4\) Fails to meet the requirements in Sec. 628.41.

\(b\) If the Secretary terminates a grant under paragraph (a) of this
section, the grantee must return to the Secretary an amount equal to the
sum of the original endowment challenge grant or grants plus the income
earned on that sum.

(Authority: 20 U.S.C. 1065)

**Some answers to your questions regarding the use of a**

**maximum of 20% of Title III monies for [endowment
investing]{.underline}.**

1.  Q. **What is the matching requirement?**

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A.  One (\$1) local dollar for every two (\$2) Federal dollars for those
    whose grant started 10/1/98 but one (\$1) local dollar for every one
    (\$1) Federal dollar for those whose grant started 10/1/99 or after.

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2.  Q. **By what date must you raise the matching funds?**

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A.  You must simply raise your matching funds BEFORE you draw down the
    Federal funds. In other words, you may draw down a portion of your
    Title III Federal funds for endowment investing anytime during the
    five-year grant period but you must FIRST raise your non-Federal
    matching funds. By and large, you will draw down Federal monies for
    endowment investing according to the budget years in your original
    budget request to the Education Department.

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3.  Q. **May you make changes to the endowment line item of your
    budget?**

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A.  The answer is a very qualified "yes". You must follow the Education
    Department General Administrative Regulations (EDGAR 74.25) and any
    other pertinent rules while doing so. You may increase or decrease
    the amount or change the year in which you are to use the monies for
    endowment investing, but you must get prior written approval from
    the ED program officer if it's going to change the scope or
    objectives of your project.

4\. Q. **May you use monies for endowment investing even though you
never had projected to do so in your original project budget.**

A.  That too demands a very, very qualified answer. It's extremely
    likely that if you suddenly want to use lots of monies for
    endowment, the rest of your project will suffer or the scope will be
    changed or your objectives will change. If so, you would need to
    submit a written request to your program officer for approval of
    same. The question in the program officer's mind undoubtedly would
    be: will the project suffer if the grantee wants to move monies out
    of the project into endowment investing?

5\. Q. **What may you NOT use in matching Federal monies?**

> A. You may not use pledges, deferred gifts, Federal funds, borrowed
> funds, or endowment/quasi-endowment monies that existed at your
> institution on the deadline date for your original submission of Title
> III eligibility data back before your grant project started. It's
> obviously wisest to go out and get NEW donors rather than simply use
> some old donor monies for matching purposes. But that is not an
> absolute must.

6\. Q. **For how long must you invest the Federal and matching funds and
at least half of the income (appreciation, interest and dividends)?**

A. For a period of 20 years from the start of your grant project.

7\. Q. **How do you draw down your Federal funds for endowment**

**investing?**

> A. Consult your business office as they are familiar with draw-down of
> grant monies from the Education Department. They draw it down the same
> way they do for the other part of your Title III budget and for the
> Federal student financial aid they receive from the Education
> Department.

8\. Q. **In** **investing both the Federal and matching funds, what is
the most important principle to follow?**

> A. DIVERSIFY. Diversify your monies among stocks, bonds and other
>
> investment vehicles and diversify WITHIN those groups of investment
>
> vehicles.

9\. Q. **When do you report on your endowment fundraising and
investing?**

> A. Do so in your annual performance report which is due in the
> Spring\-\--usually April 30\-\-- of each of the project's first four
> budget periods and in your final performance report which is due
> within 90 days after the termination of your grant. Additionally you
> will receive an Endowment Reporting Form annually for the term of the
> endowment.

10.Q. **For what purposes may you use up to 50% of the cumulative income
from your endowment investment?**

A.  You may use up to 50% of income for costs of operating the
    institution, including general operating and maintenance costs,
    costs of administering and managing the endowment fund and costs
    associated with buying and selling securities, such as stockbroker
    commissions and fees to load mutual funds.

11.Q. **What are the most important sections in the old Endowment
Challenge Grant regulations that still pertain to grantees that wish to
use a portion of project monies for endowment investing?**

A.  Pay close attention to sections 628.42 through 628.47 of the old
    Endowment Challenge Grant regulations. Those are key.

12.Q. **What if you don't raise all the matching funds you projected to
raise in a particular 12-month budget period?**

A.  If you do nothing, the Federal monies will automatically carry over
    into the

> next 12-month budget period. If, however, you wish to use the monies
> for something other than endowment investing, you request approval to
> do so.

