U.S. DEPARTMENT OF EDUCATION

Office of Postsecondary Education

Washington, DC 20202

Fiscal Year 2022

APPLICATION FOR GRANTS UNDER THE

HISTORICALLY BLACK COLLEGES AND UNIVERSITIES (HBCU) PROGRAMS

FOR

TITLE III, PART B AND PART F

(CFDA NUMBERS: 84.031B and 84.031E)

Form Approved: OMB No. 1840-0113

Expires: XX/XX/XXXX
FY 2022 HBCU and FUTURE Act Application – 2 

TABLE OF CONTENTS

Paperwork Burden Statement ..........................................................................................................3 

Dear Applicant Letter ......................................................................................................................4 

FY 2022 Application Highlights ......................................................................................................5 

Authorizing Legislation ...................................................................................................................8 

Supplemental Information ...............................................................................................................9 

Intergovernmental Review: Executive Order 12372 ....................................................................10 

General Education Provisions Act (GEPA) Section 427 ...............................................................11 

Government Performance and Results Act (GPRA) .....................................................................13 

Section I – Phase I Data Worksheet...... .......................................................................................15 

Important Dates to Remember .......................................................................................................17 

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

G5 e-Application Submission Procedures and Tips for Applicants ..............................................20 

Application Transmittal Instructions .............................................................................................23 

Instructions for the SF-424 ............................................................................................................25 

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

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

Instructions for ED 524 ..................................................................................................................35 

Instructions for Completion of SF-LLL, Disclosure of Lobbying Activities ................................39 
FY 2022 HBCU and FUTURE Act Application – 3 

PAPERWORK BURDEN STATEMENT

According to the Paperwork Reduction Act of 1995, no persons are required to respond to a 

collection of information unless such collection displays a valid OMB control number. The valid 

OMB control number for this information collection is 1840-0113. Public reporting burden for 

this collection of information is estimated to average 28 hours per response, including time for 

reviewing instructions, searching existing data sources, gathering, and maintaining the data 

needed, and completing and reviewing the collection of information. The obligation to respond 

to this collection is required (under 34 CFR §608.3) to obtain or retain benefit (under Section 

322(2) of the Higher Education Act of 1965, as amended (HEA)). If you have comments or 

concerns regarding the status of your individual submission of this application, please contact 

Institutional Service, Office of Postsecondary Education, U.S. Department of Education, 400 

Maryland Ave SW, Washington, D.C. 20202 directly. [Note: Please do not return the completed 

application to this address.]
FY 2022 HBCU and FUTURE Act Application – 4 

DEAR APPLICANT LETTER

UNITED STATES DEPARTMENT OF EDUCATION

OFFICE OF POSTSECONDARY EDUCATION

Dear Applicant:

Thank you for your interest in applying for a new grant under the Title III Strengthening Historically 

Black Colleges and Universities (HBCU) Programs. The HBCU Programs provide grants to institutions 

of higher education legally designated as a historically Black college or university (Section 322(2) of the 

Higher Education Act of 1965, as amended (HEA)). The purpose of the HBCU grant programs, Title III, 

Part B and Part F, is to assist institutions in strengthening their academic, administrative, and fiscal 

capabilities as authorized under the HEA. Additional information about the legislation or regulations 

governing the HBCU Programs can be accessed from the following website:

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

The fiscal year (FY) 2022 application package is for new awards under HBCU-Part B grants. The 

specifics regarding this year’s application procedures are contained within the application package. 

Applicants are encouraged to review the FY 2022 Application Highlights found in the application 

package for an overview of important items. Please note there are two deadlines for submitting 

information:

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

• Phase II, the HBCU applicants will develop a Comprehensive Development Plan (CDP), which 

must be submitted by TBD. 

If you have any questions or require additional information, please contact Wendy Lawrence by email

(Wendy.Lawrence@ed.gov) or telephone (202-453-7821). 

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

Sincerely,

Vicki Robinson, Ed.D.

Director,

Historically Black Colleges and Universities Division

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

www.ed.gov

The Department of Education’s mission is to promote student achievement and preparation for global competitiveness by fostering educational excellence and ensuring equal access.
FY 2022 HBCU and FUTURE Act Application – 5 

FY 2022 APPLICATION HIGHLIGHTS 

The duration of the new grant period is five years and shall begin on October 1, 2022, and end on 

September 30, 2027. Funds are awarded to eligible institutions as discretionary or mandatory 

grants, with appropriated amounts determined by a formula calculation, based on three figures 

provided to the U.S. Department of Education (Department) annually by each eligible institution: 

1. The number of Pell Grant recipients in the most recent academic year, as a proportion of 

the total number of such recipients at all eligible institutions (50 percent weight); 

2. The number of graduates in the most recent academic year, as a proportion of the total 

number of graduates at all eligible institutions (25 percent weight); and 

3. The proportion of graduates for the past five years that have gone on to graduate or 

professional schools, in degree programs in disciplines in which Blacks are 

underrepresented, divided by the aggregate proportion across all eligible institutions (25 

percent weight). 

In addition, two minima are established. If the amount determined by the formula is greater than

$250,000 but less than $500,000, the institution is awarded $500,000, and if the amount 

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

The Application Package is divided into two parts, Phase I and Phase II. Phase I is the individual 

institution data collection, which is required to calculate awards for both the HBCU Programs, 

Part B (discretionary) and Part F (mandatory) funding. Phase II is the Comprehensive 

Development Plan (CDP) that addresses the funding. You will find information regarding what 

goes into the CDP further in this document. Additionally, the CDP should include a one-page 

project abstract. 

The legislative allowable activities for the Title III, Part B (CFDA: 84.031B), Strengthening 

Historically Black Colleges and Universities Sections 321-327 of the Higher Education Act, as 

amended (20 U.S.C. 1060-1063c) are as follows:

§1062. Grants to institutions 

(a) General authorization; uses of funds

From amounts available under section 1068h(a)(2) of this title for any fiscal year, the 

Secretary shall make grants (under section 1063 of this title) to institutions which have 

applications approved by the Secretary (under section 1063a of this title) for any of the 

following uses: 

(1) Purchase, rental, or lease of scientific or laboratory equipment for educational 

purposes, including instructional and research purposes. 

(2) Construction, maintenance, renovation, and improvement in classroom, library, 

laboratory, and other instructional facilities, including purchase or rental of 

telecommunications technology equipment or services. 

(3) Support of faculty exchanges, and faculty development and faculty fellowships to 

assist in attaining advanced degrees in their field of instruction.

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

underrepresented. 
FY 2022 HBCU and FUTURE Act Application – 6

(5) Purchase of library books, periodicals, microfilm, and other educational materials, 

including telecommunications program materials.

(6) Tutoring, counseling, and student service programs designed to improve academic 

success.

(7) Funds and administrative management, and acquisition of equipment for use in 

strengthening funds management.

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

(9) Establishing or improving a development office to strengthen or improve 

contributions from alumni and the private sector.

(10) Establishing or enhancing a program of teacher education designed to qualify 

students to teach in a public elementary or secondary school in the State that shall 

include, as part of such program, preparation for teacher certification.

(11) Establishing community outreach programs which will encourage elementary and 

secondary students to develop the academic skills and the interest to pursue 

postsecondary education.

(12) Acquisition of real property in connection with the construction, renovation, or 

addition to or improvement of campus facilities.

(13) Education or financial information designed to improve the financial literacy and 

economic literacy of students or the students' families, especially with regard to 

student indebtedness and student assistance programs under subchapter IV of this 

chapter and part C of subchapter I of chapter 34 of title 42.

(14) Services necessary for the implementation of projects or activities that are 

described in the grant application and that are approved, in advance, by the 

Secretary, except that not more than two percent of the grant amount may be used 

for this purpose.

(15) Other activities proposed in the application submitted pursuant to section 1063a 

of this title that—

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

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

application.

(b) Endowment fund

(1) In general

An institution may use not more than 20 percent of the grant funds provided under 

this part to establish or increase an endowment fund at the institution.

(2) Matching requirement

In order to be eligible to use grant funds in accordance with paragraph (1), the 

eligible institution shall provide matching funds from non-Federal sources, in an 

amount equal to or greater than the Federal funds used in accordance with 

paragraph (1), for the establishment or increase of the endowment fund.

(3) Comparability

The provisions of part C of this subchapter regarding the establishment or 

increase of an endowment fund, that the Secretary determines are not inconsistent 

with this subsection, shall apply to funds used under paragraph (1).

(c) Limitations

(1) No grant may be made under this chapter and part C of subchapter I of chapter 34 

of title 42 for any educational program, activity, or service related to sectarian 

instruction or religious worship, or provided by a school or department of 

divinity. For the purpose of this subsection, the term "school or department of 

divinity" means an institution whose program is specifically for the education of 
FY 2022 HBCU and FUTURE Act Application – 7 

students to prepare them to become ministers of religion or to enter upon some 

other religious vocation, or to prepare them to teach theological subjects.

(2) Not more than 50 percent of the allotment of any institution may be available for 

the purpose of constructing or maintaining a classroom, library, laboratory, or 

other instructional facility.

