U.S. DEPARTMENT OF EDUCATION

Office of Postsecondary Education 

Washington, DC 20202

https://www2.ed.gov/programs/hsistem/index.html

FY 2021

APPLICATION FOR GRANTS UNDER 

THE HISPANIC SERVING INSTITUTIONS 

SCIENCE, TECHNOLOGY, ENGINEERING & MATHEMATICS 

(HSI STEM) & ARTICULATION PROGRAM 

CFDA NUMBER: 84.031C

Form Approved

OMB No. 1894-0006

Expiration Date: 02/29/2024

DATED MATERIAL – OPEN IMMEDIATELY

CLOSING DATE: 06/14/2021 
2

TABLE OF CONTENTS

DEAR APPLICANT LETTER .....................................................................................3

COMPETITION HIGHLIGHTS......................................................................................5

GRANTS.GOV SUBMISSION PROCEDURES AND TIPS FOR APPLICANTS.......................7

APPLICATION TRANSMITTAL INSTRUCTIONS.........................................................10

NOTICE INVITING APPLICATIONS..........................................................................12

AUTHORIZING LEGISLATION.................................................................................38

GOVERNMENT PERFORMANCE AND RESULTS ACT (GPRA)......................................43

ORGANIZATION OF THE APPLICATION PACKAGE...................................................45

INSTRUCTIONS FOR THE APPLICATION PACKAGE..................................................47

PART I..................................................................................................................48

Instructions for SF-424 Form

Instructions for Department of Education Supplemental Information for SF-424

Definitions for Department of Education Supplemental Information for SF-424

PART II.................................................................................................................58

Instructions for ED 524 Budget Summary Form

PART III................................................................................................................62

Instructions for Completing the ED Abstract Form

Instructions for Completing the Project Narrative Attachment Form

Instructions for Completing the Budget Narrative Attachment Form

Instructions for Completing the Other Attachments Form

PART IV................................................................................................................66

Assurances and Ceritifications

• GEPA Section 427 Requirement

• Disclosure of Lobbying Activities (SF-LLL)

• Grants.gov Lobbying Form (ED 80-0013)

ADDITIONAL INFORMATION...................................................................................71

EXECUTIVE ORDER 12372

PAPERWORK BURDEN STATEMENT

APPLICATION CHECKLIST.....................................................................................73
3

I. DEAR APPLICANT LETTER

UNITED STATES DEPARTMENT OF EDUCATION

OFFICE OF POSTSECONDARY EDUCATION

Dear Applicant:

Thank you for your interest in applying for a grant under the fiscal year (FY) 2021 HSI STEM and Articulation Program. 

This letter highlights items in the application package that will be important to you in applying for a grant under this 

program. 

In 2016, the program funded 91 new awards with the purpose of increasing the number of Hispanics and low-income 

students with degrees in STEM fields. While we have seen an increase in Hispanics with postsecondary degrees, the need 

to ensure that students who enter postsecondary institutions with a major in a STEM field will graduate with the desired 

degree is critical. 

The demand for individuals with STEM degrees and STEM-related skills continues to increase; however, Hispanic 

students are significantly underrepresented among those pursuing and attaining degrees in STEM fields. The goal of the 

HSI STEM and Articulation Program is to increase the number of Hispanic students pursuing and graduating with STEM 

degrees.

The FY 2021 HSI STEM and Articulation Program competition proposes to support two- and four-year institutions: 1. 

Increase the number of Hispanic students who graduate with STEM degrees; 2. Develop and/or enhance transfer and 

articulation models between two- and four-year institutions; and 3. Support student-centered program services and 

activities that lead to improved student outcomes. Additionally, through this competition, we hope to build evidence of 

promising practices, as well as build upon developed practices and strategies of effectiveness that are relevant to the 

purpose of this program. 

This application package provides tips for submitting a complete application and includes the Notice Inviting Applications 

(NIA) published in the Federal Register. This year’s competition includes one (1) Absolute Priority, two (2) Competitive 

Preference Priorities, and one (1) Invitational Priority. Applicants must respond to the Absolute Priority to be eligible for 

funding consideration. For the Competitive Preference Priorities, applicants may receive up to ten (10) additional points

depending on how well the application meets these priorities. For more information on the Competitive Preference 

Priorities, selection criteria, and other program and competition details, refer to the NIA. 

Applications for FY 2021 grants under the HSI STEM and Articulation Program must be submitted electronically using 

Grants.gov at http://www.grants.gov. Applicants are required to follow the Common Instructions for Applicants to 

Department of Education Discretionary Grant Programs published in the Federal Register on February 13, 2019 (84 FR 

3768) and available at www.govinfo.gov/content/pkg/FR-2019-02-13/pdf/2019-02206.pdf. This document contains 

requirements and information on how to submit an application. 

The NIA published in the Federal Register is the official document describing the requirements for submitting an HSI 

STEM and Articulation program grant application. You should not rely upon any other information that is inconsistent 

with the guidance contained in the official document. We also encourage applicants to review the “Competition 

Highlights” found in this application package for an overview of important items.

If you have any questions or require additional information, please contact Jymece Seward at (202) 453-6138 or 

Jymece.Seward@ed.gov. 
4

We appreciate your interest in the HSI STEM and Articulation Program and look forward to receiving your application. 

Sincerely,

/s/

Michelle Asha Cooper, Ph.D. 

Acting Assistant Secretary for Postsecondary Education 
5

II. COMPETITION HIGHLIGHTS

1. Eligible Applicants

Institutions of Higher Education (IHEs) that meet the definition of Hispanic-Serving Institution (HSI) for 2021 are 

eligible to apply. (See eligibility section in NIA for further information.)

2. An eligible HSI may submit only one (1) grant application as the lead applicant. 

3. This program uses a restricted indirect cost rate. (See eligibility section of the NIA for further information.)

4. Priorities

There is one (1) Absolute Priority, two (2) Competitive Preference Priorities, and one (1) Invitational Priority for the 

FY 2021 competition. 

Absolute Priority (Required)

Projects designed to increase the number of Hispanic and other low-income students attaining degrees in the fields of 

science, technology, engineering, or mathematics; and to develop model transfer and articulation agreements between 

2-year Hispanic-Serving Institutions and 4-year institutions in such fields.

Competitive Preference Priorities (Optional)

Competitive Preference Priority 1 – Fostering Flexible and Affordable Paths to Obtaining Knowledge and Skills -

Projects that are designed to address the following priority areas: Improving collaboration between education 

providers and employers; and providing work-based learning experiences. 

Competitive Preference Priority 2 – Academic Achievement and Retention Strategies - Projects designed to develop 

or enhance tutoring, counseling, and student service programs designed to improve academic success, including 

innovative and customized instruction courses (which may include remedial education and English language 

instruction) designed to help retain students and move the students rapidly into core courses and through program 

completion.

Invitational Priority (Optional)

Invitational Priority – Providing Student Supports for Addressing the Impact of COVID-19 on Students’ Mental 

Health and Academic Outcomes - Projects that will provide integrated student support services (also known as wraparound services) for HSI STEM students to address mental health and academic support due to the COVID-19 

Pandemic.

5. We have also included a factor within the “Quality of the Project Design” criterion that requires applicants to include 

their logic model (as defined in the Notice) and a factor which requires greater rigor with respect to evaluation 

methods in the “Quality of the Project Evaluation” criterion. 

6. Electronic Submission of Applications

Applications must be submitted electronically using Grants.gov, accessible through its portal page at:

http://www.grants.gov. Applicants are required to follow the Common Instructions for Applicants to Department of 

Education Discretionary Grant Programs published in the Federal Register on February 13, 2019 (84 FR 3768) and 

available at www.govinfo.gov/content/pkg/FR-2019-02-13/pdf/2019-02206.pdf. 

The Grants.gov site does not allow applicants to “un-submit” applications. Therefore, if you discover that changes or

additions are needed once your application has been accepted and validated by the Department, you must “re-submit” 
6

the application. Please know that, if the Department receives duplicate applications, we will accept and process the 

application with the latest “date/time received” validation. 

The application must be received on or before the deadline date and time. Late applications will not be accepted.

We suggest that you submit your application several days before the deadline. The 

Department must adhere to the established deadline to ensure fairness to all applicants. No changes or additions to an 

application will be accepted after the deadline date.

7. Format of Application

We recommend that you limit the application narrative to no more than 55 pages and use the following standards: a

“page” is 8.5" x 11", on one side only, with 1" margins at the top, bottom, and both sides; double-space (no more than 

three lines per vertical inch) all text in the application narrative, including titles, headings, footnotes, quotations, 

references, and captions, as well as all text in charts, tables, figures, and graphs; use a font that is either 12 point or 

larger, and no smaller than 10 pitch (characters per inch); and use one of the following fonts: Times New Roman, 

Courier, Courier New, or Arial. The Notice contains additional information governing formatting instructions.

All attachments must be in PDF format only. Other types of files will not be accepted. 

8. Notice to Successful Applicants

The Department’s Office of Legislation and Congressional Affairs will inform the Congress regarding applications 

approved for new program grants. Successful applicants will receive award notices by mail or e-mail shortly after the 

Congress is notified. No funding information will be released before the Congress is notified.

9. Notice to Unsuccessful Applicants

Unsuccessful applicants will be notified in writing following the notice to successful applicants.

10. Application Components

This application package contains detailed instructions for every required component of your application. It also 

includes an Application Checklist for your convenience. Note: If all required documents are not submitted with your 

application, it may be deemed ineligible.

11. A Pre-Application webinar will be provided by the program office. Please contact Jymece Seward at (202) 453-6138 

or via email at Jymece.Seward@ed.gov. 
7

III. GRANTS.GOV SUBMISSION PROCEDURES AND 

TIPS FOR APPLICANTS

***01/2021

IMPORTANT – PLEASE READ FIRST

U.S. Department of Education

Grants.gov Submission Procedures and Tips for Applicants

To facilitate your use of Grants.gov, this document includes important submission procedures you need to be aware of to ensure your 

application is received in a timely manner and accepted by the Department of Education.

Browser Support

The latest versions of Microsoft Internet Explorer (IE), Mozilla Firefox, Google Chrome, and Apple Safari are supported for use with 

Grants.gov. However, these web browsers undergo frequent changes and updates, so we recommend you have the latest version when 

using Grants.gov. Legacy versions of these web browsers may be functional, but you may experience issues.

For additional information or updates, please see the Grants.gov Browser information in the Applicant FAQs: 

http://www.grants.gov/web/grants/applicants/applicant-faqs.html#browser

ATTENTION – Workspace, Adobe Forms and PDF Files 

Grants.gov applicants can apply online using Workspace. Workspace is a shared, online environment where members of a grant team 

may simultaneously access and edit different web forms within an application. For each funding opportunity announcement (FOA), 

you can create individual instances of a workspace.

Below is an overview of applying on Grants.gov. For access to complete instructions on how to apply for opportunities, refer to: 

https://www.grants.gov/web/grants/applicants/workspace-overview.html

1) Create a Workspace: Creating a workspace allows you to complete it online and route it through your organization for review 

before submitting.

2) Complete a Workspace: Add participants to the workspace to work on the application together, complete all the required 

forms online or by downloading PDF versions, and check for errors before submission. The Workspace progress bar will 

display the state of your application process as you apply. As you apply using Workspace, you may click the blue question 

mark icon near the upper-right corner of each page to access context-sensitive help.

a. Adobe Reader: If you decide not to apply by filling out web forms you can download individual PDF forms in Workspace. 

The individual PDF forms can be downloaded and saved to your local device storage, network drive(s), or external drives, 

then accessed through Adobe Reader.

NOTE: Visit the Adobe Software Compatibility page on Grants.gov to download the appropriate version of the software at: 

https://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html

b. Mandatory Fields in Forms: In the forms, you will note fields marked with an asterisk and a different background color. 

These fields are mandatory fields that must be completed to successfully submit your application.

c. Complete SF-424 Fields First: The forms are designed to fill in common required fields across other forms, such as the 

applicant name, address, and DUNS Number. Once it is completed, the information will transfer to the other forms.

3) Submit a Workspace: An application may be submitted through workspace by clicking the Sign and Submit button on the 

Manage Workspace page, under the Forms tab. Grants.gov recommends submitting your application package at least 24-48 

hours prior to the close date to provide you with time to correct any potential technical issues that may disrupt the application 

submission.
8

4) Track a Workspace Submission: After successfully submitting a workspace application, a Grants.gov Tracking Number 

(GRANTXXXXXXXX) is automatically assigned to the application. The number will be listed on the Confirmation page 

that is generated after submission. Using the tracking number, access the Track My Application page under the Applicants 

tab or the Details tab in the submitted workspace.

For additional training resources, including video tutorials, refer to https://www.grants.gov/web/grants/applicants/applicanttraining.html

Helpful Reminders

1. REGISTER EARLY – Grants.gov registration involves many steps including registration on SAM (www.sam.gov) which may 

take approximately one week to complete, but could take upwards of several weeks to complete, depending upon the 

completeness and accuracy of the data entered into the SAM database by an applicant. You may begin working on your 

application while completing the registration process, but you cannot submit an application until all of the Registration steps are 

complete. Please note that once your SAM registration is active, it will take 24-48 hours for the information to be available in 

Grants.gov, and before you can submit an application through Grants.gov. For detailed information on the Registration Steps, 

please go to: http://www.grants.gov/web/grants/register.html [Note: Your organization will need to update its SAM registration 

annually.]

Primary information about SAM is available at www.sam.gov. However, to further assist you with obtaining and registering your 

DUNS number and TIN in SAM or updating your existing SAM account the Department of Education has prepared a SAM.gov 

Tip Sheet which you can find at: http://www2.ed.gov/fund/grant/apply/sam-faqs.html

2. SUBMIT EARLY – We strongly recommend that you do not wait until the last day to submit your application. 

Grants.gov will put a date/time stamp on your application and then process it after it is fully uploaded. The time it 

takes to upload an application will vary depending on a number of factors including the size of the application and the speed 

of your Internet connection, and the time it takes Grants.gov to process the application will vary as well. If Grants.gov 

rejects your application (see step three below), you will need to resubmit successfully to Grants.gov before 11:59:59 p.m. 

Eastern Time on the deadline date. 

Note: To submit successfully, you must provide the DUNS number on your application that was used when you 

registered as an Authorized Organization Representative (AOR) on Grants.gov. This DUNS number is typically the 

same number used when your organization registered with the SAM. If you do not enter the same DUNS number on 

your application as the DUNS you registered with, Grants.gov will reject your application.