**Appendix V**

Intergovernmental Review of Federal Programs

This appendix applies to each program that is subject to the
requirements of Executive Order 12372 (Intergovernmental Review of
Federal Programs) and the regulations in 34 CFR part 79.

The objective of the Executive order is to foster an intergovernmental
partnership and to strengthen federalism by relying on State and local
processes for State and local government coordination and review of
proposed Federal financial assistance.

Applicants must contact the appropriate State Single Point of Contact to
find out about, and to comply with, the State\'s process under Executive
Order 12372. Applicants proposing to perform activities in more than one
State should immediately contact the Single Point of Contact for each of
those States and follow the procedure established in each of those
States under the Executive order. A listing containing the Single Point
of Contact for each State is included in this appendix.

In States that have not established a process or chosen a program for
review, State, areawide, regional, and local entities may submit
comments directly to the Department.

Any State Process Recommendation and other comments submitted by a State
Single Point of Contact and any comments from State, areawide, regional,
and local entities must be mailed or hand-delivered by the date
indicated in the actual application notice to the following address: The
Secretary, EO 12372\--CFDA# \[commenter must insert number\--including
suffix letter, if any\], U.S. Department of Education, room
[7W301]{.underline}, 400 Maryland Avenue, SW., Washington, DC 20202.

Proof of mailing will be determined on the same basis as applications
(see 34 CFR 75.102). Recommendations or comments may be hand-delivered
until 4:30 p.m. (Washington, DC time) on the date indicated in the
actual application notice.

PLEASE NOTE THAT THE ABOVE ADDRESS IS NOT THE SAME ADDRESS AS THE ONE TO
WHICH THE APPLICANT SUBMITS ITS COMPLETED APPLICATION. DO NOT SEND
APPLICATIONS TO THE ABOVE ADDRESS.

**Appendix VI**

This publication by the U.S. Department of Education is an unofficial
version of the State Single Point of Contact (SPOC) List published by
the Office of Management and Budget (OMB). This publication incorporates
the most recent revisions made by OMB. The Department has made every
effort to ensure the accuracy of the information contained in this
unofficial version. However, the only official version of the State
Single Point of Contact (SPOC) List is posted on the Grants Management
section of the OMB web site
<http://www.whitehouse.gov/omb/grants/spoc.html>.

You may save a text version of this document at the aforementioned site.
Please note it will be necessary to put a row of space between each
state listing.

STATE SINGLE POINTS OF CONTACT (SPOCs)

It is estimated that in 2001, the Federal Government will outlay \$305.6
billion in grants to State and local governments. Executive Order 12372,
"Intergovernmental Review of Federal Programs," was issued with the
desire to foster the intergovernmental partnership and strengthen
federalism by relying on State and local processes for the coordination
and review of proposed Federal financial assistance and direct Federal
development. The Order allows each State to designate an entity to
perform this function. Below is the official list of those entities. For
those States that have a home page for their designated entity, a direct
link has been provided on the official version
<http://www.whitehouse.gov/omb/grants/spoc.html>**.**

**States that are not listed on this page have chosen not to participate
in the intergovernmental review process, and therefore do not have a
SPOC. If you are located within one of these States, you may still send
application material directly to a Federal awarding agency.**

Contact information for Federal agencies that award grants can be found
in [Appendix IV of the Catalog of Federal Domestic
Assistance]{.underline}. \[www.cfda.gov/public/cat-app4-index.htm\]