The legislative allowable activities for the Title III, Part F (CFDA: 84.031E), Strengthening 

Historically Black Colleges and Universities Section 371 of the Higher Education Act, as 

amended (20 U.S.C. 1067q) are as follows:

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

institutions 

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

From the amount made available for allocation under this subparagraph by subparagraph (A)(ii) 

for any fiscal year- 

(i) 85 percent shall be available to eligible institutions described in subsection (a)(1) and 

shall be made available as grants under section 1062 of this title and allotted among such 

institutions under section 1063 of this title, treating such amount, plus the amount 

appropriated for such fiscal year in a regular or supplemental appropriation Act to carry 

out part B of this subchapter, as the amount appropriated to carry out part B of this 

subchapter for purposes of allotments under section 1063 of this title, for use by such 

institutions with a priority for- 

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

of this title: 

(1) Purchase, rental, or lease of scientific or laboratory equipment for 

educational purposes, including instructional and research purposes.

(2) Construction, maintenance, renovation, and improvement in classroom, 

library, laboratory, and other instructional facilities, including purchase or 

rental of telecommunications technology equipment or services. 

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

underrepresented. 

(5) Purchase of library books, periodicals, microfilm, and other educational 

materials, including telecommunications program materials.

(10) Establishing or enhancing a program of teacher education designed to 

qualify students to teach in a public elementary or secondary school in the 

State that shall include, as part of such program, preparation for teacher 

certification; and

(II) other activities, consistent with the institution's comprehensive plan and 

designed to increase the institution's capacity to prepare students for careers in the 

physical or natural sciences, mathematics, computer science or information 

technology or sciences, engineering, language instruction in the less-commonly 

taught languages or international affairs, or nursing or allied health professions. 
FY 2022 HBCU and FUTURE Act Application – 8 

AUTHORIZING LEGISLATION

During a new grant cycle, institutions submitting applications for the HBCU grant programs are 

required to submit a Comprehensive Development Plan (CDP) in accordance with Title III 34

CFR §608.21. The CDP is detailed in the Phase II process outlined further in the application. 

The HBCU Legislation, Regulations, and Guidance can be accessed from the following websites:

Strengthening HBCU Legislation, Regulations, and Guidance

Legislation

• Higher Education Act of 1965, as amended (HEA); Strengthening HBCUs; Title III, Part 

B, Sections 321-327 of the HEA (20 U.S.C. 1060-1063c) 

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

Regulations

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

• Education Department General Administrative Regulations (EDGAR) in 34 CFR Parts §§ 

75.1-75.104, 75.125-75.129, 75.190-75.192, 75.230-75.261, 75.500, 75.510-75.519, 75.524-

75.534, 75.580-75.903, and 75.910; 77, 79, 82, 86 

• Title 2 CFR Part 200 (Uniform Administrative Requirements, Cost Principles, and Audit 

Requirements for Federal Awards), as adopted at 2 CFR Part 3474

Guidance

• Office of Management and Budget (OMB) Grants Management Circulars
FY 2022 HBCU and FUTURE Act Application – 9 

SUPPLEMENTAL INFORMATION

1. Appendices to Applications

Please limit the appendices to the following:

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

b. Position descriptions for proposed key personnel positions. 

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

When you receive a new grant award under Title III, Part B or Part F, you are required to submit 

an interim (first six months of your project) performance report. You are also required to submit 

annual performance reports for each year during the funding cycle (including any time

extensions) using the Institutional Service Annual Performance Report website for Title III and

Title V Grantees. This online system collects narratives and data about funded projects, to 

enable Department program officers to determine if a grantee is making substantial progress 

toward meeting approved project objectives. The annual performance report used for this 

program can be found at https://hepis.ed.gov/main. 

Contact Information:

Vicki Robinson, Ed.D. Or

Director of the HBCU Division 

Institutional Service

Office of Postsecondary Education 

U.S. Department of Education 

400 Maryland Avenue, S.W., 

LBJ-HEP-2B136

Washington, D.C. 20202 

Telephone: (202) 453-7907 

Email: Vicki.Robinson@ed.gov 

Wendy B. Lawrence, M. Ed. 

Program Manager for the HBCU Programs

Institutional Service

Office of Postsecondary Education

U.S. Department of Education

400 Maryland Avenue, S.W., 

LBJ-HEP-2C206 

Washington, D.C. 20202 

Telephone: (202) 453-7821 

Email: Wendy.Lawrence@ed.gov
FY 2022 HBCU and FUTURE Act Application – 10 

INTERGOVERNMENTAL REVIEW OF FEDERAL PROGRAMS

EXECUTIVE ORDER 12372

This program falls under the rubric of Executive Order 12372 (Intergovernmental Review of 

Federal Programs) and the regulations in 34 CFR Part 79. One of the objectives of the Executive 

order is to strengthen federalism--or the distribution of responsibility between localities, States, 

and the Federal government--by fostering intergovernmental partnerships. This idea includes 

supporting processes that State or local governments have devised for coordinating and 

reviewing proposed Federal financial grant applications.

The process for doing this requires grant applicants to contact State Single Points of Contact for 

information on how this works. Multi-state applicants should follow procedures specific to each 

state. Further information about the State Single Point of Contact process and a list of names by 

State can be found at: 

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

For State review programs, applicants may submit comments directly to the Department. All 

recommendations and comments must be mailed or hand-delivered by the date indicated in the 

actual application notice to the following address: The Secretary, EO 12372--CFDA# 84.031B, 

U.S. Department of Education, Room 7E200, 400 Maryland Avenue, SW, Washington, DC 

20202. 

Proof of mailing will be determined on the same basis as applications (see 34 CFR §75.102). 

Recommendations or comments may be hand-delivered until 11:59:59 p.m.. (Eastern Standard 

Time) on the closing date indicated in this notice. 

Important note: The above address is not the same address as the one to which the 

applicant submits its completed applications. Do not send applications to the above 

address.
FY 2022 HBCU and FUTURE Act Application – 11 

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

GENERAL EDUCATION PROVISIONS ACT (GEPA)

SECTION 427

NOTICE TO ALL APPLICANTS

The purpose of this enclosure is to inform you 

about the following provision in the Department 

of Education's General Education Provisions Act 

(GEPA) that applies to applicants for new grant 

awards under Department programs. This 

provision is Section 427 of GEPA, enacted as part 

of the Improving America's Schools Act of 1994 

(Public Law (P.L.) 103-382). 

To Whom Does This Provision Apply?

Section 427 of GEPA affects applicants for new 

grant awards under this program. ALL 

APPLICANTS FOR NEW AWARDS MUST 

INCLUDE INFORMATION IN THEIR 

APPLICATIONS TO ADDRESS THIS NEW 

PROVISION IN ORDER TO RECEIVE 

FUNDING UNDER THIS PROGRAM.

(If this program is a State-formula grant program, 

a State needs to provide this description only for 

projects or activities that it carries out with funds 

reserved for State-level uses. In addition, local 

school districts or other eligible applicants that 

apply to the State for funding need to provide this 

description in their applications to the State for 

funding. The State would be responsible for 

ensuring that the school district or other local 

entity has submitted a sufficient section 427 

statement as described below.)

What Does This Provision Require?

Section 427 requires each applicant for funds 

(other than an individual person) to include in its 

application a description of the steps the applicant 

proposes to take to ensure equitable access to, and 

participation in, its Federally assisted program for 

students, teachers, and other program 

beneficiaries with special needs. This provision 

allows applicants discretion in developing the 

required description. The statute highlights six 

types of barriers that can impede equitable access 

or participation: gender, race, national origin, 

color, disability, or age. Based on local 

circumstances, you should determine whether 

these or other barriers may prevent your students, 

teachers, etc. from such access or participation in, 

the Federally funded project or activity. The 

description in your application of steps to be 

taken to overcome these barriers need not be 

lengthy; you may provide a clear and succinct 

description of how you plan to address those 

barriers that are applicable to your circumstances. 

In addition, the information may be provided in a 

single narrative, or, if appropriate, may be 

discussed in connection with related topics in the 

application.

Section 427 is not intended to duplicate the 

requirements of civil rights statutes, but rather to 

ensure that, in designing their projects, applicants 

for Federal funds address equity concerns that 

may affect the ability of certain potential 

beneficiaries to fully participate in the project and 

to achieve to high standards. Consistent with 

program requirements and its approved 

application, an applicant may use the Federal 

funds awarded to it to eliminate barriers it 

identifies.

What are Examples of How an Applicant 

Might Satisfy the Requirement of This 

Provision?

The following examples may help illustrate how 

an applicant may comply with Section 427.

(1) An applicant that proposes to carry out an 

adult literacy project serving, among others, 

adults with limited English proficiency, 

might describe in its application how it 

intends to distribute a brochure about the 

proposed project to such potential 

participants in their native language.
FY 2022 HBCU and FUTURE Act Application – 12

(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.
FY 2022 HBCU and FUTURE Act Application – 13

GOVERNMENT PERFORMANCE AND RESULTS ACT (GPRA)

What is GPRA?

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

requires all federal agencies to manage their activities with attention to the consequences of those 

activities. Each agency is to clearly state what it intends to accomplish, identify the resources 

required, and periodically report their progress to the Congress. In so doing, it is expected that 

the GPRA will contribute to improvements in accountability for the expenditures of public funds, 

improve Congressional decision-making through more objective information on the effectiveness 

of federal programs, and promote a new government focus on results, service delivery, and 

customer satisfaction.