3. VERIFY SUBMISSION IS OK – You will want to verify that Grants.gov received your application submission on time and 

that it was validated successfully. To see the date/time your application was received, login to Grants.gov and click on the

Track My Application link. For a successful submission, the date/time received should be earlier than 11:59:59 p.m. Eastern 

Time, on the deadline date, AND the application status should be: Validated, Received by Agency, or Agency Tracking 

Number Assigned. Once the Department of Education receives your application from Grants.gov, an Agency Tracking 

Number (PR/award number) will be assigned to your application and will be available for viewing on Grants.gov’s Track My 

Application link.

If the date/time received is later than 11:59:59 p.m. Eastern Time, on the deadline date, your application is late. If your 

application has a status of “Received” it is still awaiting validation by Grants.gov. Once validation is complete, the status 

will either change to “Validated” or “Rejected with Errors.” If the status is “Rejected with Errors,” your application has not 

been received successfully. Some of the reasons Grants.gov may reject an application can be found on the Grants.gov site: 

http://www.grants.gov/web/grants/applicants/encountering-error-messages.html. For more detailed information on 

troubleshooting Adobe errors, you can review the Adobe Reader Software Tip Sheet at: 

http://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html. If you discover your application is late or 

has been rejected, please see the instructions below. Note: You will receive a series of confirmations both online and via email about the status of your application. Please do not rely solely on e-mail to confirm whether your application has been 

received timely and validated successfully. 
9

Submission Problems – What should you do?

If you have problems submitting to Grants.gov before the closing date, please contact Grants.gov Customer Support at 1-800-518-

4726 or email at: mailto:support@grants.gov or access the Grants.gov Self-Service Knowledge Base web portal at: https://grantsportal.psc.gov/Welcome.aspx?pt=Grants

If electronic submission is required, you must submit an electronic application before 11:59:59 p.m. Eastern Time, unless you follow 

the procedures in the Federal Register notice and qualify for one of the exceptions to the electronic submission requirement and

submit, no later than two weeks before the application deadline date, a written statement to the Department that you qualify for one of 

these exceptions. If electronic submission is optional and you have problems that you are unable to resolve before the deadline date 

and time for electronic applications, please follow the transmittal instructions for hard copy applications in the Federal Register notice 

and get a hard copy application postmarked by midnight on the deadline date. (See the Federal Register notice for detailed 

instructions.)

Helpful Hints When Working with Grants.gov

Please go to http://www.grants.gov/web/grants/support.html for help with Grants.gov. For additional tips related to submitting grant 

applications, please refer to the Grants.gov Applicant FAQs found at this Grants.gov link: 

http://www.grants.gov/web/grants/applicants/applicant-faqs.html as well as additional information on Workspace at 

https://www.grants.gov/web/grants/applicants/applicant-faqs.html#workspace. 

Dial-Up Internet Connections

When using a dial up connection to upload and submit your application, it can take significantly longer than when you are connected 

to the Internet with a high-speed connection, e.g. cable modem/DSL/T1. While times will vary depending upon the size of your 

application, it can take a few minutes to a few hours to complete your grant submission using a dial up connection. If you do not 

have access to a high-speed connection and electronic submission is required, you may want to consider following the 

instructions in the Federal Register notice to obtain an exception to the electronic submission requirement no later than two 

weeks before the application deadline date. (See the Federal Register notice for detailed instructions.) 

Attaching Files – Additional Tips

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

• When you submit your application electronically, you must upload any narrative sections and all other attachments to 

your application as files in either Portable Document Format (PDF) or Microsoft Word. Although applicants have the 

option of uploading any narrative sections and all other attachments to their application in either PDF or Microsoft 

Word, we recommend applicants submit all documents as read-only flattened PDFs, meaning any fillable PDF files 

must be saved and submitted as non-fillable PDF files and not as interactive or fillable PDF files, to better ensure 

applications are processed in a more timely, accurate, and efficient manner. 

• Grants.gov cannot process an application that includes two or more files that have the same name within a grant 

submission. Therefore, each file uploaded to your application package should have a unique file name.

• When attaching files, applicants should follow the guidelines established by Grants.gov on the size and content of file 

names. Uploaded file names must be fewer than 50 characters, and, in general, applicants should not use any special 

characters. However, Grants.gov does allow for the following UTF-8 characters when naming your attachments: A-Z, 

a-z, 0-9, underscore, hyphen, space, period, parenthesis, curly braces, square brackets, ampersand, tilde, exclamation 

point, comma, semi colon, apostrophe, at sign, number sign, dollar sign, percent sign, plus sign, and equal sign.

Applications submitted that do not comply with the Grants.gov guidelines will be rejected at Grants.gov and not 

forwarded to the Department. 

• Applicants should limit the size of their file attachments. Documents submitted that contain graphics and/or scanned 

material often greatly increase the size of the file attachments and can result in difficulties opening the files. For 

reference, the average discretionary grant application package with all attachments is less than 5 MB. Therefore, you 

may want to check the total size of your package before submission.
10

IV. 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.

This program requires the electronic submission of applications; specific requirements and waiver instructions can 

be found in the Federal Register notice. 

According to the instructions found in the Federal Register notice, those requesting and qualifying for an exception 

to the electronic submission requirement may submit an application by mail, commercial carrier, or hand delivery.

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

Applications Submitted Electronically

You must submit your grant application through the Internet using the software provided on the Grants.gov Web 

site (http://www.grants.gov) by 11:59:59 p.m. Eastern Time on or before the deadline date.

If you submit your application through the Internet via the Grants.gov Web site, you will receive an automatic 

acknowledgement when we receive your application.

For more information on using Grants.gov, please refer to the “Notice Inviting Applications” that was published in the 

Federal Register or visit http://www.grants.gov.

Submission of Paper Applications by Mail:

If you qualify for an exception to the electronic submission requirement, you may submit your application in paper format 

by mail (through the U.S. Postal Service or a commercial carrier). You must mail the original and two copies of your 

application, on or before the application deadline date, to the Department at the following address:U.S. Department of 

Education

Application Control Center

Attention: (CFDA Number 84.031C)

LBJ Basement Level 1

400 Maryland Avenue, S.W.

Washington, DC 20202-4260

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

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

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

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

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

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

(1) A private metered postmark.

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

If your application is postmarked after the application deadline date, we will not consider your application.

Note: 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.
11

Submission of Paper Applications by Hand Delivery:

If you qualify for an exception to the electronic submission requirement, you (or a courier service) may deliver your paper 

application to the Department by hand. You must deliver the original and two copies of your application by hand, on or 

before the application deadline date, to the Department at the following address:

U.S. Department of Education

Application Control Center

Attention: (CFDA Number 84.031C)

550 12th Street, S.W.

Room 7041, Potomac Center Plaza

Washington, DC 20202-4260 

The Application Control Center accepts hand deliveries daily between 8:00 a.m. and 4:30:00 p.m., Washington, DC time, 

except Saturdays, Sundays, and Federal holidays.

Note for Mail or Hand Delivery of Paper Applications: If you mail or hand deliver your application to the 

Department--

(1) You must indicate on the envelope—and, if not provided by the Department, in Item 11 of the SF 424—the CFDA 

number, including suffix letter, if any, of the competition under which you are submitting your application; and

(2) The Application Control Center will mail to you a notification of receipt of your grant application. If you do not 

receive this notification within 15 business days from the application deadline date, you should call the U.S. 

Department of Education Application Control Center at (202) 245-6288.

Late Applications: If your application is late, we will notify you that we will not consider the application.
12

V. NOTICE INVITING APPLICATIONS

4000-01-U

DEPARTMENT OF EDUCATION

Applications for New Awards; Hispanic-Serving Institutions STEM and 

Articulation Program

AGENCY: Office of Postsecondary Education, Department of Education.

ACTION: Notice.

SUMMARY: The Department of Education (Department) is issuing a notice 

inviting applications (NIA) for new awards for fiscal year (FY) 2021 for 

the Hispanic-Serving Institutions (HSI) STEM and Articulation Program, 

Assistance Listing Number 84.031C. This notice relates to the approved 

information collection under OMB control number 1894-0006.

DATES:

Applications Available: April 30, 2021.

Deadline for Transmittal of Applications: June 14, 2021.

Deadline for Intergovernmental Review: August 13, 2021.

ADDRESSES: For the addresses for obtaining and submitting an application, 

please refer to our Common Instructions for Applicants to Department of 

Education Discretionary Grant Programs, published in the Federal Register

on February 13, 2019 (84 FR 3768), and available at 

www.govinfo.gov/content/pkg/FR-2019-02-13/pdf/2019-02206.pdf.

FOR FURTHER INFORMATION CONTACT: Jymece Seward, U.S. Department of 

Education, 400 Maryland Avenue, SW, room 2B159, Washington, DC 20202-4260. 

Telephone: (202) 453-6138. Email: jymece.seward@ed.gov.
13

If you use a telecommunications device for the deaf (TDD) or a text 

telephone (TTY), call the Federal Relay Service (FRS), toll free, at 1-

800-877-8339.

SUPPLEMENTARY INFORMATION:

Full Text of Announcement

I. Funding Opportunity Description

Purpose of Program: The HSI STEM and Articulation Program supports 

eligible HSIs (as defined in section 502 of the Higher Education Act of 

1965, as amended (HEA) (20 U.S.C. 1101a)) in developing and carrying out 

activities described in section 503(b) of the HEA (20 U.S.C. 1101b (b)) to 

increase the number of Hispanic and low-income students attaining degrees 

in the fields of science, technology, engineering, and math (STEM); and to 

develop model transfer and articulation agreements between two-year HSIs 

and four-year institutions in such fields.

Background: Given the growth in the Hispanic population, taking steps to 

increase the number of Hispanic students with STEM credentials is critical 

to the future workforce and economy of the United States. The number of 

Hispanic students graduating with a postsecondary degree has increased in 

recent years; however, these students continue to be significantly 

underrepresented in the total number of students earning STEM credentials.

The Department has promoted college retention, affordability, and 

completion, especially for students of color and low-income students 

through various policy initiatives. This competition specifically 

acknowledges the importance of student-centered programs that will 

increase the number of Hispanic and low-income students who graduate with 
14

degrees in STEM fields, as well as the need to promote support systems to 

ensure that community college students will continue to pursue STEM 

degrees once enrolled at a four-year institution.

HSIs interested in applying to this grant program should examine the 

alignment of their mission and current strategic plan with the needs of 

the target population and surrounding community to develop, enhance, and 

implement practice and policies that best promote student success, 

specifically for Hispanic and low-income students.

Priorities: This notice contains one absolute priority, two competitive 

preference priorities, and one invitational priority. The absolute 

priority is from section 371(b)(2)(B) of the HEA. Competitive Preference 

Priority 1 is from the Secretary’s Final Supplemental Priorities and 

Definitions for Discretionary Grant Programs, published in the Federal 

Register on March 2, 2018 (83 FR 9096) (Supplemental Priorities). 

Competitive Preference Priority 2 is from section 503(b)(5) of the HEA.

Absolute Priority: For FY 2021 and any subsequent year in which we make 

awards from the list of unfunded applications from this competition, this 

priority is an absolute priority. Under 34 CFR 75.105(c)(3), we consider 

only applications that meet this priority.

This priority is:

Projects designed to increase the number of Hispanic and other lowincome students attaining degrees in the fields of science, technology, 

engineering, or mathematics; and to develop model transfer and 

articulation agreements between 2-year Hispanic-serving institutions and 

4-year institutions in such fields.
15

Competitive Preference Priorities: For FY 2021 and any subsequent year in 

which we make awards from the list of unfunded applications from this 

competition, these priorities are competitive preference priorities. 

Under 34 CFR 75.105(c)(2)(i), we award an application up to 10 additional 

points (up to 5 points under each priority), depending on how well the 

application meets the priorities. 

 These priorities are: 

Competitive Preference Priority 1--Fostering Flexible and Affordable 

Paths to Obtaining Knowledge and Skills (up to 5 additional points).

 Projects that are designed to address one or more of the following 

priority areas:

 (a) Improving collaboration between education providers and 

employers to ensure student learning objectives are aligned with the 

skills or knowledge required for employment in in-demand industry sectors 

or occupations (as defined in section 3(23) of the Workforce Innovation 

and Opportunity Act of 2014).

 (b) Providing work-based learning experiences (such as internships, 

apprenticeships, and fellowships) that align with in-demand industry 

sectors or occupations (as defined in section 3(23) of the Workforce 

Innovation and Opportunity Act of 2014).

Competitive Preference Priority 2--Academic Achievement and Retention 

Strategies (up to 5 additional points).

 Projects designed to develop or enhance tutoring, counseling, and 

student service programs designed to improve academic success, including 

innovative and customized instruction courses (which may include remedial 
16

education and English language instruction) designed to help retain 

students and move the students rapidly into core courses and through 

program completion.

Under this competition we are particularly interested in applications 

that address the following priority.

Invitational Priority: For FY 2021 and any subsequent year in which we 

make awards from the list of unfunded applications from this competition, 

this priority is an invitational priority. Under 34 CFR 75.105(c)(1) we 

do not give an application that meets this invitational priority a 

competitive or absolute preference over other applications.

This priority is:

Providing Student Supports for Addressing the Impact of COVID-19 on 

Students’ Mental Health and Academic Outcomes.

Background: Recent data suggests that the COVID-19 pandemic has created 

academic challenges and greatly exacerbated mental health issues among 

students. For example, in a recent survey conducted by the Centers for 

Disease Control and Prevention, 63 percent of 18- to 24-year-olds reported 

symptoms of anxiety or depression.1 In addition, the transition to remote 

learning has introduced academic challenges for all students, particularly 

students from low-income backgrounds and students of color, English 

learners, and students with disabilities. For students living in rural 

communities, access to instruction and other challenges brought on by the 

1 https://www.cdc.gov/mmwr/volumes/69/wr/pdfs/mm6932a1-H.pdf. 
17

pandemic has negatively impacted students’ well-being.2 This invitational 

priority is intended to address how to address existing and future 

challenges as a result of the COVID-19 pandemic.

Priority:

Projects that will provide integrated student support services (also 

known as wrap-around services) for HSI STEM students to address mental 

health and academic support due to the COVID-19 pandemic. An applicant 

should describe in its application how it will collaborate to provide 

resources that will leverage grant funding to drive resources to support 

students and communities hit the hardest by COVID-19 and drive evidencebased best practices to address the existing inequities exacerbated by the 

pandemic. Integrated services meet the whole needs of students from lowincome backgrounds and their families, including public benefits, aid for 

school supplies, transportation costs, mental health services, mentoring, 

tutoring, and peer support groups, that ensure successful articulation 

from two-year to four-year academic programs and successful graduation 

with a credential.