+-----------------------------------+-----------------------------------+
| **ARKANSAS**                      | **CALIFORNIA**                    |
|                                   |                                   |
| #                                 | Grants Coordination               |
|                                   |                                   |
| Tracy L. Copeland                 | State Clearinghouse               |
|                                   |                                   |
| Manager, State Clearinghouse      | Office of Planning and Research   |
|                                   |                                   |
| Office of Intergovernmental       | P.O. Box 3044, Room 222           |
| Services                          |                                   |
|                                   | Sacramento, California 95812-3044 |
| Department of Finance and         |                                   |
| Administration                    | Telephone: (916) 445-0613         |
|                                   |                                   |
| 1515 7^th^ Street, Room 412       | FAX: (916) 323-3018               |
|                                   |                                   |
| Little Rock, Arkansas 72203       | State.clearinghouse@opr.ca.gov    |
|                                   |                                   |
| Telephone: (501) 682-1074         |                                   |
|                                   |                                   |
| FAX: (501) 682-5206               |                                   |
|                                   |                                   |
| Tlcopeland@dfa.state.ar.us        |                                   |
+-----------------------------------+-----------------------------------+
| **DELAWARE**                      | **DISTRICT OF COLUMBIA**          |
|                                   |                                   |
| Charles H. Hopkins                | Luisa Montero-Diaz                |
|                                   |                                   |
| Executive Department              | Office of Partnerships and Grants |
|                                   | Development                       |
| Office of the Budget              |                                   |
|                                   | Executive Office of the Mayor     |
| 540 S. Dupont Highway , 3^rd^     |                                   |
| Floor                             | District of Columbia Government   |
|                                   |                                   |
| Dover, Delaware 19901             | 414 4^th^ Street, NW, Suite 530   |
|                                   | South                             |
| Telephone: (302) 739-3323         |                                   |
|                                   | Washington, DC 20001              |
| FAX: (302) 739-5661               |                                   |
|                                   | Telephone: (202) 727-8900         |
| Chopkins@state.de.us              |                                   |
|                                   | FAX: (202) 727-1652               |
|                                   |                                   |
|                                   | opgd.eom@dc.gov                   |
+-----------------------------------+-----------------------------------+
| **FLORIDA**                       | **GEORGIA**                       |
|                                   |                                   |
| Jasmin Raffington                 | Georgia State Clearinghouse       |
|                                   |                                   |
| Florida State Clearinghouse       | 270 Washington Street, SW         |
|                                   |                                   |
| Department of Community Affairs   | Atlanta, Georgia 30334            |
|                                   |                                   |
| 2555 Shumard Oak Blvd.            | Telephone: (404) 656-3855         |
|                                   |                                   |
| Tallahassee, Florida 32399-2100   | FAX: (404) 656-7901               |
|                                   |                                   |
| Telephone: (850) 922-5438         | Gach@mail.opb.state.ga.us         |
|                                   |                                   |
| FAX: (850) 414-0479               |                                   |
|                                   |                                   |
| clearinghouse@dca.state.fl.us     |                                   |
+-----------------------------------+-----------------------------------+
| **ILLINOIS**                      | **IOWA**                          |
|                                   |                                   |
| Virginia Bova                     | Steven R. McCann                  |
|                                   |                                   |
| Department of Commerce and        | Division of Community and Rural   |
| Community Affairs                 | Development                       |
|                                   |                                   |
| James R. Thompson Center          | Iowa Department of Economic       |
|                                   | Development                       |
| 100 West Randolph, Suite 3-400    |                                   |
|                                   | 200 East Grand Avenue             |
| Chicago, Illinois 60601           |                                   |
|                                   | Des Moines, Iowa 50309            |
| Telephone: (312) 814-6028         |                                   |
|                                   | Telephone: (515) 242-4719         |
| FAX: (312) 814-8485               |                                   |
|                                   | FAX: (515) 242-4809               |
| vbova@commerce.state.il.us        |                                   |
|                                   | Steve.mccann@ided.state.ia.us     |
+-----------------------------------+-----------------------------------+
| **KENTUCKY**                      | **MAINE**                         |
|                                   |                                   |
| Ron Cook                          | Joyce Benson                      |
|                                   |                                   |
| Department for Local Government   | State Planning Office             |
|                                   |                                   |
| 1024 Capital Center Drive, Suite  | 184 State Street                  |
| 340                               |                                   |
|                                   | 38 State House Station            |
| Frankfort, Kentucky 40601         |                                   |
|                                   | Augusta, Maine 04333              |
| Telephone: (502) 573-2382         |                                   |
|                                   | Telephone: (207) 287-3261         |
| FAX: (502) 573-2512               |                                   |
|                                   | Telephone: (207) 1461 (direct)    |
| Ron.cook@mail.state.ky.us         |                                   |