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

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

This plan reflects the Department’s priorities and integrates them with its mission and program 

authorities and describes how the Department will work to improve education for all children 

and adults in the U.S. The Department’s goals, as listed in the plan, are:

• Goal 1: Support state and local efforts to improve learning outcomes for all P-12 

students in every community. 

• Goal 2: Expand postsecondary educational opportunities, improve outcomes to foster 

economic opportunity and promote an informed thoughtful and productive citizenry.

• Goal 3: Strengthen the quality, access, and use of federal data through better 

management, increased primary protections and transparency. 

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

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

The performance indicators for the Title III, Part B program are in alignment with the 

Department’s Goal 2: Expand postsecondary educational opportunities, improve outcomes to 

foster economic opportunity and promote an informed thoughtful and productive citizenry. 

Program Goal: To improve the capacity of minority-serving institutions, which 

traditionally have limited resources and serve large numbers of lowincome and minority students, to improve student success and to provide 

high-quality educational opportunities for their students.
FY 2022 HBCU and FUTURE Act Application – 14

HBCU Program GPRA Measures

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

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

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

Measure 2.1: The percentage of full-time undergraduate students in their first year of 

postsecondary enrollment within the previous year and are enrolled in the current year at the 

same HBCU institution. 

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

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

Measure 3.2: The percentage of first-time, full-time degree-seeking undergraduate students 

enrolled at four-year Historically Black Colleges and Universities who graduate within six years 

of enrollment.

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

met?

An applicant that receives a grant award will be required to submit annual progress reports and a 

final report as a condition of the award. The reports will document the extent to which project 

goals and objectives are met. 

The most recent version of this program’s annual performance report can be viewed at the 

Institutional Service Annual Performance Report Web Site: https://hepis.ed.gov/. 
FY 2022 HBCU and FUTURE Act Application – 15

OMB No. 1840-0113

Expiration Date: XX/XX/20XX 

FY 2022 HBCU Phase I Data Worksheet Page 1 of 2

THIS WORKSHEET WAS PREVIOUSLY SUBMITTED, PROCEED TO SECTION II

SECTION I

PHASE I – DATA WORKSHEET (FY INSERT)

HISTORICALLY BLACK COLLEGES AND UNIVERSITIES (HBCU) PROGRAMS

For the Department to determine the level of funding for an institution, the information below is

required. Please refer to the program regulations 34 CFR – Section §608.31 for additional 

information. 

NOTE: This form must be submitted as part of your initial application as well as annually during 

your approved grant cycle. Be sure to use this form and this form ONLY when submitting your 

Phase I data. The Department will not accept any other versions of this form. The data will be 

used to formulate your fiscal year (FY) 2022 Title III, Part B (HBCU), and Part F (FUTURE Act)

award allocations.

NAME OF INSTITUTION: 

CITY: STATE: 

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

and C. 

OMB No. 1840-0113

YEAR OF GRADUATION 

FROM 

UNDERGRADUATE 

SCHOOL

TOTAL NUMBER OF 

GRADUATES IN THE 

UNDERGRADUATE 

CLASS (Associate or 

Baccalaureate Degree)

STUDENTS ADMITTED TO 

AND IN ATTENDANCE AT 

A GRADUATE OR 

PROFESSIONAL SCHOOL 

IN A DEGREE PROGRAM 

IN DISCIPLINES IN 

WHICH BLACKS ARE 

UNDERREPRESENTED

(A) (B) (C)

Year 1 - 2017 

Year 2 - 2018

Year 3 - 2019

Year 4 - 2020

Year 5 -2021

TOTALS
FY 2022 HBCU and FUTURE Act Application – 16

Expiration Date: XX/XX/20XX 

FY 2022 HBCU Phase I Data Worksheet Page 2 of 2

PHASE I FORMULA GRANT DATA WORKSHEET (FY 2022)

(1) Number of Pell Grant recipients attending the applicant institution during the school year 

immediately preceding the beginning of the fiscal year in which the applicant applies for a grant (July

1, 2020 – June 30, 2021).

(1) _______________________

(2) Number of graduates of the applicant institution during the school year immediately preceding the

beginning of the fiscal year in which the applicant applies for a grant. The total from Year 5, Column 

B (July 1, 2020 – June 30, 2021) is provided below. Part 34 CFR §608.4 defines “graduates” as a 

student who has attended an institution for at least three semesters and fulfilled academic 

requirements for undergraduate studies in not more than five consecutive school years.

(2) _______________________

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

that it is correct.

(3) _______________________

(4) The total from Column C (Total for July 1, 2017 – June 30, 2021) is provided below. Do not count a 

student attending graduate school for more than one reporting year. Please verify that it is correct.

(4) _______________________

PLEASE USE THE FORMULA ABOVE TO CALCULATE THE TOTALS FOR ITEMS 3 AND 4. ALSO, AS

A CHECKPOINT, THE TOTAL IN ITEM 3 SHOULD BE LARGER THAN THE TOTAL IN ITEM 4. SEE

SECTION 608.31(B)(1).

I DO ATTEST TO THE ACCURACY OF THE DATA PROVIDED WITHIN THIS FORM.

President/Chancellor Name (print): 

President/Chancellor Signature: 

Date:

WARNING: ANY PERSON WHO KNOWINGLY MAKES A FALSE STATEMENT OR MISREPRESENTATION ON THIS 

FORM IS SUBJECT TO PENALTIES, WHICH MAY INCLUDE FINES, IMPRISONMENT, OR BOTH, UNDER THE UNITED

STATES CRIMINAL CODE AND 20 U.S.C. 1097.
FY 2022 HBCU and FUTURE Act Application – 17

IMPORTANT DATES TO REMEMBER 

HISTORICALLY BLACK COLLEGES AND UNIVERSITIES (HBCU) PROGRAMS 

FY 2022 Calendar for Phase I and Phase II Data

Dates Activities

TBD Phase I Data Due

TBD Department will review and approve awards. 

TBD Award letters sent to institutions via email.

TBD Phase II Due

September 1 –

October 30, 2022 Program Specialists review submitted applications and budgets. 

October 1, 2022 Funds are available in G5.
FY 2022 HBCU and FUTURE Act Application – 18

SECTION II

PHASE II – COMPREHENSIVE DEVELOPMENT PLAN (CDP) 

INSTRUCTIONS

Formatting

A “page” is “8.5 x 11,” on one side only, with 1” margins at the top, bottom, and both sides. 

Page numbers and an identifier may be within the 1” margin. Double-space all text in the 

application, including titles and headings. All text in charts, tables, graphs, footnotes, quotations, 

references, and captions may be single-spaced. Applicants may use one of the following fonts: 

Times New Roman, Courier, Courier New, or Arial, only. Applications submitted in any other 

font (including Times Roman Narrow and Arial Narrow) will not be accepted. Do not use 

anything smaller than a 12-point font.

The Secretary evaluates an application based on the applicant’s responses to the elements of the 

Comprehensive Development Plan (CDP) as defined in 34 CFR 608.21. To facilitate the review 

and approval of the application, the applicants CDP must clearly describe an institution’s 

strategy for achieving growth and self-sufficiency by strengthening its financial management and 

academic programs. The CDP must include the following: 

(1) An assessment of the strengths and weaknesses of the institution's financial management 

and academic programs. 

(2) A delineation of the institution's goals for its financial management and academic 

programs, based on the outcomes of the assessment described in paragraph (b)(1) of the 

§608.21. 

(3) A listing of measurable objectives designed to assist the institution to reach each goal 

with accompanying timeframes for achieving the objectives. 

(4) A description of methods, processes, and procedures that will be used by the college or 

university to institutionalize financial management and academic program practices and 

improvements developed under the proposed funded activities. 

(5) Project administration as one of its proposed activities.

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

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

• A PROJECT ABSTRACT – Provide a brief (one page) description that summarizes the 

institution’s proposed activities that it intends to implement over the five-year grant 

cycle. Each activity must be titled using the most relevant title from the list of 

legislatively allowable activities listed under General authorization; uses of funds on 

pages 5-6 of this package. In detail, describe the purpose of each activity. 

• DESCRIBE AND DEFINE OBJECTIVES AND PERFORMANCE INDICATORS 

FOR EACH PROPOSED ACTIVITY – For each proposed activity, applicants must 

state their annual objectives, which, when combined with their performance indicators, 
FY 2022 HBCU and FUTURE Act Application – 19

are specific, measurable, ambitious yet attainable, realistic with accompanying 

timeframes, and designed to assist the institution in achieving the goals developed in the 

plan. 

• DESCRIBE THE IMPLEMENTATION STRATEGY AND TIMETABLE FOR 

EACH PROPOSED ACTIVITY – For each proposed activity, describe, in a 

comprehensive manner, who will do what, how, and when it will be done to meet the 

objectives of each activity. 

• PROVIDE AN INDIVIDUAL ACTIVITY BUDGET & NARRATIVE – For each 

proposed activity, applicants must prepare a separate, detailed itemized budget (in 

dollars) and a budget narrative for each year you are requesting grant funds. 

Demonstrate and justify that all costs are reasonable in today’s market and necessary to 

accomplish your activity objectives. 