Definitions: The following definitions are from 34 CFR 77.1.

Baseline means the starting point from which performance is measured 

and targets are set.

2 https://www.pnas.org/content/118/1/2019378118; 

https://www.gse.harvard.edu/news/20/10/harvard-edcast-covid-19s-impact-rural-schools.
18

Demonstrates a rationale means a key project component included in 

the project's logic model is informed by research or evaluation findings 

that suggest the project component is likely to improve relevant outcomes.

Evidence-based means the proposed project component is supported by 

promising evidence or evidence that demonstrates a rationale.

Experimental study means a study that is designed to compare outcomes 

between two groups of individuals (such as students) that are otherwise 

equivalent except for their assignment to either a treatment group 

receiving a project component or a control group that does not. 

Randomized controlled trials, regression discontinuity design studies, and 

single-case design studies are the specific types of experimental studies 

that, depending on their design and implementation (e.g., sample attrition 

in randomized controlled trials and regression discontinuity design 

studies), can meet What Works Clearinghouse (WWC) standards without 

reservations as described in the WWC Handbooks:

(i) A randomized controlled trial employs random assignment of, for 

example, students, teachers, classrooms, or schools to receive the project 

component being evaluated (the treatment group) or not to receive the 

project component (the control group).

(ii) A regression discontinuity design study assigns the project 

component being evaluated using a measured variable (e.g., assigning 

students reading below a cutoff score to tutoring or developmental 

education classes) and controls for that variable in the analysis of 

outcomes.
19

(iii) A single-case design study uses observations of a single case 

(e.g., a student eligible for a behavioral intervention) over time in the 

absence and presence of a controlled treatment manipulation to determine 

whether the outcome is systematically related to the treatment.

Logic model (also referred to as a theory of action) means a 

framework that identifies key project components of the proposed project 

(i.e., the active “ingredients” that are hypothesized to be critical to 

achieving the relevant outcomes) and describes the theoretical and 

operational relationships among the key project components and relevant 

outcomes.

Note: In developing logic models, applicants may want to use resources 

such as the Pacific Education Laboratory’s Logic Model Application 

(www.ies.ed.gov/ncee/edlabs/regions/pacific/elm.asp).

Performance measure means any quantitative indicator, statistic, or 

metric used to gauge program or project performance.

Performance target means a level of performance that an applicant 

would seek to meet during the course of a project or as a result of a 

project.

Project component means an activity, strategy, intervention, process, 

product, practice, or policy included in a project. Evidence may pertain 

to an individual project component or to a combination of project 

components (e.g., training teachers on instructional practices for English 

learners and follow-on coaching for these teachers).
20

Promising evidence means that there is evidence of the effectiveness 

of a key project component in improving a relevant outcome, based on a 

relevant finding from one of the following:

(i) A practice guide prepared by What Works Clearinghouse (WWC) 

reporting a “strong evidence base” or “moderate evidence base” for the 

corresponding practice guide recommendation;

(ii) An intervention report prepared by the WWC reporting a 

“positive effect” or “potentially positive effect” on a relevant outcome 

with no reporting of a “negative effect” or “potentially negative effect” 

on a relevant outcome; or

(iii) A single study assessed by the Department, as appropriate, 

that—

(A) Is an experimental study, a quasi-experimental design study, or 

a well-designed and well-implemented correlational study with statistical 

controls for selection bias (e.g., a study using regression methods to 

account for differences between a treatment group and a comparison group); 

and

(B) Includes at least one statistically significant and positive 

(i.e., favorable) effect on a relevant outcome.

Quasi-experimental design study means a study using a design that 

attempts to approximate an experimental study by identifying a comparison 

group that is similar to the treatment group in important respects. This 

type of study, depending on design and implementation (e.g., establishment 

of baseline equivalence of the groups being compared), can meet WWC 
21

standards with reservations, but cannot meet WWC standards without 

reservations, as described in the WWC Handbooks.

Relevant outcome means the student outcome(s) or other outcomes(s) 

the key project component is designed to improve, consistent with the 

specific goals of the program.

What Works Clearinghouse Handbooks (WWC Handbooks) means the 

standards and procedures set forth in the WWC Standards Handbook, Versions 

4.0 or 4.1, and WWC Procedures Handbook, Versions 4.0 or 4.1, or in the 

WWC Procedures and Standards Handbook, Version 3.0 or Version 2.1 (all 

incorporated by reference, see § 77.2). Study findings eligible for 

review under WWC standards can meet WWC standards without reservations, 

meet WWC standards with reservations, or not meet WWC standards. WWC 

practice guides and intervention reports include findings from systematic 

reviews of evidence as described in the WWC Handbooks documentation.

Program Authority: 20 U.S.C.1067q(b)(2)(B).

Although the HSI STEM and Articulation Program authorized under 

section 371 of the HEA is not part of the Developing HSIs Program 

authorized by title V of the HEA, the eligibility and activity provisions 

under the Developing HSIs Program apply to the HSI STEM and Articulation 

Program pursuant to section 371(a)(2) and (b)(2)(B) of the HEA.

Note: Projects will be awarded and must be operated in a manner 

consistent with the nondiscrimination requirements contained in the 

Federal civil rights laws.

Applicable Regulations: (a) The Education Department General 

Administrative Regulations in 34 CFR parts 74, 75, 77, 79, 81, 82, 84, 85, 
22

86, 97, 98, and 99. (b) The Office of Management and Budget (OMB) 

Guidelines to Agencies on Governmentwide Debarment and Suspension (Non 

procurement) in 2 CFR part 180, as adopted and amended as regulations of 

the Department in 2 CFR part 3485. (c) The Uniform Administrative 

Requirements, Cost Principles, and Audit Requirements for Federal Awards 

in 2 CFR part 200, as adopted and amended as regulations of the Department 

in 2 CFR part 3474. (d) Supplemental Priorities.

II. Award Information

Type of Award: Discretionary grants.

Estimated Available Funds: $94,100,000.

Contingent upon the availability of funds and the quality of 

applications, we may make additional awards in subsequent fiscal years 

from the list of unfunded applications from this competition.

Estimated Range of Awards: $700,000-$1,000,000.

Estimated Average Size of Awards: $775,000.

Estimated Number of Awards: 96.

Note: The Department is not bound by any estimates in this notice.

Project Period: Up to 60 months.

III. Eligibility Information

1. Eligible Applicants: (a)IHEs that qualify as eligible HSIs are 

eligible to apply for new grants under the HSI STEM and Articulation 

Program. To be an eligible HSI, an IHE must--

(i) Have an enrollment of needy students, as defined in section 

502(b) of the HEA (section 502(a)(2)(A)(i) of the HEA; 20 U.S.C. 

1101a(a)(2)(A)(i));
23

(ii) Have, except as provided in section 522(b) of the HEA, average 

education and general expenditures that are low, per full-time equivalent 

(FTE) undergraduate student, in comparison with the average education and 

general expenditures per FTE undergraduate student of institutions that 

offer similar instruction (section 502(a)(2)(A)(ii) of the HEA; 20 U.S.C. 

1101a(a)(2)(A)(ii));

Note: To demonstrate an enrollment of needy students and low average 

education and general expenditures per FTE undergraduate student, an IHE 

must be designated as an “eligible institution” in accordance with 34 CFR 

606.3 through 606.5 and the notice inviting applications for designation 

as an eligible institution for the fiscal year for which the grant 

competition is being conducted.

Note: The notice announcing the FY 2021 process for designation of 

eligible institutions, and inviting applications for waiver of eligibility 

requirements, was published in the Federal Register on March 3, 2021 (86 

FR 12665). A notice extending the deadline was published in the Federal 

Register on April 13, 2021 (86 FR 19231). Only institutions that the 

Department determines are eligible, or are granted a waiver, may apply for 

a grant in this program.

(iii) Be 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, or making reasonable 

progress toward accreditation, according to such an agency or association 

(section 502(a)(2)(A)(iv) of the HEA; 20 U.S.C. 1101a(a)(2)(A)(iv));
24

(iv) Be legally authorized to provide, and provides within the 

State, an education program for which the institution awards a bachelor’s 

degree (section 502(a)(2)(A)(iii) of the HEA; 20 U.S.C. 

1101a(a)(2)(A)(iii)), or be a junior or community college (section 

502(a)(2)(A)(iii) of the HEA; 20 U.S.C. 1101a(a)(2)(A)(iii));

(v) Have an enrollment of undergraduate FTE students that is at 

least 25 percent Hispanic students at the end of the award year 

immediately preceding the date of application (section 502(a)(5)(B) of the 

HEA; 20 U.S.C. 1101a(a)(5)(B));

Note: For this program, the “end of the award year immediately preceding 

the date of application” refers to the end of the fiscal year prior to the 

application due date. For purposes of this competition, the data that we 

will use to determine percent enrollment of undergraduate FTE of Hispanic 

students is from academic year 2019-2020.

(b) An eligible HSI may only submit one grant application in the 

lead role.

2. a. Cost Sharing or Matching: This program does not require cost 

sharing or matching unless the grantee uses a portion of its grant for 

establishing or improving an endowment fund. If a grantee uses a portion 

of its grant for endowment fund purposes, it must match or exceed those 

grant funds with non-Federal funds (section 503(c)(2) of the HEA; 20 

U.S.C. 1101b(c)(2)).

 b. Indirect Cost Rate Information: This program uses a 

restricted indirect cost rate. For more information regarding indirect 
25

costs, or to obtain a negotiated indirect cost rate, please see 

www2.ed.gov/about/offices/list/ocfo/intro.html.

c. Administrative Cost Limitation: This program does not include 

any program-specific limitation on administrative expenses. All 

administrative expenses must be reasonable and necessary and conform to 

Cost Principles described in 2 CFR part 200 subpart E of the Uniform 

Guidance.

3. Subgrantees: Under 34 CFR 75.708(b) and (c) a grantee under this 

competition may award subgrants--to directly carry out project activities 

described in its application--to entities listed in the grant application.

IV. Application and Submission Information

1. Application Submission Instructions: Applicants are required to 

follow the Common Instructions for Applicants to Department of Education 

Discretionary Grant Programs, published in the Federal Register on 

February 13, 2019 (84 FR 3768), and available at 

www.govinfo.gov/content/pkg/FR-2019-02-13/pdf/2019-02206.pdf, which 

contain requirements and information on how to submit an application.

2. Submission of Proprietary Information: Given the types of 

projects that may be proposed in applications for the HSI STEM and 

Articulation Program, your application may include business information 

that you consider proprietary. In 34 CFR 5.11 we define “business 

information” and describe the process we use in determining whether any of 
26

that information is proprietary and, thus, protected from disclosure under 

Exemption 4 of the Freedom of Information Act (5 U.S.C. 552, as amended).

An applicant may wish to request confidentiality of business 

information because successful applications may be made available to the 

public, if requested.

Consistent with Executive Order 12600, please designate in your 

application any information that you believe is exempt from disclosure 

under Exemption 4. In the appropriate Appendix section of your 

application, under “Other Attachments Form,” please list the page number 

or numbers on which we can find this information. For additional 

information please see 34 CFR 5.11(c).

3. Intergovernmental Review: This program is subject to Executive 

Order 12372 and the regulations in 34 CFR part 79. Information about 

Intergovernmental Review of Federal Programs under Executive Order 12372 

is in the application package for this program.

4. Funding Restrictions: We reference regulations outlining funding 

restrictions in the Applicable Regulations section of this notice.

5. Recommended Page Limit: The application narrative is where you, 

the applicant, address the selection criteria that reviewers use to 

evaluate your application. We recommend that you (1) limit the 

application narrative to no more than 55 pages and (2) use the following 

standards:

• A “page” is 8.5" x 11", on one side only, with 1" margins at the 

top, bottom, and both sides.
27

• Double-space (no more than three lines per vertical inch) all 

text in the application narrative, including titles, headings, footnotes, 

quotations, references, and captions, as well as all text in charts, 

tables, figures, and graphs.

• Use a font that is either 12 point or larger, and no smaller 

than 10 pitch (characters per inch).

• Use one of the following fonts: Times New Roman, Courier, 

Courier New, or Arial.

The recommended page limit applies to the Project Narrative, which is 

your complete response to the selection criteria, and any response to the 

competitive preference priorities, if applicable. However, the 

recommended page limit does not apply to the Application for Federal 

Assistance form (SF-424); the ED SF-424 Supplement form; the Budget 

Information--Non-Construction Programs form (ED 524); the assurances and 

certifications; or the one-page project abstract and supporting budget 

narrative.

V. Application Review Information

1. Selection Criteria: The selection criteria for this competition 

are from 34 CFR 75.210. We will award up to 110 points to an application 

under the selection criteria; the total possible points for each selection 

criterion are noted in parentheses.

(a) Quality of the Project Design. (Maximum 30 points) The 

Secretary considers the quality of the design of the proposed project. In 

determining the quality of the design of the proposed project, the 

Secretary considers the following factors:
28

(1) The extent to which the design of the proposed project is 

appropriate to, and will successfully address, the needs of the target

population or other identified needs. (Up to 15 points)

(2) The extent to which the proposed project represents an 

exceptional approach to the priority established for the competition. (Up 

to 5 points)

(3) The extent to which the proposed project demonstrates a 

rationale (as defined in this notice). (Up to 5 points)

(4) The extent to which the proposed project is supported by 

promising evidence (as defined in this notice). (Up to 5 points)

Note: Applicants may address the “demonstrates a rationale” selection 

factor through use of a logic model (as defined in this notice). To 

address the “promising evidence” selection factor, applicants should cite 

the study or studies used to address “promising evidence” and attach them 

as part of the application attachments. In addressing “promising 

evidence,” applicants are encouraged to align the direct student services 

proposed in this application to evidence-based practices identified in the 

selected study or studies.

(b) Quality of Project Services. (Maximum 30 points) The Secretary 

considers the quality of the services to be provided by the proposed 

project. In determining the quality of the services to be provided by the 

proposed project, the Secretary considers the following factors:

(1) The quality and sufficiency of strategies for ensuring equal 

access and treatment for eligible project participants who are members of 
29

groups that have traditionally been underrepresented based on race, 

national origin, gender, age, or disability. (Up to 10 points)

(2) The extent to which services to be provided by the proposed 

project reflect up-to-date knowledge from research and effective practice. 