|                                   | FAX: (207) 287-6489               |
|                                   |                                   |
|                                   | Joyce.benson@state.me.us          |
+-----------------------------------+-----------------------------------+
| **MARYLAND**                      | **MICHIGAN**                      |
|                                   |                                   |
| Linda Janey                       | Richard Pfaff                     |
|                                   |                                   |
| Manager, Clearinghouse and Plan   | Southeast Michigan Council of     |
| Review Unit                       | Governments                       |
|                                   |                                   |
| Maryland Office of Planning       | 535 Griswold, Suite 300           |
|                                   |                                   |
| 301 West Preston Street -- Room   | Detroit, Michigan 48226           |
| 1104                              |                                   |
|                                   | Telephone: (313) 961-4266         |
| Baltimore, Maryland 21201-2305    |                                   |
|                                   | FAX: (313) 961-4869               |
| Telephone: (410) 767-4490         |                                   |
|                                   | pfaff@semcog.org                  |
| FAX: (410) 767-4480               |                                   |
|                                   |                                   |
| linda@mail.op.state.md.us         |                                   |
+-----------------------------------+-----------------------------------+
| **MISSISSIPPI**                   | **MISSOURI**                      |
|                                   |                                   |
| Cathy Mallette                    | Angela Boessen                    |
|                                   |                                   |
| Clearinghouse Officer             | Federal Assistance Clearinghouse  |
|                                   |                                   |
| Department of Finance and         | Office of Administration          |
| Administration                    |                                   |
|                                   | P.O. Box 809                      |
| 1301 Woolfolk Building, Suite E   |                                   |
|                                   | Truman Building, Room 840         |
| 501 North West Street             |                                   |
|                                   | Jefferson City, Missouri 65102    |
| Jackson, Mississippi 39201        |                                   |
|                                   | Telephone: (573) 751-4834         |
| Telephone: (601) 359-6762         |                                   |
|                                   | FAX: (573) 522-4395               |
| FAX: (601) 359-6758               |                                   |
|                                   | igr@mail.oa.state.mo.us           |
+-----------------------------------+-----------------------------------+
| **NEVADA**                        | **NEW HAMPSHIRE**                 |
|                                   |                                   |
| Heather Elliott                   | Jeffrey H. Taylor                 |
|                                   |                                   |
| Department of Administration      | Director                          |
|                                   |                                   |
| State Clearinghouse               | New Hampshire Office of State     |
|                                   | Planning                          |
| 209 E. Musser Street, Room 200    |                                   |
|                                   | Attn: Intergovernmental Review    |
| Carson City, Nevada 89701-4298    | Process                           |
|                                   |                                   |
| Telephone: (775) 684-0209         | Mike Blake                        |
|                                   |                                   |
| FAX: (775) 684-0260               | 2½ Beacon Street                  |
|                                   |                                   |
| Helliot@govmail.state.nv.us       | Concord, New Hampshire 03301      |
|                                   |                                   |
|                                   | Telephone: (603) 271-2155         |
|                                   |                                   |
|                                   | FAX: (603) 271-1728               |
|                                   |                                   |
|                                   | Jtaylor@osp.state.nh.us           |
+-----------------------------------+-----------------------------------+
| **NEW MEXICO**                    | **NORTH CAROLINA**                |
|                                   |                                   |
| Ken Hughes                        | Jeanette Furney                   |
|                                   |                                   |
| Local Government Division         | Department of Administration      |
|                                   |                                   |
| Room 201, Bataan Memorial         | 1302 Mail Service Center          |
| Building                          |                                   |
|                                   | Raleigh, North Carolina           |
| Santa Fe, New Mexico 87503\       | 27699-1302                        |
| Telephone: (505) 827-4370         |                                   |
|                                   | Telephone: (919) 807-2323         |
| FAX: (505) 827-4948               |                                   |
|                                   | FAX: (919) 733-9571               |
| Khughes@dfa.state.nm.us           |                                   |
|                                   | Jeanette.furney@ncmail.net        |
+-----------------------------------+-----------------------------------+
| **NORTH DAKOTA**                  | **RHODE ISLAND**                  |
|                                   |                                   |
| Jim Boyd                          | Kevin Nelson                      |
|                                   |                                   |
| Division of Community Services    | Department of Administration      |
|                                   |                                   |
| 600 East Boulevard Ave, Dept 105  | Statewide Planning Program        |
|                                   |                                   |
| Bismarck, North Dakota 58505-0170 | One Capitol Hill                  |
|                                   |                                   |
| Telephone: (701) 328-2094         | Providence Rhode Island           |
|                                   | 02908-5870                        |
| FAX: (701) 328-2308               |                                   |
|                                   | Telephone: (401) 222-2093         |
| Jboyd@state.nd.us                 |                                   |
|                                   | FAX: (401) 222-2083               |
|                                   |                                   |