• COMPLETE A BUDGET SUMMARY (ED 524) FORM – Provide an itemized 

budget for each of the five years of the project. Applicants need only to provide a 

detailed budget narrative and justification for the award’s first (initial) year of their 

proposed five-year project. 
FY 2022 HBCU and FUTURE Act Application – 20

G5 E-APPLICATION SUBMISSION PROCEDURES AND TIPS FOR 

APPLICANTS

IMPORTANT – PLEASE READ FIRST

U.S. Department of Education

http://www.G5.gov

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

2. Instructions for the SF-424

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

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

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

6. Instructions for ED 524 

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

Register as an Applicant

To facilitate your use of G5 e-Application, this document includes important application 

preparation and submission procedures you need to be aware of to ensure your application is 

received in a timely manner and accepted by the Department of Education. Please read and 

follow these step-by-step directionsto create and submit your application. 

ATTENTION

Applicants using the Department of Education's G5 e-Application system will need to register 

first to access an application package. Forms in an application package are completed online and 

narratives are uploaded while logged into the system. Therefore, allow sufficient time to 

complete your application before the closing date. If you encounter difficulties, you may also 

contact the G5 helpdesk on 1-888- 336-8930. The following are steps you should follow to 

successfully complete an application using G5 e- Application. Please note that there is a training 

module available on the G5 home page (www.G5.gov) that details the registration and G5 

application processes in detail for users new to G5. You can access this module under the Main 

Menu of the homepage and link to Online Training. Look for the training topic G5 for 

Applicants. 

Step 1 – Register in G5 to access the electronic application package. If you are a new user, 

you will need to register to use G5 e-Application. 

• From the G5 Portal Page http://www.G5.gov/, click on the Sign Up button for non-ED 

employees. The User Registration Screen displays.

• Click the button to the right of the ED Employee/ED Contractor field to display the 

employee/contractor options. Select the “no” list option. Enter all required information 

as noted by red asterisks (*).

• Click the continue button to proceed to the user registration agreement. Select the agree 

button to accept the terms of the user agreement, and then the Submit button. Note: If 

you do not agree, then you may not complete the registration process. The system 

displays a message indicating that the system will send a notification to your email

address.

• The system sends a message with a link to activate your account. Clicking the link takes 

you to the Account Activation screen. Click the Agree option to accept the activation

terms.
FY 2022 HBCU and FUTURE Act Application – 21

• Click on the Submit button to initiate your activation. Read the EDCAPS Security

memorandum with the subject “G5 User ID and Password” and click the Continue > 

button. The next Account Activation screen will require you to complete the password, 

security question and security answer. Fill out the required fields and press the Continue 

button to move to the summary information. Click the Activate button to activate your 

account and save your password and security information. The system displays a 

message indicating that the account has been activated. You will now need to log into 

G5 where you will be taken to the My Profile page where you should select your role for 

access. In the Availability Types field, select “Applicant” from the list and Continue. 

Proceed through the next screen and Submit. You will then receive an email with the G5 

link. Your applicant role may take a few minutes to activate.

If you already have a username and password for G5 use them to login. If you have access to 

more than one G5 module, you will be directed to select which module you wish to enter. Keep 

in mind that this username and password will be used for all G5 modules. In order to update 

your registration for additional G5 modules, click the appropriate tab on the top of the screen and 

provide the requested information.

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

Step 2 – Add Application Package to your Start Page. From your Home Page, go to 

Grant Setup and click on “Package Submission.” Select the package for which you wish to 

apply and click on the "Initiate New Application” button. In the future, the package will now 

appear when you click on “Package Submission” or after using the “Click Here to view my 

Applications” link under “Quick View” on your Home Page.

Step 3 – Begin the Application. After going to the Application Package, click on the 

“Modify Application” button. This brings you to a page where you will see all of the 

application's forms and narratives listed.

Step 4 – Fill out Forms. Select the form you would like to complete and click on the

“Edit Form” button to enter data. Remember to click the "Save" button at the bottom of the form 

and check the "Form Completed" box for each form as you complete it.

Step 5 – Upload File(s) for Narrative Responses. When prompted to attach narrative 

documents to application forms, enter the title of the document, and then Select the “Upload” 

button. Next, click on the "Browse" button to locate your file. Remember to click the "Save" 

button after you upload the document and check the "Form Completed" box when you finish 

uploading your file(s) and/or completing the form. Please note for file uploads, we accept .pdf 

files only.

Step 6 – Verify Information/Submit your Application. Verify your information is 

correct and complete before submitting. Only authorized individuals for your organization can 

submit an application. Please check with your certifying official or sponsored research office 

before submission. After all forms are completed, click on the "Continue" button at the bottom 

of your application. Enter and verify the Authorizing Representative information and click the 

"Submit" button. At the top of the page, you will see a confirmation message stating that your 

application was successfully submitted and providing you with your application number. You 

will also receive an e-mail to confirm that your application was received, and it will include your 

application number. Please print and keep this e-mail for your records. [Reminder: applications

must be submitted before 11:59:59 p.m. (Eastern Standard Time) on the deadline date for 
FY 2022 HBCU and FUTURE Act Application – 22

applications. G5 e-Application will not accept your application if you try to submit it after 

11:59:59 p.m. (Eastern Standard Time) on the deadline date.

Step 7 – Printing Your Completed Application. You have the option to print each 

form at any time by clicking on the “View Form” button after selecting the appropriate form to 

print. After submission of your application, you have the option to print a complete eApplication package in PDF. From the Application Packages tab, you will notice that your 

application status has changed from Draft to Submitted. To locate the PDF of your application, 

select the package radio button and click the “Modify Application” button. Then select the 

“Click Here to view the PDF Package” in the upper right-hand corner of the page under the 

Package Information section.

Step 8 – SF 424 Cover Page (or Program Specific Cover Page) must be signed and 

uploaded in G5. Write your unique application number (received in step 8) on the upper right 

corner of your printed SF 424 Cover Page (or Program Specific Cover Page) and upload it as an 

attachment to the Application in G5. 

NOTE: For more detailed information on submitting an e-Application, please see the User 

Guide. The Online Training can be found under the main menu at http://www.G5.gov.

Attaching Files – Additional Tips

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

1. Ensure that you only attach the Education approved file type detailed in the 

FederalRegister application notice (read-only, non-modifiable .PDF files only). 

Also, do not upload any password protected files to your application. 

2. When attaching files, applicants should limit the size of their file names. Lengthy 

file names could result in difficulties with opening and processing your 

application. We recommend you keep your file names to less than 50 characters.

3. PLEASE DO NOT USE SPECIAL/NON-ENGLISH CHARACTERS IN 

ANY FORM OR DOCUMENT (for example, %, *, /, etc.). Foreign 

characters or symbols includes words spelled with anon- English alphabet, 

such as “Boğaziçi” or “Nizām al-Dīn Gīlānī” or any word with an accent 

mark. Both of these conditions (lengthy file names and/or special characters 

including in the file names) could result in difficulties opening and processing a 

submitted application. 

4. Applicants should limit the size of their file attachments. Documents submitted 

that contain graphics and/or scanned material often greatly increase the size of the 

file attachments and can result in difficulties opening the files. Please note that 

each file attachment in e-Application has a file size limitation which is anywhere 

from 2 to 8 MB and the limitation will be indicated on the individual screen when 

you upload a file. For reference, however, the average discretionary grant 

application package totals 1 to 2 MB. Therefore, you may want to check the size 

of your attachments before uploading them into e-Application. 

We strongly recommend that you do not wait until the last day to submit your

application. The time it takes to upload the narratives for your application will vary 

depending on a number of factors including the size of the files and the speed of your 

Internet connection. If you try to submit your application after 11:59:59 p.m. (Eastern 

Standard Time) on the deadline date, the G5 e-Application system will not accept it.
FY 2022 HBCU and FUTURE Act Application – 23

APPLICATION TRANSMITTAL INSTRUCTIONS

Application Submission Instructions: Applicants are required to follow the Common Instructions 

for Applicants to Department of Education Discretionary Grant Programs (Common 

Instructions), published in the Federal Register on December 27, 2021 (86 FR 73264). The 

Common Instructions contain requirements and information on how to submit an application. 

These instructions may be found at: 

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

It is important to note that the Department of Education requires the electronic submission 

of applications and only allows paper submission by mail if electronic submission is not 

possible (e.g., you do not have access to the internet). Applicants requesting and qualifying 

for an exception to the electronic submission requirement must follow the guidance 

provided in the Common Instructions. 

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

deadline requirements: 

Electronic Submission of Applications: 

You must submit your grant application through the Internet using the software provided 

on the Department of Education’s G5 System using the G5 Website (www.g5.gov) by 

11:59:59 p.m., Eastern Time, on or before the deadline date. 

If you submit your application through the Internet via the G5.gov website, you will receive an 

automatic acknowledgement and PR Award Number, when you submit your application 

successfully. 

Submission of Paper Applications by Mail: 

If you qualify for an exemption to the electronic submission requirement and you submit your 

application in paper format by mail (through the U.S. Postal Service or a commercial carrier), 

you must mail the original and two copies of your application, on or before the application 

deadline date, to the Department at the following address: 

U.S. Department of Education 

OFO/G5 Functional Application Team

Mail Stop 5C231 

Attention: Assistance Listing Number 84.031B 

400 Maryland Avenue SW 

Washington, DC 20202-4260 

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

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

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

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

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

Education. 