(Up to 10 points)

(3) The likely impact of the services to be provided by the proposed 

project on the intended recipients of those services. (Up to 10 points)

(c) Significance. (Maximum 20 points) The Secretary considers the 

significance of the proposed project. In determining the significance of 

the proposed project, the Secretary considers the following factors:

(1) The potential contribution of the proposed project to increased 

knowledge or understanding of educational problems, issues, or effective 

strategies. (Up to 5 points)

(2) The likelihood that the proposed project will result in system 

change or improvement. (Up to 15 points)

(d) Quality of the Management Plan. (Maximum 10 points) The 

Secretary considers the quality of the management plan for the proposed 

project. In determining the quality of the management plan for the 

proposed project, the Secretary considers the following factors:

(1) The adequacy of the management plan to achieve the objectives of 

the proposed project on time and within budget, including clearly defined 

responsibilities, timelines, and milestones for accomplishing project 

tasks. (Up to 5 points)
30

(2) The extent to which the time commitments of the project director 

and principal investigator and other key personnel are appropriate and 

adequate to meet the objectives of the proposed project. (Up to 5 points)

(e) Quality of the Project Evaluation. (Maximum 20 points) The 

Secretary considers the quality of the evaluation to be conducted of the 

proposed project. In determining the quality of the evaluation, the 

Secretary considers the following factors:

(1) The extent to which the goals, objectives, and outcomes to be 

achieved by the proposed project are clearly specified and measurable. 

(Up to 5 points)

(2) The extent to which the methods of evaluation are thorough, 

feasible, and appropriate to the goals, objectives, and outcomes of the 

proposed project. (Up to 5 points)

(3) The extent to which the methods of evaluation will, if wellimplemented, produce evidence about the project’s effectiveness that would 

meet the What Works Clearinghouse Evidence Standards with reservations. 

(Up to 10 points)

2. Review and Selection Process: We remind potential applicants 

that in reviewing applications in any discretionary grant competition, the 

Secretary may consider, under 34 CFR 75.217(d)(3), the past performance of 

the applicant in carrying out a previous award, such as the applicant’s 

use of funds, achievement of project objectives, and compliance with grant 

conditions. The Secretary may also consider whether the applicant failed 

to submit a timely performance report or submitted a report of 

unacceptable quality.
31

In addition, in making a competitive grant award, the Secretary 

requires various assurances, including those applicable to Federal civil 

rights laws that prohibit discrimination in programs or activities 

receiving Federal financial assistance from the Department (34 CFR 100.4, 

104.5, 106.4, 108.8, and 110.23).

A panel of three non-Federal reviewers will review and score each 

application in accordance with the selection criteria in this notice, as 

well as the competitive preference priorities. A rank order funding slate 

will be made from this review. Awards will be made in rank order 

according to the average score received from the peer review.

 Tiebreaker. In the event there are two or more applications with the 

same final score, and there are insufficient funds to fully support each 

of these applications, the Department will use other information to select 

applications (34 CFR 75.217). The Department will apply the following 

procedure to determine which application or applications will receive an 

award:

First Tiebreaker: The first tiebreaker will be the highest average 

score for the selection criterion “Quality of the Project Design.” If a 

tie remains, the second tiebreaker will be utilized.

Second Tiebreaker: The second tiebreaker will be the highest average 

score for the selection criterion “Quality of Project Services.” If a tie 

remains, the third tiebreaker will be utilized.

Third Tiebreaker: The third tiebreaker will be the highest average 

score for the selection criterion “Quality of the Project Evaluation.”
32

3. Risk Assessment and Specific Conditions: Consistent with 2 CFR 

200.205, before awarding grants under this program, the Department 

conducts a review of the risks posed by applicants. Under 2 CFR 200.208, 

the Secretary may impose specific conditions and, under 2 CFR 3474.10, in 

appropriate circumstances, high-risk conditions on a grant if the 

applicant or grantee is not financially stable; has a history of 

unsatisfactory performance; has a financial or other management system 

that does not meet the standards in 2 CFR part 200, subpart D; has not

fulfilled the conditions of a prior grant; or is otherwise not 

responsible.

4. Integrity and Performance System: If you are selected under this 

competition to receive an award that over the course of the project period 

may exceed the simplified acquisition threshold (currently $250,000), 

under 2 CFR 200.206(a)(2) we must make a judgment about your integrity, 

business ethics, and record of performance under Federal awards--that is, 

the risk posed by you as an applicant--before we make an award. In doing 

so, we must consider any information about you that is in the integrity 

and performance system (currently referred to as the Federal Awardee 

Performance and Integrity Information System (FAPIIS)), accessible through 

the System for Award Management. You may review and comment on any 

information about yourself that a Federal agency previously entered and 

that is currently in FAPIIS.

Please note that, if the total value of your currently active grants, 

cooperative agreements, and procurement contracts from the Federal 

Government exceeds $10,000,000, the reporting requirements in 2 CFR part 
33

200, Appendix XII, require you to report certain integrity information to 

FAPIIS semiannually. Please review the requirements in 2 CFR part 200, 

Appendix XII, if this grant plus all the other Federal funds you receive 

exceed $10,000,000.

VI. Award Administration Information

1. Award Notices: If your application is successful, we notify your 

U.S. Representative and U.S. Senators and send you a GAN; or we may send 

you an email containing a link to access an electronic version of your 

GAN. We may notify you informally, also.

If your application is not evaluated or not selected for funding, we 

notify you.

2. Administrative and National Policy Requirements: We identify 

administrative and national policy requirements in the application package 

and reference these and other requirements in the Applicable Regulations

section of this notice.

We reference the regulations outlining the terms and conditions of an 

award in the Applicable Regulations section of this notice and include 

these and other specific conditions in the GAN. The GAN also incorporates 

your approved application as part of your binding commitments under the 

grant.

3. Open Licensing Requirements: Unless an exception applies, if you 

are awarded a grant under this competition, you will be required to openly 

license to the public grant deliverables created in whole, or in part, 

with Department grant funds. When the deliverable consists of 

modifications to pre-existing works, the license extends only to those 
34

modifications that can be separately identified and only to the extent 

that open licensing is permitted under the terms of any licenses or other 

legal restrictions on the use of pre-existing works. Additionally, a 

grantee or subgrantee that is awarded competitive grant funds must have a 

plan to disseminate these public grant deliverables. This dissemination 

plan can be developed and submitted after your application has been 

reviewed and selected for funding. For additional information on the open 

licensing requirements, please refer to 2 CFR 3474.20.

4. Reporting: (a) If you apply for a grant under this competition, 

you must ensure that you have in place the necessary processes and systems 

to comply with the reporting requirements in 2 CFR part 170 should you 

receive funding under the competition. This does not apply if you have an 

exception under 2 CFR 170.110(b).

(b) At the end of your project period, you must submit a final 

performance report, including financial information, as directed by the 

Secretary. If you receive a multiyear award, you must submit an annual 

performance report that provides the most current performance and 

financial expenditure information as directed by the Secretary under 34 

CFR 75.118. The Secretary may also require more frequent performance 

reports under 34 CFR 75.720(c). For specific requirements on reporting, 

please go to www.ed.gov/fund/grant/apply/appforms/appforms.html. (c) 

Under 34 CFR 75.250(b), the Secretary may provide a grantee with 

additional funding for data collection analysis and reporting. In this 

case, the Secretary establishes a data collection period.
35

5. Performance Measures: The Secretary has established the 

following key performance measures for assessing the effectiveness of the 

HSI STEM and Articulation Program:

a. The percentage change, over the five-year grant period, of the 

number of Hispanic and low-income full-time STEM field degree-seeking 

undergraduate students enrolled.

b. The number and percent of Hispanic and low-income first-time, 

full-time STEM field degree-seeking undergraduate students who were in 

their first year of postsecondary enrollment in the previous year and are 

enrolled in the current year who remain in a STEM field degree/credential 

program.

c. The number and percentage of Hispanic and low-income first-time, 

full-time degree-seeking undergraduate students enrolled at four-year HSIs 

graduating within six years of enrollment with a STEM field degree.

d. The number and percentage of Hispanic and low-income first-time, 

full-time degree-seeking undergraduate students enrolled at two-year HSIs 

graduating within three years of enrollment with a STEM field 

degree/credential.

e. The number and percentage of Hispanic and low-income students 

transferring successfully to a four-year institution from a two-year 

institution and retained in a STEM field major.

f. The number of Hispanic and low-income students participating in 

grant-funded student support programs or services.

g. The number of Hispanic and low-income students who participated 

in grant-supported services or programs in good academic standing.
36

h. The number of Hispanic and low-income STEM field major transfer 

students on track to complete a STEM field degree within three years from 

their transfer date.

i. The number of Hispanic and low-income students who participated 

in grant-supported services or programs and completed a degree or 

credential.

6. Continuation Awards: In making a continuation award under 34 CFR 

75.253, the Secretary considers, among other things: whether a grantee 

has made substantial progress in achieving the goals and objectives of the 

project; whether the grantee has expended funds in a manner that is 

consistent with its approved application and budget; and, if the Secretary 

has established performance measurement requirements, the performance 

targets in the grantee’s approved application.

In making a continuation award, the Secretary also considers whether 

the grantee is operating in compliance with the assurances in its approved 

application, including those applicable to Federal civil rights laws that 

prohibit discrimination in programs or activities receiving Federal 

financial assistance from the Department (34 CFR 100.4, 104.5, 106.4, 

108.8, and 110.23).

VII. Other Information

Accessible Format: Individuals with disabilities can obtain this document 

and a copy of the application package in an accessible format. The 

Department will provide the requestor with an accessible format that may 

include Rich Text Format (RTF) or text format (txt), a thumb drive, an MP3 
37

file, braille, large print, audiotape, or compact disc, or other 

accessible format.

Electronic Access to This Document: The official version of this document 

is the document published in the Federal Register. You may access the 

official edition of the Federal Register and the Code of Federal 

Regulations at www.govinfo.gov. At this site, you can view this document, 

as well as all other documents of this Department published in the Federal 

Register, in text or Portable Document Format (PDF). To use PDF, you must 

have Adobe Acrobat Reader, which is available free at the site.

You may also access documents of the Department published in the 

Federal Register by using the article search feature at 

www.federalregister.gov. Specifically, through the advanced search 

feature at this site, you can limit your search to documents published by 

the Department.

Dated: 

___/s/___________________________

Michelle Asha Cooper,

Acting Assistant Secretary for

Postsecondary Education.
38

VI. AUTHORIZING LEGISLATION 

The Hispanic-Serving Institutions STEM and Articulation Program (HSI STEM & Articulation Program) is authorized 

under Title III, Part F, Section 371 of the Higher Education Act of 1965, as amended. Legislation governing the HSI 

STEM & Articulation Program can be accessed from the following website: 20 U.S.C. 1067q (b) (2) (B)

Title III, Part F, Section 371 of the Higher Education Act, as amended (20 U.S.C. 1067q (b) (2) (B))

(a) Eligible Institution 

An institution of higher education is eligible to receive funds from the amounts made available under this section if such 

institution is—

(1) a part B institution (as defined in section 1061 of this title);

(2) a Hispanic-serving institution (as defined in section 1101a of this title);

(3) a Tribal College or University (as defined in section 1059c of this title);

(4) an Alaska Native-serving institution or a Native Hawaiian-serving institution (as defined in section 1059d(b) of this 

title);

(5) a Predominantly Black Institution (as defined in subsection (c));

(6) an Asian American and Native American Pacific Islander-serving institution (as defined in subsection (c)); or

(7) a Native American-serving nontribal institution (as defined in subsection (c)).

(b) New investment of funds

(1) In general 

(A) Provision of funds 

There shall be available to the Secretary to carry out this section, from funds in the Treasury not otherwise appropriated, 

$255,000,000 for each of the fiscal years 2008 through 2019. The authority to award grants under this section shall expire 

at the end of fiscal year 2019.

(B) Availability 

Funds made available under subparagraph (A) for a fiscal year shall remain available for the next succeeding fiscal year.

(2) Allocation and allotment 

(A) In general, of the amounts made available under paragraph (1) for each fiscal year—

(i) $100,000,000 shall be available for allocation under subparagraph (B);

(ii) $100,000,000 shall be available for allocation under subparagraph (C); and

(iii) $55,000,000 shall be available for allocation under subparagraph (D).

(B) HSI STEM and articulation programs
39

The amount made available for allocation under this subparagraph by subparagraph (A)(i) for any fiscal year shall be 

available for Hispanic-serving Institutions [1] for activities described in section 1101b of this title, with a priority given to 

applications that propose—

(i) to increase the number of Hispanic and other low income students attaining degrees in the fields of science, 

technology, engineering, or mathematics; and

(ii) to develop model transfer and articulation agreements between 2-year Hispanic-serving institutions and 4-year 

institutions in such fields.

ADDITIONAL CITATIONS FROM THE HIGHER EDUCATION ACT:

SEC. 502. [20 U.S.C. 1101a) DEFINITIONS; ELIGIBILITY.

(a) Definitions. For the purpose of this title:

(1) EDUCATIONAL AND GENERAL EXPENDITURES. The term “educational and general expenditures” means the 

total amount expended by and institution 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 an mandatory transfers that the institution is required to pay by law.

(2) ELIGIBLE INSTITUTION. The term “eligible institution” means--

(A) an institution of higher education--

(i) has an enrollment of needy students as required by subsection (b);

(ii) except as provided in section 512(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:

(iii) that is--

(I) legally authorized to provide, and provides within the State, an education program for which the institution awards a 

bachelor’s degree or

(II) a junior or community college;

(iv) that 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 that is, according to such an agency or association, making 

reasonable progress toward accreditation;

(v) that meets such other requirements as the Secretary may prescribe; and

(vi) that is located in a State; and

(B) any branch of any institution of higher education described under subparagraph (A) that by itself satisfies the 

requirements contained in clauses (I) and (ii) of such subparagraph. For purposes of the determination of whether an 
40

institution is an eligible institution under this paragraph, the factor described under subparagraph (A)(I) shall be given 

twice the weight of the factor described under subparagraph (A)(ii). 

(3) ENDOWMENT FUND.-- The term “endowment fund” means a fund that

(A) is established by State law, by a Hispanic-serving institution, or by a foundation that is exempt from Federal income 

taxation;

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

(C) does not include real estate.

(4) FULL-TIME EQUIVALENT STUDENTS.--The term “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 or all part-time student divided by 12) at such 

institution.