|                                   | knelson@doa.state.ri.us           |
+-----------------------------------+-----------------------------------+
| **SOUTH CAROLINA**                | **TEXAS**                         |
|                                   |                                   |
| Omeagia Burgess                   | Denise S. Francis                 |
|                                   |                                   |
| Budget and Control Board          | Director, State Grants Team       |
|                                   |                                   |
| Office of State Budget            | Governor's Office of Budget and   |
|                                   | Planning                          |
| 1122 Ladies Street -- 12^th^      |                                   |
| Floor                             | P.O. Box 12428                    |
|                                   |                                   |
| Columbia, South Carolina 29201    | Austin, Texas 78711               |
|                                   |                                   |
| Telephone: (803) 734-0494         | Telephone: (512) 305-9415         |
|                                   |                                   |
| FAX: (803) 734-0645               | FAX: (512) 936-2681               |
|                                   |                                   |
| Aburgess@budget.state.sc.us       | dfrancis@governor.state.tx.us     |
+-----------------------------------+-----------------------------------+
| **UTAH**                          | **WEST VIRGINIA**                 |
|                                   |                                   |
| Carolyn Wright                    | Fred Cutlip, Director             |
|                                   |                                   |
| Utah State Clearinghouse          | Community Development Division    |
|                                   |                                   |
| Governor's Office of Planning and | West Virginia Development Office  |
| Budget                            |                                   |
|                                   | Building #6, Room 553             |
| State Capitol, Room 114           |                                   |
|                                   | Charleston, West Virginia 25305   |
| Salt Lake City, Utah 84114        |                                   |
|                                   | Telephone: (304) 558-4010         |
| Telephone: (801) 538-1535         |                                   |
|                                   | FAX: (304) 558-3248               |
| FAX: (801) 538-1547               |                                   |
|                                   | fcutlip@wvdo.org                  |
| cwright@gov.state.ut.us           |                                   |
+-----------------------------------+-----------------------------------+
| **WISCONSIN**                     | **AMERICAN SAMOA**                |
|                                   |                                   |
| Jeff Smith                        | Pat M. Galea\'i\                  |
|                                   | Federal Grants/Programs           |
| Section Chief, Federal/State      | Coordinator\                      |
| Relations                         | Office of Federal Programs\       |
|                                   | Office of the                     |
| Wisconsin Department of           | Governor/Department\              |
| Administration                    | of Commerce\                      |
|                                   | American Samoa Government\        |
| 101 East Wilson Street -- 6^th^   | Pago Pago, American Samoa 96799\  |
| Floor                             | Telephone: (684) 633-5155\        |
|                                   | Fax: (684) 633-4195\              |
| P.O. Box 7868                     | pmgaleai@samoatelco.com           |
|                                   |                                   |
| Madison, Wisconsin 53707          |                                   |
|                                   |                                   |
| Telephone: (608) 266-0267         |                                   |
|                                   |                                   |
| FAX: (608) 267-6931               |                                   |
|                                   |                                   |
| jeffrey.smith@doa.state.wi.us     |                                   |
+-----------------------------------+-----------------------------------+
| GUAM                              | **PUERTO RICO**                   |
|                                   |                                   |
| Director                          | Jose Caballero / Mayra Silva      |
|                                   |                                   |
| Bureau of Budget and Management   | Puerto Rico Planning Board        |
| Research                          |                                   |
|                                   | Federal Proposals Review Office   |
| Office of the Governor            |                                   |
|                                   | Minillas Government Center        |
| P.O. Box 2950                     |                                   |
|                                   | P.O. Box 41119                    |
| Agana, Guam 96910                 |                                   |
|                                   | San Juan, Puerto Rico 00940-1119  |
| Telephone: 011-671-472-2285       |                                   |
|                                   | Telephone: (787) 723-6190         |
| FAX: 011-671-472-2825             |                                   |
|                                   | FAX: (787) 722-6783               |
| jer@ns.gov.gu                     |                                   |
+-----------------------------------+-----------------------------------+
| NORTHERN MARIANA ISLANDS          | **VIRGIN ISLANDS**                |
|                                   |                                   |
| Ms. Jacoba T. Seman               | Ira Mills                         |
|                                   |                                   |
| Federal Programs Coordinator      | Director, Office of Management &  |
|                                   | Budget                            |
| Office of Management and Budget   |                                   |
|                                   | \# 41 Norre Gade Emancipation     |
| Office of the Governor            | Garden Station, Second Floor      |
|                                   |                                   |
| Saipan, MP 96950                  | Saint Thomas, Virgin Islands      |
|                                   | 00802                             |
| Telephone: (670) 664-2289         |                                   |
|                                   | Telephone: (340) 774-0750         |
| FAX: (670) 664-2272               |                                   |
|                                   | FAX: (787) 776-0069               |
| omb.jseman@saipan.com             |                                   |
|                                   | Irmills@usvi.org                  |
+-----------------------------------+-----------------------------------+