If you mail your application through the U.S. Postal Service, we do not accept either of the 

following as proof of mailing:
FY 2022 HBCU and FUTURE Act Application – 24

(1) A private metered postmark

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

An applicant should note that the U.S. Postal Service does not uniformly provide a dated 

postmark. Before relying on this method, an applicant should check with its local post office. 

Special Note: Due to potential disruption to normal mail delivery, the Department encourages 

you to consider using an alternative delivery method (for example, a commercial carrier, such as 

Federal Express or United Parcel Service; U.S. Postal Service Express Mail; or a courier service) 

to transmit your application for this competition to the Department. If you use an alternative 

delivery method, please obtain the appropriate proof of mailing under “Applications Delivered 

by Mail,” and then follow the instructions for “Applications Delivered by Hand.” 

Note for Mailing of Paper Applications: 

If you mail your application to the Department— 

1. You must indicate on the envelope and--if not provided by the Department--in 

Item 11 of the SF 424 the ALN, including suffix letter, if any, of the competition 

under which you are submitting your application; and 

2. The G5 Functional Application Team will notify you of the Department’s receipt 

of your grant application. If you do not receive this notification within 15 business 

days from the application deadline date, you should contact the program contact 

listed in this application package. 

Late Applications 

If your application is late, we will notify you that we will not consider the application. 
FY 2022 HBCU and FUTURE Act Application – 25

INSTRUCTIONS FOR THE SF-424

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

and applications and related information under discretionary programs. Some of the items

are required and some are optional at the discretion of the applicant or the federal agency 

(agency). Required fields on the form are identified with an asterisk (*) and are also 

specified as “Required” in the instructions below. In addition to these instructions, 

applicants must consult agency instructions to determine other specific requirements.

Item Entry: Item: Entry:

1. Type of Submission: (Required) Select one 

type of submissionin accordance with 

agency instructions.

•Pre-application

•Application

•Changed/Corrected Application – Check if

this submission is tochange 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 inaccordance 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 caninclude renewals.

•Revision - Any change in the federal 

government’s financial obligation or 

contingent liability from an existing 

obligation. If arevision, enter the

appropriate letter(s). More than one may

beselected. If "Other" is selected, please 

specify in text box provided.

A. Increase Award D. Decrease Duration

B. Decrease Award E. Other (specify)

C. Increase Duration

12. Funding Opportunity Number/Title: 

(Required) Enter the Funding

Opportunity Number and title of the

opportunity underwhich assistance is 

requested, as found in the program

announcement.

13. Competition Identification Number/Title:

Enter the competitionidentification number 

and title of the competition under which

assistance is requested, if applicable.

14. Areas Affected By Project: This data

element is intended for useonly 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 assignedby the Federal agency.

15. Descriptive Title of Applicant’s Project: 

(Required) Enter a brief descriptive title of 

the project. If appropriate, attach a map

showing project location (e.g., 

construction or real property

projects). For pre-applications, attach a 

summary description ofthe project.

4. Applicant Identifier: Enter the entity identifier

assigned buy the

Federal agency, if any, or the 

applicant’s control number ifapplicable.
FY 2022 HBCU and FUTURE Act Application – 26

5a. Federal Entity Identifier: Enter the 

number assigned to yourorganization by

the federal agency, if any.

16. Congressional Districts Of: 15a. (Required)

Enter the applicant’s congressional district.

15b. Enter all district(s) affectedby the 

program or project. Enter in the format: 2 

characters state abbreviation – 3 characters 

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

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

NC-103 for North Carolina’s 103 district. If

all congressional districts in a stateare 

affected, enter “all” for the district number, 

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

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

within all states are affected, enter US-all.

If the program/project is outside the US, 

enter 00-000. This optional data element is

intended for use only by programs for which 

the area(s) affected are likely to be different 

than place(s) of performance reported on the

SF-424 Project/Performance Site Location(s)

Form. Attach an

additional list of program/project

congressional districts, if needed.

5b. Federal Award Identifier: For new

applications leave blank. For acontinuation or 

revision to an existing award, enter the 

previously assigned federal award identifier 

number. If a changed/corrected application,

enter the federal identifier in accordance with

agency

instructions.

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

This date will beassigned by the state, if 

applicable.

7. State Application Identifier: Leave this field 

blank. This identifierwill be assigned by the 

state, if applicable.

8. Applicant Information: Enter the following in

accordance withagency instructions:

a. Legal Name: (Required) Enter the legal 

name of applicant that will undertake the 

assistance activity. This is the organization 

thathas registered with the Central Contractor

Registry (CCR).

Information on registering with CCR may be 

obtained by visitingwww.Grants.gov.

17. Proposed Project Start and End Dates:

(Required) Enter theproposed start date and 

end date of the project.

b. Employer/Taxpayer Number

(EIN/TIN): (Required) Enter theemployer or 

taxpayer identification number (EIN or TIN) 

as assigned by the Internal Revenue Service. 

If your organization isnot in the US, enter 

44-4444444.

18. Estimated Funding: (Required) Enter the 

amount requested, orto be contributed 

during the first funding/budget period by 

each contributor. Value of in-kind 

contributions should be included on

appropriate lines, as applicable. If the

action will result in a dollarchange 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 Order12372 to determine 

whether the application is subject to the 

Stateintergovernmental review process.

Select the appropriate box. If

“a.” is selected, enter the date the 

application was submitted tothe 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 
FY 2022 HBCU and FUTURE Act Application – 27

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 theassistance

activity.

21. Authorized Representative: To be signed 

and dated by the authorized representative

of the applicant organization. Enter thefirst 

and last name (Required); prefix, middle 

name, suffix. Entertitle, telephone number, 

email (Required); and fax number. A copy 

of the governing body’s authorization for 

you to sign this application as the official 

representative must be on file in the

applicant’s office. (Certain federal agencies 

may require that thisauthorization be

submitted as part of the application.)

f. Name and contact information of person 

to be contacted onmatters involving this 

application: Enter the first and last name

(Required); prefix, middle name, suffix, title.

Enter organizational affiliation if affiliated 

with an organization other than that in 7.a.

Telephone number and email (Required); fax

number.

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

three applicant type(s)in accordance with 

agency instructions.

A. State

Government

B. County

Government

C. City or

Township

Government

D. Special District

Government

E. Regional

Organization

F. U.S. Territory

orPossession

G. Independent 

SchoolDistrict

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

M. Nonprofit

N. Private 

Institution of

Higher

Education

O. Individual

P. For-Profit 

Organization

(Other than 

Small

Business)

Q. Small Business

R. Hispanicserving

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)
FY 2022 HBCU and FUTURE Act Application – 28

Tribally 

Designated

Organization

L. Public/Indian 

Housing 

Authority

[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.]
FY 2022 HBCU and FUTURE Act Application – 29

INSTRUCTIONS FOR U.S. DEPARTMENT OF EDUCATION

SUPPLEMENTAL INFORMATION FOR THE SF-424 APPLICATION FOR 

FEDERAL ASSISTANCE

1. Project Director. Name, address, telephone and fax numbers, and e-mail and alternate email addresses 

of the Project Director to be contacted on matters involving this application. Enter Project Director’s 

level of effort (the percentage of time devoted to the grant). Items marked with an asterisk (*) are 

mandatory.

2. New Potential Grantee or Novice Applicant. If applicable, for (a), check “Yes” if you meet the 

definition for new potential grantees or novice applicants specified in the program competition’s notice 

inviting applications (NIA) and included on the attached page entitled “Definitions for U.S. Department 

of Education Supplemental Information for the SF-424”. By checking “Yes” the applicant certifies that 

it meets the new potential grantee or novice applicant requirements. Check “No” if you do not meet the 

definition for new potential grantees or novice applicants. For (b), if the program competition NIA is 

giving competitive preference points for new potential grantees or novice applicants, indicate how many 

points you are claiming for your application. The NIA will indicate how many are available depending 

on the design of the competition. Some competitions may provide more than one category of new 

potential grantees with differing levels of points.

3. Qualified Opportunity Zones. If applicable, provide the Qualified Opportunity Zones (QOZ) census 

tract number(s) if the NIA includes a QOZ Priority in which you propose to either provide services in 

QOZ(s) or are located in a QOZ.

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

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

4a. 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.

4a. If Human Subjects Research. Check “Yes” if research activities involving human subjects are planned 

at any time during the proposed project period, either at the applicant organization or at any other 

performance site or collaborating institution. Check “Yes” even if the research is exempt from the 

regulations for the protection of human subjects. (See I. B. “Exemptions” in attached page entitled 

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

Federal Assistance.”) 

4b. If Human Subjects Research is Exempt from the Human Subjects Regulations. Check “Yes” if all 

the research activities proposed are designated to be exempt from the regulations. Check the exemption 

number(s) corresponding to one or more of the eight exemption categories (Regulation revised in 2018 

and became effective in 2019) listed in I. B. “Exemptions.” In addition, follow the instructions in II. A. 

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

Education Supplemental Information for the SF-424 Application for Federal Assistance.” 

4b. If Human Subjects Research is Not Exempt from Human Subjects Regulations. Check “No” if 

some or all of the planned research activities are covered (not exempt). In addition, follow the 

instructions in II. B. “Nonexempt Research Narrative” in the attached page entitled “Definitions for U.S. 