(5) HISPANIC-SERVING INSTITUTION. -- The term “Hispanic-Serving institution” means an institution of higher 

education that—

(A) is an eligible institution; and

(B) has an enrollment of undergraduate full-time equivalent students that is at least 25 percent Hispanic students at the end 

of the award year immediately preceding the date of application.

(6) JUNIOR OR COMMUNITY COLLEGE. The term “junior or community college” means an institution of higher 

education--

(A) 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;

(B) that does not provide an educational program for which the institution awards a bachelor’s degree (or an equivalent 

degree); and

(C) that--

(i) provides an educational program of not less than 2 years in duration 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 a the semiprofessional level in engineering, scientific, or other technological fields 

requiring the understanding the application of basic engineering, scientific, or mathematical principles of knowledge.

(b) Enrollment of Needy Students.-- For the purpose of this title, the term “enrollment of needy students” means an 

enrollment at an institution with respect to which--

(1) at least 50 percent of the degree students so enrolled are receiving need-based assistance under title IV in the second 

fiscal year preceding the fiscal year for which the determination is made (other than loans for which an interest subsidy is 

paid pursuant to section 428); or
41

(2) a substantial percentage of the students so enrolled are receiving Federal Pell Grants in the second fiscal year 

preceding the fiscal year for which determination is made compared to the percentage of students receiving Federal 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 paragraph is waived under section 512(a).

SEC. 503. [20 U.S.C. 1101b] AUTHORIZED ACTIVITIES.

(a) TYPES OF ACTIVITIES AUTHORIZED. Grants awarded under this title shall be used by Hispanic-serving 

institutions of higher education to assist the institutions to plan, develop, undertake, and carry out programs to improve 

and expand such institutions’ capacity to serve Hispanic students and other low-income students.

(b) AUTHORIZED ACTIVITIES. Grants awarded under this section shall be used for one 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.

(3) Support of faculty exchanges, faculty development, curriculum development, academic instruction, and faculty 

fellowships to assist in attaining advanced degrees in the fellow’s field of instruction.

(4) Purchase of library books, periodicals, and other educational materials, including telecommunications program 

material.

(5) Tutoring, counseling, and student service programs designed to improve academic success.

(6) Funds management, administrative management, and acquisition of equipment for use in strengthening funds 

management.

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

(8) Establishing or improving a development office to strengthen or improve contributions from alumni and the private 

sector.

(9) Establishing or improving an endowment fund.

(10) Creating or improving facilities for Internet or other distance learning academic instruction capabilities, including 

purchase or rental of telecommunications technology equipment or services.

(11) Establishing or enhancing a program or teacher education designed to qualify students to teach in public elementary 

schools and secondary schools.

(12) Establishing community outreach programs that will encourage elementary school and secondary school students to 

develop the academic skills and the interest to pursue postsecondary education.
42

(13) Expanding the number of Hispanic and other underrepresented graduate and professional students that can be served 

by the institution by expanding courses and institutional resources.

(14) Other activities proposed in the application submitted pursuant to section 504 that --

(A) that contribute to carrying out the purposes of this title

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

(c) Endowment fund limitations. –

(1) Portion of a grant. -- A Hispanic-serving institution may not use more than 20 percent of the grant funds provided 

under this title for any fiscal year for establishing or improving an endowment fund. 

(2) Matching required. -- A Hispanic-serving institution that uses any portion of the grant funds provided under this title 

for any fiscal year for establishing or improving and endowment fund shall provide from non-Federal funds an amount 

equal to or greater than the portion.

(3) Comparability. -- The provisions of part C of subchapter III of this chapter 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). 
43

VII. GOVERNMENT PERFORMANCE AND RESULTS ACT (GPRA)

What is GPRA?

The Government Performance and Results Act of 1993 (GPRA) is a straightforward statute that requires all federal 

agencies to manage their activities with attention to the consequences of those activities. Each agency is to clearly state 

what it intends to accomplish, identify the resources required, and periodically report their progress to the Congress. In so 

doing, it is expected that the GPRA will contribute to improvements in accountability for the expenditures of public funds, 

improve Congressional decision-making through more objective information on the effectiveness of federal programs, and 

promote a new government focus on results, service delivery, and customer satisfaction.

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

As required by GPRA, the Department of Education has prepared a strategic plan for 2018-2022. This plan reflects the 

Department’s priorities and integrates them with its mission and program authorities and describes how the Department 

will work to improve education for all children and adults in the U.S. The Department’s goals, as listed in the plan, are:

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

Goal 2: Expand postsecondary educational opportunities, improve outcomes to foster economic opportunity and promote 

an informed thoughtful and productive citizenry. 

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

and transparency. 

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

What are the performance indicators for the HSI STEM & Articulation Program?

The performance measures for the HSI STEM and Articulation program are part of the Department’s plan for meeting 

Goal 2. The specific goal for the program is to increase the number of Hispanic and low-income students attaining degrees 

in the fields of science, technology, engineering, and math (STEM); and to develop model transfer and articulation 

agreements between two-year HSIs and four-year institutions in such fields. 

The performance indicators for the HSI STEM and Articulation program are:

1. The percentage change, over the five-year grant period, of the number of Hispanic and low-income full-time STEM 

field degree-seeking undergraduate students enrolled. 

2. The number and percent of Hispanic and low-income first-time, full-time STEM field degree-seeking undergraduate 

students who were in their first year of postsecondary enrollment in the previous year and are enrolled in the current year 

who remain in a STEM field degree/credential program. 

3. The number and percent of Hispanic and low-income first-time, full-time degree-seeking undergraduate students 

enrolled at four-year HSIs graduating within six years of enrollment with a STEM field degree. 
44

4. The number and percentage of Hispanic and low-income first-time, full-time degree-seeking undergraduate students 

enrolled at two-year HSIs graduating within three years of enrollment with a STEM field degree/credential. 

5. The number and percentage of Hispanic and low-income students transferring successfully to a four-year institution 

from a two-year institution and retained in a STEM field major. 

6. The number of Hispanic and low-income students participating in grant-funded student support programs or services. 

7. The number of Hispanic and low-income students who participated in grant-supported services or programs in good 

academic standing.

8. The number of Hispanic and low-income STEM field major transfer students on track to complete a STEM field degree 

within three years from their transfer date.

9. The number of Hispanic and low-income students who participated in grant-supported services or programs and 

completed a degree or credential.

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

An applicant that receives a grant award will be required to submit Annual Performance Reports and a Final Performance 

Report as a condition of the award. The reports will document the extent to which project-specific goals and objectives 

are met. As part of the reporting process, grantees will also respond to the HSI STEM program-specific measures, to the 

extent that they are able, based on their project design. As such, applicants should consider the HSI STEM program 

measures as they are developing their evaluation plan. 
45

VIII. ORGANIZATION OF THE APPLICATION PACKAGE

The application for the HSI STEM and Articulation Program has been divided into four parts. Your submitted application 

should be organized in the same manner as the parts appearing in this section. Please read the instructions carefully in the

following pages before preparing and submitting your application. The standard forms for this grant application package 

are found on Grants.gov. The parts are as follows:

Part I: SF 424 Forms

• Application for Federal Assistance – (SF 424)

• Department of Education Supplemental Information Form for SF 424

Note:

 Applicants must complete the Standard Form (SF) 424 first because some of the information provided 

here is automatically inserted into other sections of the Grants.gov application package.

 Do not attach any narratives, supporting files, or application components to the SF 424. Although the 

form accepts attachments, the Department of Education will only review materials/files attached to the 

forms listed below.

Part II: ED Form 524

• Department of Education Budget Summary Form – (ED Form 524)

Sections A, B & C 

Note:

 This program does not require cost sharing or matching unless the grantee uses a portion of its grant for 

establishing or improving an endowment fund. If a grantee uses a portion of its grant for endowment 

fund purposes, it must match or exceed those grant funds with non-Federal funds (section 503(c)(2) of the 

HEA; 20 U.S.C. 1101b(c)(2)).

 The detailed Budget Narrative will be included in the “Budget Narrative Attachment Form.” 

 Refer to “Instructions for ED 524 Budget Summary Form, Section C” for additional instructions on the 

Budget Narrative. 

Note: 

 Applicants are required to prepare a detailed and comprehensive Budget Narrative for all proposed line 

items listed in ED Form 524 (Sections A and B). This narrative should be attached as the “Budget 

Narrative Attachment Form.” 

Part III: Abstract, Project Narrative, and Other Attachments Forms

• ED Abstract Form

• Project Narrative Attachment Form

• Budget Narrative Attachment Form

• Other Attachments Form 

The ED Abstract Form is where you provide a one-page abstract narrative that provides an overview of the proposed 

project. 
46

Note: 

 The Abstract narrative should identify the target population (e.g., faculty, staff, students), the services that 

will be provided and the proposed activities to be conducted during the 5-year performance period. It 

should also include anticipated results and citations, if applying for competitive priority points. 

 The abstract should also indicate the institution/s that the applicant is proposing to partner with for the 

purpose of meeting the articulation and transfer model absolute priority. 

 The abstract must indicate whether the application addressed the competitive preference priorities on the 

“ED Abstract Form.” 

The Project Narrative Attachment Form includes the narrative sections addressing the program selection criteria that 

will be used to evaluate applications submitted for this competition. A Table of Contents should be included as the first 

page of the Project Narrative. This section has page limit recommendations listed in the NIA. 

The Budget Narrative Form is where you provide an itemized budget breakdown, and justification by project year, for 

each budget category listed in Sections A and B. 

The Other Attachments Form is where you attach the Curriculum Vitae (CV) of project personnel/participants, letters of 

commitment and support, business information that you consider proprietary, and the bibliography, if applicable.

Note:

 It is recommended that the CV be no more than three (3) pages.

 Attach all CVs as a single document.

Attach all letters of commitment and support as a single document. 

Part IV: Assurances and Certifications

Assurances and Certifications

• GEPA Section 427 Requirement

• Disclosure of Lobbying Activities (SF-LLL) (Optional)

• Grants.gov Lobbying Form (ED form 80-0013)

Grants.gov Uploading Requirements:

You must upload any narrative sections and all other attachments to your application as files in a PDF (Portable 

Document) read-only, non-modifiable format. Do not upload and interactive or fillable PDF file. If you upload a file type 

other than a read-only, non-modifiable PDF or submit a password-protected file, we will not review that material. 
47

IX. INSTRUCTIONS FOR THE APPLICATION PACKAGE

Please read the instructions carefully in the following pages before preparing and submitting your application. The 

standard forms for this grant application package are found on Grants.gov.

Part I:

• Instructions for SF 424 Form

• Instructions for Department of Education Supplemental Information for SF 424

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

Part II:

• Instructions for ED 524 Budget Summary Form 

Sections A, B, C, & D

Part III:

• Instructions for Completing the ED Abstract Form

• Instructions for Completing the Project Narrative Attachment Form

• Instructions for Completing the Other Attachments Form 

Part IV:

• Assurances and Certifications
48

PART I

Instructions for SF 424 

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

under discretionary programs. Some of the items are required and some are optional at the discretion of the applicant or the federal 

agency (agency). Required fields on the form are identified with an asterisk (*) and are also specified as “Required” in the instructions 

below. In addition to these instructions, applicants must consult agency instructions to determine other specific requirements.

Item Entry: Item: Entry:

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

submission in accordance with agency instructions.

• Pre-application

• Application

• Changed/Corrected Application – Check if this 

submission is to change or correct a previously 

submitted application. Unless requested by the 

agency, applicants may not use this form to submit 

changes after the closing date.

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

of the federal agency from which assistance is being 

requested with this application.

11. Catalog of Federal Domestic Assistance 

Number/Title: Enter the Catalog of Federal Domestic 

Assistance number and title of the program under 

which assistance is requested, as found in the program 

announcement, if applicable.

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

application in accordance with agency instructions.

• New – An application that is being submitted to an 

agency for the first time.

• Continuation - An extension for an additional 

funding/budget period for a project with a projected 

completion date. This can include renewals.

• Revision - Any change in the federal government’s 

financial obligation or contingent liability from an 

existing obligation. If a revision, enter the appropriate 

letter(s). More than one may be selected. If "Other" is 

selected, please specify in text box provided.

A. Increase Award 

B. Decrease Award 

C. Increase Duration

D. Decrease Duration

E. Other (specify)

12. Funding Opportunity Number/Title: (Required) 

Enter the Funding Opportunity Number (FON) and title 

of the opportunity under which assistance is requested, 

as found in the program announcement. 

13. Competition Identification Number/Title: Enter the 

competition identification number and title of the 

competition under which assistance is requested, if 

applicable.

14. Areas Affected by Project: This data element is 

intended for use only by programs for which the area(s) 

affected are likely to be different than the place(s) of 

performance reported on the SF-424 

Project/Performance Site Location(s) Form. Add 

attachment to enter additional areas, if needed.

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

be assigned by the Federal agency.

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

Enter a brief descriptive title of the project. If 

appropriate, attach a map showing project location 

(e.g., construction or real property projects). For preapplications, attach a summary description of the 

project. 

4. Applicant Identifier: Enter the entity identifier 

assigned by the Federal agency, if any, or the 

applicant’s control number if applicable.

5a. Federal Entity Identifier: Enter the number assigned 

to your organization by the federal agency, if any.

16. Congressional Districts Of: 16a. (Required) Enter the 

applicant’s congressional district. 16b. Enter all 

district(s) affected by the program or project. Enter in 

5b. Federal Award Identifier: For new applications, the format: 2 characters state abbreviation – 3 

enter NA. For a continuation or revision to an 
49

existing award, enter the previously assigned federal 

award identifier number. If a changed/corrected 

application, enter the federal identifier in accordance 

with agency instructions.

characters district number, e.g., CA-005 for California 

5th district, CA-012 for California 12 district, NC-103 

for North Carolina’s 103 district. If all congressional 

districts in a state are affected, enter “all” for the district 

number, e.g., MD-all for all congressional districts in 

Maryland. If nationwide, i.e. all districts within all 

states are affected, enter US-all. If the program/project 

is outside the US, enter 00-000. This optional data 

element is intended for use only by programs for which 

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

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

Project/Performance Site Location(s) Form. Attach an 

additional list of program/project congressional 

districts, if needed.

6. Date Received by State: Leave this field blank. This 

date will be assigned by the state, if applicable. 

7. State Application Identifier: Leave this field blank. 

This identifier will be assigned by the state, if 

applicable.

8. Applicant Information: Enter the following in 

accordance with agency instructions: 

a. Legal Name: (Required) Enter the legal name of 

applicant that will undertake the assistance activity. 

This is the organization that has registered with the 

Central Contractor Registry (CCR). Information on 

registering with CCR may be obtained by visiting 

www.Grants.gov. 

17. Proposed Project Start and End Dates: (Required) 

Enter the proposed start date and end date of the 

project.

b. Employer/Taxpayer Number (EIN/TIN): 

(Required) Enter the employer or taxpayer 

identification number (EIN or TIN) as assigned by the 

Internal Revenue Service. If your organization is not 

in the US, enter 44-4444444.

18. Estimated Funding: (Required) Enter the amount 

requested, or to be contributed during the first 

funding/budget period by each contributor. Value of inkind contributions should be included on appropriate 

lines, as applicable. If the action will result in a dollar 

change to an existing award, indicate only the amount 

of the change. For decreases, enclose the amounts in 

parentheses.

c. Organizational DUNS: (Required) Enter the 

organization’s DUNS or DUNS+4 number received 

from Dun and Bradstreet. Information on obtaining a 

DUNS number may be obtained by visiting 

www.Grants.gov. 

19. Is Application Subject to Review by State Under 

Executive Order 12372 Process? (Required) 

Applicants should contact the State Single Point of 

Contact (SPOC) for Federal Executive Order 12372 to 

determine whether the application is subject to the State 

intergovernmental review process. Select the 

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

application was submitted to the State. 

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

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

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

zip/postal code (Required if country US). 

20. Is the Applicant Delinquent on any Federal Debt?

(Required) Select the appropriate box. This question 

applies to the applicant organization, not the person 

who signs as the authorized representative. Categories 

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

delinquent audit disallowances, loans and taxes. If yes, 

include an explanation in an attachment. 

e. Organizational Unit: Enter the name of the 

primary organizational unit, department or division 

that will undertake the assistance activity. 

21. Authorized Representative: To be signed and dated 

by the authorized representative of the applicant 

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

prefix, middle name, suffix. Enter title, telephone 

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

the governing body’s authorization for you to sign this 

application as the official representative must be on file 

in the applicant’s office. (Certain federal agencies may f. Name and contact information of person to be 

contacted on matters involving this application: 
50

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

middle name, suffix, title. Enter organizational 

affiliation if affiliated with an organization other than 

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

fax number. 

require that this authorization be submitted as part of 

the application.)

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

applicant type(s) in accordance with agency 

instructions. 

A. State Government

B. County Government

C. City or Township 

Government

D. Special District 

Government

E. Regional 

Organization

F. U.S. Territory or 

Possession

G. Independent School 

District

H. Public/State 

Controlled Institution of 

Higher Education

I. Indian/Native 

American Tribal 

Government (Federally 

Recognized)

J. Indian/Native 

American Tribal 

Government (Other than 

Federally Recognized)

K. Indian/Native 

American Tribally 

Designated Organization

L. Public/Indian 

Housing Authority

M. Nonprofit

N. Private Institution 

of Higher Education

O. Individual

P. For-Profit 

Organization (Other 

than Small Business)

Q. Small Business

R. Hispanic-serving 

Institution

S. Historically Black 

Colleges and 

Universities (HBCUs)

T. Tribally Controlled 

Colleges and 

Universities (TCCUs)

U. Alaska Native and 

Native Hawaiian 

Serving Institutions

V. Non-US Entity

W. Other (specify)

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

the following URL: http://www.grants.gov/applicants/find_grant_opportunities.jsp.]
51

PART I

Instructions for Department of Education Supplemental Information for SF 424 

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

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

2. Novice Applicant. Check “Yes” if you meet the definition for novice applicants specified in the regulations in 34 

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

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

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

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

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

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

applications, either by establishing a special competition for novice applicants or by giving competitive preference to novice 

applicants under the procedures in 34 CFR 75.105(c)(2). If special consideration is being given to novice applications under 

a particular discretionary grant competition, the application notice for the competition published in the Federal Register will 

specify this information

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

Education Supplemental Information for the SF-424.”)

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

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

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

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

institution. Check “Yes” even if the research is exempt from the regulations for the protection of human subjects. (See I. B. 

“Exemptions” in attached page entitled “Definitions for U.S. Department of Education Supplemental Information for SF424.”) 

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

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

or more of the eight exemption categories listed in I. B. “Exemptions.” In addition, follow the instructions in II. A. “Exempt 

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

for the SF-424.” 

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

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

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

SF-424.”
52

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

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

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

at: http://ohrp.cit.nih.gov/search/search.aspx?styp=bsc) If the applicant does not have an approved assurance on file 

with OHRP, enter “None.” In this case, the applicant, by signature on the SF-424, is declaring that it will comply with 34 

CFR 97 and proceed to obtain the human subjects assurance upon request by the designated ED official. If the application 

is recommended/selected for funding, the designated ED official will request that the applicant obtain the assurance within 

30 days after the specific formal request.

3c. If applicable, please attach your “Exempt Research” or “Nonexempt Research” narrative to your submission of the 

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

Exempt and Nonexempt Human Subjects Research Narratives” in the attached page entitled “Definitions for U.S. 

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

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

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

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

certification to ED within 30 days after the formal request.

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

subjects in research.

Public Burden Statement:

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

such collection displays a valid OMB control number. Public reporting burden for this collection of information is 

estimated to average 20 minutes per response, including time for reviewing instructions, searching existing data sources, 

gathering and maintaining the data needed, and completing and reviewing the collection of information. The obligation to 

respond to this collection is required to obtain or retain benefit (20 USC 3474 General Education Provisions Act). Send 

comments regarding the burden estimate or any other aspect of this collection of information, including suggestions for 

reducing this burden, to the U.S. Department of Education, 400 Maryland Ave., SW, Washington, DC 20210-4537 or email 

ICDocketMgr@ed.gov and reference the OMB Control Number 1894-0007. Note: Please do not return the completed ED 

SF 424 Supplemental Form to this address.
53

Part I

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

Definitions:

Novice Applicant (See 34 CFR 75.225)

For discretionary grant programs, novice applicant means any applicant for a grant from ED that—

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

• Has never been a member of a group application, submitted in accordance with 34 CFR 75.127-75.129, that 

received a grant under the program from which it seeks funding; and

• Has not had an active discretionary grant from the Federal government in the five years before the deadline date 

for applications under the program. For the purposes of this requirement, a grant is active until the end of the 

grant’s project or funding period, including any extensions of those periods that extend the grantee’s authority to 

obligate funds.

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

meet the requirements listed above.

PROTECTION OF HUMAN SUBJECTS IN RESEARCH

I. Definitions and Exemptions

A. Definitions.

A research activity involves human subjects if the activity is research, as defined in the Department’s regulations, and the 

research activity will involve use of human subjects, as defined in the regulations.—

Research

The ED Regulations for the Protection of Human Subjects, Title 34, Code of Federal Regulations, Part 97, define research 

as “a systematic investigation, including research development, testing and evaluation, designed to develop or contribute 

to generalizable knowledge. Activities which meet this definition constitute research whether or not they are conducted or 

supported under a program that is considered research for other purposes. For example, some demonstration and service 

programs may include research activities.”—

Human Subject

The regulations define human subject as “a living individual about whom an investigator (whether professional or student) 

conducting research obtains (i) information or biospecimens through intervention or interaction with the individual and 

uses through intervention or interaction with the individual and uses, studies, or analyzes the information or biospecimens, 

or (ii ) obtains, uses, studies, analyzes, or generate identifiable private information or identifiable biospecimens. ” 

If an activity involves obtaining information about a living person by manipulating that person or that person’s 

environment, as might occur when a new instructional technique is tested, or by communicating or interacting with the 

individual, as occurs with surveys and interviews, the definition of human subject is met. If an activity involves obtaining 

private information about a living person in such a way that the information can be directly or indirectly linked to that 

individual), the definition of human subject is met. 
54

Private information includes information about behavior that occurs in a context in which an individual can reasonably 

expect that no observation or recording is taking place, and information which has been provided for specific purposes by 

an individual and which the individual can reasonably expect will not be made public (for example, a school health 

record).

B. Exemptions.

Research activities in which the only involvement of human subjects will be in one or more of the following eight 

categories of exemptions are not covered by the regulations:

(1) Research conducted in established or commonly accepted educational settings, that specifically involves normal 

educational practices that are not likely to adversely impact students’ opportunity to learn required educational content or 

the assessment of educators who provide instruction. This includes most research on regular and special education 

instructional strategies, and research on the effectiveness of or the comparison among instructional techniques, 

curricula, or classroom management methods. If an educational practice is being introduced to the site and is not widely 

used for similar populations, it is not covered by this exemption.

(2) Research that only includes interactions involving educational tests (cognitive, diagnostic, aptitude, achievement), 

survey procedures, interview procedures or observation of public behavior (including visual or auditory recordings) if at 

least one of the following criteria is met: (i) the information obtained is recorded by the investigator in such a manner 

that the identity of the human subjects cannot readily be ascertained, directly or through identifiers linked to the subjects;

(ii) Any disclosure of the human subjects’ responses outside the research would not reasonably place the subjects at risk 

of criminal or civil liability or be damaging to the subjects’ financial standing, employability, educational advancement or 

reputation; or (iii) the information obtained is recorded by the investigator in such a manner that the identity of the human

subjects can readily be ascertained, directly or through identifiers linked to the subjects, and an IRB conducts a “limited 

IRB review” to make the determinations required by 34 CFR 97.111(a)(7). 

If the subjects are children, exemption 2 applies only to research involving educational tests and observations of public 

behavior when the investigator(s) do not participate in the activities being observed. 

Exemption 2 does not apply if children are surveyed or interviewed or if the research involves observation of public 

behavior and the investigator(s) participate in the activities being observed. Children are defined as persons who have 

not attained the legal age for consent to treatments or procedures involved in the research, under the applicable law or 

jurisdiction in which the research will be conducted.

(3) Research involving benign behavioral interventions in conjunction with the collection of information from an adult 

subject through verbal or written responses (including data entry) or audiovisual recording if the subject prospectively 

agrees to the intervention and information collection and at least one of the following criteria is met: (A) The information

obtained is recorded by the investigator in such a manner that the identity of the human subjects cannot readily be 

ascertained directly or through identifiers linked to the subjects; (B) Any disclosure of the human subjects’ responses 

outside the research would not reasonably place the subjects at risk of criminal or civil liability or be damaging to the 

subject’ financial standing, employability, educational advancement or reputation; or (C) The information obtained is 

recorded by the investigator in such a manner that the identity of the human subjects can readily be ascertained, directly or

through identifiers linked to the subjects, and an IRB conducts a limited IRB review to make the determination required 

by 34 CFR 97.111(a)(7).

For the purpose of this provision, benign behavioral interventions are brief in duration, harmless, painless, not physically 

invasive, not likely to have a significant adverse lasting impact on the subjects, and the investigator has no reason to think

the subjects will find the interventions offensive or embarrassing. Provided all such criteria are met, examples of such 

benign behavioral interventions would include having the subject play an online game, having them solve puzzles under 
55

various noise conditions, or having them decide how to allocate a nominal amount of received cash between themselves 

and someone else.

If the research involves deceiving the subjects regarding the nature or purposes of the research, this exemption is not 

applicable unless the subject authorizes the deception through a prospective agreement to participate in research in 

circumstances in which the subject is informed that he or she will be unaware of or misled regarding the nature or 

purposes of the research. 

(4) Secondary Research for which Consent is not required. Secondary research uses of identifiable private information or 

identifiable biospecimens, if at least one of the following criteria is men: (i) The identifiable private information or 

identifiable biospecimens are publicly available; (ii) Information, which may include information about biospecimens, is 

recorded by the investigator in such a manner that the identity of the human subjects cannot readily be ascertained directly 

or through identifiers linked to the subjects, the investigator does not contact the subjects, and the investigator will not reidentify subjects; (iii) the research involves only information collection and analysis involving the investigators’ use of 

identifiable health information when that use is regulated under 45 CFR parts 160 and 164, subparts A and E, for the 

purposes of “health care operations” or “research” as those terms are defined at 45 CFR 164.501 or for “public health 

activities and purposes” as described under 45 CFR 164.512 (b); or (iv) The research is conducted by, or on behalf of, a 

Federal department or agency using government-generated or government-collected information obtained for nonresearch 

activities, if the research generates identifiable private information that is or will be maintained on information technology 

that is subject to and in compliance with section 208(b) of the E-Government Act of 2002, 44 USC 3501 note, if all of the 

identifiable private information collected, used or generated as part of the activity will be maintained in systems of records 

subject to the Privacy Act of 1974, 5 USC 552a, and, if applicable, the information used in the research was collected 

subject to the Paperwork Reduction Act of 1995, 44 USC 3501 et seq.

(5) Research and demonstration projects that are conducted or supported by a Federal department or agency, or otherwise 

subject to the approval of department or agency heads (or otherwise subject to the approval of department or agency heads 

(or the approval of the heads of bureaus or other subordinate agencies that have been delegated authority to conduct the 

research and demonstration projects), and that are designed to study, evaluate, improve, or otherwise examine public 

benefit or service programs, including procedures for obtaining benefits or services under those programs, possible 

changes in or alternative to those programs or procedures, or possible changes in methods or levels of payment for 

benefits or services under those programs. Such projects include, but are not limited to, internal studies by Federal 

employees, and studies under contracts or consulting arrangements, cooperative agreements, or grants. Exempt projects 

also include waivers of otherwise mandatory requirements using authorities such as sections 1115 and 1115A of the 

Social Security Act as amended.

Each Federal department or agency conducting or supporting the research and demonstration projects must establish, on a 

publicly accessible Federal website or in such other manner as the department or agency head may determine, a list of the 

research and demonstration projects that the Federal department or agency conducts or supports under this provision. The 

research or demonstration project must be published on this list prior to commencing the research involving human 

subjects. 

(6) Taste and food quality evaluation and consumer acceptance studies, (a) if wholesome foods without additives are 

consumed or (b) if a food is consumed that contains a food ingredient at or below the level and for a use found to be safe, 

or agricultural chemical or environmental contaminant at or below the level found to be safe, by the Food and Drug 

Administration or approved by the Environmental Protection Agency or the Food Safety and Inspection Service of the 

U.S. Department of Agriculture.

(7) Storage or Maintenance for Secondary Research for which Broad Consent is required. Storage or maintenance of 

identifiable private information or identifiable biospecimens for potential secondary research use if an IRB conducts a 

limited IRB review and makes the determinations requires by 34 CFR 97.111(a)(8).