Changes to this list can be made only after OMB is notified by a State's
officially designated representative. E-mail messages can be sent to
grants@omb.eop.gov. If you prefer, you may send correspondence to the
following postal address:

Attn: Grants Management

Office of Management and Budget

New Executive Office Building, Suite 6025

725 17^th^ Street, NW

Washington, DC 20503

Please note: **Inquiries about obtaining a Federal grant should not be
sent to the OMB e-mail**

**or postal address shown above. The best source for this information is
the [CFDA](http://www.cfda.gov/).**

**Appendix VII**

Application Transmittal Instructions

##### ATTENTION ELECTRONIC APPLICANTS: Please note that you must follow the Application Procedures as described in the Federal Register notice announcing the grant competition. Some programs may require electronic submission of applications, and those programs will have specific requirements and waiver instructions in the Federal Register notice. 

An original and two copies of an application for an award must be mailed
or hand-delivered by the application deadline date unless it is
submitted electronically.

### Applications Submitted Electronically

You must submit your grant application through the Internet using the
software provided on the e-Grants Web site
([http://e-grants.ed.gov](http://e-grants.ed.gov/)) by 4:30 p.m.
(Washington, DC time) on the application deadline date. The regular
hours of operation of the e-Grants website are 6:00 a.m. Monday until
7:00 p.m. Wednesday; and 6:00 a.m. Thursday until midnight Saturday
(Washington, DC time). Please note that the system is unavailable on
Sundays, and after 7:00 p.m. on Wednesday for maintenance (Washington,
DC time). Any modifications to these hours are posted on the e-Grants
Web site.

If you submit your application through the Internet via the e-Grants Web
site, you will receive an automatic acknowledgment when we receive your
application.

## Applications Delivered by Mail

Applications sent by mail must be addressed to:

> **U.S. Department of Education**
>
> **Application Control Center**

# **[Attention: CFDA# (84.031 A, N, T, W)]{.underline}**

**7^th^ & D Streets, SW**

**Room 3671**

**Regional Office Building 3**

> **400 Maryland Avenue, SW.**

####  Washington, D.C. 20202-4725 {#washington-d.c.-20202-4725 .unnumbered}

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

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

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

\(3\) A dated shipping label, invoice, or receipt from a commercial
carrier

\(4\) Any other proof of mailing acceptable to the U.S. Secretary of
Education

If an application is sent through the U.S. Postal Service, the Secretary
does not accept either of the following as proof of mailing:

\(1\) A private metered postmark, or

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

Applicants should note that the U.S. Postal Service does not uniformly
provide a dated postmark. Before relying on this method, you should
check with your local post office.

If you send your application by mail or if you or your courier deliver
it by hand, the Application Control Center will mail a Grant Application
Receipt Acknowledgment to you. If you do not receive the notification of
application receipt within 15 days from the mailing of the application,
you should call the U.S. Department of Education Application Control
Center at (202) 708-9493.

You must indicate on the envelope and---if not provided by the
Department---in Item 4 of the Application for Federal Education
Assistance (ED 424 (exp. 11/30/2004)) the CFDA number -- and suffix
letter, if any -- of the competition under which you are submitting your
application.