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

4b. 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 
FY 2022 HBCU and FUTURE Act Application – 30

Human Services, that covers the specific activity, insert the number in the space provided. (A list of 

current FWAs is available at: http://ohrp.cit.nih.gov/search/search.aspx?styp=bsc.) If the applicant 

does not have an approved assurance on file with OHRP, enter “None.” In this case, the applicant, by 

signature on the SF-424, is declaring that it will comply with 34 CFR part 97 and proceed to obtain the 

human subjects’ assurance upon request by the designated ED official. If the application is 

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

assurance within 30 days after the specific formal request.

4c. If applicable, please attach your “Exempt Research” or “Nonexempt Research” narrative to your 

submission of the U.S. Department of Education Supplemental Information for the SF-424 form as 

instructed in item II, “Instructions for Exempt and Nonexempt Human Subjects Research Narratives” in 

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

the SF-424 Application for Federal Assistance.” 

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

Review Board approval with the application. However, if an application that involves non-exempt

human subjects research is recommended/selected for funding, the designated ED official will request 

that the applicant obtain and send the certification to ED within 30 days after the formal request.

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

protection of human subjects in research.

Public Burden Statement:

According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of 

information unless such collection displays a valid OMB control number. Public reporting burden for 

this collection of information is estimated to average 20 minutes per response, including time for 

reviewing instructions, searching existing data sources, gathering, and maintaining the data needed, and 

completing and reviewing the collection of information. The obligation to respond to this collection is 

required to obtain or retain benefit (20 USC 3474 General Education Provisions Act). Send comments 

regarding the burden estimate or any other aspect of this collection of information, including suggestions 

for reducing this burden, to the U.S. Department of Education, 400 Maryland Ave., SW, Washington, 

DC 20210-4537, or email 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.

.
FY 2022 HBCU and FUTURE Act Application – 31

DEFINITIONS FOR U.S. DEPARTMENT OF EDUCATION

SUPPLEMENTAL INFORMATION FOR THE SF-424 APPLICATION FOR FEDERAL 

ASSISTANCE

Definitions:

NEW POTENTIAL GRANTEE OR NOVICE APPLICANT

New Potential Grantee: The definition of New Potential 

Grantee is set in the program competition’s Notice 

Inviting Applications (NIA). The New Potential Grantee 

priority is from the Department’s Administrative Priorities 

for Discretionary Grant Programs published in the 

Federal Register March 9, 2020 (85 FR 13640). 

 

Novice Applicant: For discretionary grant programs, 

novice applicant means any applicant for a grant from ED 

that— 

• Has never received a grant or subgrant under the 

program from which it seeks funding;

• Has never been a member of a group application, 

submitted in accordance with 34 CFR 75.127-75.129, 

that received a grant under the program from which it 

seeks funding; and

• Has not had an active discretionary grant from the 

Federal government in the five years before the 

deadline date for applications under the program. For 

the purposes of this requirement, a grant is active until 

the end of the grant’s project or funding period, 

including any extensions of those periods that extend 

the grantee’s authority to obligate funds.

In the case of a group application submitted in accordance 

with 34 CFR 75.127-75.129, a group includes only parties 

that meet the requirements listed above. The Novice 

Applicant priority is from 34 CFR 75.225, and it must be 

included in the program competition NIA to be claimed on 

the form.

QUALIFIED OPPORTUNITY ZONES

Definition: From 26 USC section 1400Z–1 of the Internal 

Revenue Code, which, in relevant part, defines “qualified 

opportunity zone” as “a population census tract that is a 

low-income community that is designated as a qualified 

opportunity zone.”

The Qualified Opportunity Zones priority is from the 

Department’s Final Priority for Discretionary Grant 

Programs published in the Federal Register November 

27, 2019 (84 FR 65300). 

Note: The Treasury Department has created a website of 

Opportunity Zones Resources that includes a searchable 

map: https://www.cdfifund.gov/Pages/OpportunityZones.aspx. 

PROTECTION OF HUMAN SUBJECTS IN RESEARCH

I. Definitions and Exemptions

A. Definitions.

A research activity involves human subjects if the activity 

is research, as defined in the Department’s regulations, 

and the research activity will involve use of human 

subjects, as defined in the regulations.

—Research

The ED Regulations for the Protection of Human 

Subjects, Title 34, Code of Federal Regulations, Part 97, 

define research as “a systematic investigation, including 

research development, testing and evaluation, designed to 

develop or contribute to generalizable knowledge.

Activities which meet this definition constitute research 

whether or not they are conducted or supported under a 

program that is considered research for other purposes. 

For example, some demonstration and service programs 

may include research activities.”

—Human Subject

The regulations define human subject as “a living 

individual about whom an investigator (whether 

professional or student) conducting research obtains (i) 

information or biospecimens through intervention or 

interaction with the individual and uses, studies, or 

analyzes the information or biospecimens, or (ii ) obtains, 

uses, studies, analyzes, or generate identifiable private 

information or identifiable biospecimens.” 

If an activity involves obtaining information about a living 

person by manipulating that person or that person’s 

environment, as might occur when a new instructional 

technique is tested, or by communicating or interacting 

with the individual, as occurs with surveys and interviews, 

the definition of human subject is met. If an activity 
FY 2022 HBCU and FUTURE Act Application – 32

involves obtaining private information about a living 

person in such a way that the information can be directly 

or indirectly linked to that individual, the definition of 

human subject is met. 

Private information includes information about behavior 

that occurs in a context in which an individual can 

reasonably expect that no observation or recording is 

taking place, and information which has been provided for 

specific purposes by an individual and which the 

individual can reasonably expect will not be made public 

(for example, a school health record). 

B. Exemptions.

Research activities in which the only involvement of 

human subjects will be in one or more of the following 

eight categories of exemptions are not covered by the 

regulations:

(1) Research conducted in established or commonly 

accepted educational settings, that specifically involves 

normal educational practices that are not likely to 

adversely impact students’ opportunity to learn required 

educational content or the assessment of educators who 

provide instruction. This includes most research on 

regular and special education instructional strategies, and 

research on the effectiveness of or the comparison among 

instructional techniques, curricula, or classroom 

management methods. If an educational practice is being 

introduced to the site and is not widely used for similar 

populations, it is not covered by this exemption.

(2) Research that only includes interactions involving 

educational tests (cognitive, diagnostic, aptitude, 

achievement), survey procedures, interview procedures or 

observation of public behavior (including visual or 

auditory recordings) if at least one of the following criteria 

is met: (i) the information obtained is recorded by the 

investigator in such a manner that the identity of the 

human subjects cannot readily be ascertained, directly or 

through identifiers linked to the subjects; (ii) Any 

disclosure of the human subjects’ responses outside the 

research would not reasonably place the subjects at risk of 

criminal or civil liability or be damaging to the subjects’ 

financial standing, employability, educational 

advancement or reputation; or (iii) the information 

obtained is recorded by the investigator in such a manner 

that the identity of the human subjects can readily be 

ascertained, directly or through identifiers linked to the 

subjects, and an Institutional Review Board (IRB) 

conducts a “limited IRB review” to make the 

determinations required by 34 CFR 97.111(a)(7). 

If the subjects are children, exemption 2 applies only to 

research involving educational tests and observations of 

public behavior when the investigator(s) do not 

participate in the activities being observed. 

Exemption 2 does not apply if children are surveyed or 

interviewed or if the research involves observation of 

public behavior and the investigator(s) participate in the 

activities being observed. Children are defined as persons 

who have not attained the legal age for consent to 

treatments or procedures involved in the research, under 

the applicable law or jurisdiction in which the research 

will be conducted.

(3) Research involving benign behavioral 

interventions in conjunction with the collection of 

information from an adult subject through verbal or 

written responses (including data entry) or audiovisual 

recording if the subject prospectively agrees to the 

intervention and information collection and at least one of 

the following criteria is met: (A) The information obtained 

is recorded by the investigator in such a manner that the 

identity of the human subjects cannot readily be 

ascertained directly or through identifiers linked to the 

subjects; (B) Any disclosure of the human subjects’ 

responses outside the research would not reasonably place 

the subjects at risk of criminal or civil liability or be 

damaging to the subject’ financial standing, employability, 

educational advancement or reputation; or (C) The 

information obtained is recorded by the investigator in 

such a manner that the identity of the human subjects can 

readily be ascertained, directly or through identifiers 

linked to the subjects, and an IRB conducts a limited IRB 

review to make the determination required by 34 CFR 

97.111(a)(7).

For the purpose of this provision, benign behavioral 

interventions are brief in duration, harmless, painless, not 

physically invasive, not likely to have a significant 

adverse lasting impact on the subjects, and the investigator 

has no reason to think the subjects will find the 

interventions offensive or embarrassing. Provided all such 

criteria are met, examples of such benign behavioral 

interventions would include having the subject play an 

online game, having them solve puzzles under various 

noise conditions, or having them decide how to allocate a 

nominal amount of received cash between themselves and 

someone else.

If the research involves deceiving the subjects regarding 

the nature or purposes of the research, this exemption is 

not applicable unless the subject authorizes the deception 

through a prospective agreement to participate in research 

in circumstances in which the subject is informed that he 
FY 2022 HBCU and FUTURE Act Application – 33

or she will be unaware of or misled regarding the nature or 

purposes of the research. 

(4) Secondary Research for which Consent is not 

required. Secondary research uses of identifiable private 

information or identifiable biospecimens, if at least one of 

the following criteria is men: (i) The identifiable private 

information or identifiable biospecimens are publicly 

available; (ii) Information, which may include 

information about biospecimens, is recorded by the 

investigator in such a manner that the identity of the 

human subjects cannot readily be ascertained directly or 

through identifiers linked to the subjects, the investigator 

does not contact the subjects, and the investigator will not 

re-identify subjects; (iii) the research involves only 

information collection and analysis involving the 

investigators’ use of identifiable health information when 

that use is regulated under 45 CFR parts 160 and 164, 

subparts A and E, for the purposes of “health care 

operations” or “research” as those terms are defined at 45 

CFR 164.501 or for “public health activities and 

purposes” as described under 45 CFR 164.512 (b); or (iv) 

The research is conducted by, or on behalf of, a Federal 

department or agency using government-generated or 

government-collected information obtained for 

nonresearch activities, if the research generates 

identifiable private information that is or will be 

maintained on information technology that is subject to 

and in compliance with section 208(b) of the EGovernment Act of 2002, 44 USC 3501 note, if all of the 

identifiable private information collected, used or 

generated as part of the activity will be maintained in 

systems of records subject to the Privacy Act of 1974, 5 

USC 552a, and, if applicable, the information used in the 

research was collected subject to the Paperwork Reduction 

Act of 1995, 44 USC 3501 et seq.

(5) Research and demonstration projects that are 

conducted or supported by a Federal department or 

agency, or otherwise subject to the approval of department 

or agency heads (or the approval of the heads of bureaus 

or other subordinate agencies that have been delegated 

authority to conduct the research and demonstration 

projects), and that are designed to study, evaluate, 

improve, or otherwise examine public benefit or service 

programs, including procedures for obtaining benefits or 

services under those programs, possible changes in or 

alternative to those programs or procedures, or possible 

changes in methods or levels of payment for benefits or 

services under those programs. Such projects include, but 

are not limited to, internal studies by Federal employees, 

and studies under contracts or consulting arrangements, 

cooperative agreements, or grants. Exempt projects also 

include waivers of otherwise mandatory requirements 

using authorities such as sections 1115 and 1115A of the 

Social Security Act as amended.

Each Federal department or agency conducting or 

supporting the research and demonstration projects must 

establish, on a publicly accessible Federal website or in 

such other manner as the department or agency head may 

determine, a list of the research and demonstration 

projects that the Federal department or agency conducts or 

supports under this provision. The research or 

demonstration project must be published on this list prior 

to commencing the research involving human subjects. 

(6) Taste and food quality evaluation and consumer 

acceptance studies, (a) if wholesome foods without 

additives are consumed or (b) if a food is consumed that 

contains a food ingredient at or below the level and for a 

use found to be safe, or agricultural chemical or 

environmental contaminant at or below the level found to 

be safe, by the Food and Drug Administration or approved 

by the Environmental Protection Agency or the Food 

Safety and Inspection Service of the U.S. Department of 

Agriculture.

(7) Storage or Maintenance for Secondary Research 

for which Broad Consent is required. Storage or 

maintenance of identifiable private information or 

identifiable biospecimens for potential secondary research 

use if an IRB conducts a limited IRB review and makes 

the determinations requires by 34 CFR 97.111(a)(8).

(8) Secondary Research for which Broad Consent is 

Required. Research involving the use of identifiable 

private information or identifiable biospecimens for 

secondary research use if the following criteria are met: (i) 

Broad Consent for the storage, maintenance and secondary 

research use of the identifiable private information or 

identifiable biospecimens was obtained in accordance with 

34 CFR 97.116(a) (1)-(4), (a) (6) and (d); (ii) 

Documentation of informed consent or waiver of 

documentation of consent was obtained in accordance 

with 34 CFR 97.117. (iii) an IRB conducts a limited IRB 

review and makes the determination that the research to be 

conducted is within the scope of the broad consent 

referenced in paragraph (d)(8)(i) of this section; and (iv) 

The investigator does not prevent an investigator from 

abiding by any legal requirements to return individual 

research results.

II. Instructions for Exempt and Nonexempt Human 

Subjects Research Narratives

If the applicant marked “Yes” for Item 3.b. of the U.S. 

Department of Education Supplemental Information for 

the SF-424 form, the applicant must attach a human 
FY 2022 HBCU and FUTURE Act Application – 34

subjects “exempt research” or “nonexempt research” 

narrative to the U.S. Department of Education 

Supplemental Information for the SF-424 form. If you 

have multiple projects, include information about each, 

labeling the responses as to the project they address. For 

applications that include multiple research projects this 

can be done in a single narrative or in more than one 

narrative as appropriate. 

A. Exempt Research Narrative.

If you marked “Yes” for item 3.b. and designated 

exemption numbers(s), attach the “exempt research” 

narrative to the U.S. Department of Education 

Supplemental Information for the SF-424 form. The 

narrative must contain sufficient information about the 

involvement of human subjects in the proposed research to 

allow a determination by ED that the designated 

exemption(s) are appropriate. The narrative must be 

succinct.

B. Nonexempt Research Narrative.

If you marked “No” for item 3.b. you must attach the 

“nonexempt research” narrative to the U.S. Department of 

Education Supplemental Information for the SF-424 form. 

The narrative must address the following seven points. 

Although no specific page limitation applies to this section 

of the application, be succinct.

(1) Human Subjects Involvement and 

Characteristics: Provide a detailed description of the 

proposed involvement of human subjects. Describe the 

characteristics of the subject population, including their 

anticipated number, age range, and health status. Identify 

the criteria for inclusion or exclusion of any 

subpopulation. Explain the rationale for the involvement 

of special classes of subjects, such as children, children 

with disabilities, adults with disabilities, persons with 

mental disabilities, pregnant women, prisoners, 

institutionalized individuals, or others who are likely to be 

vulnerable

(2) Sources of Materials: Identify the sources of 

research material obtained from individually identifiable 

living human subjects in the form of specimens, records, 

or data. Indicate whether the material or data will be 

obtained specifically for research purposes or whether use 

will be made of existing specimens, records, or data.

(3) Recruitment and Informed Consent: Describe 

plans for the recruitment of subjects and the consent 

procedures to be followed. Include the circumstances 

under which consent will be sought and obtained, who 

will seek it, the nature of the information to be provided to 

prospective subjects, and the method of documenting 

consent. State if the IRB has authorized a modification or 

waiver of the elements of consent or the requirement for 

documentation of consent.

(4) Potential Risks: Describe potential risks 

(physical, psychological, social, legal, or other) and assess 

their likelihood and seriousness. Where appropriate, 

describe alternative treatments and procedures that might 

be advantageous to the subjects.

(5) Protection Against Risk: Describe the 

procedures for protecting against or minimizing potential 

risks, including risks to confidentiality, and assess their 

likely effectiveness. Where appropriate, discuss 

provisions for ensuring necessary medical or professional 

intervention in the event of adverse effects to the subjects. 

Also, where appropriate, describe the provisions for 

monitoring the data collected to ensure the safety of the 

subjects.

(6) Importance of the Knowledge to be Gained: 

Discuss the importance of the knowledge gained or to be 

gained as a result of the proposed research. Discuss why 

the risks to subjects are reasonable in relation to the 

anticipated benefits to subjects and in relation to the 

importance of the knowledge that may reasonably be 

expected to result.

(7) Collaborating Site(s): If research involving 

human subjects will take place at collaborating site(s) or 

other performance site(s), name the sites, and briefly 

describe their involvement or role in the research.

Copies of the Department of Education’s Regulations for 

the Protection of Human Subjects, 34 CFR part 97 and 

other pertinent materials on the protection of human 

subjects in research are available from the Office of the 

Chief Financial Officer, U.S. Department of Education, 

Washington, D.C. 20202-4331, telephone: (202) 245-

8090, and on the U.S. Department of Education’s 

Protection of Human Subjects in Research Web Site: 

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

ml 

NOTE: The State Applicant Identifier on the SF-424 

form is for State Use only. Please complete it on the SF424 form in the upper right corner of the form (if 

applicable).
FY 2022 HBCU and FUTURE Act Application – 35

INSTRUCTIONS FOR ED 524

General Instructions

This form is used to apply to individual U.S. Department of Education (ED) discretionary grant programs. 

Unless directed otherwise, provide the same budget information for each year of the multi-year funding 

request. Pay attention to applicable program specific instructions, if attached. You may access the 

Education Department General Administrative Regulations cited within these instructions at:

https://www.ecfr.gov/cgi-bin/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/cgibin/text-idx?SID=6214841a79953f26c5c230d72d6b70a1&tpl=/ecfrbrowse/Title02/2cfr200_main_02.tpl. 

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

Section A - Budget Summary

U.S. Department of Education Funds

All applicants must complete Section A and provide a break-down by the applicable budget categories 

shown in lines 1-11.

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

requested for each applicable budget category.

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

only one project year, leave this column blank.

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

requested.

Line 13, column (f): Show the total amount requested for all project years. If funding is requested for 

only one year, leave this space blank.

Indirect Cost Information: If you are requesting reimbursement for indirect costs on line 10 the indirect 

cost rate to be charged to the grant must be entered in the applicable field on line 10, and the following 

information is to be completed by your Business Office. 

(1) Indicate whether or not your organization has an Indirect Cost Rate Agreement that was approved 

by the Federal government. If you checked “no,” ED generally will authorize grantees to use a 

temporary rate of 10 percent of budgeted salaries and wages (complete (4) of this section when 

using the temporary rate) subject to the following limitations: 

(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 
FY 2022 HBCU and FUTURE Act Application – 36

agreement. If you check “Other,” specify the name of the Federal or other agency that issued the 

approved agreement.

(3) If you check “no” in (1), indicate in (3) if you want to use the de minimis rate of 10 percent of 

MTDC (see 2CFR § 200.68). If you use the de minimis rate, you are subject to the provisions in 

2 CFR § 200.414(f). Note, you may only use the 10 percent de minimis rate if you are a firsttime Federal grant recipient, and you do not have an Approved Indirect Cost Rate Agreement. 

You may not use the de minimis rate if you are a State, Local government, or Indian Tribe, or if 

your grant is funded under a training rate or restricted rate program. 

(4) If you are applying for a grant under a Restricted Rate Program (34 CFR 75.563 or 76.563), 

indicate whether you are using a restricted indirect cost rate that is included on your approved 

Indirect Cost Rate Agreement, or whether you are using a restricted indirect cost rate that 

complies with 34 CFR 76.564(c)(2). Note: State or Local government agencies may not use the

provision for a restricted indirect cost rate specified in 34 CFR 76.564(c)(2). Check only one 

response. Leave blank if this item is not applicable.

(5) For Training Rate Programs, ED regulations limit non-governmental entities to the recovery of 

indirect costs on training grants to the grantee’s actual indirect costs, as determined by its 

negotiated rate agreement, or 8 percent of a MTDC, whichever is lower (see EDGAR § 

75.562(c)(4)). The 8 percent limit also applies to cost-type contracts under grants if these 

contracts are for training as defined in EDGAR § 75.562(a). If a non-governmental entity that 

receives a grant under a training grant program does not have an approved indirect cost rate and 

wants to recover indirect costs, it may use a temporary rate of 10 percent of budgeted direct 

salaries and wages, but it must submit an indirect cost rate proposal to its cognizant agency for 

indirect costs within 90 days after ED issues the GAN. After the 90-day period, the government 

entity may not charge its grant for indirect costs until it has negotiated an indirect cost rate 

agreement.

Section B - Budget Summary

Non-Federal Funds

If you are required to provide or volunteer to provide cost-sharing or matching funds or other non-Federal 

resources to the project, these should be shown for each applicable budget category on lines 1-11 of 

Section B.

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

provided, show the total contribution for each applicable budget category.

Lines 1-11, column (f): Show the multi-year total for each budget category. If non-Federal contributions 

are provided for only one year, leave this column blank.

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

Line 12, column (f): Show the total amount to be contributed for all years of the multi-year project. If 

non-Federal contributions are provided for only one year, leave this space blank.
FY 2022 HBCU and FUTURE Act Application – 37

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

Pay attention to applicable program specific instructions, if attached.

1. Provide an itemized budget breakdown, and justification by project year, for each budget 

category listed in Sections A and B. For grant projects that will be divided into two or more 

separately budgeted major activities or sub-projects, show for each budget category of a 

project year the breakdown of the specific expenses attributable to each sub-project or 

activity.

2. For non-Federal funds or resources listed in Section B that are used to meet a cost-sharing or 

matching requirement or provided as a voluntary cost-sharing or matching commitment, you must 

include: 

a. The specific costs or contributions by budget category; 

b. The source of the costs or contributions; and

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.
FY 2022 HBCU and FUTURE Act Application – 38

If Applicable Section D - Budget Summary

Limitation on Administrative Expenses.

If your program is subject to an administrative cost cap (as indicated Section III.2.C of the program’s 

Notice Inviting Applications (NIA)), fill out this form as follows:

1. On the top of the page, list the percentage cap on administrative costs, and indicate whether your 

administrative cost cap applies to both indirect and direct costs, or only direct costs (from Section 

III.2.C of the program’s NIA).

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

(a) Fill out the entire table noting your administrative costs, including line 8. Line 8 is taken 

from Section A, line 10. For lines 1-6, these are only direct administrative costs; do not 

include in lines 1-6 any costs included in your indirect cost rate. If your program has a 

matching requirement (see NIA), include in lines 1-6 the administrative portions of the 

applicable rows from both Section A and Section B. If there is no program matching 

requirement, only use Section A.

(b) Ensure that the line 10 percentage DOES NOT EXCEED the percentage cap on 

administrative costs. If your program does not have a matching requirement, divide line 9 

by Section A line 12. If your program does have a matching requirement, to calculate line 

10, divide line 9 by the sum of Section A line 12 and Section B line 12. 

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

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

Ensure that the line 10 percentage DOES NOT EXCEED the percentage cap on 

administrative costs. If your program does not have a matching requirement, divide line 7 

by Section A line 9. If your program does have a matching requirement, to calculate line 

10, divide line 7 by the sum of Section A line 9 and Section B line 9).

Paperwork Burden Statement

According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of 

information unless such collection displays a valid OMB control number. The valid OMB control 

number for this information collection is 1894-0008. The time required to complete this information 

collection is estimated to vary from 13 to 22 hours per response, with an average of 17.5 hours per 

response, including the time to review instructions, search existing data sources, gather the data needed, 

and complete and review the information collection. If you have any comments concerning the accuracy 

of the time estimate(s) or suggestions for improving this form, please write to U.S. Department of 

Education, Washington, D.C. 20202-4537. If you have comments or concerns regarding the status of 

your individual submission of this form, write directly to the Office of Finance and Operations, Office of 

Acquisitions and Grants Administration, Grants Policy and Training Division, U.S. Department of 

Education, 400 Maryland Avenue, S.W., Washington, D.C. 20202.
FY 2022 HBCU and FUTURE Act Application – 39

INSTRUCTIONS FOR COMPLETION OF SF-LLL

DISCLOSURE OF LOBBYING ACTIVITIES

This disclosure form shall be completed by the reporting entity, whether sub-awardee or prime 

Federal recipient, at the initiation or receipt of a covered Federal action, or a material change to a 

previous filing, pursuant to title 31 U.S.C. section 1352. The filing of a form is required for each 

payment or agreement to make payment to any lobbying entity for influencing or attempting to 

influence an officer or employee of any agency, a Member of Congress, an officer or employee 

of Congress, or an employee of a Member of Congress in connection with a covered Federal 

action. Complete all items that apply for both the initial filing and material change report. Refer 

to the implementing guidance published by the Office of Management and Budget for additional 

information. 

1. Identify the type of covered Federal action for which lobbying activity is and/or has been 

secured to influence the outcome of a covered Federal action.

2. Identify the status of the covered Federal action.

3. Identify the appropriate classification of this report. If this is a follow-up report caused 

by a material change to the information previously reported, enter the year and quarter in 

which the change occurred. Enter the date of the last previously submitted report by this 

reporting entity for this covered Federal action.

4. Enter the full name, address, city, state, and zip code of the reporting entity. Include 

Congressional District, if known. Check the appropriate classification of the reporting 

entity that designates if it is, or expects to be, a prime or sub-award recipient. Identify 

the tier of the sub-awardee, e.g., the first sub-awardee of the prime is the 1st tier. Subawards include but are not limited to subcontracts, sub-grants, and contract awards under 

grants. 

5. If the organization filing the report in item 4 checks “Sub-awardee,” then enter the full 

name, address, city, state, and zip code of the prime Federal recipient. Include 

Congressional District, if known. 

6. Enter the name of the federal agency making the award or loan commitment. Include at 

least one organizational level below agency name, if known. For example, Department 

of Transportation, United States Coast Guard. 

7. Enter the Federal program name or description for the covered Federal action (item 1). If 

known, enter the full Catalog of Federal Domestic Assistance (CFDA) number for

grants, cooperative agreements, loans, and loan commitments. 

8. Enter the most appropriate Federal identifying number available for the Federal action 

identified in item 1 (e.g., Request for Proposal (RFP) number; Invitations for Bid (IFB) 

number; grant announcement number; the contract, grant, or loan award number; the 

application/proposal control number assigned by the Federal agency). Included prefixes, 

e.g., “RFP-DE-90-001.” 
FY 2022 HBCU and FUTURE Act Application – 40

 9. For a covered Federal action where there has been an award or loan commitment by the 

Federal agency, enter the Federal amount of the award/loan commitment for the prime 

entity identified in item 4 or 5.

10. (a) Enter the full name, address, city, state, and zip code of the lobbying registrant under 

the Lobbying Disclosure Act of 1995 engaged by the reporting entity identified in item 4 

to influence the covered Federal action.

(b) Enter the full names of the individual(s) performing services and include full address 

if different from 10(a). Enter Last Name, First Name, and Middle Initial (MI).

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

telephone number.

According to the Paperwork Reduction Act, as amended, no persons are required to respond to a 

collection of information unless it displays a valid OMB control Number. The valid OMB 

control number for this information collection is OMB No. 1840-0113. Public reporting burden 

for this collection of information is estimated to average 10 minutes per response, including time 

for reviewing instructions, searching existing data sources, gathering, and maintaining the data 

needed, and completing and reviewing the collection of information. Send comments regarding 

the burden estimate or any other aspect of this collection of information, including suggestions 

for reducing this burden, to the Office of Management and Budget, Paperwork Reduction Project 

(0348-0046), Washington, DC 20503