(8) Secondary Research for which Broad Consent is Required. Research involving the use of identifiable private 

information or identifiable biospecimens for secondary research use if the following criteria are met: (i) Broad Consent for 
56

the storage, maintenance and secondary research use of the identifiable private information or identifiable biospecimens 

was obtained in accordance with 34 CFR 97.116(a) (1)-(4), (a) (6) and (d); (ii) Documentation of informed consent or 

waiver of documentation of consent was obtained in accordance with 34 CFR 97.117. (iii) an IRB conducts a limited IRB 

review and makes the determination that the research to be conducted is within the scope of the broad consent referenced 

in paragraph (d)(8)(i) of this section; and (iv) The investigator does not prevent an investigator from abiding by any legal 

requirements to return individual research results.

II. Instructions for Exempt and Nonexempt Human Subjects Research Narratives

If the applicant marked “Yes” for Item 3.b. of the U.S. Department of Education Supplemental Information for the SF 

424, the applicant must attach a human subjects “exempt research” or “nonexempt research” narrative to the U.S. 

Department of Education Supplemental Information for the SF-424 form. If you have multiple projects, include 

information about each, labeling the responses as to the project they address. For applications that include multiple 

research projects this can be done in a single narrative or in more than one narrative as appropriate. 

A. Exempt Research Narrative.

If you marked “Yes” for item 3.b. and designated exemption numbers(s), attach the “exempt research” narrative to the 

U.S. Department of Education Supplemental Information for the SF-424. The narrative must contain sufficient 

information about the involvement of human subjects in the proposed research to allow a determination by ED that the 

designated exemption(s) are appropriate. The narrative must be succinct.

B. Nonexempt Research Narrative.

If you marked “No” for item 3.b. you must attach the “nonexempt research” narrative to the U.S. Department of 

Education Supplemental Information for the SF-424. The narrative must address the following seven points. Although no 

specific page limitation applies to this section of the application, be succinct.

(1) Human Subjects Involvement and Characteristics: Provide a detailed description of the proposed involvement of 

human subjects. Describe the characteristics of the subject population, including their anticipated number, age range, and 

health status. Identify the criteria for inclusion or exclusion of any subpopulation. Explain the rationale for the 

involvement of special classes of subjects, such as children, children with disabilities, adults with disabilities, persons 

with mental disabilities, pregnant women, prisoners, institutionalized individuals, or others who are likely to be vulnerable

(2) Sources of Materials: Identify the sources of research material obtained from individually identifiable living human 

subjects in the form of specimens, records, or data. Indicate whether the material or data will be obtained specifically for 

research purposes or whether use will be made of existing specimens, records, or data.

(3) Recruitment and Informed Consent: Describe plans for the recruitment of subjects and the consent procedures to 

be followed. Include the circumstances under which consent will be sought and obtained, who will seek it, the nature of 

the information to be provided to prospective subjects, and the method of documenting consent. State if the Institutional 

Review Board (IRB) has authorized a modification or waiver of the elements of consent or the requirement for 

documentation of consent.

(4) Potential Risks: Describe potential risks (physical, psychological, social, legal, or other) and assess their likelihood 

and seriousness. Where appropriate, describe alternative treatments and procedures that might be advantageous to the 

subjects.

(5) Protection Against Risk: Describe the procedures for protecting against or minimizing potential risks, including risks 

to confidentiality, and assess their likely effectiveness. Where appropriate, discuss provisions for ensuring necessary 

medical or professional intervention in the event of adverse effects to the subjects. Also, where appropriate, describe the 

provisions for monitoring the data collected to ensure the safety of the subjects.
57

(6) Importance of the Knowledge to be Gained: Discuss the importance of the knowledge gained or to be gained as a 

result of the proposed research. Discuss why the risks to subjects are reasonable in relation to the anticipated benefits to 

subjects and in relation to the importance of the knowledge that may reasonably be expected to result.

(7) Collaborating Site(s): If research involving human subjects will take place at collaborating site(s) or other 

performance site(s), name the sites and briefly describe their involvement or role in the research.

Copies of the Department of Education’s Regulations for the Protection of Human Subjects, 34 CFR Part 97 and other 

pertinent materials on the protection of human subjects in research are available from the Office of the Chief 

Financial Officer, U.S. Department of Education, Washington, D.C. 20202-4331, telephone: (202) 245-8090, and on 

the U.S. Department of Education’s Protection of Human Subjects in Research Web Site: 

http://www.ed.gov/about/offices/list/ocfo/humansub.html

NOTE: The State Applicant Identifier on the SF-424 is for State Use only. Please complete it on the SF-424 in the 

upper right corner of the form (if applicable).
58

PART II

Instructions for ED 524 Budget Summary Form 

General Instructions

This form is used to apply to individual U.S. Department of Education (ED) discretionary grant programs. Unless directed 

otherwise, provide the same budget information for each year of the multi-year funding request. Pay attention to 

applicable program specific instructions, if attached. You may access the Education Department General Administrative 

Regulations cited within these instructions at:

https://www.ecfr.gov/cgi-bin/textidx?SID=0b63ce6f20caccbf480e5596fdf289e3&mc=true&tpl=/ecfrbrowse/Title34/34cfr75_main_02.tpl. You may 

access requirements from 2 CFR 200, “Uniform Administrative Requirements, Cost Principles, and Audit Requirements 

for Federal Awards” cited within these instructions at: https://www.ecfr.gov/cgi-bin/textidx?SID=6214841a79953f26c5c230d72d6b70a1&tpl=/ecfrbrowse/Title02/2cfr200_main_02.tpl. . 

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

Section A - Budget Summary

U.S. Department of Education Funds

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

11.

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

each applicable budget category.

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

year, leave this column blank.

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

Line 13, column (f): Show the total amount requested for all project years. If funding is requested for only one year, 

leave this space blank.

Indirect Cost Information: If you are requesting reimbursement for indirect costs on line 10 the indirect cost rate to be 

charged to the grant must be entered in the applicable field on line 10, and the following information is to be completed by 

your Business Office. 

(1): Indicate whether or not your organization has an Indirect Cost Rate Agreement that was approved by the Federal 

government. If you checked “no,” ED generally will authorize grantees to use a temporary rate of 10 percent of budgeted 

salaries and wages (complete (4) of this section when using the temporary rate) subject to the following limitations: 

(a) The grantee must submit an indirect cost proposal to its cognizant agency within 90 days after ED issues a grant award 

notification; and 

(b) If after the 90-day period, the grantee has not submitted an indirect cost proposal to its cognizant agency, the grantee 

may not charge its grant for indirect costs until it has negotiated an indirect cost rate agreement with its cognizant agency. 

(2): If you checked “yes” in (1), provide a copy of your Indirect Cost Rate Agreement and indicate in (2) the beginning 

and ending dates covered by the Indirect Cost Rate Agreement. In addition, indicate whether ED, another Federal agency 

(Other) or State agency issued the approved agreement. If you check “Other,” specify the name of the Federal or other 

agency that issued the approved agreement.
59

(3): If you check “no” in (1), indicate in (3) if you want to use the de minimis rate of 10 percent of MTDC (see 2CFR § 

200.68). If you use the de minimis rate, you are subject to the provisions in 2 CFR § 200.414(f). Note, you may only use 

the 10 percent de minimis rate if you are a first-time Federal grant recipient, and you do not have an Approved Indirect 

Cost Rate Agreement. You may not use the de minimis rate if you are a State, Local government, or Indian Tribe, or if 

your grant is funded under a training rate or restricted rate program. 

(5): If you are applying for a grant under a Restricted Rate Program (34 CFR 75.563 or 76.563), indicate whether you are 

using a restricted indirect cost rate that is included on your approved Indirect Cost Rate Agreement, or whether you are 

using a restricted indirect cost rate that complies with 34 CFR 76.564(c)(2). Note: State or Local government agencies 

may not use the provision for a restricted indirect cost rate specified in 34 CFR 76.564(c)(2). Check only one response. 

Leave blank, if this item is not applicable.

(6): For Training Rate Programs, ED regulations limit non-governmental entities to the recovery of indirect costs on 

training grants to the grantee’s actual indirect costs, as determined by its negotiated rate agreement, or 8 percent of a 

MTDC, whichever is lower (see EDGAR § 75.562(c)(4)). The 8 percent limit also applies to cost-type contracts under 

grants, if these contracts are for training as defined in EDGAR § 75.562(a). If a non-governmental entity that receives a 

grant under a training grant program does not have an approved indirect cost rate and wants to recover indirect costs, it 

may use a temporary rate of 10 percent of budgeted direct salaries and wages, but it must submit an indirect cost rate 

proposal to its cognizant agency for indirect costs within 90 days after ED issues the GAN. After the 90-day period, the 

government entity may not charge its grant for indirect costs until it has negotiated an indirect cost rate agreement.

Section B - Budget Summary

Non-Federal Funds

If you are required to provide or volunteer to provide cost-sharing or matching funds or other non-Federal resources to the 

project, these should be shown for each applicable budget category on lines 1-11 of Section B.

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

the total contribution for each applicable budget category.

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

only one year, leave this column blank.

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

Line 12, column (f): Show the total amount to be contributed for all years of the multi-year project. If non-Federal 

contributions are provided for only one year, leave this space blank.

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

Pay attention to applicable program specific instructions, 

if attached.

1. Provide an itemized budget breakdown, and justification by project year, for each budget category listed in Sections 

A and B. For grant projects that will be divided into two or more separately budgeted major activities or subprojects, show for each budget category of a project year the breakdown of the specific expenses attributable to each 

sub-project or activity.

2. For non-Federal funds or resources listed in Section B that are used to meet a cost-sharing or matching requirement 

or provided as a voluntary cost-sharing or matching commitment, you must include: 

a. The specific costs or contributions by budget category; 

b. The source of the costs or contributions; and
60

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

contributed goods or services.

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

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

4. If you are requesting reimbursement for indirect costs on line 10, this information is to be completed by your

Business Office. Specify the estimated amount of the base to which the indirect cost rate is applied and the total 

indirect expense. Depending on the grant program to which you are applying and/or your approved Indirect Cost 

Rate Agreement, some direct cost budget categories in your grant application budget may not be included in the 

base and multiplied by your indirect cost rate. For example, you must multiply the indirect cost rates of “Training 

grants" (34 CFR 75.562) and grants under programs with “Supplement not Supplant” requirements ("Restricted 

Rate" programs) by a “modified total direct cost” (MTDC) base (34 CFR 75.563 or 76.563). Please indicate which 

costs are included and which costs are excluded from the base to which the indirect cost rate is applied. 

When calculating indirect costs (line 10) for "Training grants" or grants under "Restricted Rate" programs, you must refer 

to the information and examples on ED’s website at: http://www.ed.gov/fund/grant/apply/appforms/appforms.html. 

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

indirect cost rate information.

5. Provide other explanations or comments you deem necessary.

If Applicable Section D - Budget Summary

Limitation on Administrative Expenses.

If your program is subject to an administrative cost cap (as indicated Section III.2.C of the program’s Notice Inviting 

Applications (NIA)), fill out this form as follows:

1. On the top of the page, list the percentage cap on administrative costs, and indicate whether your administrative cost 

cap applies to both indirect and direct costs, or only direct costs (from Section III.2.C of the program’s NIA).

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

(a) Fill out the entire table noting your administrative costs, including line 8. Line 8 is taken from Section A, line 10. 

For lines 1-6, these are only direct administrative costs; do not include in lines 1-6 any costs included in your 

indirect cost rate. If your program has a matching requirement (see NIA), include in lines 1-6 the administrative 

portions of the applicable rows from both Section A and Section B. If there is no program matching requirement, 

only use Section A.

(b) Ensure that the line 10 percentage DOES NOT EXCEED the percentage cap on administrative costs. If your 

program does not have a matching requirement, divide line 9 by Section A line 12. If your program does have a 

matching requirement, to calculate line 10, divide line 9 by the sum of Section A line 12 and Section B line 12. 

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

(a) Fill out the entire table noting your administrative costs, EXCLUDING line 8.
61

Ensure that the line 10 percentage DOES NOT EXCEED the percentage cap on administrative costs. If your program does 

not have a matching requirement, divide line 7 by Section A line 9. If your program does have a matching requirement, to 

calculate line 10, divide line 7 by the sum of Section A line 9 and Section B line 9).

Paperwork Burden Statement

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

unless such collection displays a valid OMB control number. The valid OMB control number for this information 

collection is 1894-0008. The time required to complete this information collection is estimated to vary from 13 to 22 

hours per response, with an average of 17.5 hours per response, including the time to review instructions, search existing 

data sources, gather the data needed, and complete and review the information collection. If you have any comments 

concerning the accuracy of the time estimate(s) or suggestions for improving this form, please write to U.S. Department of 

Education, Washington, D.C. 20202-4537. If you have comments or concerns regarding the status of your individual 

submission of this form, write directly to the Office of Finance and Operations, Office of Acquisitions and Grants 

Administration, Grants Policy and Training Division, U.S. Department of Education, 400 Maryland Avenue, S.W., 

Washington, D.C. 20202. 
62

Part III

Instructions for Completing the ED Abstract Form

The ED Abstract Form is required for submission. Applicants must provide a one-page abstract that briefly describes how 

the proposed project meets the absolute priorities and, if applicable, the competitive preference priority and invitational 

priority. The Abstract narrative should identify the target population (e.g., faculty, staff, students), the services that will 

be provided and the proposed activities to be conducted during the 5-year performance period. It should also include

anticipated results and citations, if applying for competitive priority points

The abstract should serve as a quick reference guide to your application. Include the items below in the order listed and 

use the same number format. 

1. Applicant institution and partner institutions

2. Project title

3. Abstract 

a. Target Population (e.g., faculty, staff, students) 

b. Services and Proposed Activities

c. Anticipated Results (e.g., learning outcomes)

4. Absolute Priority Addressed: Yes or No; Briefly indicate the institution/s that the applicant is proposing to partner 

with for the purpose of meeting the articulation and transfer model absolute priority. 

5. Competitive Preference Priority Addressed: Yes or No; Briefly describe how it is addressed

6. Invitational Priority Addressed: Yes or No; Briefly describe how it is addressed

The one-page abstract may be single or double spaced. The following format recommendations apply to the abstract:

• A “page” is “8.5x11,” on one side only, with 1” margins.

• Double-space all text in the application project narrative, and single-space titles, headings, footnotes, quotations, 

references and captions.

• Use an easily readable font such as Times New Roman, Courier, Courier New, or Arial.

• Use a 12-point font.

Grants.gov Uploading Requirements:

You must upload any narrative sections and all other attachments to your application as files in a PDF (Portable 

Document) read-only, non-modifiable format. Do not upload an interactive or fillable PDF file. If you upload a file type 

other than a read-only, non-modifiable PDF or submit a password-protected file,

we will not review that material.
63

PART III

Instructions for Completing the Project Narrative Attachment Form

The Project Narrative Attachment Form includes the narrative sections addressing the program selection criteria that 

will be used to evaluate applications submitted for this competition. Before preparing the project narrative, applicants 

should review the Dear Applicant Letter and the NIA for specific guidance and requirements. The project narrative has 

page limit recommendations. 

Recommended Page Limit: We recommend that you (1) limit the application narrative to no more than 55 pages and (2) 

use the following standards:

• A “page” is 8.5" x 11", on one side only, with 1" margins at the top, bottom, and both sides.

• Double space all text in the application narrative, including titles, headings, footnotes, quotations, references, and 

captions. 

• Use a readable 12-point font such as Times New Roman, Courier, Courier New, or Arial. 

The recommended 55 page limit applies only to the application narrative and does not apply to Part I, the cover sheet and 

table of contents; Part II, the budget section, including the narrative budget justification; Part IV, the assurances and 

certifications; or the one-page abstract, the resumes, the bibliography, or the letters of support. 

Selection Criteria:

The Secretary evaluates an application on the basis of the criteria in § 34 CFR 75.210 of the Education Department 

General Administrative Regulations (EDGAR). The maximum score that any application may receive on the selection 

criteria is 110 points. Applicants may receive up to an additional five (5) points, depending on how well the application

meets the competitive preference priorities. The selection criteria and factors for applications in this competition are as 

follows:

(a) Quality of the Project Design. (Maximum 30 points) The Secretary considers the quality of the design of 

the proposed project. In determining the quality of the design of the proposed project, the Secretary considers the 

following factors:

(1) The extent to which the design of the proposed project is appropriate to, and will successfully address, the 

needs of the target population or other identified needs. (Up to 15 points)

(2) The extent to which the proposed project represents an exceptional approach to the priority established for the 

competition. (Up to 5 points)

(3) The extent to which the proposed project demonstrates a rationale (as defined in this notice). (Up to 5 points)

(4) The extent to which the proposed project is supported by promising evidence (as defined in this notice). (Up 

to 5 points)

Note: Applicants may address the “demonstrates a rationale” selection factor through use of a logic model (as defined in 

this notice). To address the “promising evidence” selection factor, applicants should cite the study or studies used to 

address “promising evidence” and attach them as part of the application attachments. In addressing “promising 

evidence,” applicants are encouraged to align the direct student services proposed in this application to evidence-based 

practices identified in the selected study or studies.
64

(b) Quality of Project Services. (Maximum 30 points) The Secretary considers the quality of the services to be 

provided by the proposed project. In determining the quality of the services to be provided by the proposed project, the 

Secretary considers the following factors:

(1) The quality and sufficiency of strategies for ensuring equal access and treatment for eligible project 

participants who are members of groups that have traditionally been underrepresented based on race, national origin, 

gender, age, or disability. (Up to 10 points)

(2) The extent to which services to be provided by the proposed project reflect up-to-date knowledge from 

research and effective practice. (Up to 10 points)

(3) The likely impact of the services to be provided by the proposed project on the intended recipients of those 

services. (Up to 10 points)

(c) Significance. (Maximum 20 points) The Secretary considers the significance of the proposed project. In 

determining the significance of the proposed project, the Secretary considers the following factors:

(1) The potential contribution of the proposed project to increased knowledge or understanding of educational 

problems, issues, or effective strategies. (Up to 5 points)

(2) The likelihood that the proposed project will result in system change or improvement. (Up to 15 points)

(d) Quality of the Management Plan. (Maximum 10 points) The Secretary considers the quality of the 

management plan for the proposed project. In determining the quality of the management plan for the proposed project, 

the Secretary considers the following factors:

(1) The adequacy of the management plan to achieve the objectives of the proposed project on time and within 

budget, including clearly defined responsibilities, timelines, and milestones for accomplishing project tasks. (Up to 5 

points)

(2) The extent to which the time commitments of the project director and principal investigator and other key 

personnel are appropriate and adequate to meet the objectives of the proposed project. (Up to 5 points)

(e) Quality of the Project Evaluation. (Maximum 20 points) The Secretary considers the quality of the 

evaluation to be conducted of the proposed project. In determining the quality of the evaluation, the Secretary considers 

the following factors:

(1) The extent to which the goals, objectives, and outcomes to be achieved by the proposed project are clearly 

specified and measurable. (Up to 5 points)

(2) The extent to which the methods of evaluation are thorough, feasible, and appropriate to the goals, objectives, 

and outcomes of the proposed project. (Up to 5 points)

(3) The extent to which the methods of evaluation will, if well-implemented, produce evidence about the 

project’s effectiveness that would meet the What Works Clearinghouse Evidence Standards with reservations. (Up to 10 

points)

Grants.gov Uploading Requirements:

You must upload any narrative sections and all other attachments to your application as files in a PDF (Portable 

Document) read-only, non-modifiable format. Do not upload an interactive or fillable PDF file. If you upload a file type 

other than a read-only, non-modifiable PDF or submit a password-protected file, we will not review that material.
65

PART III

Instructions for Other Attachments Form

The Other Attachments Form is where you attach the Curriculum Vitae (CV) of project personnel/participants, letters of 

commitment and support from all members of the consortium, business information that you consider proprietary, and the 

bibliography, if applicable. 

Note: 

 It is recommended that the CV be no more than three (3) pages. 

 Attach all CV of project personnel/participants as a single document.

 Attach all letters of commitment and support as a single document.

 Attach the bibliography as a single document.

Grants.gov Uploading Requirements:

You must upload any narrative sections and all other attachments to your application as files in a PDF (Portable 

Document) read-only, non-modifiable format. Do not upload an interactive or fillable PDF file. If you upload a file type 

other than a read-only, non-modifiable PDF or submit a password-protected file, we will not review that material.
66

PART IV

Assurances and Certifications

Please read the instructions carefully in the following pages before preparing and submitting your application. Complete 

the Assurances and Certifications below:

Assurances and Certifications

• GEPA Section 427 Requirement

• Instructions for Disclosure of Lobbying Activities (SF-LLL)

• Grants.gov Lobbying Form (ED form 80-0013)

*All attachments must be in a .PDF format only. Other types of files will not be accepted.*

Grants.gov Uploading Requirements:

You must upload any narrative sections and all other attachments to your application as files in a PDF (Portable 

Document) read-only, non-modifiable format. Do not upload an interactive or fillable PDF file. If you upload a file type 

other than a read-only, non-modifiable PDF or submit a password-protected file, we will not review that material. 
67

PART IV

General Education Provisions Act (GEPA) Section 427

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

NOTICE TO ALL APPLICANTS

The purpose of this enclosure is to inform you about 

the following provision in the Department of 

Education's General Education Provisions Act 

(GEPA) that applies to applicants for new grant 

awards under Department programs. This provision is 

Section 427 of GEPA, enacted as part of the Improving 

America's Schools Act of 1994 (Public Law (P.L.) 

103-382).

To Whom Does This Provision Apply?

Section 427 of GEPA affects applicants for new grant 

awards under this program. ALL APPLICANTS 

FOR NEW AWARDS MUST INCLUDE 

INFORMATION IN THEIR APPLICATIONS TO 

ADDRESS THIS NEW PROVISION IN ORDER 

TO RECEIVE FUNDING UNDER THIS 

PROGRAM.

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

State needs to provide this description only for 

projects or activities that it carries out with funds 

reserved for State-level uses. In addition, local school 

districts or other eligible applicants that apply to the 

State for funding need to provide this description in 

their applications to the State for funding. The State 

would be responsible for ensuring that the school 

district or other local entity has submitted a sufficient 

section 427 statement as described below.)

What Does This Provision Require?

Section 427 requires each applicant for funds (other 

than an individual person) to include in its application 

a description of the steps the applicant proposes to take 

to ensure equitable access to, and participation in, its 

Federally-assisted program for students, teachers, and 

other program beneficiaries with special needs. This 

provision allows applicants discretion in developing 

the required description. The statute highlights six 

types of barriers that can impede equitable access or 

participation: gender, race, national origin, color, 

disability, or age. Based on local circumstances, you 

should determine whether these or other barriers may 

prevent your students, teachers, etc. from such access 

or participation in, the Federally-funded project or 

activity. The description in your application of steps 

to be taken to overcome these barriers need not be 

lengthy; you may provide a clear and succinct 

description of how you plan to address those barriers 

that are applicable to your circumstances. In addition, 

the information may be provided in a single narrative, 

or, if appropriate, may be discussed in connection with 

related topics in the application.

Section 427 is not intended to duplicate the 

requirements of civil rights statutes, but rather to 

ensure that, in designing their projects, applicants for 

Federal funds address equity concerns that may affect 

the ability of certain potential beneficiaries to fully 

participate in the project and to achieve to high 

standards. Consistent with program requirements and 

its approved application, an applicant may use the 

Federal funds awarded to it to eliminate barriers it 

identifies.

What are Examples of How an Applicant Might 

Satisfy the Requirement of This Provision?

The following examples may help illustrate how an 

applicant may comply with Section 427.

(1) An applicant that proposes to carry out an 

adult literacy project serving, among others, 

adults with limited English proficiency, might 

describe in its application how it intends to 

distribute a brochure about the proposed project 

to such potential participants in their native 

language.

(2) An applicant that proposes to develop 

instructional materials for classroom use might 

describe how it will make the materials available 

on audio tape or in braille for students who are 

blind.

(3) An applicant that proposes to carry out a 

model science program for secondary students 

and is concerned that girls may be less likely than 

boys to enroll in the course, might indicate how it 

intends to conduct "outreach" efforts to girls, to 

encourage their enrollment.

(4) An applicant that proposes a project to 

increase school safety might describe the special 

efforts it will take to address concern of lesbian, 

gay, bisexual, and transgender students, and 

efforts to reach out to and involve the families of 

LGBT students

We recognize that many applicants may already be 

implementing effective steps to ensure equity of 

access and participation in their grant programs, and 

we appreciate your cooperation in responding to the 

requirements of this provision.
 Estimated Burden Statement for GEPA Requirements

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

information unless such collection displays a valid OMB control number. Public reporting burden for 

this collection of information is estimated to average 1.5 hours per response, including time for 

reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and 

completing and reviewing the collection of information. The obligation to respond to this collection 

is required to obtain or retain benefit (Public Law 103-382. Send comments regarding the burden estimate 

or any other aspect of this collection of information, including suggestions for reducing this burden, 

to the U.S. Department of Education, 400 Maryland Ave., SW, Washington, DC 20210-4537 or email 

ICDocketMgr@ed.gov and reference the OMB Control Number 1894-0005. 

68
Part IV

Instructions for Disclosure of Lobbying Activities (SF-LLL)

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.

69
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.

70
X. ADDITIONAL INFORMATION

EXECUTIVE ORDER 12372

Intergovernmental Review of Federal Programs

This program falls under the rubric of Executive Order 12372 (Intergovernmental Review of 

Federal Programs) and the regulations in 34 CFR Part 79. One of the objectives of the Executive 

Order is to strengthen federalism--or the distribution of responsibility between localities, States, 

and the Federal government--by fostering intergovernmental partnerships. This idea includes 

supporting processes that State or local governments have devised for coordinating and reviewing 

proposed Federal financial grant applications.

The process for doing this requires grant applicants to contact State Single Points of Contact for 

information on how this works. Multi-state applicants should follow procedures specific to each 

state. 

Further information about the State Single Point of Contact process and a list of names by State 

can be found at: http://www.whitehouse.gov/omb/grants_spoc.

Absent specific State review programs, applicants may submit comments directly to the 

Department. All recommendations and comments must be mailed or hand-delivered by the date 

indicated in the actual application notice to the following address: The Secretary, EO 12372--

CFDA# [commenter must insert number--including suffix letter, if any], U.S. Department of 

Education, room 7E200, 400 Maryland Avenue, SW., Washington, DC 20202.

Proof of mailing will be determined on the same basis as applications (see 34 CFR §75.102). 

Recommendations or comments may be hand-delivered until 4:30 p.m. (Eastern Time) on the 

closing date indicated in this notice.

Important note: The above address is not the same address as the one to which the applicant 

submits its completed applications. Do not send applications to the above address.

71
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. Public 

reporting burden for this collection of information is estimated to average 30 hours per response, 

including time for reviewing instructions, searching existing data sources, gathering and maintaining 

the data needed, and completing and reviewing the collection of information. The obligation to 

respond to this collection is required to obtain or retain benefit (Title III, Part F, Section 371 of the 

Higher Education Act of 1965, as amended). Send comments regarding the burden estimate or any 

other aspect of this collection of information, including suggestions for reducing this burden, to 

regulations.gov during the public comment period for this collection of information. If you have 

specific questions about the form, instrument or survey, please contact Institutional Service, U.S. 

Department of Education, 400 Maryland Ave, SW, Washington, DC 20202 or www.ed.gov/hsi.

72
XI. APPLICATION CHECKLIST

Use This Checklist While Preparing Your Application Package: 

All items listed on this checklist are required.

Part I:

 Application for Federal Assistance (SF 424)

 Department of Education Supplemental Information for SF 424 

Part II

 Department of Education Budget Information Non-Construction Programs Form (ED 

524)

Part III:

 One-Page Project Abstract – Attached to the “ED Abstract Form” in Grants.gov

 Project Narrative – Attached to the “Project Narrative Attachment Form” in Grants.gov

 Budget Narrative – Attached to the “Budget Narrative Attachment Form” in Grants.gov

 Additional Appendices, if applicable – Attached to the “Other Attachments Form” in 

Grants.gov

Part IV:

 Assurances and Certifications – found in Grants.gov 

 GEPA Section 427 Requirement

 Disclosure of Lobbying Activities (SF-LLL)

 Grants.gov Lobbying Form (ED 80-0013)

NOTE: Please do not attach any miscellaneous narratives, supporting files, or application 

components to the standard forms (SF Forms) within Grants.gov. Although the forms accept 

optional attachments, please do not upload attachments there. If you deem it necessary, you may 

upload miscellaneous attachments to “Other Attachments Form,” but be mindful that uploaded 

information that is not required in the Notice may not be reviewed. 

73