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

### Applications Delivered by Hand/Courier Service

An application that is hand-delivered must be taken to:

> **U.S. Department of Education**
>
> **Application Control Center**
>
> **Room 3671**
>
> **Regional Office Building 3**
>
> **7th & D Streets, SW.**
>
> **Washington, D.C. 20202-4725**

The Application Control Center accepts deliveries daily between 8:00
a.m. and 4:30 p.m. (Washington, D.C. time), except Saturdays, Sundays
and Federal holidays.

The Center accepts application deliveries must use the D Street entrance
only. A person delivering an application must show identification to
enter the building.

![](media/image3.jpeg){width="0.8340277777777778in"
height="0.8729166666666667in"}

1\. Does the applicant have 501(c)(3) status?

Yes No

2\. How many full-time equivalent employees does the applicant have?
*(Check only one box).*

> 3 or Fewer 15-50
>
> 4-5 51-100
>
> 6-14 over 100

3\. What is the size of the applicant's annual budget? *(Check only one
box.)*

Less Than \$150,000

\$150,000 - \$299,999

\$300,000 - \$499,999

\$500,000 - \$999,999

\$1,000,000 - \$4,999,999

\$5,000,000 or more

4\. Is the applicant a faith-based/religious organization?

Yes No

5\. Is the applicant a non-religious community-based organization?

Yes No

6\. Is the applicant an intermediary that will manage the grant on
behalf of other organizations?

> Yes No

7.  Has the applicant ever received a government grant or contract
    (Federal, State, or local )?

Yes No

8\. Is the applicant a local affiliate of a national organization?

Yes No

#  {#section-7 .unnumbered}

#  

# 

# Survey Instructions on Ensuring Equal Opportunity for Applicants

# 

1\. 501(c)(3) status is a legal designation provided on application to
the Internal Revenue Service by eligible organizations. Some grant
programs may require nonprofit applicants to have 501(c)(3) status.
Other grant programs do not.

2\. For example, two part-time employees who each work half-time equal
one full-time equivalent employee. If the applicant is a local affiliate
of a national organization, the responses to survey questions 2 and 3
should reflect the staff and budget size of the local affiliate.

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

4\. Self-identify.

5\. An organization is considered a community-based organization if its
headquarters/service location shares the same zip code as the clients
you serve.

6\. An "intermediary" is an organization that enables a group of small
organizations to receive and manage government funds by administering
the grant on their behalf.

7.  Self-explanatory.

8.  Self-explanatory

**Paperwork Burden Statement**

According to the Paperwork Reduction Act of 1995, no persons are
required to respond to a collection of information unless such
collection displays a valid OMB control number. The valid OMB control
number for this information collection is 1890-0014. The time required
to complete this information collection is estimated to average five (5)
minutes per response, including the time to review instructions, search
existing data resources, gather the data needed, and complete and review
the information collection. **If you have any comments concerning the
accuracy of the time estimate(s) or suggestions for improving this form,
please write to:** U.S. Department of Education, Washington, D.C.
20202-4651. **If you have comments or concerns regarding the status of
your individual submission of this form, write directly to:** Joyce I.
Mays, Application Control Center, U.S. Department of Education, 7^th^
and D Streets, SW, ROB-3, Room 3671, Washington, DC 20202-4725.

###### GRANT APPLICATION RECEIPT 

###### ACKNOWLEDGEMENT

If you send your application by mail or if you or your courier deliver
it by hand, the Application Control Center will mail a Grant Application
Receipt acknowledgement to you.) If you fail to receive the notification
of application receipt within fifteen (15) days from the closing date
call:

###### U.S. Department of Education

**Application Control Center**

**(202) 708-9493**

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

**GRANT AND CONTRACT FUNDING INFORMATION**

**The Department of Education provides information about grant and
contract opportunities electronically in several ways:**

**ED Internet Home http://www.ed.gov/**

**OFCO Web Internet Page
http://www.ed.gov/about/offices/list/ocfo/grants/grants.html**

**OFCO Contracts Page
http://www.ed.gov/about/offices/list/ocfo/contracts/contracts.html**

**U.S. Department of Education**

**Washington, DC 20202-4725**

**\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**Official Business**

**Penalty for Private Use \$300**

######## REQUESTED MATERIAL

[^1]: