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U.S. Department of Education

OFFICE OF POSTSECONDARY EDUCATION 

Washington, DC 20006

www.ed.gov/about/offices/list/ope/trio/index.html

FY 2014

APPLICATION FOR GRANTS

UNDER THE 

TRAINING PROGRAM FOR FEDERAL TRIO PROGRAMS

CFDA NUMBER: 84.103A

FORM APPROVED

OMB No. 1840-0814, Expiration Date: XXX

DATED MATERIAL – OPEN IMMEDIATELY

CLOSING DATE: XXX, 2014
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TABLE OF CONTENTS

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

Competition Highlights ..................................................................................................................

Introduction...................................................................................................................................

Grants.gov Submission Procedures and Tips for Applicants .........................................................

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

Absolute Priorities .........................................................................................................................

Notice Inviting Applications for New Awards .................................................................................

Authorizing Legislation..................................................................................................................

Training Program Regulations.......................................................................................................

Expectations of Successful Applicants ..........................................................................................

Intergovernmental Review of Federal Programs ...........................................................................

Supplemental Information .............................................................................................................

Training Program Profile Form......................................................................................................

INSTRUCTIONS

Instructions for Completing the Application Package.....................................................................

Instructions for Project Narrative – Selection Criteria ....................................................................

Competitive Preference Priorities..................................................................................................

Instructions for Standard Forms ....................................................................................................

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

Instructions for Department of Education Suppemental Information for SF-424 ............................

Definitions for Department of Education Supplemental Information For SF 424 ............................

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

Instructions for Budget Summary Form & Itemized Budget ...........................................................
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Instructions for Completion of SF-LLL, Disclosure of Lobbying Activities.......................................

Survey Instructions on Ensuring Equal Opportunity for Applicants ................................................

General Education Provisions Act (GEPA)....................................................................................

Government Performance And Results Act (GPRA) .....................................................................

Application Checklist.....................................................................................................................

Paperwork Burden Statement .......................................................................................................
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Dear Applicant:

Thank you for your interest in applying for a grant under the fiscal year (FY) 2014 Training 

Program for Federal TRIO Programs (Training Program) competition. The Training Program 

provides grants to institutions of higher education and other public and private nonprofit 

institutions and organizations to enable the staff and leadership personnel employed in, 

participating in, or preparing for employment in projects funded under the Federal TRIO 

Programs to receive training in topics relevant to their responsibilities. 

This letter highlights a few items in the FY 2014 application package that will be important to 

you in applying for a grant under this program. The “Competition Highlights” section notes 

some of the requirements for applying for a grant under the FY 2014 Training Program 

competition. You should review the entire application package carefully before preparing and 

submitting your application. Information on the Training Program is accessible at the U.S. 

Department of Education (Department) Web site at:

http://www2.ed.gov/programs/triotrain/index.html

In the FY 2014 competition, there are five absolute priorities. We will only consider an 

application that addresses one of these absolute priorities. Additionally, there are two 

competitive preference priorities: 1. Increasing Postsecondary Success and 2. Improving 

productivity. Please note that applicants addressing either of these two priorities, if applicable, 

may earn up to five competitive preference points for each priority. Further, the points awarded 

under each priority by the non-Federal reviewers (reviewers) will be based on the degree to 

which the applicant proposes to meet the priorities. The Department strongly encourages 

applicants to address any or all priorities allowed under the absolute priority. For additional 

information about the absolute and competitive preference priorities, refer to the Federal

Register Notice Inviting Applications for New Awards (Notice) for FY 2014. The Notice is 

included in this application package.

Applications for FY 2014 grants under the Training Program must be submitted electronically 

using the Grants.gov system. An applicant who is unable to submit an application through the 

Grants.gov system must submit a written request for a waiver of the electronic submission 

requirement at least two weeks before the deadline date. Additional information about 

Grants.gov submission requirements can be found in the Competition Highlights, the Notice 

published in the Federal Register, and in the transmittal instructions, which are included in this 

package. Grants.gov is accessible through its portal page at http://www.Grants.gov.

As a result of the enactment of the Higher Education Opportunity Act (HEOA) of 2008, which 

amended the Higher Education Act of 1965, the Department conducted a negotiated rulemaking 

process to develop regulations to implement the changes required by the HEOA. The final 

regulations for the Training and other Federal TRIO Programs were published in the Federal 

Register on October 26, 2010. 

Also, it is imperative that your application includes a strong evaluation plan. The reviewers are 

instructed to look closely at the potential of Training Program applicants to successfully reach 

their individual project goals, which are driven by the performance measures for the Training 

Program (see the Notice for information on the performance measures). The evaluation plan 

should not only include formative and summative measures, but also address the use of 

appropriate controls and techniques that provide for independent evaluation. The evaluation 

plan should shape the development of the project from the beginning of the grant period and 
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provide benchmarks for the monitoring of progress and measurement of that progress 

throughout the grant award period. You should pay close attention to the information provided 

in the Instructions for the Program Narrative section of this application regarding the 

development of your evaluation activity. 

For information (including dates and times) about how to submit your application electronically, 

please refer to the official Notice published in the Federal Register, and included in this

application booklet. 

You are reminded that the Notice published in the Federal Register is the official document, and 

that you should not rely upon any information that is inconsistent with the guidance contained 

within the official document. 

Thank you for your interest in the Training Program for Federal TRIO Programs. We look 

forward to receiving your application.

Sincerely,

Linda Byrd-Johnson, Ph.D.

Acting Deputy Assistant Secretary

Higher Education Programs
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COMPETITION HIGHLIGHTS

1. Training Program applications for FY 2014 must be submitted electronically

using Grants.gov. You are urged to acquaint yourself with the requirements of 

Grants.gov early as the registration procedures may require 5 or more days to 

complete. A more thorough discussion is included later in this application 

package. Grants.gov is accessible through its portal page at:

http://www.Grants.gov. The requirements for obtaining an exception to the 

electronic submission have changed and are included in the Notice Inviting 

Applications for New Awards (Notice) for FY 2014. If you think you may need an 

exception, you are urged to review the requirements promptly. 

2. It is important to know that the Grants.gov site works differently than the 

Department’s e-Application system, used in past competitions. Grants.gov does 

not allow applicants to “un-submit” applications. Therefore, if you discover that 

changes or additions are needed once your application has been accepted and 

validated by the Department, you must “re-submit” the application. You should 

know that if the Department receives duplicate applications, we will accept and 

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

3. Please note that you must submit your application by 4:30:00 p.m. (Washington, 

D.C. time) on or before the application deadline date. Late applications will not 

be accepted. We suggest that you submit your application several days 

before the deadline. The Department is required to enforce the established 

deadline to ensure fairness to all applicants. No changes or additions to an 

application will be accepted after the deadline date and time.

4. Electronic submission of applications is required; therefore, you must submit an 

electronic application unless you follow the procedures outlined in the Notice for 

FY 2014 and qualify for one of the exceptions to the electronic submission 

requirement.

5. Applicants are required to adhere to the page limit specified in the Application 

Narrative Instruction portion of the application. The Notice contains specific 

information governing page limits and formatting instructions. The total page 

limit for the project narrative portion of the application for the FY 2014

Training Program competition is 50 pages. However, those addressing the 

competitive preference priorities may include up to four additional pages

for each priority addressed (a total of 8 pages if both priorities are 

addressed), in a separate section of the application submission to discuss 

how the application meets the competitive preference priorities. 

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

Please note, once you download an application from Grants.gov, you will be 

working offline and saving data on your computer. It is important to note where 

you are saving the Grants.gov file on your computer. You will need to log on to 
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Grants.gov to upload and submit the application (this is different from eApplication, where you may have previously worked online and saved data to the 

Department’s database). You must provide the DUNS number that was used 

when your organization registered with the Central Contractor Registry (CCR).

For Grants.gov related questions and assistance, please contact:

Support Desk e-Mail:support@Grants.gov 

Support Desk Telephone:(800) 518-4726

Contact Telephone Hours: 24 hours, 7 days a week, except Federal holidays

Online Web Site: http://www.Grants.gov

Also, refer to the “Submission Procedures and Tips for Applicants” section found 

in this application booklet. 

You are reminded that the Notice published in the Federal Register is the official 

document, and that you should not rely upon any information that is inconsistent

with the guidelines contained within the official document.

7. In consultation with the TRIO community, the Department has already 

determined the need for training in various topics and identified them as absolute 

priorities. Thus, it is not necessary for applicants to respond to the “Need” 

selection criterion in their applications. Each eligible application will receive 25 

points for the “Need” selection criterion.

8. There are five absolute priorities for the FY 2014 competition. These priorities 

were chosen from the authorizing legislation and the regulations governing the 

Training Program and were further developed to respond to the articulated 

training needs of personnel employed in Federal TRIO Programs’ projects and 

are the same priorities used in the FY 2012 competition. 

Note: Applicants should indicate the absolute priority number under which they are 

applying on the Application for Federal Assistance Form (SF 424) -- in Box 15, 

“Descriptive Title of Applicant’s Project.” Example: Absolute Priority #1. This will 

ensure that the reviewers clearly know under which priority an application should be 

considered.

9. In the FY 2014 competition, the Department has established two competitive 

preference priorities. They are:

Competitive Preference Priority 1: Increasing Postsecondary Success (up to 5

additional points). Projects that are designed to increase the rates at which high-need 

students enroll in and complete high-quality secondary or postsecondary career and 

technical courses or programs of study designed to lead to a degree, credential, or 

certificate by providing training to TRIO staff on strategies on how to connect lowincome students to the school that is right for them.
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Competitive Preference Priority 2: Improving Productivity (up to 5 additional points). 

Projects that are designed to significantly increase efficiency in the use of time, staff, 

money, or other resources while improving student learning or other educational 

outcomes (i.e., outcome per unit of resource). Such projects may include innovative 

and sustainable uses of technology, modification of school schedules and teacher 

compensation systems, use of open educational resources, or other strategies.

The competitive preference priorities are explained in detail in the Notice of final 

supplemental priorities and definitions for discretionary grant programs published in the 

Federal Register on December 15, 2010 (75 FR 78486) and corrected on May 12, 

2011(76 FR 27637), as well as in this application package. You are urged to carefully 

review this information.

Applicants must address the competitive preference priorities in a separate section of 

the application submission to receive up to an additional five points for each priority 

addressed for a maximum of ten points based on the extent to which the application 

contains substantive information regarding the priorities. Applicants may include up to 

four additional pages for each priority addressed.

As you develop your application, we ask you to consider carefully the specific 

content of the trainings that you will provide through your curriculum and the expertise 

and knowledge expected of the trainers. We will look for high quality trainings that 

include opportunities for the participants to gain knowledge, skills, and resources that 

support the goals of the specific priority. While we are not requiring that you provide online training, we encourage applicants to consider including on-line training sessions. 

As appropriate for the specific priority, trainers should have knowledge and expertise in 

serving students with backgrounds similar to TRIO-eligible students as well as success 

in training adults. You will find more information on the selection criteria and application 

review process in this packet and in the Notice. 

Note: If you receive a Training Program grant, you will be required to submit your 

training materials for our review. See the “Expectations of Successful Applicants” 

section in this package for more information.

In accordance with the Higher Education Act (HEA), as amended by the Higher

Education Opportunity Act (HEOA) of 2008, all successful applicants funded under the 

FY 2014 Training competition will receive two-year (24-month) grant awards.

Applicants may submit no more than one Training Program application per Absolute 

Priority.

All applicants must complete the Part III-A Training Program Profile form. The 

Training Program Profile form contains three standardized objectives. All applicants 

are required to propose the percentage or number--as indicted on the form -- at which 

each of these objectives will be met. Applicants may not modify, amend or delete any 
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of these objectives. Instructions for submitting the form are included in the Instructions 

for Completing the Application Package.

All applicants must provide a one-page abstract. The abstract should briefly describe 

the training to be provided, the competitive preference priorities addressed, the services 

that will be provided and the activities to be conducted during the two-year performance 

period. Complete instructions for submitting the abstract are included in the 

“Instructions for Completing the Application Package” of this application. The abstract 

must be uploaded into the ED Abstract Form section in Grants.gov.

Information on the Training Program is accessible at the Department’s website at: 

http://www2.ed.gov/programs/triotrain/index.html.
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INTRODUCTION 

 TRAINING PROGRAM 

AUTHORIZATION

Title IV, Part A, Subpart 2, Section 402G of the Higher Education Act of 1965, as 

amended (HEA). 

PROGRAM REGULATIONS

34 CFR part 642 Training Program for Federal TRIO Programs 

PURPOSE

Provides Federal financial assistance to train the staff and leadership personnel 

employed in, or preparing for employment in, Federal TRIO Program projects. 

ELIGIBLE APPLICANTS

 The following are eligible to apply for a grant to carry out a Training Program project:

(a) Institutions of higher education.

(b) Public and private nonprofit agencies and organizations.

ACTIVITIES FUNDED UNDER THIS PROGRAM

(a) A Training Program project trains the staff and leadership personnel of 

Federal TRIO Program projects to enable them to more effectively operate 

those projects.

(b) A Training Program project may include on-site training, on-line training, 

conferences, internships, seminars, workshops, and the publication of 

manuals designed to improve the operations of Federal TRIO Program 

projects. 

(c) Each year, one or more Training Program projects must provide at least one 

training session on each requisite topic listed within a specific priority that is 

tailored to the needs of TRIO staff with less than two years of TRIO project 

experience.

(d) Each year, one or more Training Program projects must offer training covering 

the following topics:

(1) The legislative and regulatory requirements for operating projects funded 

under the Federal TRIO Programs.

(2) Assisting students to receive adequate student financial aid from 

programs authorized under Title IV of the HEA, as well as from other 

programs.

(3) The design and operation of model Federal TRIO Program projects.

(4) The use of appropriate educational technology in the operation of TRIO 

Program projects.

(5) Strategies for recruiting and serving hard to reach populations, including 

students who are limited English proficient, students from groups traditionally 

underrepresented in postsecondary education, students who are individuals 

with disabilities, students who are homeless children and youth, students who 

are foster care youth, or other disconnected students.
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***Updated 11/2013***

IMPORTANT – PLEASE READ FIRST

U.S. Department of Education

Grants.gov Submission Procedures and Tips for Applicants

To facilitate your use of Grants.gov, this document includes important submission procedures 

you need to be aware of to ensure your application is received in a timely manner and accepted 

by the Department of Education.

ATTENTION – Adobe Forms and PDF Files Required

Applications submitted to Grants.gov for the Department of Education will be posted using 

Adobe forms. Therefore, applicants will need to download the latest version of Adobe reader (at 

least Adobe Reader 10.1.14). (Please note that in early 2013, Grants.gov discovered an issue 

with the newest version of Adobe Reader XI but it was subsequently resolved.) Information on 

computer and operating system compatibility with Adobe and links to download the latest 

version is available on Grants.gov at this link: compatibility table. We strongly recommend that 

you review these details on www.Grants.gov before completing and submitting your application. 

In addition, applicants should submit their application a day or two in advance of the closing date 

as detailed below. Also, applicants are required to upload their attachments in .pdf format only. 

(See details below under “Attaching Files – Additional Tips.”) If you have any questions 

regarding this matter please email the Grants.gov Contact Center at support@grants.gov or call 

1-800-518-4726.

1) REGISTER EARLY – Grants.gov registration involves many steps including registration 

on SAM (www.sam.gov) which may take approximately one week to complete, but could 

take upwards of several weeks to complete, depending upon the completeness and accuracy

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

application while completing the registration process, but you cannot submit an application 

until all of the Registration steps are complete. Please note that once your SAM registration 

is active, it will take 24-48 hours for the information to be available in Grants.gov, and 

before you can submit an application through Grants.gov. For detailed information on the 

Registration Steps, please go to: http://www.grants.gov/web/grants/register.html [Note: 

Your organization will need to update its SAM registration annually (formerly Central 

Contractor Registry (CCR)*.]

Primary information about SAM is available at www.sam.gov . However, to further assist 

you with obtaining and registering your DUNS number and TIN in SAM or updating your 

existing SAM account, the Department of Education has prepared a SAM.gov Tip Sheet 

which you can find at : http://www2.ed.gov/fund/grant/apply/sam-faqs.html
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2) SUBMIT EARLY – We strongly recommend that you do not wait until the last day 

to submit your application. Grants.gov will put a date/time stamp on your 

application and then process it after it is fully uploaded. The time it takes to upload 

an application will vary depending on a number of factors including the size of the 

application and the speed of your Internet connection, and the time it takes Grants.gov to 

process the application will vary as well. If Grants.gov rejects your application (see step 

three below), you will need to resubmit successfully to Grants.gov before 4:30:00 p.m. 

Washington, DC time on the deadline date. 

Note: To submit successfully, you must provide the DUNS number on your 

application that was used when you registered as an Authorized Organization 

Representative (AOR) on Grants.gov. This DUNS number is typically the same 

number used when your organization registered with the SAM (formerly CCR -

Central Contractor Registry). If you do not enter the same DUNS number on your 

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

application.

3) VERIFY SUBMISSION IS OK – You will want to verify that Grants.gov received your 

application submission on time and that it was validated successfully. To see the 

date/time your application was received, login to Grants.gov and click on the Track My

Application link. For a successful submission, the date/time received should be earlier 

than 4:30:00 p.m. Washington, DC time, on the deadline date, AND the application status 

should be: Validated, Received by Agency, or Agency Tracking Number Assigned. 

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

Tracking Number (PR/award number) will be assigned to your application and will be 

available for viewing on Grants.gov’s Track My Application link.

If the date/time received is later than 4:30:00 p.m. Washington, D.C. time, on the 

deadline date, your application is late. If your application has a status of “Received” it is 

still awaiting validation by Grants.gov. Once validation is complete, the status will either 

change to “Validated” or “Rejected with Errors.” If the status is “Rejected with Errors,” 

your application has not been received successfully. Some of the reasons Grants.gov 

may reject an application can be found on the Grants.gov site: 

http://www.grants.gov/web/grants/applicants/applicant-faqs/tracking-an-application.html. 

For more detailed information on troubleshooting Adobe errors, you can review the 

Adobe Reader Error Messages document at 

http://www.grants.gov/web/grants/support/technicalsupport/troubleshooting/encountering-error-messages.html. If you discover your 

application is late or has been rejected, please see the instructions below. Note: You will 

receive a series of confirmations both online and via e-mail about the status of your 

application. Please do not rely solely on e-mail to confirm whether your application has 

been received timely and validated successfully. 

Submission Problems – What should you do?

If you have problems submitting to Grants.gov before the closing date, please contact Grants.gov 

Customer Support at 1-800-518-4726 or http://www.grants.gov/web/grants/about/contact-
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us.html, or access the Grants.gov Self-Service web portal at: https://grantsportal.psc.gov/Welcome.aspx?pt=Grants

If electronic submission is optional and you have problems that you are unable to resolve before 

the deadline date and time for electronic applications, please follow the transmittal instructions 

for hard copy applications in the Federal Register notice and get a hard copy application 

postmarked by midnight on the deadline date.

If electronic submission is required, you must submit an electronic application before 4:30:00 

p.m., unless you follow the procedures in the Federal Register notice and qualify for one of the 

exceptions to the electronic submission requirement and submit, no later than two weeks before 

the application deadline date, a written statement to the Department that you qualify for one of 

these exceptions. (See the Federal Register notice for detailed instructions.)

Helpful Hints When Working with Grants.gov

Please note, once you download an application from Grants.gov, you will be working offline and 

saving data on your computer. Please be sure to note where you are saving the Grants.gov file 

on your computer. You will need to logon to Grants.gov to upload and submit the application. 

You must provide the DUNS number on your application that was used when you 

registered as an Authorized Organization Representative (AOR) on Grants.gov.

Please go to http://www.grants.gov/web/grants/about/contact-us.html for help with Grants.gov. 

For additional tips related to submitting grant applications, please refer to the Grants.gov Submit 

Application FAQs found on the Grants.gov 

http://www.grants.gov/web/grants/applicants/applicant-resources.html. 

Dial-Up Internet Connections

When using a dial up connection to upload and submit your application, it can take significantly

longer than when you are connected to the Internet with a high-speed connection, e.g. cable 

modem/DSL/T1. While times will vary depending upon the size of your application, it can take 

a few minutes to a few hours to complete your grant submission using a dial up connection. If 

you do not have access to a high-speed connection and electronic submission is required, 

you may want to consider following the instructions in the Federal Register notice to obtain 

an exception to the electronic submission requirement no later than two weeks before the 

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

MAC Users

For MAC compatibility information, review the Operating System Platform Compatibility Table 

at the following Grants.gov link: http://www.grants.gov/web/grants/support/technicalsupport/recommended-software.html. If electronic submission is required and you are 

concerned about your ability to submit electronically as a non-windows user, please follow 

instructions in the Federal Register notice to obtain an exception to the electronic 

submission requirement no later than two weeks before the application deadline date. (See 

the Federal Register notice for detailed instructions.)
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Attaching Files – Additional Tips

Please note the following tips related to attaching files to your application, especially the 

requirement that applicants only include read-only, non-modifiable .PDF files in their 

application:

1. Ensure that you attach .PDF files only for any attachments to your application, and 

they must be in a read-only, non-modifiable format. PDF files are the only

Education approved file type accepted as detailed in the Federal Register application 

notice. Applicants must submit individual .PDF files only when attaching files to 

their application. Specifically, the Department will not accept any attachments that 

contain files within a file, such as PDF Portfolio files, or an interactive or fillable 

.PDF file. Any attachments uploaded that are not .PDF files or are password 

protected files will not be read. If you need assistance converting your files to a .pdf 

format, please refer to the following Grants.gov webpage with links to conversion 

programs under the heading of additional resources: 

http://www.grants.gov/web/grants/support/technical-support/software/pdfconversion-software.html

2. Grants.gov cannot process an application that includes two or more files that have the 

same name within a grant submission. Therefore, each file uploaded to your 

application package should have a unique file name.

3. When attaching files, applicants should follow the guidelines established by 

Grants.gov on the size and content of file names. Uploaded files must be less than 50 

characters in the file name, contain no spaces, no special characters (example: -, &, *, 

%, /, #, \) including periods (.), blank spaces and accent marks. Applications 

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

Grants.gov and not forwarded to the Department. 

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. For reference, the average 

discretionary grant application package totals 1 to 2 MB. Therefore, you may want to 

check the total size of your package before submission.

*Please note that the Central Contractor Registry (CCR) was replaced by the System for 

Award Management (SAM) effective July 30, 2012. For more information on the 

migration of CCR data to SAM, grant applicants should read this information located on 

Grants.gov: 

http://grants-gov.blogspot.com/2012/07/information-about-pendingmigration.html#!/2012/07/information-about-pending-migration.html

11/2013
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APPLICATION TRANSMITTAL INSTRUCTIONS

ATTENTION ELECTRONIC APPLICANTS: Please note that you must follow the 

Application Procedures as described in the Federal Register Notice announcing the 

grant competition.

This program requires the electronic submission of applications; specific 

requirements and waiver instructions can be found in the Federal Register Notice.

According to the instructions found in the Federal Register Notice, those requesting and 

qualifying for an exception to the electronic submission requirement may submit an 

application by mail, commercial carrier or by hand delivery.

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

following deadline requirements:

Applications Submitted Electronically

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

provided on the Grants.gov Web site (http://www.grants.gov) by 4:30:00 p.m. 

(Washington, D.C. time) on or before the deadline date.

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

receive an automatic acknowledgement when we receive your application.

For more information on using Grants.gov, please refer to the “Notice Inviting 

Applications” that was published in the Federal Register or visit http://www.grants.gov.

Submission of Paper Applications by Mail:

If you submit your application in paper format by mail (through the U.S. Postal Service 

or a commercial carrier), you must mail the original and two copies of your application, 

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

U.S. Department of Education

Application Control Center

Attention: CFDA Number 84.103A

LBJ Basement Level 1

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

Education.

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

the following as proof of mailing:

1. A private metered postmark.

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

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 Postal 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”. 

Submission of Paper Applications by Hand Delivery:

If you qualify for an exception to the electronic submission requirement, you (or a 

courier service) may deliver your paper application to the Department by hand. You 

must deliver the original and two copies of your application by hand, on or before the 

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

U.S. Department of Education

Application Control Center

Attention: CFDA Number 84.103A

550 12th Street, SW.

Room 7041, Potomac Center Plaza

Washington, DC 20202-4260 

Note for Mail or Hand Delivery of Paper Applications: If you mail or hand deliver 

your application to the Department—

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

11 of the SF 424 the CFDA number, including suffix letter, if any, of the 

competition under which you are submitting your application; and

2.The Application Control Center will mail to you a notification of receipt of your 

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

from the application deadline date, you should call the U.S. Department of 

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

The Application Control Center accepts application deliveries daily between 8:00 a.m. 

and 4:30 p.m. (Washington, D.C. time) except Saturdays, Sundays, and Federal 

holidays. 

Grant Application Receipt from the Application Control Center

If you send your application by mail or if you or your courier delivers it by hand, the 

Application Control Center will mail a Grant Application Receipt Acknowledgement to 

you.

If you do not receive the notification of application receipt within 15 days from the 

mailing of the application, you should call the U.S. Department of Education Application 

Control Center at (202) 245-6288.

Late Applications

If your application is late, we will notify you that we will not consider the application.
18

Absolute Priorities for FY 2014

The Department will fund projects under the Training Program that provide training for 

the staff and leadership personnel employed in, participating in, or preparing for 

employment in projects funded under the Federal TRIO Programs. The Secretary has 

identified the content of the trainings to be held under the following five absolute 

priorities for this competition. 

Applicants should indicate the priority number under which they are applying in Box 15, 

“Descriptive Title of Applicant’s Project,” of the SF 424. Example: “Priority #1.” This 

will ensure that the reviewers clearly know under which priority an application should be 

considered.

Note: 

1) Applicants must identify and provide the position requirements and qualifications 

of experts who have proven knowledge and expertise in serving TRIO-eligible 

students, and in training adults. 

2) Applicants must show evidence of having researched and identified training 

methods for adults that have had proven success. 

3) Applicants must demonstrate how they will provide at least one training session 

on each topic within a specific priority for TRIO project staff and leadership 

personnel with less than two years TRIO experience, annually.

4) Applicants must demonstrate how they will meet the objectives set forth in the 

Part III-A Training Program Profile form.

Absolute Priority #1

Recordkeeping; reporting of student and project performance; and the rigorous 

evaluation of project performance in order to design and operate a model TRIO 

project. 

Trainings conducted under this priority must emphasize and support the importance of 

using project data to improve project performance. Applicants must explain how they 

will assist participants to develop procedures to: collect data that will meet the programspecific standardized objectives; analyze the data; report the data to the Department; 

evaluate the project through the data; and use the information gained from the data to

improve the project’s success in meeting its program-specific objectives. 

Recordkeeping and Reporting

 Applicants must have a working knowledge of the program-specific objectives for 

every TRIO Program in order to assist participants with identifying effective ways to 

collect, record and analyze the data that will serve to meet these objectives.

 The trainings must provide TRIO personnel with effective strategies for reporting 

student and project performance to the Department. 
19

 Applicants must have a working knowledge of the Department’s performance 

reporting requirements for each TRIO program. 

Rigorous Evaluation

 The trainings must provide TRIO personnel with information and resources on how 

to conduct a rigorous formative and summative evaluation in order to improve the 

performance of the project staff and the project as a whole. 

Absolute Priority #2

Budget management; and the legislative and regulatory requirements for 

operation of the Federal TRIO Programs. 

Applicants must understand how the TRIO legislation, regulations, OMB Circulars, and 

Departmental policies should shape a TRIO project’s budget and program management 

practices. Trainings conducted under this priority must provide participants with an 

understanding of the connection between program management and operation and the 

legislative and regulatory requirements governing the TRIO projects. 

Budget Management

 Applicants must emphasize how to develop and improve budget management

through internal controls and financial management with special emphasis placed on 

the relevant OMB Circulars. Trainings must cover the checks and balances 

designed to ensure that grant funds are used only for eligible expenses and that no 

one person controls the authorization and disbursement of grant funds. Trainings 

must also cover the conflict of interest provisions and the grantee’s obligations as a 

fiduciary agent. 

Legislative and Regulatory Requirements

 Applicants must have a working knowledge of the legislation and regulations that 

govern the TRIO Programs, including the Education Department General 

Administrative Regulations (EDGAR), OMB Circulars, and policy statements issued 

by the Department. Applicants should propose trainings that will provide participants 

with examples of practical applications of the governing rules for each TRIO program 

and the TRIO programs as a whole. Emphasis should be placed on:

o Providing a history of the legislative purpose of TRIO programs in order to 

highlight the importance of adherence to the authorizing legislation and 

regulations;

o Determining student/participant eligibility;

o Understanding the difference between allowable and non-allowable costs;

o Learning how to prevent and resolve audit disputes; and
20

o Examining ways to coordinate TRIO projects with other programs for 

disadvantaged students.

 Applicants may propose to conduct trainings for institutional teams in order to assist 

them in understanding the legislation and regulations governing the TRIO programs. 

Team trainings should ensure that institutional representatives from other 

departments at the host institutions and agencies, along with the TRIO project 

directors and staff, understand the expectations, rights, and responsibilities of the 

institutions and agencies that agree to sponsor TRIO grants.

Absolute Priority #3

Assessment of student needs; proven retention and graduation strategies; and 

the use of educational technology in order to design and operate a model TRIO 

project. 

Applicants must propose trainings that will provide TRIO personnel with proven 

strategies for assessing students’ needs, retaining students, and for supporting them 

through graduation at the secondary and postsecondary levels. Trainings must include 

substantive information on the use of educational technology as a project strategy to 

serve TRIO students and meet the goals of retention and graduation.

Needs Assessment

 Trainings must teach the participants how to assess the needs of their student 

project participants, and how to tailor counseling and support to the specific needs of 

these students. 

Retention and Graduation Strategies 

 Applicants must emphasize the importance of strategies that take into account the 

diverse cultural backgrounds of TRIO student/participants, and the trainings must 

take into consideration the diverse needs of these students.

 Applicants must show that the identified strategies have proven results in supporting 

TRIO projects with demonstrated growth in student/participants’ retention and 

graduation rates.

Educational Technology

 Applicants must address different ways that TRIO personnel can use technology to 

both manage their projects and provide services to students, with an emphasis on 

services that utilize educational technology. 

 Applicants must have a proven track record of providing training in educational 

technology and the proven ability to tailor trainings to participants’ varied skill levels 

and knowledge.
21

Absolute Priority #4

Student financial aid; college and university admissions policies and procedures; 

and improving the financial literacy and economic literacy of students, including 

– basic personal income, household money management, financial planning 

skills, and basic economic decision making skills. 

Applicants must address how they will train TRIO project staff and leadership personnel 

to understand and obtain the information and skills needed to assist student participants 

in obtaining adequate student financial aid. Applicants must demonstrate their 

understanding of college and university entrance requirements – including the 

requirements for student transfer from 2-year to 4-year institutions and for entrance into 

graduate school. Applicants must provide evidence that they have experience in 

developing strategies to improve the financial and economic literacy of students. The 

Department is especially interested in applicants that have proven experience and 

knowledge regarding how to meet the needs of, and how to help create opportunities 

for, non-traditional students. 

Student Financial Aid 

 Trainings under this priority must give particular attention to how projects can work 

with financial aid offices to provide students sufficient financial assistance to meet 

their full financial need while limiting the students’ loan burden to a manageable 

level.

 Applicants must be able to train participants on the appropriate use of the grant aid 

provision in the Student Support Services Program.

Admissions Policies and Procedures

 Trainings must demonstrate proven strategies to provide TRIO project personnel a 

working knowledge and understanding of the variety of college and university 

admissions policies and procedures. The trainings must also provide information 

and skills that will allow TRIO project personnel to access the policies and 

procedures of different institutions, and also allow them to best help TRIO students 

navigate these diverse processes.

 Applicants must provide evidence that they have proven strategies to enable TRIO 

staff and leadership personnel to provide student participants with assistance in 

applying for and gaining admission to college and universities – including transfer 

from a 2-year to a 4-year institution of higher education, and admission to graduate 

school.

 Applicants should give attention to how projects can help a student interested in 

enrolling in a graduate program to secure graduate fellowships or assistantships.
22

Financial and Economic Student Literacy

 Applicants should demonstrate how they will provide TRIO project personnel with 

proven methodologies for improving the TRIO student participants’ financial and 

economic literacy. 

 Applicants should show that they have a proven track record in providing training in 

personal financial management, including basic personal income, household money 

management, financial planning skills and basic economic decision-making skills.

 Absolute Priority #5

Strategies for recruiting and serving hard to reach populations, including 

students who are limited English proficient, students from groups that are 

traditionally underrepresented in postsecondary education, students who are 

individuals with disabilities, students who are homeless children and youths, 

students who are foster care youth, or other disconnected students.

Applicants must propose trainings that will provide TRIO project personnel with 

proven strategies for recruiting and serving students from hard to reach populations. 

Trainings must include substantive information on developing outreach programs to 

recruit these students and methodologies for serving these students.

Recruitment

 Applicants must provide TRIO staff and leadership personnel with proven strategies 

to develop programs to recruit hard to reach student populations.

 Applicants must show that they have a proven track record of providing training on 

effective strategies for recruiting hard to reach populations for educational services. 

Service

 Applicants must have a working knowledge and proven track record of 

methodologies and strategies designed to provide educational services to hard-toreach student populations.

 Applicants must provide evidence that they have proven strategies to enable TRIO 

staff and leadership personnel to provide services designed specifically for students 

from hard to reach populations.
23

Notice Inviting Applications for New Awards

4000-01-U

DEPARTMENT OF EDUCATION

Applications for New Awards; Training Program for Federal TRIO 

Programs.

AGENCY: Office of Postsecondary Education, Department of 

Education.

ACTION: Notice.

Overview Information:

Training Program for Federal TRIO Programs (Training Program)

Notice inviting applications for new awards for fiscal year (FY) 

2014.

Catalog of Federal Domestic Assistance (CFDA) Number: 84.103A.

Dates: 

Applications Available: [INSERT DATE OF PUBLICATION IN THE 

FEDERAL REGISTER].

Deadline for Transmittal of Applications: [INSERT DATE 30 DAYS 

AFTER DATE OF PUBLICATION IN THE FEDERAL REGISTER].

Deadline for Intergovernmental Review: [INSERT DATE 90 DAYS 

AFTER DATE OF PUBLICATION IN THE FEDERAL REGISTER].

Full Text of Announcement

I. Funding Opportunity Description
24

Purpose of Program: The Training Program provides grants to 

train the staff and leadership personnel employed in, 

participating in, or preparing for employment in, projects 

funded under the Federal TRIO Programs to improve the operation 

of these projects. 

Priorities: This notice contains five absolute priorities and 

two competitive preference priorities. In accordance with 34 

CFR 75.105(b)(2)(iv) and 34 CFR 75.105(b)(2)(ii), the absolute 

priorities are from section 402G(b) of the Higher Education Act 

of 1965, as amended (HEA), and the regulations for this program 

(34 CFR 642.24). The competitive preference priorities are from 

the Department’s notice of final supplemental priorities and 

definitions for discretionary grant programs, published in the 

Federal Register on December 15, 2010 (75 FR 78486), and 

corrected on May 12, 2011 (76 FR 27637).

Note: Each year, the Training Program projects must offer 

training covering every topic listed within the applicable 

priority or priorities. And, each year, one or more Training 

Program projects must provide training for new project 

directors. Each applicant must identify in its application how 

it will meet this requirement as provided in 34 CFR 642.11.

Absolute Priorities: For FY 2014 and any subsequent year in 

which the Department makes awards from the list of unfunded 

applicants from this competition, these priorities are absolute 
25

priorities. Under 34 CFR 75.105(c)(3), we consider only 

applications that meet these priorities. Each application must 

address one of these absolute priorities. An applicant must 

submit a separate application for each absolute priority it 

proposes to address.

 These priorities are:

Absolute Priority 1. Training to improve: reporting student 

and project performance; and the rigorous evaluation of project 

performance in order to design and operate a model TRIO project.

Number of expected awards: 1.

Maximum award amount: $TBD.

Absolute Priority 2. Training on: budget management, and 

the statutory and regulatory requirements for operation of 

projects funded under the Federal TRIO Programs.

Number of expected awards: 1.

Maximum award amount: $TBD.

Absolute Priority 3. Training on: assessment of student 

needs; retention and graduation strategies, including both 

secondary and postsecondary retention and graduation strategies; 

and the use of appropriate educational technology in the 

operation of projects funded under the Federal TRIO programs

Number of expected awards: 1.

Maximum award amount: $TBD.
26

Absolute Priority 4. Training on: assisting students in 

receiving adequate financial aid from programs assisted under 

title IV of the HEA and from other programs; college and 

university admissions policies and procedures; and proven 

strategies to improve the financial literacy and economic 

literacy of students, including topics such as basic personal 

finance information, household money management and financial 

planning skills, and basic economic decision making skills.

Number of expected awards: 1.

Maximum award amount: $TBD.

Absolute Priority 5. Training on: strategies for recruiting 

and serving hard to reach populations--including students who 

are limited English proficient, students from groups that are 

traditionally underrepresented in postsecondary education, 

students who are individuals with disabilities, students who are 

homeless children and youths (as this term is defined in Section 

725 of the McKinney-Vento Homeless Assistance Act (42 U.S.C. 

11434a), students who are foster care youth, or other 

disconnected students.

Number of expected awards: 1.

Maximum award amount: $TBD.

Competitive Preference Priorities: 

For FY 2014 and any subsequent year in which the Department 

makes awards from the list of unfunded applicants from this 
27

competition, these priorities are competitive preference 

priorities. Under 34 CFR 75.105(c)(2)(i), we award up to an 

additional five points to an application that meets Competitive 

Preference Priority 1,and up to an additional five points to an 

application that meets Competitive Preference Priority 2 

depending on how well the application meets each of these 

priorities. The maximum competitive preference points an 

application can receive under this competition is 10. An 

applicant submitting an application under Absolute Priorities 

1,2,3, and 5 may apply using only Competitive Preference 

Priority 2. An applicant submitting an application under 

Absolute Priority 4 may apply using both Competitive Preference 

Priorities. 

 These priorities are:

Competitive Preference Priority 1-- Increasing Postsecondary 

Success (up to 5 additional points). 

Background:

Meeting the President's goal of restoring the United States to 

first in the world in the percentage of citizens holding college 

degrees or other postsecondary credentials will require 

significantly increasing the number of high-need students who 

graduate from high school prepared to succeed in higher 

education and careers and who have access to college or rigorous 

postsecondary career or technical training leading to a degree 
28

or certificate. It will also require increasing the rates at 

which young people and adults enroll in, persist in, and 

complete college or other postsecondary training. This priority 

is designed to support efforts to reach the President's goal.

The Department is using Competitive Preference Priority 1 –

Increasing Postsecondary Success because of the critical 

importance of connecting more low-income students to the school 

that is right for them and ensuring more students graduate. 

Many low-income students do not apply to or attend schools where 

they are most likely to succeed, often because they are not 

fully aware of their options available to them.

Competitive Preference Priority 1:

Projects that are designed to increase the rates at which 

high-need students enroll in and complete high-quality secondary 

or postsecondary career and technical courses or programs of 

study designed to lead to a degree, credential, or certificate 

by providing training to TRIO staff on strategies on how to 

connect low-income students to the school that is right for 

them.

Competitive Preference Priority 2--Improving Productivity (Up to 

5 additional points).

Background:

The Department is using Competitive Preference Priority 2--

Improving Productivity because it believes that it is more 
29

important than ever to support TRIO projects that are designed 

to significantly increase efficiency in the use of resources 

while improving student outcomes. A key performance measure for 

the Training Program is its cost effectiveness, based on the 

number of TRIO project personnel receiving training each year. 

Furthermore, cost per participant is considered in all TRIO 

programs. Applicants proposing projects designed to offer 

increased opportunities to provide high-quality training for 

more individuals--that is, decrease their cost per participant 

while improving participant outcomes will be more likely to 

perform well on this efficiency measure.

The Department continues to emphasize productivity in all 

TRIO programs for 2014. Accordingly, both new and existing 

grantees will need assistance learning about, selecting, and 

implementing strategies that can help them be more productive 

while improving student outcomes. As such, we are interested in 

Training Program projects that propose to work with TRIO 

projects to adopt productivity improving strategies. 

Competitive Preference Priority 2:

Projects that are designed to significantly increase efficiency 

in the use of time, staff, money, or other resources while 

improving student learning or other educational outcomes (i.e., 

outcome per unit of resource). Such projects may include 

innovative and sustainable uses of technology, modification of 
30

school schedules and teacher compensation systems, use of open 

educational resources (as defined in this notice), or other 

strategies. 

Note 1: The types of projects identified above are suggestions 

for ways to improve productivity. The Department recognizes 

that some of these examples, such as modification of teacher 

compensation systems, may not be relevant within the context of 

a particular application. Therefore, applicants addressing this 

priority might want to consider explaining how they will provide 

training opportunities to the same or an increased number of 

individuals at a lower cost per participant while improving the 

quality of their training support. Applicants might also want 

to consider describing how they will achieve this productivity 

by increasing efficiency in the use of resources.

Maximum number of applications: In accordance with 34 CFR 

642.7, each application must clearly identify the specific 

absolute priority for which a grant is requested and must 

address each of the topics listed under that specific absolute 

priority. An application for a grant under a specific absolute 

priority must address only that absolute priority. A grantee 

who wants to apply under more than one absolute priority must 

submit separate applications for each absolute priority. If an 

applicant submits more than one application for the same 

absolute priority, we will accept only the application with the 
31

latest “date/time received” validation and we will reject all 

other applications the applicant submits for that priority. 

For example, an application for a grant under Absolute 

Priority 1 must address only training described under that 

priority. 

Definitions: 

 These definitions are from the notice of final supplemental 

priorities and definitions for discretionary grant programs, 

published in the Federal Register on December 15, 2010 (75 FR 

78486), and corrected on May 12, 2011 (76 FR 27637), and they 

apply to the competitive preference priorities in this 

competition.

Graduation rate means a four-year adjusted cohort graduation 

rate consistent with 34 CFR 200.19(b)(1) and may also include an 

extended-year adjusted cohort graduation rate consistent with 34 

CFR 200.19(b)(1)(v) if the State in which the proposed project 

is implemented has been approved by the Secretary to use such a 

rate under Title I of the Elementary and Secondary Education Act 

of 1965, as amended (ESEA). 

Open educational resources means teaching, learning, and 

research resources that reside in the public domain or have been 

released under an intellectual property license that permits 

their free use or repurposing by others.
32

Persistently lowest-achieving schools means, as determined by 

the State: (i) Any Title I school in improvement, corrective 

action, or restructuring that (a) is among the lowestachieving five percent of Title I schools in improvement, 

corrective action, or restructuring or the lowest-achieving five 

Title I schools in improvement, corrective action, or 

restructuring in the State, whichever number of schools is 

greater; or (b) is a high school that has had a graduation rate 

as defined in 34 CFR 200.19(b) that is less than 60 percent over 

a number of years; and (ii) any secondary school that is 

eligible for, but does not receive, Title I funds that: (a) Is 

among the lowest-achieving five percent of secondary schools or 

the lowest-achieving five secondary schools in the State that 

are eligible for, but do not receive, Title I funds, whichever 

number of schools is greater; or (b) is a high school that has 

had a graduation rate as defined in 34 CFR 200.19(b) that is 

less than 60 percent over a number of years.

To identify the persistently lowest achieving schools, a 

State must take into account both: (i) The academic achievement 

of the “all students” group in a school in terms of proficiency 

on the State’s assessments under Section 1111(b) (3) of the ESEA 

in reading/language arts and mathematics combined; and (ii) the 

school’s lack of progress on those assessments over a number of 

years in the “all students” group.
33

Privacy requirements means the requirements of the Family 

Educational Rights and Privacy Act (FERPA), 20 U.S.C. 1232g, and 

its implementing regulations in 34 CFR part 99, the Privacy Act, 

5 U.S.C. 552a, as well as all applicable Federal, State, and 

local requirements regarding privacy.

Student achievement means--

(a) For tested grades and subjects: (1) A student’s score 

on the State’s assessments under the ESEA; and, as appropriate, 

(2) other measures of student learning, such as those described 

in paragraph (b) of this definition, provided they are rigorous 

and comparable across schools.

(b) For non-tested grades and subjects: alternative 

measures of student learning and performance, such as student 

scores on pre-tests and end-of-course tests; student performance 

on English language proficiency assessments; and other measures 

of student achievement that are rigorous and comparable across 

schools.

Program Authority: 20 U.S.C. 1070a-11 and 1070a-17.

Applicable Regulations: (a) The Education Department General 

Administrative Regulations (EDGAR) in 34 CFR parts 74, 75, 77, 

79, 80, 82, 84, 86, 97, 98 and 99. (b) The Education 

Department suspension and debarment regulations in 2 CFR part 

3485. (c) The regulations for this program in 34 CFR part 642. 

(d) The notice of final supplemental priorities and definitions 
34

for discretionary grant programs, published in the Federal

Register on December 15, 2010 (75 FR 78486), and corrected on 

May 12, 2011 (76 FR 27637).

Note: The regulations in 34 CFR part 79 apply to all applicants 

except Federally recognized Indian tribes.

Note: The regulations in 34 CFR part 86 apply to institutions 

of higher education only.

II. Award Information

Type of Award: Discretionary grants.

Estimated Available Funds: $1.4 million.

Contingent upon the availability of funds and the quality 

of applications, we may make additional awards in FY 2014 from 

the list of unfunded applicants from this competition.

Maximum Award: We will reject any application that proposes a 

budget exceeding the maximum award amount for the applicable 

priority, listed as follows, for a single budget period of 12 

months: 

 Absolute Priority 1: $TBD.

 Absolute Priority 2: $TBD.

 Absolute Priority 3: $TBD.

 Absolute Priority 4: $TBD.

 Absolute Priority 5: $TBD.
35

The Assistant Secretary for Postsecondary Education may change 

the maximum award amount through a notice published in the 

Federal Register.

Estimated Number of Awards: 5.

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

notice.

Project Period: Up to 24 months.

III. Eligibility Information

1. Eligible Applicants: Institutions of higher education 

and other public and private nonprofit institutions and 

organizations. 

2. Cost Sharing or Matching: This program does not 

require cost sharing or matching.

IV. Application and Submission Information

1. Address to Request Application Package: Suzanne Ulmer, 

U.S. Department of Education, 1990 K Street, NW., room 7000, 

Washington, DC 20006-8510. Telephone: (202) 502-7600 or by email: TRIO@ed.gov.

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

or a text telephone (TTY), call the Federal Relay Service (FRS), 

toll free, at 1-800-877-8339.

Individuals with disabilities can obtain a copy of the 

application package in an accessible format (e.g., braille, 
36

large print, audiotape, or compact disc) by contacting the 

program contact person listed in this section. 

2. Content and Form of Application Submission:

Requirements concerning the content of an application, together 

with the forms you must submit, are in the application package 

for this program. 

Page Limit: The application narrative is where you, the 

applicant, address the selection criteria that reviewers use to 

evaluate your application. You must limit the application 

narrative (Part III) to no more than 50 pages. However, any 

application addressing the competitive preference priorities may 

include up to four additional pages for each priority addressed 

in a separate section of the application submission to discuss 

how the application meets the competitive preference priority or 

priorities. These additional pages cannot be used for or 

transferred to the project narrative. Partial pages will count 

as a full page toward the page limit. For purposes of 

determining compliance with the page limit, each page on which 

there are words will be counted as one full page. Applicants 

must use the following standards:

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

at the top, bottom, and both sides. Page numbers and an 

identifier may be within the 1" margin.
37

 Double space (no more than three lines per vertical inch) 

all text in the project narrative, including titles, headings, 

footnotes, quotations, references, and captions, as well as all 

text in figures and graphs. Text in charts and tables may be 

single-spaced. You should also include a table of contents in 

the project narrative, which will not be counted against the 50-

page limit. 

 Use a font that is either 12 point or larger, or no 

smaller than 10 pitch (characters per inch).

 Use one of the following fonts: Times New Roman, 

Courier, Courier New, or Arial. An application submitted in any 

other font (including Times Roman and Arial Narrow) will not be 

accepted.

The page limit does not apply to Part I--the Application 

for Federal Assistance face sheet (SF 424); Part II--the Budget 

Information Summary form (ED Form 524); Part III-A--the Program 

Profile form; Part III-B--the one-page Project Abstract form; 

and Part IV--the Assurances and Certifications. If you include 

any attachments or appendices, these items will be counted as 

part of Part III--the Project Narrative for purposes of the page 

limit requirement. You must include your complete response to 

the selection criteria and priorities in Part III--The Project 

Narrative.
38

We will reject your application if you exceed the page 

limit.

3. Submission Dates and Times:

Applications Available: [INSERT DATE OF PUBLICATION IN THE 

FEDERAL REGISTER].

Deadline for Transmittal of Applications: [INSERT DATE 30 DAYS 

AFTER DATE OF PUBLICATION IN THE FEDERAL REGISTER].

Applications for grants under this program must be 

submitted electronically using the Grants.gov Apply site

(Grants.gov). For information (including dates and times) about 

how to submit your application electronically, or in paper 

format by mail or hand delivery if you qualify for an exception 

to the electronic submission requirement, please refer to 

section IV. 7. Other Submission Requirements of this notice. 

We do not consider an application that does not comply with 

the deadline requirements.

Individuals with disabilities who need an accommodation or 

auxiliary aid in connection with the application process should 

contact the person listed under For Further Information Contact

in section VII of this notice. If the Department provides an 

accommodation or auxiliary aid to an individual with a 

disability in connection with the application process, the 

individual’s application remains subject to all other 

requirements and limitations in this notice.
39

Deadline for Intergovernmental Review: [INSERT DATE 90 DAYS 

AFTER DATE OF PUBLICATION IN THE FEDERAL REGISTER].4. 

Intergovernmental Review: This program is subject to Executive 

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

about Intergovernmental Review of Federal Programs under 

Executive Order 12372 is in the application package for this 

program. 

5. Funding Restrictions: We specify unallowable costs in 34 

CFR part 642.31. We reference additional regulations outlining 

funding restrictions in the Applicable Regulations section of 

this notice.

6. Data Universal Numbering System Number, Taxpayer 

Identification Number, and Central Contractor Registry: To do 

business with the Department of Education, you must--

a. Have a Data Universal Numbering System (DUNS) number and 

a Taxpayer Identification Number (TIN);

b. Register both your DUNS number and TIN with the Central 

Contractor Registry (CCR), the Government's primary registrant 

database;

c. Provide your DUNS number and TIN on your application; 

and

d. Maintain an active CCR registration with current 

information while your application is under review by the 
40

Department and, if you are awarded a grant, during the project 

period.

You can obtain a DUNS number from Dun and Bradstreet. A 

DUNS number can be created within one business day.

If you are a corporate entity, agency, institution, or 

organization, you can obtain a TIN from the Internal Revenue 

Service. If you are an individual, you can obtain a TIN from 

the Internal Revenue Service or the Social Security 

Administration. If you need a new TIN, please allow 2-5 weeks 

for your TIN to become active.

The CCR registration process may take five or more business 

days to complete. If you are currently registered with the CCR, 

you may not need to make any changes. However, please make 

certain that the TIN associated with your DUNS number is 

correct. Also note that you will need to update your CCR 

registration on an annual basis. This may take three or more 

business days to complete. 

In addition, if you are submitting your application via 

Grants.gov, you must (1) be designated by your organization as 

an Authorized Organization Representative (AOR); and (2) 

register yourself with Grants.gov as an AOR. Details on these 

steps are outlined at the following Grants.gov Web page: 

www.grants.gov/applicants/get_registered.jsp.
41

7. Other Submission Requirements: Applications for grants 

under this program must be submitted electronically unless you 

qualify for an exception to this requirement in accordance with 

the instructions in this section.

a. Electronic Submission of Applications.

Applications for grants under the Training Program--CFDA Number 

84.103A must be submitted electronically using the Governmentwide 

Grants.gov Apply site at www.Grants.gov. Through this site, you 

will be able to download a copy of the application package, 

complete it offline, and then upload and submit your 

application. You may not e-mail an electronic copy of a grant 

application to us.

We will reject your application if you submit it in paper format 

unless, as described elsewhere in this section, you qualify for 

one of the exceptions to the electronic submission requirement 

and submit, no later than two weeks before the application 

deadline date, a written statement to the Department that you 

qualify for one of these exceptions. Further information 

regarding calculation of the date that is two weeks before the 

application deadline date is provided later in this section 

under Exception to Electronic Submission Requirement.

You may access the electronic grant application for the 

Training Program at www.Grants.gov. You must search for the 

downloadable application package for this program by the CFDA 
42

number. Do not include the CFDA number’s alpha suffix in your 

search (e.g., search for 84.103, not 84.103A).

Please note the following:

• When you enter the Grants.gov site, you will find 

information about submitting an application electronically 

through the site, as well as the hours of operation.

• Applications received by Grants.gov are date and time 

stamped. Your application must be fully uploaded and submitted 

and must be date and time stamped by the Grants.gov system no 

later than 4:30:00 p.m., Washington, DC time, on the application 

deadline date. Except as otherwise noted in this section, we 

will not accept your application if it is received--that is, 

date and time stamped by the Grants.gov system--after 4:30:00 

p.m., Washington, DC time, on the application deadline date. We 

do not consider an application that does not comply with the 

deadline requirements. When we retrieve your application from 

Grants.gov, we will notify you if we are rejecting your 

application because it was date and time stamped by the 

Grants.gov system after 4:30:00 p.m., Washington, DC time, on 

the application deadline date.

• The amount of time it can take to upload an application 

will vary depending on a variety of factors, including the size 

of the application and the speed of your Internet connection. 

Therefore, we strongly recommend that you do not wait until the 
43

application deadline date to begin the submission process 

through Grants.gov. 

• You should review and follow the Education Submission 

Procedures for submitting an application through Grants.gov that 

are included in the application package for this program to 

ensure that you submit your application in a timely manner to 

the Grants.gov system. You can also find the Education 

Submission Procedures pertaining to Grants.gov under News and 

Events on the Department’s G5 system home page at www.G5.gov. 

• You will not receive additional point value because you 

submit your application in electronic format, nor will we 

penalize you if you qualify for an exception to the electronic 

submission requirement, as described elsewhere in this section, 

and submit your application in paper format.

• You must submit all documents electronically, including 

all information you typically provide on the following forms: 

the Application for Federal Assistance (SF 424), the Department 

of Education Supplemental Information for SF 424, Budget 

Information--Non-Construction Programs (ED 524), and all 

necessary assurances and certifications. 

• You must upload any narrative sections and all other 

attachments to your application as files in a PDF (Portable 

Document Format) read-only, non-modifiable format. Do not 

upload an interactive or fillable PDF file. If you upload a 
44

file type other than a read-only, non-modifiable PDF or submit a 

password-protected file, we will not review that material.

• Your electronic application must comply with any pagelimit requirements described in this notice.

• After you electronically submit your application, you 

will receive from Grants.gov an automatic notification of 

receipt that contains a Grants.gov tracking number. (This 

notification indicates receipt by Grants.gov only, not receipt 

by the Department.) The Department then will retrieve your 

application from Grants.gov and send a second notification to 

you by e-mail. This second notification indicates that the 

Department has received your application and has assigned your 

application a PR/Award number (an ED-specified identifying 

number unique to your application).

• We may request that you provide us original signatures 

on forms at a later date.

Application Deadline Date Extension in Case of Technical Issues 

with the Grants.gov System: If you are experiencing problems 

submitting your application through Grants.gov, please contact 

the Grants.gov Support Desk, toll free, at 1-800-518-4726. You 

must obtain a Grants.gov Support Desk Case Number and must keep 

a record of it.

If you are prevented from electronically submitting your 

application on the application deadline date because of 
45

technical problems with the Grants.gov system, we will grant you 

an extension until 4:30:00 p.m., Washington, DC time, the 

following business day to enable you to transmit your 

application electronically or by hand delivery. You also may 

mail your application by following the mailing instructions 

described elsewhere in this notice.

If you submit an application after 4:30:00 p.m., 

Washington, DC time, on the application deadline date, please 

contact the person listed under For Further Information Contact

in section VII of this notice and provide an explanation of the 

technical problem you experienced with Grants.gov, along with 

the Grants.gov Support Desk Case Number. We will accept your 

application if we can confirm that a technical problem occurred 

with the Grants.gov system and that that problem affected your 

ability to submit your application by 4:30:00 p.m., Washington, 

DC time, on the application deadline date. The Department will 

contact you after a determination is made on whether your 

application will be accepted. 

Note: The extensions to which we refer in this section apply 

only to the unavailability of, or technical problems with, the 

Grants.gov system. We will not grant you an extension if you 

failed to fully register to submit your application to 

Grants.gov before the application deadline date and time, or if 
46

the technical problem you experienced is unrelated to the 

Grants.gov system.

Exception to Electronic Submission Requirement: You qualify for 

an exception to the electronic submission requirement, and may 

submit your application in paper format, if you are unable to 

submit an application through the Grants.gov system because––

• You do not have access to the Internet; or 

• You do not have the capacity to upload large documents 

to the Grants.gov system;

and 

 No later than two weeks before the application

deadline date (14 calendar days; or, if the fourteenth calendar 

day before the application deadline date falls on a Federal 

holiday, the next business day following the Federal holiday), 

you mail or fax a written statement to the Department, 

explaining which of the two grounds for an exception prevent you 

from using the Internet to submit your application. 

If you mail your written statement to the Department, it 

must be postmarked no later than two weeks before the 

application deadline date. If you fax your written statement to 

the Department, we must receive the faxed statement no later 

than two weeks before the application deadline date.
47

Address and mail or fax your statement to: Eileen Bland, 

U.S. Department of Education, 1990 K Street, NW., room 7000, 

Washington, DC 20006–8510. FAX: (202) 502-7857.

Your paper application must be submitted in accordance with 

the mail or hand delivery instructions described in this notice.

b. Submission of Paper Applications by Mail.

If you qualify for an exception to the electronic submission 

requirement, you may mail (through the U.S. Postal Service or a 

commercial carrier) your application to the Department. You 

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

before the application deadline date, to the Department at the 

following address:

U.S. Department of Education

Application Control Center

Attention: (CFDA Number 84.103A)

LBJ Basement Level 1

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.
48

(4) Any other proof of mailing acceptable to the Secretary of 

the U.S. Department of Education.

If you mail your application through the U.S. Postal Service, we 

do not accept either of the following as proof of mailing:

(1) A private metered postmark.

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

Service.

If your application is postmarked after the application deadline 

date, we will not consider your application.

Note: The U.S. Postal Service does not uniformly provide a 

dated postmark. Before relying on this method, you should check 

with your local post office.

c. Submission of Paper Applications by Hand Delivery.

If you qualify for an exception to the electronic submission 

requirement, you (or a courier service) may deliver your paper 

application to the Department by hand. You must deliver the 

original and two copies of your application by hand, on or 

before the application deadline date, to the Department at the 

following address:

U.S. Department of Education

Application Control Center

Attention: (CFDA Number 84.103A)

550 12th Street, SW.

Room 7041, Potomac Center Plaza

Washington, DC 20202-4260
49

The Application Control Center accepts hand deliveries daily 

between 8:00 a.m. and 4:30:00 p.m., Washington, DC time, except 

Saturdays, Sundays, and Federal holidays.

Note for Mail or Hand Delivery of Paper Applications: If you 

mail or hand deliver your application to the 

Department--

(1) You must indicate on the envelope and--if not provided by 

the Department--in Item 11 of the SF 424 the CFDA number, 

including suffix letter, if any, of the competition under which 

you are submitting your application; and

(2) The Application Control Center will mail to you a 

notification of receipt of your grant application. If you do 

not receive this notification within 15 business days from the 

application deadline date, you should call the U.S. Department 

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

Note: Applicants must include in the one-page abstract 

submitted with the application a statement indicating which 

competitive preference priorities they have addressed. The 

priorities addressed in the application must also be listed on 

the Training Program Profile Sheet.

V. Application Review Information

1.Selection Criteria: The selection criteria for this program 

are in 34 CFR 642.21 and are listed in the application package.
50

2. Review and Selection Process: A panel of non-Federal 

reviewers will review each application in accordance with the 

selection criteria in 34 CFR 642.21. The individual scores of 

the reviewers will be added and the sum divided by the number of 

reviewers to determine the peer review score received in the 

review process. Additionally, in accordance with 34 CFR 642.22, 

the Secretary will award prior experience points to eligible 

applicants by evaluating the applicant’s current performance 

under its expiring Training program grant. Pursuant to 34 CFR 

642.22(b)(1), prior experience points, if any, will be added to 

the application’s averaged peer review score to determine the 

total score for each application. 

Under Section 402A(c)(3) of the HEA, the Secretary is not 

required to make awards under the Training Program for Federal 

TRIO Programs in the order of the scores received by the 

application in the peer review process and adjusted for prior 

experience. 

In the event a tie score exists, the Secretary will select 

for funding the applicant that has the greatest capacity to 

provide training to eligible participants in all regions of the 

Nation in order to assure accessibility to the greatest number 

of prospective training participants, consistent with 34 CFR 

642.20(e).
51

 3. Special Conditions: Under 34 CFR 74.14 and 80.12, the 

Secretary may impose special conditions on a grant if the 

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

unsatisfactory performance; has a financial or other management 

system that does not meet the standards in 34 CFR parts 74 or 

80, as applicable; has not fulfilled the conditions of a prior 

grant; or, is otherwise not responsible.

VI. Award Administration Information

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

notify your U.S. Representative and U.S. Senators and send you a 

Grant Award Notification (GAN). We may notify you informally, 

also. 

If your application is not evaluated or not selected for 

funding, we notify you.

2. Administrative and National Policy Requirements: We 

identify administrative and national policy requirements in the 

application package and reference these and other requirements 

in the Applicable Regulations section of this notice.

We reference the regulations outlining the terms and 

conditions of an award in the Applicable Regulations section of 

this notice and include these and other specific conditions in 

the GAN. The GAN also incorporates your approved application as 

part of your binding commitments under the grant. 
52

3. Reporting: (a) If you apply for a grant under this 

competition, you must ensure that you have in place the 

necessary processes and systems to comply with the reporting 

requirements in 2 CFR part 170 should you receive funding under 

the competition. This does not apply if you have an exception 

under 2 CFR 170.110. 

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

final performance report, including financial information, as 

directed by the Secretary. If you receive a multi-year award, 

you must submit an annual performance report that provides the 

most current performance and financial expenditure information 

as directed by the Secretary under 34 CFR 75.118. The Secretary 

may also require more frequent performance reports under 34 CFR 

75.720(c). For specific requirements on reporting, please go to 

http://www.ed.gov/fund/grant/apply/appforms/appforms.html.

4. Performance Measures: The success of the Training 

Program is measured by its cost-effectiveness based on the 

number of TRIO project personnel receiving training each year; 

the percentage of Training Program participants that, each year, 

evaluate the training as benefiting them in increasing their 

qualifications and skills in meeting the needs of disadvantaged 

students; and the percentage of Training Program participants 

that, each year, evaluate the trainings as benefiting them in 

increasing their knowledge and understanding of the Federal TRIO 
53

Programs. All grantees will be required to submit an annual 

performance report documenting their success in training 

personnel working on TRIO-funded projects, including the average 

cost per trainee and the trainees’ evaluations of the 

effectiveness of the training provided. The success of the 

Training Program also is assessed on the quantitative and 

qualitative outcomes of the training projects based on project 

evaluation results.

5. Continuation Awards: In making a continuation award, 

the Secretary may consider, under 34 CFR 75.253, the extent to 

which a grantee has made “substantial progress toward meeting 

the objectives in its approved application.” This consideration 

includes the review of a grantee’s progress in meeting the 

targets and projected outcomes in its approved application, and 

whether the grantee has expended funds in a manner that is 

consistent with its approved application and budget. In making 

a continuation grant, the Secretary also considers whether the 

grantee is operating in compliance with the assurances in its 

approved application, including those applicable to Federal 

civil rights laws that prohibit discrimination in programs or 

activities receiving Federal financial assistance from the 

Department (34 CFR 100.4, 104.5, 106.4, 108.8, and 110.23).

VII. Agency Contacts
54

For Further Information Contact: Suzanne Ulmer, or if 

unavailable, contact Eileen S. Bland, U.S. Department of 

Education, 1990 K Street, NW., room 7000, Washington, DC 20006-

8510. Telephone: (202) 502-7600 or by e-mail: TRIO@ed.gov

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

or a text telephone (TTY), call the Federal Relay Service (FRS), 

toll free, at 1-800-877-8339.

VIII. Other Information

Accessible Format: Individuals with disabilities can obtain 

this document and a copy of the application package in an 

accessible format (e.g., braille, large print, audiotape, or

compact disc) on request to one of the program contact persons 

listed under For Further Information Contact in section VII of 

this notice.

Electronic Access to This Document: The official version of 

this document is the document published in the Federal Register. 

Free Internet access to the official edition of the Federal 

Register and the Code of Federal Regulations is available via 

the Federal Digital System at: www.gpo.gov/fdsys. At this site 

you can view this document, as well as other documents of this 

Department published in the Federal Register, in text or Adobe 

Portable Document Format (PDF). To use PDF, you must have Adobe 

Acrobat Reader, which is available free at this site. 
55

You may also access documents of the Department published in the 

Federal Register by using the article search feature at: 

www.federalregister.gov. Specifically, through the advanced 

search feature at this site, you can limit your search to 

documents published by the Department. 

Dated:

______________________

Brenda Dann-Messier,

Acting Assistant Secretary for

Postsecondary Education. 
56

AUTHORIZING LEGISLATION 

The Training Program for Federal TRIO Programs is authorized by the Higher Education Act 

(HEA) of 1965, as amended by the Higher Education Opportunity Act (HEOA) of 2008. An 

electronic version of the HEOA’s amendments to the HEA may be found at the Department’s 

website at the following address: http://www2.ed.gov/about/offices/list/ope/trio/statute-triogu.pdf

Please note that the official compilation of Federal law is the United States Code which is 

available from the Government Printing Office. 

The Higher Education Act of 1965 as amended by the Higher 

Education Opportunity Act of 2008

Title IV Student Assistance

Subpart 2—Federal Early Outreach and Student Services Programs

CHAPTER 1—FEDERAL TRIO PROGRAMS Sec. 403 (U.S. Code 1070a)

(a) GRANTS AND CONTRACTS AUTHORIZED.—The Secretary shall, in accordance with 

the provisions of this chapter, carry out a program of making grants and contracts designed to 

identify qualified individuals from disadvantaged backgrounds, to prepare them for a program of 

postsecondary education, to provide support services for such students who are pursuing 

programs of postsecondary education, to motivate and prepare students for doctoral programs, 

and to train individuals serving or preparing for service in programs and projects so designed.

(b) RECIPIENTS, DURATION, AND SIZE.—

(1) RECIPIENTS.— For the purposes described in subsection (a), the Secretary is 

authorized, without regard to section 3709 of the Revised Statutes (41 U.S.C. 5), to make 

grants to, and contracts with, institutions of higher education, public and private agencies 

and organizations, including community-based organizations with experience in serving 

disadvantaged youth, combinations of such institutions, agencies and organizations, and 

secondary schools, for planning, developing, or carrying out one or more of the services 

assisted under this chapter.

(2) DURATION.— Grants or contracts made under this chapter shall be awarded for a 

period of 5 years, except that—

(A) in order to synchronize the awarding of grants for programs under this 

chapter, the Secretary may, under such terms as are consistent with the purposes 

of this chapter, provide a one-time, limited extension of the length of such an 

award;

(B) grants made under section 402G shall be awarded for a period of 2 years; and

(C) grants under section 402H shall be awarded for a period determined by the 

Secretary.
57

(3) MINIMUM GRANTS. -- Unless the institution or agency requests a smaller amount, 

an individual grant authorized under this chapter shall be awarded in an amount that is 

not less than $200,000, except that an individual grant authorized under section 402G 

shall be awarded in an amount that is not less than $170,000.

(c)PROCEDURES FOR AWARDING GRANTS AND CONTRACTS.—

(1) APPLICATION REQUIREMENTS. — An eligible entity that desires to

receive a grant or contract under this chapter shall submit an application 

to the Secretary in such manner and form, and containing such information

and assurances, as the Secretary may reasonably require.

(2) CONSIDERATIONS. --

(A) PRIOR EXPERIENCE. -- In making grants under this chapter, the Secretary 

shall consider each applicant’s prior experience of ``high quality service delivery, 

as determined under subsection (f), under the particular

program for which funds are sought. The level of consideration given the

factor of prior experience shall not vary from the level of consideration

given such factor during fiscal years 1994 through 1997, except that grants

made under section 402H shall not be given prior experience

consideration.

``(B) PARTICIPANT NEED.--In making grants under this chapter, the

Secretary shall consider the number, percentages, and needs of

eligible participants in the area, institution of higher education, or

secondary school to be served to aid such participants in preparing

for, enrolling in, or succeeding in postsecondary education, as

appropriate to the particular program for which the eligible entity is

applying.

(3) ORDER OF AWARDS; PROGRAM FRAUD. —

(A) Except with respect to grants made under sections 402G and 402H and

as provided in subparagraph the Secretary shall award grants and

contracts under this chapter in the order of the scores received by the

application for such grant or contract in the peer review process required

under paragraph (4) and adjusted for prior experience in accordance with

paragraph (2) of this subsection.

(B) The Secretary shall not provide assistance to a program otherwise

eligible for assistance under this chapter, if the Secretary has determined

that such program has involved the fraudulent use of funds under this

chapter.

(4) PEER REVIEW PROCESS.—

(A) The Secretary shall ensure that, to the extent practicable, members of

groups underrepresented in higher education, including African Americans, 

Hispanics, Native Americans, Alaska Natives, Asian Americans, and Native 

American Pacific Islanders (including Native Hawaiians), are represented as 

readers of applications submitted under this chapter. The Secretary shall also 

ensure that persons from urban and rural backgrounds are represented as readers.

(B) The Secretary shall ensure that each application submitted under this
58

chapter is read by at least three readers who are not employees of the Federal 

Government (other than as readers of applications).

(5) NUMBER OF APPLICATIONS FOR GRANTS AND CONTRACTS. —

The Secretary shall not limit the number of applications submitted by an

entity under any program authorized under this chapter if the additional

applications describe programs serving different populations or different

campuses.

(6) COORDINATION WITH OTHER PROGRAMS FOR DISADVANTAGED 

STUDENTS. —

The Secretary shall encourage coordination of programs assisted under

this chapter with other programs for disadvantaged students operated by

the sponsoring institution or agency, regardless of the funding source of

such programs. The Secretary shall not limit an entity’s eligibility to receive

funds under this chapter because such entity sponsors a program similar to

the program to be assisted under this chapter, regardless of the funding

source of such program. The Secretary shall permit the Director of a

program receiving funds under this chapter to administer one or more

additional programs for disadvantaged students operated by the

sponsoring institution or agency, regardless of the funding sources of such

programs. The Secretary shall, as appropriate, require each applicant for

funds under the programs authorized by this chapter to identify and

make available services under such program, including mentoring,

tutoring, and other services provided by such program, to foster

care youth (including youth in foster are and youth who have left

foster care after reaching age 13) or to homeless children and

youths as defined in section 725 of the McKinney-Vento Homeless

Assistance Act.

(7) APPLICATION STATUS.—The Secretary shall inform each entity

operating programs under this chapter regarding the status of their

application for continued funding at least 8 months prior to the expiration of

the grant or contract. The Secretary, in the case of an entity that is

continuing to operate a successful program under this chapter, shall ensure

that the startup date for a new grant or contract for such program

immediately follows the termination of the preceding grant or contract so

that no interruption of funding occurs for such successful reapplicants. The

Secretary shall inform each entity requesting assistance under this chapter

for a new program regarding the status of their application at least 8

months prior to the proposed startup date of such program.

(8) REVIEW AND NOTIFICATION BY THE SECRETARY—

(A) GUIDANCE.-- Not later than 180 days after 

the date of enactment of the Higher Education Opportunity Act, the

Secretary shall issue Non regulatory guidance regarding the rights

and responsibilities of applicants with respect to the application and

evaluation process for programs and projects assisted under this

chapter, including applicant access to peer review comments. The

guidance shall describe the procedures for the submission,
59

processing, and scoring of applications for grants under this

chapter, including --

(i) the responsibility of applicants to submit materials in a timely

manner and in accordance with the processes established by the 

Secretary under the authority of the General Education Provisions 

Act;

``(ii) steps the Secretary will take to ensure that the materials

submitted by applicants are processed in a proper and timely

manner;

(iii) steps the Secretary will take to ensure that prior experience points 

for high quality service delivery are awarded in an accurate and 

transparent manner;

(iv) steps the Secretary will take to ensure the quality and integrity of 

the peer review process, including assurances that peer reviewers 

will consider applications for grants under this chapter in

a thorough and complete manner consistent with applicable 

Federal law; and 

(v) steps the Secretary will take to ensure that the final score of an

application, including prior experience points for high quality 

service delivery and points awarded through the peer review 

process, is determined in an accurate and transparent manner.

(B) UPDATED GUIDANCE. -- Not later than 45 days before the date of the 

commencement of each competition for a grant under this chapter that is held 

after the expiration of the 180-day period described in subparagraph (A), the 

Secretary shall update and publish the guidance described in such subparagraph.

(C) REVIEW.--

(i) IN GENERAL--With respect to any competition for a grant under 

this chapter, an applicant may request a review by the Secretary if 

the applicant—

(I) administrative, or scoring error made by the Department, an 

agent of the Department, or a peer reviewer, with respect to 

the scoring or has evidence of a specific technical, 

processing of a submitted application; and

(II) has otherwise met all of the requirements for submission of 

the application.

(ii) TECHNICAL OR ADMINISTRATIVE ERROR.—In the case of 

evidence of a technical or administrative error listed in clause 

(i)(I), the Secretary shall review such evidence and provide a 

timely response to the applicant. If the Secretary determines that a 

technical or administrative error was made by the Department or 

an agent of the Department, the application of the applicant shall 

be reconsidered in the peer review process for the applicable grant 

competition.

(iii) SCORING ERROR.--In the case of evidence of a scoring error 

listed in clause (i)(I), when the error relates to either prior 
60

experience points for high quality service delivery or to the final 

score of an application, the Secretary shall—

(I) review such evidence and provide a timely response to 

the applicant; and

(II) if the Secretary determines that a scoring error was 

made by the Department or a peer reviewer, adjust the prior 

experience points or final score of the application 

appropriately and quickly so as not to interfere with the 

timely awarding of grants for the applicable grant 

competition.

(iv)ERROR IN PEER REVIEW PROCESS.

(I) REFERRAL TO SECONDARY REVIEW. In the case 

of a peer review process error listed in clause (i)(I), if the 

Secretary determines that points were withheld for criteria 

not required in Federal statute, regulation, or guidance 

governing a program assisted under this chapter or the 

application for a grant for such program, or determines that 

information pertaining to selection criteria was wrongly 

determined missing from an application by a peer reviewer, 

then the Secretary shall refer the application to a secondary

review panel.

(II) TIMELY REVIEW; REPLACEMENT SCORE.--The 

secondary review panel described in subclause (I) shall 

conduct a secondary review in a timely fashion, and the 

score resulting from the secondary review shall replace the 

score from the initial peer review.

(III) COMPOSITION OF SECONDARY REVIEW 

PANEL.--The secondary review panel shall be composed 

of reviewers each of whom—

(aa) did not review the application in the original 

peer review;

(bb) is a member of the cohort of peer reviewers for 

the grant program that is the subject of such 

secondary review; and

(cc) to extent practicable, has conducted peer 

reviews in not less than two previous competitions 

for the grant program that is the subject of such 

secondary review.

(IV) FINAL SCORE.--The final peer review score of an 

application subject to a secondary review under this clause 

shall be adjusted appropriately and quickly using the score 

awarded by the secondary review panel, so as not to 

interfere with the timely awarding of grants for the 

applicable grant competition.

(V) QUALIFICATION FOR SECONDARY REVIEW.--

To qualify for a secondary review under this clause, an 
61

applicant shall have evidence of a scoring error and 

demonstrate that—

(aa) points were withheld for criteria not required in 

statute, regulation, or guidance governing the 

Federal TRIO programs or the application for a 

grant for such programs; or 

(bb) information pertaining to selection criteria was 

wrongly determined to be missing from the 

application.

 (v) FINALITY.--

(I) GENERAL.--A determination by the Secretary under 

clause (i),(ii), or (iii) shall not be reviewable by any officer 

or employee of the Department.

(II) SCORING.--The score awarded by a secondary review 

panel under clause (iv) shall not be reviewable by any 

officer or employee

of the Department other than the Secretary.

(vi) FUNDING OF APPLICATIONS WITH CERTAIN ADJUSTED 

SCORES.--To the extent feasible based on the availability of 

appropriations, the Secretary shall fund applications with scores that are 

adjusted upward under clauses (ii), (iii), and (iv) to equal or exceed the 

minimum cut off score for the applicable grant competition.

(d) OUTREACH.—

(1) IN GENERAL.—The Secretary shall conduct outreach activities to

ensure that entities eligible for assistance under this chapter submit

applications proposing programs that serve geographic areas and eligible

populations which have been underserved by the programs assisted under

this chapter.

(2) NOTICE.—In carrying out the provisions of paragraph(1), the Secretary

shall notify the entities described in subsection (b) of the availability of

assistance under this subsection not less than 120 days prior to the

deadline for submission of applications under this chapter and shall consult

national, State, and regional organizations about candidates for notification.

(3) TECHNICAL ASSISTANCE.—The Secretary shall provide technical

training to applicants for projects and programs authorized under this

chapter. The Secretary shall give priority to serving programs and projects

that serve geographic areas and eligible populations which have been

underserved by the programs assisted under this chapter. Technical 

training activities shall include the provision of information on

authorizing legislation, goals and objectives of the program, required

activities, eligibility requirements, the application process and application

deadlines, and assistance in the development of program proposals and

the completion of program applications. Such training shall be furnished at

conferences, seminars, and workshops to be conducted at not less than 10
62

sites throughout the United States to ensure that all areas of the United

States with large concentrations of eligible participants are served.

(4) SPECIAL RULE.—The Secretary may contract with eligible entities to

conduct the outreach activities described in this subsection.

(e) DOCUMENTATION OF STATUS AS A LOW-INCOME

INDIVIDUAL.—

(1) Except in the case of an independent student, as defined in section 480(d),

documentation of an individual’s status pursuant to subsection (h)(4) shall be made 

by providing the Secretary with—

(A) A signed statement from the individual’s parent or legal guardian;

(B) Verification from another governmental source;

(C) A signed financial aid application; or

(D) A signed United States or Puerto Rico income tax return.

(2) In the case of an independent student, as defined in section 480(d),

documentation of an individual’s status pursuant to subsection (h)(4) shall

be made by providing the Secretary with—

(A) A signed statement from the individual;

(B) Verification from another governmental source;

(C) A signed financial aid application; or

(D) A signed United States or Puerto Rico income tax return.

(3) Notwithstanding this subsection and subsection (h)(4), individuals who

are foster care youth (including youth in foster care and youth who have left

foster care after reaching age 13), * or homeless children and youths as defined in 

section 725 of the McKinney-Vento Homeless Assistance Act, shall be eligible to 

participate in programs under sections 402B, 402C, 402D, and402F.

`*appears to be a typographical error -- that the Congress intended to include youth who left foster care after 

reaching age 18.

(f) OUTCOME CRITERIA.—

(1) USE FOR PRIOR EXPERIENCE DETERMINATION.—For competitions for grants 

under this chapter that begin on or after January 1, 2009, the Secretary shall determine

an eligible entity's prior experience of high quality service delivery, as required under 

subsection (c)(2), based on the outcome criteria described in paragraphs (2) and (3).

(2) DISAGGREGATION OF RELEVANT DATA.--The outcome criteria under this 

subsection shall be disaggregated by low-income students, first generation college

students, and individuals with disabilities, in the schools and institutions of higher 

education served by the program to be evaluated.

(3) CONTENTS OF OUTCOME CRITERIA. --The outcome criteria under this 

subsection shall measure, annually and for longer periods, the quality and effectiveness 

of programs authorized under this chapter and shall include the following:

(A) For programs authorized under section 402B, the extent to which the 

eligible entity met or exceeded the entity's objectives established in the 

entity's application for such program regarding—

(i) the delivery of service to a total number of students served

by the program;
63

(ii) the continued secondary school enrollment of such student;

(iii) the graduation of such students from secondary school with

a regular secondary school diploma in the standard number of years;

(iv) the completion by such students of a rigorous secondary school

program of study that will make such students eligible for programs

such as the Academic Competitiveness Grants Program;

(v) the enrollment of such students in an institution of higher

education; and

(vi) to the extent practicable, the postsecondary education

completion of such students.

(B) For programs authorized under section 402C, the extent to which the eligible 

entity met or exceeded the entity's objectives for such program regarding—

(i) the delivery of service to a total number of students served by the

program, as agreed upon by the entity and the Secretary for the period; 

(ii) such students school performance, as measured by the grade

point average or its equivalent;

(iii) such students academic performance, as measured by standardized

tests, including tests required by the students State;

(iv) the retention in, and graduation from, secondary school of such

students;

(v) the completion by such students of a rigorous secondary school 

program of study that will make such students eligible for programs

such as the Academic Competitiveness Grants Program;

(vi) the enrollment of such students in an institution of higher

education; and

(vii) to the extent practicable, the postsecondary education completion

of such students.

(C) For programs authorized under section 402D—

(i) the extent to which the eligible entity met or exceeded the entity’s

objectives regarding the retention in postsecondary education of the 

students served by the program;

(ii)(I) in the case of an entity that is an institution of higher education

offering a baccalaureate degree, the extent to which the entity met or

exceeded the entity's objectives regarding the percentage of such students 

completion of the degree programs in which such students were enrolled; 

or 

(II) in the case of an entity that is an institution of higher education that 

does not offer a baccalaureate degree, the extent to which such students 

met or exceeded the entity's objectives regarding—

(aa) the completion of a degree or certificate by such students; and

(bb) the transfer of such students to institutions of higher education 

that offer baccalaureate degrees;

(iii) the extent to which the entity met or exceeded the entity's objectives

regarding the delivery of service to a total number of students, as agreed

upon by the entity and the Secretary for the period; and
64

(iv) the extent to which the entity met or exceeded the entity's objectives

regarding the students served under the program who remain in good 

academic standing.

(D) For programs authorized under section 402E, the extent to which the entity

met or exceeded the entity's objectives for such program regarding—

(i) the delivery of service to a total number of students served by the

program, as agreed upon by the entity and the Secretary for the period;

(ii) the provision of appropriate scholarly and research activities for the 

students served by the program;

(iii) the acceptance and enrollment of such students in graduate programs;

and

(iv) the continued enrollment of such students in graduate study and the

attainment of doctoral degrees by former program participants.

(E) For programs authorized under section 402F, the extent to which the entity

met or exceeded the entity's objectives for such program regarding—

(i) the enrollment of students without a secondary school diploma

or its recognized equivalent, who were served by the program, in

programs leading to such diploma or equivalent;

(ii) the enrollment of secondary school graduates who were served

by the program in programs of postsecondary education;

(iii) the delivery of service to a total number of students served by

the program, as agreed upon by the entity and the Secretary for the

period; and

(iv) the provision of assistance to students served by the program

in completing financial aid applications and college admission

applications.

(4) MEASUREMENT OF PROGRESS...-- In order to determine the extent to

which each outcome criterion described in paragraph (2) or (3) is met or exceeded, the 

Secretary shall compare the agreed upon target for the criterion, as established in the 

eligible entity's application approved by the Secretary, with the results for the criterion, 

measured as of the last day of the applicable time period

for the determination for the outcome criterion.

(g) AUTHORIZATION OF APPROPRIATIONS. — For the purpose of making grants and

contracts under this chapter, there are authorized to be appropriated $900,000,000 for fiscal year 

2009 and such sums as may be necessary for each of the five succeeding fiscal years. Of

the amount appropriated under this chapter, the Secretary may use no more than one half of 1 

percent of such amount to obtain additional qualified readers and additional staff to review 

applications, to increase the level of oversight monitoring, to support impact studies, program

assessments and reviews, and to provide technical assistance to potential applicants and current 

grantees. In expending these funds, the Secretary shall give priority to the additional 

administrative requirements provided in the Higher Education Amendments of 1992, to outreach

activities, and to obtaining additional readers.

(h) DEFINITIONS.—For the purpose of this chapter:

(1) FIRST GENERATION COLLEGE STUDENT.—The term ‘‘first generation
65

college student’’ means—

(A) An individual both of whose parents did not complete a baccalaureate

degree; or

(B) In the case of any individual who regularly resided with and received

support from only one parent, an individual whose only such parent did not 

complete a baccalaureate degree.

(2) LOW-INCOME INDIVIDUAL.—The term ‘‘low-income individual’’ means

an individual from a family whose taxable income for the preceding year did not

exceed 150 percent of an amount equal to the poverty level determined by using

criteria of poverty established by the Bureau of the Census.

(3) DIFFERENT CAMPUS.--The term `different campus' means a site of an

institution of higher education that—

(A) is geographically apart from the main campus of the institution;

(B) is permanent in nature; and

(C) offers courses in educational programs leading to a degree, certificate,

or other recognized educational credential.

(4) DIFFERENT POPULATION.--The term `different population' means a group

of individuals that an eligible entity desires to serve through an application for a

grant under this chapter, and that –

(A) is separate and distinct from any other population that the

entity has applied for a grant under this chapter to serve; or

(B) while sharing some of the same needs as another population that the eligible 

entity has applied for a grant under this chapter to serve, has distinct needs for 

specialized services.

(5) VETERAN ELIGIBILITY.—No veteran shall be deemed ineligible to participate

in any program under this chapter by reason of such individual’s age who—

(A) served on active duty for a period of more than 180 days, and was discharged 

or released there from under conditions other than dishonorable;

(B) served on active duty, and was discharged or released there from 

because of a service connected disability;

(C) was a member of a reserve component of the Armed Forces called to 

active duty for a period of more than 30 days; or

(D) was a member of a reserve component of the Armed Forces who served on 

active duty in support of a contingency operation (as that term is defined in 

section 101(a)(13) of title 10, United States Code) on or after September 11, 2001.

* * *

Sec. 403G HIGHER EDUCATION ACT OF 1965 20 U.S.C. 1070a–17

STAFF DEVELOPMENT ACTIVITIES.

(a) SECRETARY’S AUTHORITY.—For the purpose of improving the operation of the 

programs and projects authorized by this chapter, the Secretary is authorized to make grants

to institutions of higher education and other public and private nonprofit institutions and 

organizations to provide training for staff and leadership personnel employed in,

participating in, or preparing for employment in, such programs and projects.

(b) CONTENTS OF TRAINING PROGRAMS.—Such training shall include conferences,
66

internships, seminars, workshops, and the publication of manuals designed to improve the 

operation of such programs and projects and shall be carried out in the various regions of 

the Nation in order to ensure that the training opportunities are appropriate to meet the 

needs in the local areas being served by such programs and projects. Such training shall

be offered annually for new directors of projects funded under this chapter as well as annually

on the following topics and other topics chosen by the Secretary:

(1) Legislative and regulatory requirements for the operation of programs funded

under this chapter.

(2) Assisting students in receiving adequate financial aid from programs assisted

under this title and other programs.

(3) The design and operation of model programs for projects funded under this

chapter.

(4) The use of appropriate educational technology in the operation of projects

assisted under this chapter.

(5) Strategies for recruiting and serving hard to reach populations, including students

who are limited English proficient, students from groups that are traditionally

underrepresented in postsecondary education, students with disabilities, students who 

are homeless children and youths (as such term is defined in section 725 of the

McKinney-Vento Homeless Assistance Act (42 U.S.C. 11434a)), students who are in 

foster care or are aging out of the foster care system, or other disconnected students.

(c) CONSULTATION.—Grants for the purposes of this section shall be made only after 

consultation with regional and State professional associations of persons having special 

knowledge with respect to the needs and problems of such programs and projects.
67

TRAINING PROGRAM REGULATIONS

TITLE 34—EDUCATION

CHAPTER VI—OFFICE OF POSTSECONDARY EDUCATION, 

DEPARTMENT OF EDUCATION

PART 642—TRAINING PROGRAM FOR FEDERAL TRIO PROGRAMS

Section Contents

Subpart A—General

§ 642.1 What is the Training Program for Federal TRIO Programs?

§ 642.2 Who are eligible applicants?

§ 642.3 Who are eligible participants?

§ 642.4 How long is a project period?

§ 642.5 What regulations apply?

§ 642.6 What definitions apply?

§ 642.7 How many applications may an eligible applicant submit?

Subpart B—What Types of Projects and Activities Does the Secretary Assist Under This Program?

§ 642.10 What types of projects does the Secretary assist?

§ 642.11 What activities does the Secretary assist?

§ 642.12 What activities may a project conduct?

Subpart C—How Does the Secretary Make a Grant?

§ 642.20 How does the Secretary evaluate an application for a new award?

§ 642.21 What selection criteria does the Secretary use?

§ 642.22 How does the Secretary evaluate prior experience?

§ 642.23 How does the Secretary ensure geographic distribution of awards?

§ 642.24 What are the Secretary's priorities for funding?

§ 642.25 What is the review process for unsuccessful applicants?

§ 642.26 How does the Secretary set the amount of a grant?

Subpart D—What Conditions Must Be Met by a Grantee?

§ 642.30 What are allowable costs?

§ 642.31 What are unallowable costs?

Authority: 20 U.S.C. 1070a–11 and 1070a–17, unless otherwise noted. 

Source: 47 FR 17788, Apr. 23, 1982, unless otherwise noted. 
68

Subpart A—General

§ 642.1 What is the Training Program for Federal TRIO Programs?

The Training Program for Federal TRIO programs, referred to in these regulations as the Training 

program, provides Federal financial assistance to train the leadership personnel and staff employed in, or 

preparing for employment in, Federal TRIO program projects.

(Authority: 20 U.S.C. 1070a–17)

[75 FR 65771, Oct. 26, 2010]

§ 642.2 Who are eligible applicants?

The following are eligible to apply for a grant to carry out a Training Program project:

(a) Institutions of higher education.

(b) Public and private nonprofit agencies and organizations.

(Authority: 20 U.S.C. 1070a–17)

[47 FR 17788, Apr. 23, 1982, as amended at 58 FR 51519, Oct. 1, 1993]

§ 642.3 Who are eligible participants?

The following are eligible for training under this program:

(a) Leadership personnel and full and part-time staff members of projects funded under the Federal TRIO 

Programs.

(b) Individuals preparing for employment as leadership personnel or staff in projects funded under the 

Federal TRIO Programs.

(Authority: 20 U.S.C. 1070a–17)

[47 FR 17788, Apr. 23, 1982, as amended at 58 FR 51519, Oct. 1, 1993; 75 FR 65771, Oct. 26, 2010]

§ 642.4 How long is a project period?

A project period under the Training program is two years.

(Authority: 20 U.S.C. 1070a–11(b))

[75 FR 65771, Oct. 26, 2010]

§ 642.5 What regulations apply?

The following regulations apply to the Training Program:
69

(a) The Education Department General Administrative Regulations (EDGAR) in 34 CFR parts 74, 75 

(except for §§75.215 through 75.221), 77, 79, 80, 82, 84, 85, 86, 97, 98, and 99.

(b) The regulations in this part 642.

(Authority: 20 U.S.C. 1070a–11 and 1070–17)

[47 FR 17788, Apr. 23, 1982, as amended at 58 FR 51519, Oct. 1, 1993. Redesignated and amended at 

75 FR 65771, Oct. 26, 2010]

§ 642.6 What definitions apply?

(a) Definitions in EDGAR. The following terms used in this part are defined in 34 CFR part 77:

Applicant

Application

Award

Budget

EDGAR

Equipment

Facilities

Fiscal year

Grant

Grantee

Nonprofit

Private

Project

Project period

Public

Secretary

State

Supplies

(b) Definitions that apply to this part. 
70

Act means the Higher Education Act of 1965, as amended.

Federal TRIO programs means those programs authorized under section 402A of the Act: the Upward 

Bound, Talent Search, Student Support Services, Educational Opportunity Centers, and Ronald E. 

McNair Postbaccalaureate Achievement programs.

Foster care youth means youth who are in foster care or who are aging out of the foster care system.

Homeless children and youth means persons defined in section 725 of the McKinney-Vento Homeless 

Assistance Act (42 U.S.C. 11434a).

Individual with a disability means a person who has a disability, as that term is defined in section 12102 of 

the Americans with Disabilities Act (42 U.S.C. 12101 et seq. ).

Institution of higher education means an educational institution as defined in sections 101 and 102 of the 

Act.

Leadership personnel means project directors, coordinators, and other individuals involved with the 

supervision and direction of projects funded under the Federal TRIO programs.

Veteran means a person who—

(1) Served on active duty as a member of the Armed Forces of the United States for a period of more 

than 180 days and was discharged or released under conditions other than dishonorable;

(2) Served on active duty as a member of the Armed Forces of the United States and was discharged or 

released because of a service connected disability;

(3) Was a member of a reserve component of the Armed Forces of the United States and was called to 

active duty for a period of more than 30 days; or

(4) Was a member of a reserve component of the Armed Forces of the United States who served on 

active duty in support of a contingency operation (as that term is defined in section 101(a)(13) of title 10, 

United States Code) on or after September 11, 2001.

(Authority: 20 U.S.C. 1001 et seq., 1070a–11, 1070(b), 1088, and 1141)

[47 FR 17788, Apr. 23, 1982, as amended at 54 FR 7737, Feb. 22, 1989; 57 FR 9005, Mar. 13, 1992; 58 

FR 51519, Oct. 1, 1993; 75 FR 65771, Oct. 26, 2010]

§ 642.7 How many applications may an eligible applicant submit?

An applicant may submit more than one application for Training grants as long as each application 

describes a project that addresses a different absolute priority from §642.24 that is designated in the 

Federal Register Notice inviting applications.

(Authority: 20 U.S.C. 1221e–3)

[75 FR 65771, Oct. 26, 2010]

Subpart B—What Types of Projects and Activities Does the Secretary Assist Under This Program?
71

Source: 75 FR 65771, Oct. 26, 2010, unless otherwise noted. 

§ 642.10 What types of projects does the Secretary assist?

The Secretary assists projects that train the leadership personnel and staff of projects funded under the 

Federal TRIO Programs to enable them to operate those projects more effectively.

(Authority: 20 U.S.C. 1070a–17)

§ 642.11 What activities does the Secretary assist?

(a) Each year, one or more Training Program projects must provide training for new project directors.

(b) Each year, one or more Training Program projects must offer training covering the following topics:

(1) The legislative and regulatory requirements for operating projects funded under the Federal TRIO 

programs.

(2) Assisting students to receive adequate financial aid from programs assisted under title IV of the Act 

and from other programs.

(3) The design and operation of model programs for projects funded under the Federal TRIO programs.

(4) The use of appropriate educational technology in the operation of projects funded under the Federal 

TRIO programs.

(5) Strategies for recruiting and serving hard to reach populations, including students who are limited 

English proficient, students from groups that are traditionally underrepresented in postsecondary 

education, students who are individuals with disabilities, students who are homeless children and youths, 

students who are foster care youth, or other disconnected students.

(Authority: 20 U.S.C. 1070a–17)

§ 642.12 What activities may a project conduct?

A Training program project may include on-site training, on-line training, conferences, internships, 

seminars, workshops, and the publication of manuals designed to improve the operations of Federal 

TRIO program projects.

(Authority: 20 U.S.C. 1070a–17(b))

Subpart C—How Does the Secretary Make a Grant?

Source: Redesignated at 75 FR 65772, Oct. 26, 2010, unless otherwise noted. 

§ 642.20 How does the Secretary evaluate an application for a new award?

(a) The Secretary evaluates an application on the basis of the criteria in §642.21.

(1) The Secretary awards up to 75 points for these criteria.
72

(2) The maximum possible score for each complete criterion is indicated in the parentheses next to the 

heading of that criterion.

(b) In addition, for an applicant who is conducting a Training program in the fiscal year immediately prior 

to the fiscal year for which the applicant is applying, the Secretary evaluates the applicant's prior 

experience (PE) of high quality service delivery, as provided in §642.22, based on the applicant's 

performance during the first project year of that expiring Training program grant.

(c) The Secretary selects applications for funding within each specific absolute priority established for the 

competition in rank order on the basis of the score received by the application in the peer review process.

(d) Within each specific absolute priority, if there are insufficient funds to fund all applications at the next 

peer review score, the Secretary adds the PE points awarded under §642.22 to the peer review score to 

determine an adjusted total score for those applications. The Secretary makes awards at the next peer 

review score to the applications that have the highest total adjusted score.

(e) In the event a tie score still exists, the Secretary will select for funding the applicant that has the 

greatest capacity to provide training to eligible participants in all regions of the Nation, consistent with 

§642.23.

(Authority: 20 U.S.C. 1070d, 1070d-1d)

[47 FR 17788, Apr. 23, 1982.Redesignated and amended at 75 FR 65772, Oct. 26, 2010]

§ 642.21 What selection criteria does the Secretary use?

The Secretary uses the criteria in paragraphs (a) through (f) of this section to evaluate applications:

(a) Plan of operation. (20 points) (1) The Secretary reviews each application for information that shows 

the quality of the plan of operation for the project.

(2) The Secretary looks for information that shows—

(i) High quality in the design of the project;

(ii) An effective plan of management that insures proper and efficient administration of the project;

(iii) A clear description of how the objectives of the project relate to the purpose of the program;

(iv) The way the applicant plans to use its resources and personnel to achieve each objective; and

(v) A clear description of how the applicant will provide equal access and treatment for eligible project 

participants who are members of groups that have been traditionally underrepresented, such as—

(A) Members of racial or ethnic minority groups;

(B) Women;

(C) Individuals with disabilities; and

(D) The elderly.
73

(b) Quality of key personnel. (20 points) (1) The Secretary reviews each application for information that 

shows the qualifications of the key personnel the applicant plans to use on the project.

(2) The Secretary looks for information that shows—

(i) The qualifications of the project director;

(ii) The qualifications of each of the other key personnel to be used in the project;

(iii) The time that each person referred to in paragraphs (b)(2)(i) and (ii) of this section plans to commit to 

the project; and

(iv) The extent to which the applicant, as part of its nondiscriminatory employment practices, encourages 

applications for employment from persons who are members of groups that have been traditionally 

underrepresented, such as—

(A) Members of racial or ethnic minority groups;

(B) Women;

(C) Individuals with disabilities; and

(D) The elderly.

(3) To determine the qualifications of a person, the Secretary considers evidence of past experience and 

training, in fields related to the objectives of the project, as well as other information that the applicant 

provides.

(c) Budget and cost effectiveness. (10 points) (1) The Secretary reviews each application for information 

that shows that the project has an adequate budget and is cost effective.

(2) The Secretary looks for information that shows—

(i) The budget for the project is adequate to support the project activities; and

(ii) Costs are reasonable in relation to the objectives of the project.

(d) Evaluation plan. (10 points) (1) The Secretary reviews each application for information that shows the 

quality of the evaluation plan for the project.

(2) The Secretary looks for information that shows methods of evaluation that are appropriate for the 

project and, to the extent possible, are objective and produce data that are quantifiable.

(e) Adequacy of resources. (15 points)

(1) The Secretary reviews each application for information that shows that the applicant plans to devote 

adequate resources to the project.

(2) The Secretary looks for information that shows—

(i) The facilities that the applicant plans to use are adequate; and
74

(ii) The equipment and supplies that the applicant plans to use are adequate.

(Approved by the Office of Management and Budget under control number 1840—NEW1) 

(Authority: 20 U.S.C. 1070a–11 and 1070a–17)

[47 FR 17788, Apr. 23, 1982, as amended at 58 FR 51519, Oct. 1, 1993. Redesignated and amended at 

75 FR 65772, Oct. 26, 2010]

Effective Date Note: At 58 FR 51519, Oct. 1, 1993 in §642.31, paragraph (f)(2)(i) was amended by 

removing “Special Programs” and adding “Federal TRIO Programs” in their place, and (f)(2)(iii) was 

revised. This section contains information collection and recordkeeping requirements and will not become 

effective until approval has been given by the Office of Management and Budget. 

§ 642.22 How does the Secretary evaluate prior experience?

(a) In the case of an application described in §642.20(b), the Secretary—

(1) Evaluates the applicant's performance under its expiring Training program grant;

(2) To determine the number of PE points to be awarded, uses the approved project objectives for the 

applicant's expiring Training program grant and the information the applicant submitted in its annual 

performance report (APR); and

(3) May adjust a calculated PE score or decide not to award PE points if other information such as audit 

reports, site visit reports, and project evaluation reports indicate the APR data used to calculate PE are 

incorrect.

(b)(1) The Secretary may add from 1 to 15 points to the point score obtained on the basis of the selection 

criteria in §642.21, based on the applicant's success in meeting the administrative requirements and 

programmatic objectives of paragraph (e) of this section.

(2) The maximum possible score for each criterion is indicated in the parentheses preceding the criterion.

(c) The Secretary awards no PE points for a given year to an applicant that does not serve at least 90 

percent of the approved number of participants. For purposes of this section, the approved number of 

participants is the total number of participants the project would serve as agreed upon by the grantee and 

the Secretary.

(d) For the criterion specified in paragraph (e)(1) of this section (Number of participants), the Secretary 

awards no PE points if the applicant did not serve at least the approved number of participants.

(e) The Secretary evaluates the applicant's PE on the basis of the following criteria:

(1) (4 points) Number of participants. Whether the applicant provided training to no less than the 

approved number of participants.

(2) Training objectives. Whether the applicant met or exceeded its objectives for:

(i) (4 points) Assisting the participants in developing increased qualifications and skills to meet the needs 

of disadvantaged students.
75

(ii) (4 points) Providing the participants with an increased knowledge and understanding of the Federal 

TRIO programs.

(3) (3 points) Administrative requirements. Whether the applicant met all the administrative requirements 

under the terms of the expiring grant, including recordkeeping, reporting, and financial accountability.

(Approved by the Office of Management and Budget under control number 1894–0003) 

(Authority: 20 U.S.C. 1070a–11)

[Redesignated and amended at 75 FR 65772, Oct. 26, 2010]

§ 642.23 How does the Secretary ensure geographic distribution of awards?

The Secretary, to the greatest extent possible, awards grants for Training Program projects that will be 

carried out in all of the regions of the Nation in order to assure accessibility to prospective training 

participants.

(Authority: 20 U.S.C. 1070a–17)

[Redesignated at 75 FR 65772, Oct. 26, 2010]

§ 642.24 What are the Secretary's priorities for funding?

(a) The Secretary, after consultation with regional and State professional associations of persons having 

special knowledge with respect to the training of Special Programs personnel, may select one or more of 

the following subjects as training priorities:

(1) Basic skills instruction in reading, mathematics, written and oral communication, and study skills.

(2) Counseling.

(3) Assessment of student needs.

(4) Academic tests and testing.

(5) College and university admissions policies and procedures.

(6) Cultural enrichment programs.

(7) Career planning.

(8) Tutorial programs.

(9) Retention and graduation strategies.

(10) Strategies for preparing students for doctoral studies.

(11) Project evaluation.

(12) Budget management.
76

(13) Personnel management.

(14) Reporting student and project performance.

(15) Coordinating project activities with other available resources and activities.

(16) General project management for new directors.

(17) Statutory and regulatory requirements for the operation of projects funded under the Federal TRIO 

programs.

(18) Assisting students in receiving adequate financial aid from programs assisted under title IV of the Act 

and from other programs.

(19) The design and operation of model programs for projects funded under the Federal TRIO programs.

(20) The use of appropriate educational technology in the operation of projects funded under the Federal 

TRIO programs.

(21) Strategies for recruiting and serving hard to reach populations, including students who are limited 

English proficient, students from groups that are traditionally underrepresented in postsecondary 

education, students who are individuals with disabilities, students who are homeless children and youths, 

students who are foster care youth, or other disconnected students.

(b) The Secretary annually funds training on the subjects listed in paragraphs (a)(17), (a)(18), (a)(19), 

(a)(20), and (a)(21) of this section.

(c) The Secretary designates one or more of the training priorities from paragraph (a) of this section in the 

Federal Register Notice inviting applications for the competition.

(Authority: 20 U.S.C. 1070a–11 and 1070a–17)

[Redesignated and amended at 75 FR 65773, Oct. 26, 2010]

§ 642.25 What is the review process for unsuccessful applicants?

(a) Technical or administrative error for applications not reviewed. (1) An applicant whose grant 

application was not evaluated during the competition may request that the Secretary review the 

application if—

(i) The applicant has met all of the application submission requirements included in the Federal Register

notice inviting applications and the other published application materials for the competition; and

(ii) The applicant provides evidence demonstrating that the Department or an agent of the Department 

made a technical or administrative error in the processing of the submitted application.

(2) A technical or administrative error in the processing of an application includes—

(i) A problem with the system for the electronic submission of applications that was not addressed in 

accordance with the procedures included in the Federal Register notice inviting applications for the 

competition;
77

(ii) An error in determining an applicant's eligibility for funding consideration, which may include, but is not 

limited to—

(A) An incorrect conclusion that the application was submitted by an ineligible applicant;

(B) An incorrect conclusion that the application exceeded the published page limit;

(C) An incorrect conclusion that the applicant requested funding greater than the published maximum 

award; or

(D) An incorrect conclusion that the application was missing critical sections of the application; and

(iii) Any other mishandling of the application that resulted in an otherwise eligible application not being 

reviewed during the competition.

(3)(i) If the Secretary determines that the Department or the Department's agent made a technical or 

administrative error, the Secretary has the application evaluated and scored.

(ii) If the total score assigned the application would have resulted in funding of the application during the 

competition and the program has funds available, the Secretary funds the application prior to the reranking of applications based on the second peer review of applications described in paragraph (c) of this 

section.

(b) Administrative or scoring error for applications that were reviewed. (1) An applicant that was not 

selected for funding during a competition may request that the Secretary conduct a second review of the 

application if—

(i) The applicant provides evidence demonstrating that the Department, an agent of the Department, or a 

peer reviewer made an administrative or scoring error in the review of its application; and

(ii) The final score assigned to the application is within the funding band described in paragraph (d) of this 

section.

(2) An administrative error relates to either the PE points or the scores assigned to the application by the 

peer reviewers.

(i) For PE points, an administrative error includes mathematical errors made by the Department or the 

Department's agent in the calculation of the PE points or a failure to correctly add the earned PE points to 

the peer reviewer score.

(ii) For the peer review score, an administrative error is applying the wrong peer reviewer scores to an 

application.

(3)(i) A scoring error relates only to the peer review process and includes errors caused by a reviewer 

who, in assigning points—

(A) Uses criteria not required by the applicable law or program regulations, the Federal Register notice 

inviting applications, the other published application materials for the competition, or guidance provided to 

the peer reviewers by the Secretary; or

(B) Does not consider relevant information included in the appropriate section of the application.
78

(ii) The term “scoring error” does not include—

(A) A peer reviewer's appropriate use of his or her professional judgment in evaluating and scoring an 

application;

(B) Any situation in which the applicant did not include information needed to evaluate its response to a 

specific selection criterion in the appropriate section of the application as stipulated in the 

Federal Register notice inviting applications or the other published application materials for the 

competition; or

(C) Any error by the applicant.

(c) Procedures for the second review. (1) To ensure the timely awarding of grants under the competition, 

the Secretary sets aside a percentage of the funds allotted for the competition to be awarded after the 

second review is completed.

(2) After the competition, the Secretary makes new awards in rank order as described in §642.20 based 

on the available funds for the competition minus the funds set aside for the second review.

(3) After the Secretary issues a notification of grant award to successful applicants, the Secretary notifies 

each unsuccessful applicant in writing as to the status of its application and the funding band for the 

second review and provides copies of the peer reviewers' evaluations of the applicant's application and 

the applicant's PE score, if applicable.

(4) An applicant that was not selected for funding following the competition as described in paragraph 

(c)(2) of this section and whose application received a score within the funding band as described in 

paragraph (d) of this section, may request a second review if the applicant demonstrates that the 

Department, the Department's agent, or a peer reviewer made an administrative or scoring error as 

provided in paragraph (b) of this section.

(5) An applicant whose application was not funded after the first review as described in paragraph (c)(2) 

of this section and whose application received a score within the funding band as described in paragraph 

(d) of this section has at least 15 calendar days after receiving notification that its application was not 

funded in which to submit a written request for a second review in accordance with the instructions and 

due date provided in the Secretary's written notification.

(6) An applicant's written request for a second review must be received by the Department or submitted 

electronically to a designated e-mail or Web address by the due date and time established by the 

Secretary.

(7) If the Secretary determines that the Department or the Department's agent made an administrative 

error that relates to the PE points awarded, as described in paragraph (b)(2)(i) of this section, the 

Secretary adjusts the applicant's PE score to reflect the correct number of PE points. If the adjusted score 

assigned to the application would have resulted in funding of the application during the competition and 

the program has funds available, the Secretary funds the application prior to the re-ranking of applications 

based on the second peer review of applications described in paragraph (c)(9) of this section.

(8) If the Secretary determines that the Department, the Department's agent or the peer reviewer made 

an administrative error that relates to the peer reviewers' score(s), as described in paragraph (b)(2)(ii) of 

this section, the Secretary adjusts the applicant's peer reviewers' score(s) to correct the error. If the 

adjusted score assigned to the application would have resulted in funding of the application during the 

competition and the program has funds available, the Secretary funds the application prior to the re-
79

ranking of applications based on the second peer review of applications described in paragraph (c)(9) of 

this section.

(9) If the Secretary determines that a peer reviewer made a scoring error, as described in paragraph 

(b)(3) of this section, the Secretary convenes a second panel of peer reviewers in accordance with the 

requirements in section 402A(c)(8)(C)(iv)(III) of the HEA.

(10) The average of the peer reviewers' scores from the second peer review are used in the second 

ranking of applications. The average score obtained from the second peer review panel is the final peer 

reviewer score for the application and will be used even if the second review results in a lower score for 

the application than that obtained in the initial review.

(11) For applications in the funding band, the Secretary funds these applications in rank order based on 

adjusted scores and the available funds that have been set aside for the second review of applications.

(d) Process for establishing a funding band. (1) For each competition, the Secretary establishes a funding 

band for the second review of applications.

(2) The Secretary establishes the funding band for each competition based on the amount of funds the 

Secretary has set aside for the second review of applications.

(3) The funding band is composed of those applications—

(i) With a rank-order score before the second review that is below the lowest score of applications funded 

after the first review; and

(ii) That would be funded if the Secretary had 150 percent of the funds that were set aside for the second 

review of applications for the competition.

(e) Final decision. (1) The Secretary's determination of whether the applicant has met the requirements 

for a second review and the Secretary's decision on re-scoring of an application are final and not subject 

to further appeal or challenge.

(2) An application that scored below the established funding band for the competition is not eligible for a 

second review.

(Approved by the Office of Management and Budget under control number 1840–NEW1) 

(Authority: 20 U.S.C. 1070a–11)

[75 FR 65773, Oct. 26, 2010]

§ 642.26 How does the Secretary set the amount of a grant?

(a) The Secretary sets the amount of a grant on the basis of—

(1) 34 CFR 75.232 and 75.233, for a new grant; and

(2) 34 CFR 75.253, for the second year of a project period.
80

(b) The Secretary uses the available funds to set the amount of the grant at the lesser of—

(1) 170,000; or

(2) The amount requested by the applicant.

[75 FR 65774, Oct. 26, 2010]

Subpart D—What Conditions Must Be Met by a Grantee?

Source: Redesignated at 75 FR 65772, Oct. 26, 2010, unless otherwise noted. 

§ 642.30 What are allowable costs?

Allowable project costs may include the following costs reasonably related to carrying out a Training 

Program project:

(a) Rental of space, if space is not available at a sponsoring institution and if the space is not owned by a 

sponsoring institution.

(b) Printing.

(c) Postage.

(d) Purchase or rental of equipment.

(e) Consumable supplies.

(f) Transportation costs for participants and training staff.

(g) Lodging and subsistence costs for participants and training staff.

(h) Transportation costs, lodging and subsistence costs and fees for consultants, if any.

(i) Honorariums for speakers who are not members of the staff or consultants to the project.

(j) Other costs that are specifically approved in advance and in writing by the Secretary.

(Authority: 20 U.S.C. 1070a–11 and 1070a–17)

[47 FR 17788, Apr. 23, 1982. Redesignated and amended at 75 FR 65774, Oct. 26, 2010]

§ 642.31 What are unallowable costs?

Costs that may not be charged against a grant under this program include the following:

(a) Research not directly related to the evaluation or improvement of the project.

(b) Construction, renovation, or remodeling of any facilities.
81

(c) Stipends, tuition fees, and other direct financial assistance to trainees other than those participating in 

internships.

(Authority: 20 U.S.C. 1070a–11 and 1070a–17)

[47 FR 17788, Apr. 23, 1982. Redesignated and amended at 75 FR 65774, Oct. 26, 2010]
82

Expectations of Successful Applicants

 Project Directors’ Meeting

All successful applicants will be required to attend a Training Program Project Directors’ 

Meeting in Washington, D.C. in the fall of 2014. The reason for this meeting will be to 

clarify the purpose of the trainings under each priority and the expectations that the 

Department has of its grantees. In the budget section of the application, the applicants 

should include funds for travel to Washington, D.C. to attend this one-day meeting.

 Coordinating Trainings

Successful applicants will be asked to coordinate the dates and locations of the training 

to be provided with the Lead Training Program Specialist to ensure that training 

sessions do not overlap and are located and scheduled at times and places that will 

allow as many participants as possible to attend. Additionally, any necessary changes 

to the dates or locations must be approved by the Lead Training Program Specialist. 

 Training for new TRIO project staff

Each year, each successful applicant must provide at least one training session on 

each topic listed within the specific priority for which the grant was awarded that is 

tailored to the needs of TRIO project personnel with less than two years of TRIO project 

experience.

 Training Materials

FY 2014 Training Program grantees will be asked to share their training materials with 

the Department at the end of each project year. 

 Reporting Requirements

Each successful applicant must agree to collect data and maintain records over the 

course of the grant period. The Department has established the following performance 

indicators for the Training Program through which the success of the program is 

measured: (1) the cost-effectiveness, based on the number of TRIO project personnel 

receiving training each year; (2) the percentage of Training Program participants that, 

each year, evaluate the training as benefiting them in increasing their qualifications and 

skills in meeting the needs of disadvantaged students; and (3) the percentage of 

Training Program participants that, each year, evaluate the trainings as benefiting them 

in increasing their knowledge and understanding of the Federal TRIO Programs. 

As part of the annual performance report, grantees must report the number of 

participants they served as well as the names of the participants’ projects and 

institutions. The Department will collect this and other grant information annually, or 

twice during the grant period of Training Program grantees. 
83

Additionally, EDGAR, 34 CFR section 74.25, requires grantees to communicate with 

and obtain approval from the Lead Training Program Specialist when they seek a 

change in key personnel, the objectives of the project, or the scope of the project, 

including changes in dates or locations of training sessions. In general, when uncertain, 

it is always best to communicate with the Lead Training Program Specialist to verify 

compliance and appropriate grant management.
84

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: 

http://www.whitehouse.gov/omb/grants_spoc

Absent specific State review programs, applicants may submit comments directly to the 

Department. All recommendations and comments must be mailed or hand-delivered by 

the date indicated in the actual application Notice to the following address: The 

Secretary, EO 12372--CFDA# [commenter must insert number--including suffix letter, if 

any], U.S. Department of Education, room 7E200, 400 Maryland Avenue, SW., 

Washington, DC 20202.

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

§75.102). Recommendations or comments may be hand-delivered until 4:30 p.m. 

(Eastern Time) on the closing date indicated in this Notice.

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

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

address.
85

SUPPLEMENTAL INFORMATION

The following supplements the information provided in the “Dear Applicant” letter and 

the Notice. 

1. Estimated Funding

 Estimated Available Funds for New Awards: $1,400,000

 Estimated Range of Awards: $225,000 - $325,000

 Estimated Average Size of Awards: $265,000

 Estimated Number of New Awards: 5

The Department is not bound by these estimates. 

2. Intergovernmental Review of Federal Programs

Intergovernmental Review of Federal Programs was issued to foster an 

intergovernmental partnership and to strengthen federalism by relying on state 

and local processes for the coordination and review of proposed Federal financial 

assistance.

Applicants must contact the appropriate State Single Point of Contact to find out 

about, and to comply with, the State’s process under Executive Order 12372. A 

listing of the Single Point of Contact for each State may be viewed at: 

http://www.whitehouse.gov/OMB/grants/spoc.html.

3. Length of New Award

Applicants for new awards may apply for two years (24 months) of funding.

4. Training Program Assurances

All applications must comply with the Training Program legislative and regulatory 

requirements. The assurances are included in the application package and 

must be signed by a certifying official and uploaded into the Other Attachments 

Form in Grants.gov. By submitting a Training Program application, an applicant 

certifies that it has read the assurances and will fully comply with the 

requirements.

5. Training Program Profile 

All applicants must provide the information requested on this form. The Training

Program Profile form contains standardized objectives. Applicants are required 

to propose the percentage at which each of the standardized objectives will be 

attained. On the Training Program Profile form, you must fill in the blanks 
86

indicating the percentage level of achievement for each of the objectives. You 

may not modify, amend or delete any of these objectives. 

Applicants must copy and paste the Training Program Profile form into a 

separate document, or otherwise recreate the page exactly as it appears. 

Complete the form, save it to your computer and attach it to the Other 

Attachments Form as a .pdf document only. Do not modify or amend the 

language on the form in any way. 

6. Evaluation of Applications for Awards

A panel of three non-federal reviewers will review each application in accordance 

with the selection criteria and competitive preference priorities. Each reviewer 

will prepare a written evaluation of the information presented in the project 

narrative section of the application. Each reviewer will also prepare a written 

evaluation of the information presented and assign points for any or all of the 

competitive preference priorities addressed in a separate section of the 

application submission.

All applications for grants under the Training Program will be evaluated as new 

submissions according to the selection criteria listed in the program regulations 

(34 CFR 642).

7. Selection Criteria

The selection criteria in 34 CFR, Part 642, as amended by the final regulations 

published on October 26, 2010, are used to evaluate applications. 

8. Applicant Funding

Applicants should pay close attention to the “Maximum Award” section of the 

Notice. The Department will reject any application that proposes a budget 

exceeding the maximum amount specified for the specific project type as 

indicated in the Notice. 

9. Prior Experience

In accordance with 34 CFR 642.22, the Secretary will award prior experience 

points to applicants that have conducted a TRIO Training Program project during 

these fiscal years: 2011-2012, 2012-2013 and 2013-2014. Based on the 

applicant’s documented experience set forth in the annual performance reports, 

up to 15 prior experience points will be added to the application’s averaged 

reviewer score to determine the total score for each application and the total 

score will be used in funding decisions as described in the Notice.
87

10. Selection of Grantees

The Secretary will select applications for funding in rank order, based on the 

applications’ total score for the selection criteria and competitive preference 

priorities plus, if applicable, any points earned for prior experience, pursuant to 

34 CFR sections 642.22. If there are insufficient funds for all applications with 

the same total scores, the Secretary will choose among the tied applications so 

as to serve geographical areas that have been underserved by the Training

Program.

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

Congress regarding applications approved for new Training Program grants. 

Successful applicants will receive award notices by mail shortly after the 

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

Congress is notified.

11. Expectations of Successful Grantees

Please see the section titled Expectations of Successful Grantees in this 

application package.

12. Notice to Unsuccessful Applicants

Unsuccessful applicants will be notified in writing following the notice to 

successful applicants.

13. Second Review Process

To implement the legislative requirements for a second review of unsuccessful 

applications, the Department has a two-slate process. After the peer review of 

applications and the awarding of PE points, as applicable, the Department will 

rank all the applications. The Department then will establish a funding band to 

determine the percentage of the total funds allotted for the competition that will 

be set aside for the second review. The determination of the percentage of funds 

to be reserved for the second review and the applications to be included in the 

funding band will be based on the distribution of application scores. The funding 

band will include all of the applications with a rank-order score that is 1) below 

the lowest score of applications funded after the first review and 2) that would be 

funded if the Secretary had 150 percent of the funds that were set aside for the 

second review.

Only applicants whose applications scored within the funding band will be eligible 

for the second review. In addition, those applicants deemed eligible for the 

second review will have to provide evidence demonstrating that the Department, 

an agent of the Department, or a peer reviewer made an administrative or 

scoring error (as defined in the regulations) in the review of its application. The 
88

guidelines and criteria for the second review process are included in the Training

Program Regulations (34 CFR 642.25).

14. Annual Performance Report Requirements 

If you receive a FY 2014 new grant award, you will be required to submit annual 

performance reports (APR) during the two-year funding cycle. This APR collects 

data about funded projects to enable program specialists to determine if a 

grantee is making substantial progress toward meeting approved project 

objectives. 

15. Contact Information

For Training Program-related questions and assistance, please contact:

Program Specialist: Suzanne Ulmer

Address: Federal TRIO Programs

U.S. Department of Education

1990 K Street, N.W., Room 7000

Washington, D.C. 20006-8510

Telephone: (202) 502-7789

Fax: (202) 502-7857

E-mail Address: suzanne.ulmer@ed.gov

or

Division Director: Katie Blanding

Address: Federal TRIO Programs

U.S. Department of Education

1990 K Street, N.W., Suite 7000

Washington, D.C. 20006-8510

Telephone: (202) 217-7049

Fax: (202) 502-7857

E-mail Address: eileen.bland@ed.gov

For Grants.gov-related questions and assistance, please contact:

Support Desk:Grants.gov Support Desk

Telephone:(800) 518-4726

Hours: 24 hours, 7 days a week, except Federal holidays

Email: support@grants.gov
89

Training Program Profile

Instructions: All applicants must complete this form and attach it to the Other 

Attachments Form in the application package in Grants.gov (as a .pdf document). 

DO NOT MODIFY THE CONTENTS OF THIS FORM.

Absolute Priority Number for which you are applying for a grant: Priority #__________

_____Competitive Preference Priority 1: Increasing Postsecondary Success

_____Competitive Preference Priority 2: Improving Productivity 

Institution/Organization (Legal Name)

______________________________________________________________________

Address where the project will be located/headquartered:

Street: __________________________________________________________

City: ___________________________________________________________

State: _________ Zip Code: __________

ONLY applicants who received funding in project year 2012-2013, as part of Training 

Program grants awarded in FY 2012, must provide the award number(s) for the 

corresponding priority for which they are applying for a grant. That award number is 

located in Item 5 of the Grant Award Notification. (Applicants that have not received an 

award under the specific priority for which they are applying for a grant under the FY 

2014 competition should leave this blank.) 

P103A12__________________

Annual Program Objectives: Please fill in the proposed number or percent – as 

indicated - for each objective. 

Note: These same objectives must be used in the Part III Project Narrative section of 

your application, and may not be revised or rewritten in your narrative discussion of the 

proposed objectives or the proposed evaluation.

Total number of Training Program participants to be trained each year: ___________

____________% of Training Participants that, each year, evaluated the training as 

benefiting them in increasing their qualifications and skills in meeting the needs of 

disadvantaged students.

____________% of Training Participants that, each year, evaluated the training as 

benefiting them in increasing their knowledge and understanding of the Federal TRIO 

Programs.
90

INSTRUCTIONS FOR COMPLETING THE APPLICATION PACKAGE

The Training Program application consists of the following four parts: 

Part I: SF 424 Form -- Application for Federal Assistance and Department of 

Education Supplemental Information for SF 424

Note: Please do not attach any narratives, supporting files, or application components 

to the SF 424 Form. Although the form accepts attachments, the Department only will 

review the SF 424 and the specific items listed below.

Part II: ED Form 524

Department of Education Budget Information Non-Construction Programs 

Part III-A: Program Profile Form

Part III-B: One-page Project Abstract

Part III: Project Narrative

Selection Criteria

Part III: The Competitive Preference Priorities Narrative

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

accepted.

The Project Narrative Selection Criteria is where you will attach your Part III – Project 

Narrative response to the selection criteria that will be used to evaluate your 

submission for this competition. This section has a strict page limit of 50 pages, 

excluding a Table of Contents and Abstract. However, those addressing the 

competitive preference priorities may include up to four additional pages for each 

priority addressed (a total of 8 pages if both priorities are addressed), in a separate 

section of the application submission to discuss how the application meets the 

competitive preference priorities. Please see the Notice for detailed information on 

page limits. You should include a Table of Contents for your application as the first 

page of this section. The Table of Contents will not count against the 50 pages you are 

allowed for your response to the selection criteria. You will also include your budget 

narrative in this section as a part of the selection criteria, which does count as part of 

the 50-page limit.

The Part III-A Training Program Profile Form should be attached to the Other 

Attachments Form in the application package in Grants.gov (as a .pdf document). You 

may not change the wording of the standard or “standardized” objectives.
91

The Part III-B Project Abstract should be a one-page abstract. You will attach this 

abstract to the Project Narrative – Abstract link. This one-page abstract, which may be 

single-spaced, will not count against the 50 pages you are allowed for your response to 

the selection criteria. 

Part IV: Assurances, Certifications, and Survey Form -- Applicants must 

complete the following assurances and certifications included in 

the application package:

 ED GEPA 427 Form

 Assurances for Non-Construction Programs (SF 424B)

 Certifications Regarding Lobbying (ED Form 80-0013)

 Disclosure of Lobbying Activities (SF-LLL)

 Survey on Ensuring Equal Opportunity for Applicants
92

INSTRUCTIONS FOR PROJECT NARRATIVE – SELECTION CRITERIA

Applications will be evaluated according to the specific selection criteria specified in the 

Notice and this package. Applicants must address the selection criteria in the Project 

Narrative, which is limited to 50 pages – as detailed in the Notice. 

The Secretary evaluates an application on the basis of the broad criteria in 34 CFR 

section 642.31 of the Training Program regulations. The Project Narrative should 

provide, in detail, the information that addresses each selection criterion. To facilitate 

the review of the application, you should provide responses to each of the following 

selection criteria in the order shown below.

Note: The maximum possible score for each category of the selection criteria is 

indicated in parenthesis. 

1. NEED (25 points)

Only applicants that address one of the five

absolute priorities will be considered eligible and 

receive points for meeting the Need criterion.

2. PROJECT DESIGN

A. Plan of Operation (34 CFR 642.31(a))(20 points)

B. Evaluation Plan (34 CFR 642.31(d)) (10 points)

3. RESOURCES

A. Adequacy of Resources (34 CFR 642.31(e))(15 points)

B. Quality of Key Personnel (34 CFR 642.31(b))(20 points)

4. BUDGET (34 CFR 642.31(c)) (10 points)

TOTAL MAXIMUM SCORE FOR SELECTION CRITERIA100 POINTS

The following guidance may assist you in addressing each of the selection 

criteria:

Need: In consultation with the TRIO community, the Department has already 

determined the need for training in various topics, as discussed in the section on 

absolute priorities. Thus, it is not necessary for applicants to respond to the “Need” 

selection criterion in their applications. Each eligible application will be awarded 25 

points in the evaluation process for the “Need” selection criterion.
93

Plan of Operation: This part of the application should provide information on who, 

what, when and how the project will provide services to meet its goals and objectives. 

See the discussion on the absolute priorities for more information on addressing this 

criterion.

Evaluation Plan: A strong evaluation plan should be included and should be used, as 

appropriate, to shape the development of the project from the beginning of the grant 

period. The evaluation plan should include benchmarks to monitor progress toward 

meeting specific project objectives based on the program’s performance indicators. 

Specifically, the plan should identify the individual or organization that has agreed to 

serve as evaluator for the project and describe the qualifications of the evaluator. The 

plan should describe the evaluation design, indicating: (1) what types of data will be 

collected; (2) when various types of data will be collected; (3) what methods will be 

used; (4) what instruments will be developed and when; (5) how the data will be 

analyzed; (6) when reports and outcomes will be available; and (7) how the applicant 

will use the information collected through evaluation to monitor progress of the funded 

project and to provide accountability information both about success at the initial training 

site and effective strategies for replication in other settings. Applicants are encouraged 

to devote an appropriate level of resources to project evaluation. The use of an outside 

evaluator is not required.

Adequacy of Resources: This section should provide information that shows that the 

proposed budget will provide the resources necessary to successfully carry out the 

proposed trainings. Applicants should demonstrate here how the proposed resources 

would enable them to carry out the planned training sessions in the most cost-effective 

manner possible.

Quality of Key Personnel: The minimum qualifications must be identified for all project 

personnel positions. The minimum educational qualifications should include the type of 

degree required and the acceptable field(s) of study for each key position. The type and 

minimum amount of work-related experience should also be described for each position. 

Potential staff for the project must have documented knowledge and expertise in 

serving TRIO-eligible students as well as documented knowledge and expertise in 

training adults. Applicants should not give the qualifications of specific people that they 

plan to employ, but should give the qualifications required for the positions.

Budget: In response to this criterion, applicants must provide a detailed, itemized 

budget (ED Form 524) and a detailed budget narrative only for the first-year budget 

period. The budget narrative is to be included in the Project Narrative. Additional 

budget instructions are cited in the instructions entitled “First Year Budget and Budget 

Summary Form (ED Form 524) Instructions” on the following pages.
94

COMPETITIVE PREFERENCE PRIORITIES FOR FY 2014

The President has set a clear goal for our education system: By 2020, the United States will once 

again lead the world in college completion. The Department views the Training Program as a 

critical component in the effort to improve the quality of student outcomes, by providing training 

to service providers, so that more students are well prepared for college and careers. In order to 

more strategically align Training with overarching reform strategies for postsecondary

completion, the Department is announcing two competitive preference priorities for this 

competition. The two priorities are from the Department’s Notice of final supplemental 

priorities and definitions for discretionary grant programs, published in the Federal Register on 

December 15, 2010 and corrected on May 12, 2011 (75 FR 78486). 

Competitive Preference Priority 1: Increasing Postsecondary Success (up to 5 additional

points). Projects that are designed to increase the rates at which high-need students enroll in 

and complete high-quality secondary or postsecondary career and technical courses or 

programs of study designed to lead to a degree, credential, or certificate by providing training to 

TRIO staff on strategies on how to connect low-income students to the school that is right for 

them.

The Department is using Competitive Preference Priority 1 – Increasing Postsecondary Success 

because of the critical importance of connecting more low-income students to the school that is 

right for them and ensuring more students graduate. Many low-income students do not apply to 

or attend schools where they are most likely to succeed, often because they are not fully aware of 

their options available to them. 

Competitive Preference Priority 2: Improving Productivity (up to 5 additional points). 

Projects that are designed to significantly increase efficiency in the use of time, staff, money, or 

other resources while improving student learning or other educational outcomes (i.e., outcome 

per unit of resource). Such projects may include innovative and sustainable uses of technology, 

modification of school schedules and teacher compensation systems, use of open educational 

resources, or other strategies.

The Department is using Competitive Preference Priority 2--Improving Productivity because it 

believes that it is more important than ever to support TRIO projects that are designed to 

significantly increase efficiency in the use of resources while improving student outcomes. A 

key performance measure for the Training Program is its cost effectiveness, based on the number 

of TRIO project personnel receiving training each year. Furthermore, cost per participant is 

considered in all TRIO programs. Applicants proposing projects designed to offer increased 

opportunities to provide high-quality training for more individuals--that is, decrease their cost 

per participant while improving participant outcomes will be more likely to perform well on this 

efficiency measure.

Additionally, existing grantees will need assistance learning about, selecting, and implementing 

strategies that can help them be more productive while improving student outcomes. As such, 
95

we are interested in projects that propose to work with projects to adopt productivity improving 

strategies. 

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

that meets Competitive Preference Priority 1 and up to an additional five points to an 

application that meets Competitive Preference Priority 2 depending on how well the 

application meets each of these priorities. The maximum competitive preference points an 

application can receive under this competition is 10. An applicant submitting an 

application under Absolute Priorities 1, 2, 3, and 5 may apply using only competitive 

Preference Priority 2. An applicant submitting an application under Absolute Priority 4

may apply using both Competitive Preference Priorities.
96

INSTRUCTIONS FOR STANDARD FORMS

● Application for Federal Assistance (SF 424)

● Department of Education Supplemental Form for the SF 424

● Department of Education Budget Summary Form (ED 524)

● Disclosure of Lobbying Activities (SF-LLL)

● Survey Instructions on Ensuring Equal Opportunity for Applicants
97

INSTRUCTIONS FOR THE BUDGET SUMMARY 

AND ITEMIZED LINE ITEM BUDGET

NOTE: Applicants must submit: (1) budget information that categorizes the requested 

funds (ED Form 524), AND (2) a detailed budget narrative for the first 12-month budget 

period. 

The budget summary is to be included on the Budget Information – Non-Construction 

Programs (ED Form 524). 

The budget narrative, for the first 12-month budget period only, is to be included in 

the Program Narrative (limited to 50 pages and attached to the Program Narrative 

Attachment Form) as part of the Budget selection criterion.

This section requests information on the applicant’s financial plan for carrying out the 

project. 

The federal and any non-federal shares are to be included on the Budget Information –

Non-Construction Programs (ED Form 524), and in the Budget selection criterion 

discussion in the Program Narrative.

The Department is requesting that you complete the Budget Information – NonConstruction Programs (ED Form 524) for ONLY the 2014-2015 year. Please provide a 

comprehensive and detailed budget narrative for the first 12-month budget 

period, only. Applicants should place an asterisk next to all budget items that 

relate to the costs associated with the announced Competitive Preference 

Priorities for FY 2014.

It is not necessary to provide a budget summary for the total grant period requested. 

The funding level for the first year is stipulated based on the Maximum Award Section of 

the Notice, and the Department will determine the funding levels for the subsequent 

years of the grant award.

The Budget Information-Section A – Budget Summary – Non-Construction Programs 

(ED Form 524) and the Budget Narrative must include all costs that are allowable, 

reasonable and necessary for carrying out the objectives of the Training Program. 

Among the costs that may be supported with grant funds are:

1. Personnel: On line 1 (ED Form 524), enter only the project personnel 

salaries and wages. [Fees and expenses for consultants should be included 

on line 8.] The budget should include the total commitment of time and the 

total salary to be charged to the project for each key staff member. You 

should provide a breakdown of project personnel that includes: the position 

titles; the percent of time and number of months committed to the project for 

each key staff member; the salary for each key staff member; and the total 

salary costs to be charged to the grant.
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2. Fringe Benefits: On line 2 (ED Form 524), enter the amount of fringe 

benefits. The institution or agency’s normal fringe benefit contribution may be 

charged to the program. Leave this blank if fringe benefits applicable to direct 

salaries and wages are treated as part of the indirect costs. In the budget, 

include an explanation and appropriate justification if the institution or 

agency’s normal fringe benefit contribution exceeds 20 percent of salaries.

3. Travel: On line 3 (ED Form 524), provide the costs for project personnel. 

[Consultants’ travel should be included on line 8.] In the budget, you should 

detail the proposed travel costs -- for each trip explain the purpose and 

objective of the travel and provide the number of persons traveling. 

Transportation costs should not exceed tourist class airfare. For automobile 

mileage, the established institution or agency rate should be used. 

Reimbursement is allowed for taxicab, bus, train, or limousine transportation. 

Per diem at the established institution or agency rate is permitted when an 

individual is away from home overnight on official project business (see OMB 

Circular A-21, J.48.c - Commercial Air Travel). No foreign travel will be 

authorized under the grant.

The Federal TRIO Programs have developed the following guidelines for 

recommending approval of travel. All travel must be related to the project’s 

overall purpose and proposed activities.

Project Director’s Travel – Per Year

One National Conference; 

One Regional Meeting; 

One State Meeting; and

Travel for participation in one professional staff development training 

opportunity under the TRIO Training Program.

Full-time Professional Staff Travel – Per Year

One National, Regional, or State Meeting; and

Travel for participation in one professional staff development training 

opportunity under the TRIO Training Program.

4. Equipment: On line 4 (ED Form 524), indicate the cost of equipment -- nonexpendable personal property, which has a usefulness of greater than one 

year and an acquisition cost of $5,000 or more per unit. [Consistent with an 

applicant’s policy, a lower dollar amount may be used to define equipment.] 

In the budget, explain why the requested equipment is necessary to carry out 

project activities, and include a list of all equipment in the following format: 

item, quantity, cost per unit, and total cost.
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5. Supplies: On line 5 (ED Form 524), include the costs of all tangible personal 

property that was not included as “equipment” on line 4. In the budget, 

provide an itemized list of the supplies.

6. Contractual: Not applicable. Leave blank.

7. Construction: Not applicable. Leave blank.

8. Other: On line 8 (ED Form 524), indicate all direct costs not covered on lines 

1 through 5. The costs/fees for consultants and consultants’ travel should be 

included here. Examples of “other” costs are: equipment rental, required 

fees, communication costs, rental of space, utilities, custodial services, and 

printing costs. In the budget, provide a breakdown of all direct costs not 

clearly covered by other budget categories. 

Consultants: If the project proposes to use consultants, identify the 

consultants who will work on the project, the scope of work to be performed 

by each consultant, and justify why project personnel cannot perform this 

work. Also, provide a detailed breakdown of the costs (daily fees to be paid, 

estimated number of days of services, and all travel expenses, including per 

diem). Cost allowances for consultant fees, honoraria, per diem, and travel 

should not exceed amounts permitted by comparable institutional or agency 

policies.

9. Total Direct Costs: On line 9 (ED Form 524), provide the total direct costs 

requested – the sum of lines 1 through 8.

10. Indirect Costs: On line 10 (ED Form 524), provide the amount of indirect 

costs that you propose to charge against the grant. 

All grants awarded under the Training Program (84.103A) are designated as 

training grants. The Education Department General Administrative 

Regulations (EDGAR) limits reimbursement to grantees for indirect costs they 

incur under training grants to the grantee’s actual indirect costs as determined 

by the grantee’s negotiated indirect cost agreement or a maximum of 8 

percent of a modified total direct cost base, whichever is less. (NOTE: This 

limitation does not apply to State agencies, or local governments, or federally 

recognized Indian tribal governments. [§75.562(c) (2)]

A modified total direct cost base is defined as total direct costs, less 

stipends, tuition and related fees, and capital expenditures of $5,000 or more 

per unit. Therefore, calculations of indirect costs may not include cost of 

equipment, stipends, tuition and related fees, room and board and summer 

non-residential meals associated with the Training Program. 
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Grantees charging indirect costs to a Department grant are required to have a 

negotiated rate with their cognizant agency (i.e., either the Federal agency 

from which it has received the most direct funding that is subject to indirect

cost support, or a particular agency specifically assigned cognizance by the 

Office of Management and Budget). Although applicants are not required to 

submit with their application a copy of their indirect cost agreement to claim 

the 8 percent rate for funding received in this program, they are required to 

have documentation available for audit that shows that their negotiated 

indirect cost rate is at least 8 percent [§75.563(d)]. In the event that they 

receive an award under this program, applicants without a negotiated indirect 

cost rate with its cognizant agency should seek to identify that agency and 

contact it to obtain an approved rate as soon as possible after award 

notification.

Applicants should be aware that amounts representing the difference 

between the 8 percent rate and a greater indirect cost rate negotiated with a 

cognizant agency may not be charged to direct cost categories, used to 

satisfy matching or cost-sharing requirements, or charged to another Federal 

award. [§75.563(c) (3)]

11. Training Stipends: Not applicable. Leave blank.

12. Total Costs: On line 12 (ED Form 524), provide the total amount that you are 

requesting – the sum of lines 9 and 10. Note: This amount should also be 

the same as that shown in 18g on the application face sheet (SF 424) and on 

the detailed budget narrative in Part III.
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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 20014-

2018. 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: Postsecondary Education, Career and Technical Education, and Adult Education.

Increase college access, affordability, quality, and completion by improving postsecondary

education and lifelong learning opportunities for youths and adults.

Goal 2: Elementary and Secondary Education.

Improve the elementary and secondary education system’s ability to consistently deliver

excellent instruction aligned with rigorous academic standards while providing effective

support services to close achievement and opportunity gaps, and ensure all students

graduate high school college- and career-ready.

Goal 3: Early Learning.

Improve the health, social-emotional, and cognitive outcomes for all children from birth

through 3rd grade, so that all children, particularly those with high needs, are on track for

graduating from high school college- and career-ready.

Goal 4: Equity.

Increase educational opportunities for and reduce discrimination against underserved

students so that all students are well-positioned to succeed .

Goal 5: Continuous Improvement of the U.S. Education System.

Enhance the education system’s ability to continuously improve through better and more

widespread use of data, research and evaluation, evidence, transparency, innovation, and

technology.

Goal 6: U.S Department of Education Capacity.

Improve the organizational capacities of the Department to implement this strategic plan.
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What are the performance indicators for the Training Program?

The performance indicators for the Training Program are part of the Department’s plan for 

meeting Goal 3. The Training Program is part of the Federal TRIO Programs. The overarching 

goal of the Federal TRIO Programs is “to increase the percentage of low-income and first 

generation college students who successfully pursue postsecondary education opportunities. 

The performance indicators for the Training Programs are: 1) the cost-effectiveness, based on 

the number of TRIO project personnel receiving training each year; (2) the percentage of 

Training participants that, each year, evaluate the training as benefiting them in increasing their 

qualifications and skills in meeting the needs of disadvantaged students; and (3) the percentage 

of Training participants that, each year, evaluated the trainings as benefiting them in increasing 

their knowledge and understanding of the Federal TRIO Programs. 

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

met?

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

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

objectives are met. 
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APPLICATION CHECKLIST

Use This Checklist While Preparing Your Application Package: All items listed on this checklist 

are required.

 Part I - Application for Federal Assistance (SF 424) 

 Part I - Department of Education Supplemental Information for SF 424

 Part II - Department of Education Budget Summary Information – Non-Construction 

Programs (ED Form 524) – Sections A & B

 Part III - Program Narrative -The total page limit for the project narrative portion of the 

application for the FY 2014 Training Program competition is 50 pages. However, those 

addressing the competitive preference priorities may include up to four additional pages 

for each priority addressed (a total of 8 pages if both priorities are addressed) in a 

separate section of the application submission to discuss how the application meets the

competitive preference priorities. Attach the Program Narrative document to the 

Program Narrative Attachment Form in the Grants.gov application.

 Part III - Other Attachments –Attach the following documents to the Other Attachments 

Form in the Grants.gov application.

Training Program Profile 

Training Program Assurances

 Competitive Preference Priorities Narrative

 Part III - ED Abstract - one-page limit - Attach this document to the ED Abstract Form in 

the Grants.gov application. This one-page abstract, which may be single-spaced, will not 

count against the 50 pages you are allowed for your response to the selection criteria. 

 Part IV - Assurances, Certifications, and Survey

GEPA Section 427 Requirement 

Assurances – Non-Construction Programs (SF 424B)

Lobbying Form (Formerly ED Form 80-0013)

Disclosure of Lobbying Activities (SF LLL)

Survey on Ensuring Equal Opportunity for Applicants

NOTE: Please do not attach any narratives, supporting files, or application 

components to the Standard Form (SF 424). Although this form accepts 

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

to the Grants.gov Attachment Forms listed above.
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Paperwork Burden Statement

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

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

reporting burden for this collection of information is estimated to average 36.6 hours per 

response, including time for reviewing instructions, searching existing data sources, gathering 

and maintaining the data needed, and completing and reviewing the collection of information.

The obligation to respond to this collection is required to obtain or retain benefit (Title IV, Part 

A, Subpart 2, Section 402G of the Higher Education Act of 1965, as amended (HEA) and 34 

CFR part 642 Training Program for Federal TRIO Programs). Send comments regarding the 

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

reducing this burden, to regulations.gov during the public comment period for this collection of 

information. If you have specific questions about the form please contact Office of Student 

Service, U.S. Department of Education, 1990 K Street, NW, room 7000, Washington, DC 

20006-8510. Telephone: (202) 502-7600 or by e-mail: TRIO@ed.gov.